INCLUSION MATTERS THE FOUNDATION FOR SHARED PROSPERITY Uganda, Lake Victoria Serena Resort, February 3 – 7, 2014 Inclusion Matters A Training Event In Uganda, Lake Victoria Serena Resort, February 3 – 7, 2014 This training was prepared jointly by the Social Development Department at The World Bank and the Joint Budget Support Framework (JSBF) in Uganda. The team that designed and facilitated the training was composed of Maria Beatriz Orlando, Juan Carlos Parra, Mathan Ratinam and Lisa Schmidt. Clarence Tsimpo and Damalie Nyanja provided valuable comments to the design and logistical support. Inclusion Matters Understanding Social Inclusion Concepts, Trends, Policies, Methods And Measurement Social inclusion is high up on the global policy agenda. It is a central tenet of the World Bank Group's new strategy with its twin goals of ending extreme poverty and boosting shared prosperity. The recent publication of a new World Bank report “Inclusion Matters – The Foundation for Shared Prosperity” emphasizes the relevance of this topic for the World Bank. Social inclusion is also intrinsic to the post-Millennium Development Goals discussions. The rising attention to issues of social inclusion is based on the realization that while great strides have been made in reducing extreme poverty, in country after country, entire groups remain excluded from development gains. A rising tide does not necessarily lift all boats. For Uganda, social inclusion is becoming more and more urgent as the country is poised to become a middle-income country. Profound transitions like the changing population structure, urbanization, climate change, information revolution and natural resource driven growth are creating new opportunities but also risks for inclusion. Uganda’s youth bulge, for instance, will become a key policy issue just as the country moves into middle income status. Influencing change toward social inclusion will be an important piece of Uganda’s vision for 2040. The World Bank Group is committed to supporting the government in its vision by partnering on projects, sharing appropriate knowledge and through interface with partners. As part of this commitment and in response to the increasing urgency to act on social inclusion in Uganda, the World Bank, through the Joint Budget Framework Support Trust Fund, organized a one-week training on social inclusion at the Lake Victoria Serena Resort in Uganda. 43 representatives from government agencies, parliament, civil society and academia attended the training. The training had three main objectives: 1) to enhance the understanding of social inclusion and the opportunities and challenges presented by its changing context; 2) to expand the sets of indicators and methods used to measure well-being and to assess the impacts of policies, especially on groups of the population at risk of exclusion; and 3) to discuss how to use a social inclusion lens in the design of policies and programs. Inclusion Matters Understanding Social Inclusion To that end, the training was designed in two main parts and seven modules: Whereas the first two days provided a conceptual understanding of the social inclusion approach – why social inclusion is a relevant concept and how it can be achieved – the remaining three days grounded the concepts in issues that are relevant to social inclusion and tools that can be used to achieve it – gender, consultations, subjective well-being, qualitative methods and impact evaluation. A Social Inclusion Approach Issues and Tools Conceptual Grounded Gender and Why How Methodology Impact Eval. Consultations Mon Tue Wed Thu Fri Inclusion Matters Understanding Social Inclusion Module 1: Defining and diagnosing social inclusion This module illustrates the value of the concept of social inclusion and demonstrates the differences between social inclusion and concepts like poverty, inequality, and equality of opportunities. Based on the World Bank’s recent report “Inclusion Matters – The Foundation for Shared Prosperity”, the module proposes a framework to understand social inclusion. Transitions and transformations that change the context for social inclusion and create new pressures for it are discussed as well as the relevance of attitudes and perceptions for social inclusion. Module 2: How to act on social inclusion This module emphasizes that social inclusion can be influenced, planned and achieved – not by doing more but by doing things differently. We can steer change towards social inclusion by intervening through markets, services and spaces. Case studies of projects and other interventions in Uganda and other countries illustrate what that can mean concretely, how social inclusion has been addressed and how such projects can be designed. Finally, the module suggests ways to measure progress and achievements on social inclusion. Click highlighted text to link to presentation. Inclusion Matters Understanding Social Inclusion Module 3: Gender as a driver of exclusion Gender can be a powerful driver of exclusion and can exacerbate the disadvantages of poor, migrant and other groups. This module explains the importance of gender equality to fully realize the development impacts of interventions and the basic principles and methods to undertake analysis along gender lines. The case study of the Empowerment and Livelihood for Adolescents (ELA) Program in Uganda illustrates potential avenues for improving the terms on which young women take part in society. Module 4: Consultations Consultations are the cornerstone of diagnosing problems and building support for interventions, and can also enhance dignity and voice – crucial to social inclusion interventions. This module covers the how-to of good community consultations, based on a range of examples, which are described in greater detail in an additional handout. It also presents Community Development Agreements as a way to make extractive industries more inclusive by listening to local communities and making sure they benefit from operations. Click highlighted text to link to presentation. Inclusion Matters Understanding Social Inclusion Module 5: Subjective wellbeing The main goal of most governments is to improve the well-being of the population and it is increasingly recognized that measures like per capita GDP fall short of assessing progress in the achievement of that goal. This module presents the value that measures of wellbeing add to policy design, the main principles and techniques to measure well-being, and examples of applications in different sectors. Module 6: Qualitative methods Qualitative methods are especially useful to better understand many research questions related to social inclusion, and to unpack the ‘why’ of quantitative results. This module discusses when and how to use qualitative methods, either as stand-alone techniques or to complement quantitative analysis. A case study on recent analysis conducted on reasons for late enrollment and drop out from primary education in Uganda emphasizes the relevance of qualitative methods. Module 7: Impact evaluation This module covers the basics of different experimental and non-experimental methods to assess the impact of interventions and identifies their benefits and shortcomings. An example is presented to illustrate how interventions can be rigorously assessed, even when they target seemingly fuzzy concepts like empowerment and quality of life. Click highlighted text to link to presentation. Inclusion Matters MODULE 1 DEFINING AND DIAGNOSING SOCIAL INCLUSION INCLUSION THE FOUNDATION FOR SHARED PROSPERITY Inclusion Maria Beatriz Orlando Inclusion Matters: The Foundation For Shared Prosperity • To ending extreme poverty because some groups are over-represented among the extreme poor. • To creating shared prosperity because today’s growth can leave some people behind. • To today’s social churning, driven by changing demographic, spatial, economic and political forces. • For itself. • And because exclusion is too costly. Inclusion Maria Beatriz Orlando 2 Despite Strong Growth Groups Are Left-behind Poverty reduction across indigenous and non-indigenous populations Source:  Hall  and  Patrinos  (2012):  Indigenous  Peoples,  Poverty,  and  Development.  Cambridge,  U.K.:  Cambridge  University  Press.     Note:  Average  yearly  change  in  poverty  headcount  is  based  on  compounding  growth  rates. Inclusion Maria Beatriz Orlando 3 Exclusion Is Costly • Exclusion of Romas costs Serbia 231 million Euros … 887 million Euros in Romania. • Productivity loss e.g. agricultural productivity in Bolivia • Instability/Conflict Inclusion Maria Beatriz Orlando 4 What Is Social Inclusion? Inclusion Maria Beatriz Orlando 5 What Is Social Inclusion? The process of improving the terms for individuals and groups to take part in society. The process of improving the ability, opportunity and dignity of people disadvantaged on the basis of their identity to take part in society. Social inclusion is… • Specific to time, place and identities • Yet both a developing and developed country issue • Multidimensional • Related to poverty and inequality, but goes beyond these • Both an outcome and a process Inclusion Maria Beatriz Orlando 6 Differences / Similarities • Inequality : high inequality and low income mobility may be explained by exclusion • Poverty : exclusion exists in developed countries with low levels of poverty / exclusion is based on identity • Discrimination: individual vs. group based Inclusion Maria Beatriz Orlando 7 Inclusion In What? Markets, Services And Spaces Taking part in society Improving the terms Inclusion Maria Beatriz Orlando 8 Ability And Identity • High performers cluster together (ethnic capital- Borjas) • Dalits perform worse when tests request self-identification (experimental evidence Hoff) • Learned helplessness (Elmsie and Sedo )- Discrimination Inclusion Maria Beatriz Orlando 9 Opportunities: Jobs • 11 million youth are expected to enter Africa’s labor market every year for the next decade. • Despite rapid growth in formal wage sector jobs, the majority of these youth are likely to work on family farms and in household enterprises, often with very low incomes. Source:  Full  Report:  Youth  Employment  in  Sub-­‐Saharan  Africa  2014 Inclusion Maria Beatriz Orlando 10 Dignity Feelings of ‘always being looked down upon’ by locals among urban migrants in China, by age and education. Source:  Shi  (2012):  MigraTon  and  Social  Inclusion:  Analysis  of  the  Well  Being  of  Rural  Migrants  in  China.  Background  paper  draY,  World  Bank,  Washington,  DC. Inclusion Maria Beatriz Orlando 11 Identity Drives Exclusion, Which Is Highly Contextual • Ethnicity: Roma in Eastern Europe, Indigenous Peoples • Caste: in India and Nepal • Race: people of African descent • Religion: Muslims in the post-9/11 world • Gender and age: women, older people, widows • Nationality and migrant status: refugees, undocumented persons, unwelcome migrants • Disability • Sexual orientation • Social and economic status • Yet it’s the intersection of identities that heaps the disadvantage Inclusion Maria Beatriz Orlando 12 Inclusion Of Whom? Multiple Identities Intersecting identities transfer cumulative disadvantage: Secondary school completion in Bolivia Source:  World  Bank  team’s  analysis  based  on  the  Minnesota  PopulaTon  Center,  IPUMS  database,  2011  and  the  Bolivian  NaTonal  InsTtute  of  StaTsTcs,  2001.  Note:  Secondary   School  CompleTon  marginal  effects,  using  Male  and  Spanish  Mother  Tongue  as  the  reference  group.  CalculaTons  refer  to  secondary  school  compleTon  rates  for  persons  25  years  of   age  or  older,  controlling  for  age,  age-­‐squared,  and  urban/rural  residence.  All  values  are  significant  at  the  1%  level.       Inclusion Maria Beatriz Orlando 13 Measurement Is Challenging But Possible And Important • We need to know whether we are making progress, but the indicators we choose reflect what we value • Depends on context • Subjective indicators are as important as objective ones • Important to go beyond symptoms of exclusion to understand “WHY” Inclusion Maria Beatriz Orlando 14 Attitudes And Perceptions Are Linked To Outcomes Countries where people say men have more right to jobs also have lower labor force participation rates for women Source:  World  Development  Indicators  and  World  Values  Surveys  (2005-­‐2008) Inclusion Maria Beatriz Orlando 15 TRANSITIONS AND TRANSFORMATIONS CHANGING CONTEXT AND NEW PRESSURES FOR SOCIAL INCLUSION Transitions and Transformations Juan Carlos Parra Transitions And Transformations • Major transitions and transformations of the past several decades as a frame of reference to prognosticate on the drivers of exclusion or the potential for inclusion in the coming years. • The cumulative impact of these large scale transitions has changed the context for inclusion, either by creating new groups that deserve attention or by changing the forms of, and opportunities for, both inclusion and exclusion. Transitions and Transformations Juan Carlos Parra 2 Demographic • Transitions of fertility and mortality underway in all except conflict countries • Volatile and more dramatic migration • Globally, the largest youth cohort in history now. • By 2050, the elderly be 20% in less developed countries, over 30% in developed countries • Doubling population in Sub-Saharan Africa and accounting for over 20% of the world population in 2050 Transitions and Transformations Juan Carlos Parra 3 Other Transitions And Transformations • Economic • 50 percent of the world population will be “middle class” by 2020 • 71 percent of the world’s population lives in countries where income inequality has been increasing since the 1990s • Spatial • Rapid urbanization and spatial inequalities • Climate change, disasters and periods of stress have become common • Knowledge • Global increase in educated population • Increased connectedness and mobilization • Increased political participation and citizen activism expressed in innovative forms Transitions and Transformations Juan Carlos Parra … Have Implications For Inclusion ••More and better jobs ••Demand for infrastructure and ••Demand for care services services ••Demand for marketable and non- ••Demand for protection against cognitive skills Demographic vulnerability to disasters Spatial ••Demand for voice, representation and ••Demand for legal standing, Youth Slum residents dignity recognition, political ••Demand for equal access to jobs, Elderly Indigenous people representation credit, housing and fair treatment Migrants ••Claim on public spaces Left-behind families Women ••Demand for safety IDPs, refugees Non-traditional families Economic Knowledge and ICT ••Better public services and Poor Youth infrastructure Middle class Politically active •• Demand for access to information ••Demand for social security and People left-out of ••Demand for new skills and quality Food insecure safety nets information revolution of education People affected by ••Demand for greater accountability ••New aspirations and demands for crises Disabled voice and decision-making ••Demand for functioning and fair ••Vulnerability to crime, drugs, justice systems prostitution Transitions and Transformations Juan Carlos Parra 5 Population Pyramids Are History! • In Uganda the fertility transition has been slow and late. By 2050, half of its population will be below 20 years of age. • Poland will have a full-fledged aging crisis in 2050. • In Egypt, the youth will be replaced by a much smaller cohort of young people. Transitions and Transformations Juan Carlos Parra 6 Demographic •• More and better jobs •• Demand for care services •• Demand for marketable and non- cognitive skills •• Demand for voice, representation and dignity Youth •• Demand for equal access to jobs, credit, Elderly housing and fair treatment Migrants Women Non-traditional families Transitions and Transformations Juan Carlos Parra 7 Spatial •• Demand for infrastructure and services •• Demand for protection against vulnerability to disasters •• Demand for legal standing, Slum residents recognition, political representation Indigenous people •• Claim on public spaces Left-behind families •• Demand for safety IDPs, refugees Transitions and Transformations Juan Carlos Parra 8 Economic Transitions And Transformations Despite strong growth groups are left-behind Transitions and Transformations Juan Carlos Parra 9 Hunger Has Remained A Stark Axis Of Exclusion Transitions and Transformations Juan Carlos Parra 10 Economic Poor •• Better public services and Middle class infrastructure Food insecure •• Demand for social security and safety People affected by crises nets •• New aspirations and demands for voice and decision-making •• Vulnerability to crime, drugs, prostitution Transitions and Transformations Juan Carlos Parra 11 Knowledge And ICT • Price of broadband access per month (Source: Royal Pingdom). • The big variance across countries and the fact that access is still very expensive in relative terms gives advantage to urban and richer groups Transitions and Transformations Juan Carlos Parra 12 Knowledge And ICT Youth Politically active People left-out of information •• Demand for access to information revolution •• Demand for new skills and quality Disabled of education •• Demand for greater accountability •• Demand for functioning and fair justice systems Transitions and Transformations Juan Carlos Parra 13 Reflecting On Transitions And Transformations • The historic developments of the last forty years have redefined the context for the 21st century. • The fear of contagious movements has led many states to crack down on either actual or anticipated protest. • Yet, states also realize that they will need to put in place reforms that address the new demands which are essentially demands for social inclusion. • Global and national trends are important to track since they determine the challenges and opportunities for socially inclusive future. Transitions and Transformations Juan Carlos Parra 14 WHY ATTITUDES AND PERCEPTIONS MATTER UNDERSTANDING THEM TO MAKE EFFECTIVE INTERVENTIONS Attitudes and Perceptions Juan Carlos Parra Why Do Perceptions And Attitudes Matter? •People act on the basis of how they feel and feelings of being included are central to opportunities people access. •People’s attitudes about each other and themselves can shape who and on what terms gets included and excluded. •Attitudes and perceptions can determine behavior. •Yet attitudes and perceptions do change. Attitudes and Perceptions 2 … Are Linked To Behavior Social norms Stereotypes Attitudes Behavior Prejudices Feelings Perception Outcomes Experience Attitudes and Perceptions Juan Carlos Parra 3 … And Many Times At Variance With Objective Indicators Group Score Life Satisfaction of Select Groups Forbes richest Americans 5.8 Maasai (Kenya) 5.4 Amish (Pennsylvania) 5.1 Inughuit (Northern Greenland) 5.1 Cloistered nuns (United States) 4.8 Illinois nurses 4.8 Illinois college students 4.7 Calcutta slum dwellers 4.4 NEUTRAL 4.0 Calcutta sex workers 3.6 Uganda college students 3.2 Calcutta homeless 3.2 California homeless 2.8 New prisoners (Illinois) 2.4 Mental inpatients 2.4 Source  and  notes:  Diener  and  Diener  (2005);  Response  scale:  7=  extremely   Detroit sex workers 2.1 sa@sfied,  4  =  neutral,  1=  extremely  dissa@sfied Attitudes and Perceptions Juan Carlos Parra 4 Migrants And Attitudes Toward Them Changes in anti-migrant sentiment overlap with changes in the stock of migrant population. Source:  Report  Team  calcula@ons  based  on  World  Values  Surveys   Attitudes and Perceptions Juan Carlos Parra 5 Attitudes Towards Women’s Education Countries where people tend to say university education is more important for boys than girls also have lower female tertiary enrollment rates. Source:  Report  Team  calcula@ons  based  on  World  Values  Surveys. Attitudes and Perceptions Juan Carlos Parra 6 Attitudes Towards Women’s Access To Jobs Relationship between female labor force participation rate and percentage of respondents who think men have more rights to jobs when jobs are scarce, 2005-2008. Source:  Report  Team  calcula@ons  based  on  World  Values  Surveys   Attitudes and Perceptions Juan Carlos Parra 7 Attitudes Towards Women Leadership Countries where people tend to say men make better political leaders also have lower proportions of seats occupied by women in parliament. Source:  Report  Team  calcula@ons  based  on  World  Values  Surveys   Attitudes and Perceptions Juan Carlos Parra 8 But Attitudes Do Change Gender discriminatory attitudes pertaining to the labor market have lessened. Change in percentage of respondents who think men have more right to a job, if jobs are scarce (1989-2008). Source:  Report  Team  calcula@ons  based  on  World  Values  Surveys   Attitudes and Perceptions Juan Carlos Parra 9 People’s Feelings Of Being Excluded Percentage of respondents reporting they are treated unequally by their country. Source:  World  Bank  team’s  es@mates  based  on  the  Afro  barometer,  2008. Attitudes and Perceptions Juan Carlos Parra 10 Concluding Thoughts •Attitudes and perceptions can influence the terms on which some groups are included and can affect the way these groups access opportunities. •They are intrinsic to the dignity and respect accorded to many groups. •But they change over time and can reflect country level and global trends and changes. •They are also responsive to new incentives and by understanding them we can design effective interventions. Attitudes and Perceptions 11 CLICK OR TAP HERE TO RETURN TO EXECUTIVE SUMMARY MODULE 2 HOW TO ACT ON SOCIAL INCLUSION CHANGE TOWARDS SOCIAL INCLUSION CHANGE IS POSSIBLE Change Towards Social Inclusion Lisa Schmidt What Is It That We Want To Achieve? Taking part in society Improving the terms Change Towards Social Inclusion Lisa Schmidt 2 Change Happens Anyway! • Change is inevitable. • It happens by stealth or by design. Through discrete events or gradual processes. • It is a complex process, involving trade-offs. • It is political and takes place through the dialectic between different power groups. But: Change does not necessarily work towards inclusion. In fact, it may increase/create exclusion! Change Towards Social Inclusion Lisa Schmidt 3 So… How can we intervene to steer change towards social inclusion? Change Towards Social Inclusion Lisa Schmidt 4 Through Markets, Services And Spaces! Change Towards Social Inclusion Lisa Schmidt 5 What Characterizes A Social Inclusion Intervention? Policies and programs for social inclusion don’t necessarily do more. They do things differently. Change Towards Social Inclusion Lisa Schmidt 6 Examples Here are a few... Change Towards Social Inclusion Lisa Schmidt 7 Azerbaijan Internally Displaced Persons (IDPs) Situation: Protracted displacement over 20 years after conflict with Armenia in 1992 – 1994. One of the highest concentration of IDPs per capita. IDPs are systematically disadvantaged. Youth and women particularly affected. Objective: Improve living conditions and increase economic self-reliance of IDPs How: Micro-projects, housing, livelihood support • Emphasis on community involvement in preparation and implementation of micro projects to increase empowerment and ownership (e.g. PRA, community design appraisal event) • Mobilization of self-help groups to identify income-generating activities • Including non-IDPs as beneficiaries and participants to increase cohesion Change Towards Social Inclusion Lisa Schmidt 8 Yemen Basic Education Situation: 20 percentage points difference between boys and girls in grade 6 completion rate. Rural areas have less than 30 percent of girls’ enrollment rates. Mixed methods analysis showed that supply side was not the issue but demand side. Objective: Improving student learning and equitable access to basic education How: Interventions towards demand-side factors • Recruitment and training of rural female teachers • Conditional Cash Transfer program to incentivize girls’ education • Support to Fathers' and Mothers‘ Councils for community participation and awareness Change Towards Social Inclusion Lisa Schmidt 9 Indonesia Community Empowerment Situation: Analysis concluded that Government of Indonesia’s National Program for Community Empowerment did not reach the most marginalized groups. Objective: Strengthen the capacities of Indonesian CSOs to reach and empower marginalized groups to improve their socio-economic conditions How: • Activities that address specific and identified needs of a marginalized individual or community and directly provide for this need • Activities that empower individuals to participate in order to effectively advocate or articulate their individual needs to those who can influence outcomes Change Towards Social Inclusion Lisa Schmidt 10 But... How do you design and implement such an inclusive intervention? & What steps are involved? Change Towards Social Inclusion Lisa Schmidt 11 Stylized Steps To Social Inclusion Change Towards Social Inclusion Lisa Schmidt 12 1. Diagnose: ‘Ask Why’ Change Towards Social Inclusion Lisa Schmidt 13 1. Diagnose: ‘Ask Why’ • Why do a large majority of tribal women say they don’t think it’s necessary to give birth in health facilities? • If the reason is poverty, why are these women overrepresented among the poor? • If the reason is lack of knowledge, why are they not better informed? • If the reason is remoteness, why are they not connected? Through: • Conducting innovative ex-ante analysis • Holding meaningful consultations Change Towards Social Inclusion Lisa Schmidt 14 2. Design Action Change Towards Social Inclusion Lisa Schmidt 15 2. Design Action • Provide vouchers, grants, and culturally appropriate incentives • Launch education/awareness campaigns in local language and idiom • Register births and deaths • Involve the community in health surveillance • Use tribal systems of knowledge • Establish links to other programs • Make innovative use of private providers, including private transport agencies, while regulating their quality • Hire more female staff from tribal communities • Require cultural competency training for service providers • Hold providers accountable for their behavior as well as technical skills • Create incentives to providers to reside in remote areas Change Towards Social Inclusion Lisa Schmidt 16 3. Monitor Progress • Establish a monitoring framework that can be accessed by tribal people • Create community monitoring mechanisms • Establish third-party monitoring mechanisms • Use social audits and hold public meetings • Conduct “verbal autopsies” • Mandate citizen report cards • Publicly disclose results of monitoring, including through electronic channels • Use ICT to solicit anonymous feedback Change Towards Social Inclusion Lisa Schmidt 17 4. Create Avenues For Recourse And Feedback Loop • Establish an empowered ombudsman-like institution that enforces tribal rights • Empower tribal women through legislation and provide them with legal assistance • Create independent help-lines • Establish local tribal health committees with access to district administration • Form empowered grievance redress committees • Establish systems to report back to communities on action taken Change Towards Social Inclusion Lisa Schmidt 18 Final Reflections • Social inclusion is a long term agenda. • “One stroke of the pen” changes are few – incremental changes are more common. • Change is often non-linear. • Policies may have unintended consequences. • Lasting change is built on inclusive settlements and institutions with appropriate incentives. • Social inclusion is usually “work in progress” – new challenges of inclusion may arise even as some are met. Change Towards Social Inclusion Lisa Schmidt 19 REFRAMING THE DEBATE ON GROWTH INCLUSIVENESS IN UGANDA TRANSFORMING FARMS, HUMAN CAPITAL AND ECONOMIC GEOGRAPHY Reframing the Debate on Growth Rachel K. Sebudde What Is Inclusive Growth It is defined in various ways, but my preferred is: • Achieving a pace and pattern of growth that allows an increasing proportion of the population to contribute to and benefit from economic growth. • A long term perspective that focuses on raising productivity of resources (in particular people) rather than income distribution, as a means of increasing incomes for excluded groups Hence similar to economic transformation - a “condition in which an increasing proportion of economic output and employment are generated by raising productivity across sectors or areas”. Reframing the Debate on Growth Rachel K. Sebudde 2 Optimism About Uganda Abound Today Economic policies and institutions are improving • Despite challenges faced recently, Uganda remains one of the best performers across Africa. • Prudent macroeconomic policies, dividends from current investments, together with oil prospects favour a positive outlook for growth Source:  World  Bank’s  Country  Assessment  of  Policies  and  Ins support concentration to build more density. • Is it mobility? Probably not flight mobility as it is territorial integration to support inclusiveness. Unfortunately, beyond the prosperity pull factor, most important cause of migration was the search for better social services, this has contributed to congestion costs. • Constraints to integration/mobility? Abound in Africa, eg inflexible land markets, lack of connective infrastructure between leading and lagging areas raise the cost of integration, etc. • Education? Those with higher education were more likely to migrate, to tap into the higher pay-off in denser areas. Reframing the Debate on Growth Rachel K. Sebudde 25 A Three-pronged Approach • Better prioritization of • Ensuring equity in coverage, • Special interventions in the infrastructure to support accessibility and quality of social disadvantaged areas growth & mobility services • Accelerating education and • Social infrastructure, like • Education access and quality health services, to allow the schools and health facilities Northern Uganda region to • Health services coverage and overcome the deep shock • Connective infrastructure that quality suffered on account of the reduces distances to these services, and connects the • Water and sanitation conflict. lagging areas to markets • Specific interventions to make land more fluid will be • Prioritize production particularly important given the infrastructure development land tenure system in the North where it earns the largest as it is also one of the key return to get faster growth drivers for agricultural development in the region; • Connective infrastructure to support market access for regional trade with South Sudan & RDC Reframing the Debate on Growth Rachel K. Sebudde 26 Major Implications Major implications for urban areas imply a strategic focus on urbanization • Urbanization will be an inevitable outcome of integration of leading and urban areas, off transformation of agriculture , and of overall transformation of the economy to higher productivity levels • Faster growth will come from more efficient urban areas • Yet, already, urban poverty has been increasing. • Rather than stop movement of people to urban areas, it is better that urbanization is planned more efficiently to absorb these people. • It is a multi-pronged challenge Reframing the Debate on Growth Rachel K. Sebudde 27 A Multi-pronged Approach • Broaden social services across • More flexible markets and land • Transport infrastructure for rural and urban areas use for urban density and people urban mobility, connectivity to mobility rural areas and across regional • Education – great progress on markets enrolments, but outcomes very • Reforms to address unclear poor in rural areas rights • Pay attention to user preferences • Health care, sanitation and • Reforms to land rental markets water are concentrated in especially where land is • Coordinate with land use urban areas (eg. urban access communally owned planning to water was 45%, and 10% in rural areas) • Registration and demarcation of • In the short term, enable the community lands availability of a wide range of • Institutional frame work for service levels / modes at delivering these services • Tax on unused land? different prices becoming weaker as the decentralization efforts also • invest in sidewalks to reduce pedestrian fatalities in traffic seem to be loosing track accidents. • Longer term, policies for taxing motor vehicle use (say with gasoline taxes) and supply of public transport choices will be necessary components of a functioning urban area. Reframing the Debate on Growth Rachel K. Sebudde 28 What Will And Will Not Make Growth Inclusive? Inclusive growth will NOT come from: • Spreading production, creating large industries everywhere, and promoting large-scale farming as a way to transform agriculture; • Providing tertiary education while a large majority of the labor force does not go beyond primary • Fighting against labor mobility and urbanization. Instead, policy makers will make Uganda’s growth more inclusive by: • Ensuring that smaller farmers get the basics of infrastructure, finance, inputs, and institutions that will support transformation; • Allowing economic density to build for faster growth and jobs creation an planning for urbanization • Ensuring quality and universal access to primary and secondary education, while devising mechanisms to provide skills to support the transformation process to higher productivity economic activities, Reframing the Debate on Growth Rachel K. Sebudde 29 Policies For Inclusive Growth • Infrastructure prioritization - to promote more economic density, tap agricultural potential through better connectivity in producing areas, and provide connectivity to support integration of leading and lagging areas; • Land reform – to improve land usage to accelerate transformation; • Social services – to ensure equitable and efficient delivery of social services across locations and • Special interventions - to uplift the living standards of especially the most lagging areas, and other specific challenges of agricultural transformation, human capital transformation and urban congestion Reframing the Debate on Growth Rachel K. Sebudde 30 Thank You For more: www.worlbank.org/Uganda: Uganda Promoting Inclusive Growth – Transforming Farms, Human Capital and Economic Geography rsebudde@worldbank.org Reframing the Debate on Growth Rachel K. Sebudde 31 IMPACT OF ERT (ENERGY FOR RURAL TRANSFORMATION) ACTIVITIES IMPROVING SOCIAL STANDARDS OF THE GROUPS AT RISK OF SOCIAL EXCLUSION Impact of ERT Activities Medard Muganzi Presentation Layout • Background to the Energy for Rural Transformation Project (ERT) • Overview of the ERT Programme • Introduction to social inclusion • Summary of achievements • Impact • Challenges • Interventions to address challenges Impact of ERT Activities Medard Muganzi 2 Background The current Rural Electrification Programme was established by the Electricity Act 1999, Part III, which stipulated the following: • A programme implemented through a public-private partnership (PPP) • Preparation of a sustainable and coordinated rural Electrification Strategy and Plan (RESP) to guide the programme • Establishment of a Rural Electrification Fund (REF) by the Minister responsible for Energy • The Minister to make regulations for the management of the REF through a Statutory Instrument • Maintenance of a national rural electrification data base. Impact of ERT Activities Medard Muganzi 3 Background The Electricity Act 1999 also; • Broke the monopoly of UEB in power generation, transmission, distribution and supply • Created an independent Regulator; the Electricity Regulatory Authority (ERA) • Created a licensing regime for projects Impact of ERT Activities Medard Muganzi 4 Background The Rural Electrification Strategy and Plan (RESP) 2001 – 2010 ; passed by Cabinet in February 2001 had the following primary objective: • To reduce inequalities in access to electricity and the associated opportunities for increased social welfare, education, health and income generating activities • Other objectives • Achieve equitable regional distribution access to electricity • Maximize the economic, social and environmental benefits of rural electrification subsidies (or public finances) • Promote expansion of the grid and development of off-grid electrification • Stimulate innovations within suppliers (for services and equipment). Impact of ERT Activities Medard Muganzi 5 Background The Strategy was also to promote power generation from renewable energy sources for projects of capacity of up to 20MW for both grid connection and off-grid supply. The RESP prescribed a target of 10% rural electricity access by 2010 (later extended to 2012) from around 1% in 2001. Other major elements of the RESP included: • The development of a Master Plan to guide the choice and the planning of projects; • Provision of capital subsidies to private sector project developers who would inject their own funds through equity and debt; • Capacity building for private sector developers and relevant public institutions; and • Promotion of cross-sectoral linkages in the implementation of the programme Impact of ERT Activities Medard Muganzi 6 Implementation Of The RESP Institutional Set Up for Rural Electrification The Rural Electrification Board was constituted in mid-2002 and the Agency in July 2003. In line with the cross-sectoral approach prescribed by the RESP, other institutions were mandated with implementing certain aspects of the programme, particularly with regard to the World Bank financed Energy for Rural Transformation (ERT) Project: • Ministry of Energy and Mineral Development for biomass and energy efficiency related projects (e.g. gasification and energy savers) • Ministries responsible for Health, Education and Water for installation of solar PV packages in rural health centres, educational institutions and water supply points, respectively • Private sector Foundation for support to private sector project developers and solar PV providers • Bank of Uganda for refinancing commercial loans to private sector project developers (under ERT I) Impact of ERT Activities Medard Muganzi 7 Implementation Of The RESP • Uganda Energy Credit Capitalization Company (UECCC) for providing security to project developers for local borrowing (under ERT II); and • Ministry of Finance, Planning and Economic Development for monitoring and evaluation of the ERT Project. Impact of ERT Activities Medard Muganzi 8 General Overview Of ERT • The purpose of the ERT program is to develop Uganda’s energy and information/communication technologies (ICT) sectors, so that they make a significant contribution to bringing about rural transformation. ERT was designed 10-year APL. ERT Phase I ERT Phase II • Phase 1 of the ERT Project started in 2002 • ERT II was declared effective on & successfully ended in February 2009. November 25, 2009 and was to run for a period of four years, but has been • The aim of phase 1 was to develop the extended to June 30, 2016. institutional framework and capacity for delivery of rural/renewable energy in a • The aim of ERT II To Increase regional sustainable manner. coverage and building on institutional framework developed in ERTI. • The implementation of ERTII has largely retained the components of ERTI. • ERT III is now under preparation Impact of ERT Activities Medard Muganzi 9 Social Inclusion • It is the process of improving the terms for individuals and groups to take part in society. • The process of improving the ability, opportunity, dignity of people disadvantaged on the basis of their identity to take part in society. • It is noted that social inclusion is specific to time, place and identities; is multidimensional. • it is also related to poverty and inequality but goes beyond these and it is both an outcome and a process. Impact of ERT Activities Medard Muganzi 10 Social Inclusion Among the  groups at risk of social exclusion include;   • Rural communities in the hard to reach areas. • Schools, health centers, rural growth centres, etc • Agricultural enterprises that are usually located off the main load centres. Impact of ERT Activities Medard Muganzi 11 ERT Activities • ERT was sought to realize the objectives of the Rural Electrification Strategy and Plan 2001-20010 (RESP 1). • RESP 1 prescribed a multi-technology approach to extending modern energy services to the rural communities including;. • Grid extension. • Independent grids and. • Solar PV, recognizing the sparse nature of settlements and the large task and length of time it would take to extend the grid to many parts of the country. Impact of ERT Activities Medard Muganzi 12 Achievements Summary of general achievements on grid extension projects. • Increase in rural electrification rate from 1% in 2001 to 7% in 2013. National coverage is at 14% up from 4% in 2001 (UBOS 2013). • Development of the IREMP – 2009 that guides the selection of projects to package for funding. • Since 2006, a total of 502 grid extension projects have been implemented countrywide. • To date the programme has achieved the following on medium to large grid extension projects. • 5,192 km of medium Voltage (MV) power lines and 2,790 km of Low Voltage (LV) reticulation networks. • A further 3,670 km of MV power lines and 1,240 km of LV are in advanced stages of construction, and are to be commissioned in the FY 2013/14. Impact of ERT Activities Medard Muganzi 13 Achievements Summary of general achievements on grid extension projects (cont.) • 1,239 km of medium Voltage (MV) power lines and 821 km of Low Voltage (LV) reticulation networks are under procurement; • A further 5,052 km of MV power lines and 2,266 km of LV with firm funding are at different stages of planning. Procurement of contractors will commence in 2013/14 • On Community schemes • 267 schemes have been implemented; 161 on cost sharing with the community and 106 implemented using consolidated fund and Transmission Levy; • 307 km of MV lines and 450 km LV networks have been commissioned • 65 km of MV lines and 109 km of LV networks are under construction Impact of ERT Activities Medard Muganzi 14 Achievements Summary of general achievements on grid extension projects (cont.) • Connection of 26 district headquarters bringing the number to 98 out of 112 (about 87.5%) ; Kween, Kyegegwa, Katakwi, Amuria, Kiruhura, Buhweju, Mitooma, Kibaale, Kanungu, Kyenjojo, Isingiro, Pader, Agago, Abim, Oyam, Bundibugyo, Lamwo, Nakapiripit, Amudat, Kaberamaido, Dokolo, Amolatar, Ntoroko, Alebtong, Moroto, and Napak. • Additional 5 districts of Bulisa, Adjumani, Moyo, Amuru and Otuke are to be electrified by end of 2013/2014. • For 05 districts namely Zombo, Koboko, Maracha, Yumbe and Namayingo works will be completed in FY2014/15 • 03 districts of Kotido, Kaabong and Nwoya have been planned for connection to national grid by end of FY201/15 Impact of ERT Activities Medard Muganzi 15 Achievements - Grid Extension Projects Summary of general achievements on grid extension projects (cont.) • Kalangala and Buvuma islands to be connected through marine cable by end of FY2014/2015 • Other local administrative headquarters, social centres, educational institutions, and many economic enterprises have been connected • Several projects have been constructed as interconnectors of renewable energy based power generation projects to the main grid; -Mpanga Mini Hydro Power Plant (18MW) -Kakira Sugar Works (22MW) -Buseruka Min Hydro Power Plant (9MW) -Kikagate Hydro Power Project (16MW) – yet to be constructed -Ishasha (6.5MW) -Nyagak (3.5MW) -Kisiizi (300kW) Impact of ERT Activities Medard Muganzi 16 Achievements - Independent Grids Most part considered an interim measure and established in areas where it would not be economically feasible to extend the national grid in the short or medium term Under this categorization; • West Nile Independent grid ( Arua, Nebbi and Paidha) connected to a 3.5 MW Nyakag Mini Hydro Plant commissioned by H.E. in September 2012 • Kisiizi mini grid powered by a 300kW power plant serving the Hospital and the community around covering a linear distance 14km of 11kV power line. • With GIZ, a 60 kW small hydro has been developed in Buhoma (Bwindi) and serves Bwindi Hospital, and loads in the trading centre of Buhoma. Another one, 40kW has been established in Suam close to the Border with Kenya. It has been undergoing reliability tests since November 2012. • Independent grids based on thermal generation have been supported; Kalangala (250kVA generator), Adjumani and Moroto (each with 750kVA Generator) Impact of ERT Activities Medard Muganzi 17 Achievements - Solar Photo Voltaic Installations Promoted through two approaches under ERT II • Private sector led access mainly implemented through the PV Targeted Market Approach (PVTMA) Programme a. Focuses on increased uptake of solar PV systems for households, business enterprises and institutions through provision of consumer subsides and promotion of credit to spread the upfront cost of solar PV systems and make them affordable b. 12000 installations have been achieved to date and targets 27000 installations by 2016. c. Under ERT I that ended in Feb 2009, about 10,000 systems were installed making a cumulative total of 22000 systems. Impact of ERT Activities Medard Muganzi 18 Achievements - Solar Photo Voltaic Installations • Publicly funded solar PV Packages for social services a. Implemented by line ministries of Water, Health and Education. b. 26 upcountry growth centres under MOW, 301 post primal educational institutions under education and 366 health centres under Ministry of Health. c. Under ERT I 15 rural growth centres were covered under MOW, 125 post primary schools under education and 155 health centres under Health. Impact of ERT Activities Medard Muganzi 19 Impact Of ERT • Access by households: Many households in ERT I areas were within proximity of grid lines but few households were connected due to high connection costs. In addition, high tariffs were found to limit, significantly, the electricity consumption of rural households sometimes leading to service disconnection. • Enterprise creation: New enterprises had sprung up in ERT areas with access to grid. Many were small enterprises employing family labour to provide phone charging services, entertainment such as video shows and refrigerated drinks. • Access to ICT services: There was a general increase in the use of mobile phones and internet in ERT project areas but attribution to the project was inconclusive. Impact of ERT Activities Medard Muganzi 20 Impact Of ERT Access for social services: Access to electricity in ERT areas had influenced the quality of education and health services mainly due to: (i) Use of educational aids such as computers, internet and television (ii) Lower operating costs for diagnostic laboratory services, conservation of drugs through refrigeration and sterilisation of medical equipment in health facilities and photocopying, scanning and printing in schools (iii) Staff motivation – staff at schools and health centres valued the availability of power at their houses and offices mainly because of the personal benefits derived such as good quality light compared to candles and paraffin lamps, options to watch TV and use other audio equipment and the option to use computers and internet. As a result of the higher levels of motivation, education and health facilities reported that they were better able to attract and retain staff. Impact of ERT Activities Medard Muganzi 21 Challenges Encountered • Access target of 10% by 2010 (2012) was not met because of the following constraints: Delayed start up of REA – it took more than two years to constitute REA after the establishment of Statutory Instrument No. 75 of 2001. Delayed start of implementation of the ERT project activities, which was the driving force of RE programme, due to the unworkable model of private sector investment in RE. This was later changed to a public investment model. High connection and house wiring costs High electricity tariffs Inability of service providers to market electricity services and make timely connections Initial high cost of solar PV equipment Impact of ERT Activities Medard Muganzi 22 Challenges Encountered • Issues of wayleaves and compensation Resistance to passage of lines over land of individuals in project areas Demands for compensation even when no crop or property has been tampered with Legal petitions which delay implementation • Low population density Dispersed nature of settlements increases per capita cost of rural electrification. This has a direct negative impact on meeting access targets. • High population growth At 3.5% population growth, the number of households is increasing at a higher rate than that of rural electrification. Impact of ERT Activities Medard Muganzi 23 Challenges Encountered • Low financial capacity of service providers Private sector and cooperatives of rural concessions in Pader, Kibaale, Bundibugyo, Kasese and Kanungu, Rakai are all struggling and run the risk of collapse due to lack of commercial viability Technical and commercial capacities remain weak within the service providers Impact of ERT Activities Medard Muganzi 24 Challenges Encountered • Electricity for all by 2040 Increasing access levels from 7% to 100% in 23 years Intermediate targets of 26% by 2022 and 50% by 2030. Required resources for 2012-2022 will be about US$1BN Period 2001 2013 2022 2030 2040 Rural 1% 7% 26% 50% 100% Access National 4% 14% 40% 80% 100% Access Impact of ERT Activities Medard Muganzi 25 Interventions To Address Challenges • Reviewing technical standards and material specifications to include low cost designs in REA projects • Incorporation of substantial connection subsidies in construction contracts so that as many consumers are already connected at the commissioning of a project • Provision of connection subsidies on the existing grid through the Output Based Aid (OBA) initiative • Introduction of ready boards to reduce the cost of house wiring for poorer households • Provision of subsidies and credit for PV and solar lanterns • On wayleaves, REA urges local leaders to take the lead in getting written commitments for electricity line passage • Creation of concessions which have geographical area coverage to achieve commercial viability in the short timeframe. • Providing professional and skills training to staff of service providers Impact of ERT Activities Medard Muganzi 26 MEASURING SOCIAL INCLUSION Measuring Social Inclusion Maria Beatriz Orlando Social Inclusion Is Measurable Taking part in society Improving the terms Measuring Social Inclusion Maria Beatriz Orlando 2 How Can We Measure Social Inclusion? • Ability We know how to measure human capital (education/skills, health) • Opportunity Measures like the Human Opportunity Index can be used to measure how opportunities are distributed and accessed by different population groups • Dignity (perception of being respected/valued) Perceptions can be measured. More to come on Thursday. Measuring Social Inclusion Maria Beatriz Orlando 3 Human Opportunities Index   Measuring Social Inclusion Maria Beatriz Orlando 4 WB Human Opportunities Index: LAC Source  :  UY  Equality  of  Opportuni9es  (WB,  2010)   Measuring Social Inclusion Maria Beatriz Orlando 5 How Can We Measure Social Inclusion? Markets and services • Measures of market penetration, access to services Spaces • We have good proxies for political participation (number of seats in parliament, cabinet, political parties, participation in elections, etc.) • Access to physical and cultural spaces can be measured through surveys and qualitative methods (more on this tomorrow) Measuring Social Inclusion Maria Beatriz Orlando 6 How Can We Measure Social Inclusion? • The choice of measure(s) depends on what social inclusion means in a particular context • Data availability might be a constraint in the short term • Two types of measures can be used: indices and dashboards • An index is a figure that aggregates the levels of several variables • A dashboard is a set of variables to be used at the user’s discretion Measuring Social Inclusion Maria Beatriz Orlando 7 Indices Or Dashboards? Indices Dashboards Pros Pros • Single number – easy to • User decides whether and how understand to use the different variables • Allows comparability • Flexible and adaptable • Can be used to rank Cons Cons • Can be used to rank • ‘Subjective’ (even ‘arbitrary’) • Information loss during • Multiplicity of measures might aggregation add confusion • Fixed weights • Inflexible Measuring Social Inclusion Maria Beatriz Orlando 8 Measures Of Social Inclusion • Page 262 of “Inclusion Matters” • Highly multidimensional • Perceptions measures are included in all of them Measuring Social Inclusion Maria Beatriz Orlando 9 Monitoring And Evaluation • Establish a monitoring network that can be accessed by the excluded groups • Create community monitoring mechanisms • Establish third-party monitoring mechanisms • Use social audits and hold public meetings • Publicly disclose results of monitoring • Use ICT and other methods to solicit anonymous feedback • Impact evaluation … is coming Measuring Social Inclusion Maria Beatriz Orlando 10 CLICK OR TAP HERE TO RETURN TO EXECUTIVE SUMMARY MODULE 3 GENDER AS A DRIVER OF EXCLUSION GENDER AND INCLUSION Gender and Inclusion Maria Beatriz Orlando What Is Gender? • Gender is a social construct: “ social, behavioral, and cultural attributes associated with being a woman or a man..” • Difference with other dimensions of exclusion: • Intra-household phenomena • Preferences, needs and constraints vary significantly between men and women • Gender cuts across income, ethnicity, and class Gender and Inclusion Maria Beatriz Orlando 2 Gender Equality And Development • Productivity • Impact on next generation’s human capital and well-being • Women’s voice can lead to different policy choices • Gender equality promotes social inclusion • Gender mainstreaming in projects increases development impact Gender and Inclusion Maria Beatriz Orlando 3 Gender Inequality Has A Cost Economic costs … equalizing access to inputs such as land and fertilizers would increase agricultural output by 2-4% … eliminating employment segregation would increase labor productivity by as much as 3-25% Gender and Inclusion Maria Beatriz Orlando 4 WDR 12 Framework Endowments – large gains, but not uniform (men’s health) Economic Opportunities – gains Households in LFPR, but not enough Agency – external gains , internal challenges (domestic violence) Informal Institutions (social norms, Formal preferences) Institutions Markets (CCTs, (land, credit, labor) education) Gender and Inclusion Maria Beatriz Orlando 5 Global Progress • Recognition of women’s rights (CEDAW) • More girls in school • Sharp decline in fertility • More women in the labor force • … and pace of change is faster Gender and Inclusion Maria Beatriz Orlando 6 Gender Gap In Education Closing Gender and Inclusion Maria Beatriz Orlando 7 Women In Labor In the last 30 years, 552 million women joined the labor force World + 2% Sub - Saharan Africa + 4% South Asia + 2% Middle East & North Africa + 5% Latin America & Caribbean + 16% High income + 7% Europe & Central Asia - 7% East Asia & Pacific - 3% 0% 10% 20% 30% 40 50% 60% 70% 80% Female labor force participation rate Gender and Inclusion Maria Beatriz Orlando 8 Global Challenges • Persistent education gaps for some disadvantaged groups • Excess female mortality (at birth, in infancy, and in the reproductive years) • Segregation in employment and earnings gaps • Differences in voice and decision-making power (agency) in households and in society Gender and Inclusion Maria Beatriz Orlando 9 Overlapping Disadvantage Intersecting identities transfer cumulative disadvantage: Secondary school completion in Bolivia. Source:  World  Bank  team’s  analysis  based  on  the  Minnesota  PopulaCon  Center,  IPUMS  database,  2011  and  the  Bolivian  NaConal  InsCtute  of  StaCsCcs,  2001.  Note:  Secondary   School  CompleCon  marginal  effects,  using  Male  and  Spanish  Mother  Tongue  as  the  reference  group.  CalculaCons  refer  to  secondary  school  compleCon  rates  for  persons  25  years   of  age  or  older,  controlling  for  age,  age-­‐squared,  and  urban/rural  residence.  All  values  are  significant  at  the  1%  level.       Gender and Inclusion Maria Beatriz Orlando 10 For Every Dollar A Man Makes, A Woman Earns… Mexico 80¢ Germany 62¢ Malawi 90¢ Nigeria 60¢ Sri Lanka 50¢ Bangladesh 12¢ Gender and Inclusion Maria Beatriz Orlando 11 Who Controls Women’s Own Income? Women in poorest quintile Women in richest quintile Gender and Inclusion Maria Beatriz Orlando 12 What Can We Do To Eliminate These Gaps? Focus on gaps that do not disappear with growth. • Gender gaps in human endowments • Earnings and productivity gaps • Gender differences in voice and agency • The reproduction of gender inequality over time Target determinants of gender inequality Gender and Inclusion Maria Beatriz Orlando 13 For More Information • World Development Report 2012 : Gender Equality and Development • www.worldbank.org/gender • www.worldbank.org/socialdevelopment Gender and Inclusion Maria Beatriz Orlando 14 Gender And Inclusion What about the project level? Gender and Inclusion Maria Beatriz Orlando 15 Gender Mainstreaming 101 Analysis Actions M&E • Identify and analyze • Show how • Propose the collection gender issues relevant interventions are of gender and/or sex- to the project expected to narrow disaggregated existing disparities indicator(s) • Report findings of country/regional • Include specific or • Include an evaluation gender diagnostics or targeted actions that strategy which will undertake project address the needs and analyze the gender- specific analysis constraints of women, specific impacts of the girls, men, or boys project • Reflect the results of consultations on the • Include actions to project objectives or offset risks of adverse components with gender impacts women/girls/men/boys and/or gender NGOs Gender and Inclusion Maria Beatriz Orlando 16 Gender Analysis: Key Themes • Differences in well-being between men, women, girls, and boys • Gender differentiated economic roles • Gender differentiated demand (usage, needs, willingness to pay) for infrastructure and services • Impact of economic shocks • Gender disparities in access to jobs and economic opportunities • Reproductive health issues • Gender disparities in voice and decision making (role of social norms?) Gender and Inclusion Maria Beatriz Orlando 17 Gender Mainstreaming And Project Results Brazil Rio Grande do Norte Poverty Reduction Key constraints to women’s economic empowerment: • Reducing the female burden within the household economy (household chores), • Empowering women in household and community processes of decision making, • Changing the patterns of gender relations that traditionally prevail in poor rural societies How did the project address these gender issues? • Investments in water supply systems that help diminish the time spent collecting water and thus decrease the time women spent in household activities and • “Access to market economy” investments, including small agriculture production and productive investments, that can help women access local markets/buyers and improve their income. Gender and Inclusion Maria Beatriz Orlando 18 Gender Mainstreaming And Project Results Brazil Rio Grande do Norte Poverty Reduction Impact: • Investments in community water supply increased the free time of those involved with fetching water particularly women and children which resulted in an increase in time dedicated to farming. • The results suggest that 30 percent of the increase in farming income originated in women’s increased income from off-farm work. • Expanded women’s participation in networks and decision making Gender and Inclusion Maria Beatriz Orlando 19 Gender Mainstreaming And Project Results Gender Actions-Barrios de Verdad Bolivia Urban Infrastructure • Indoor sanitation facilities and street lighting are improving pedestrian mobility and women’s security • Child care facilities, community centers, and recreational centers are empowering women economically and fostering social cohesion • Titles to the land and assets registered to both men and women. This is a first step towards tackling gender disparities in endowments. Gender and Inclusion Maria Beatriz Orlando 20 EMPOWERING ADOLESCENT GIRLS EVIDENCE FROM THE ELA PROGRAM Empowering Adolescent Girls Benedetta Lerva The Labor Market Problem • 86% of young women out of the labor force altogether in Uganda, compared to an average of 58% in 14 Sub-Saharan countries • At all ages females have higher unemployment rates than men, and this is especially pronounced in the youngest age cohorts (15 to 19 years of age) Empowering Adolescent Girls Benedetta Lerva 2 The Health Problem • Fertility rates (the number of births per 1,000 women) are three to four times higher in Uganda than in developed countries • This gap in fertility rates is most pronounced among the youngest female aged cohort of 15 to 19 year olds. Empowering Adolescent Girls Benedetta Lerva 3 The Health Problem Source:  Uganda  AIDS  Indicator  Survey,  2011 Empowering Adolescent Girls Benedetta Lerva 4 A Self Reinforcing Loop Empowering Adolescent Girls Benedetta Lerva 5 A Program That... • Improves HIV and pregnancy related knowledge • Increases condom usage • Reduces adolescent fertility rate • Reduces forced sexual intercourse • Increases participation in income generating activities (IGA) Empowering Adolescent Girls Benedetta Lerva 6 Classic Approach • Majority of policy interventions focused exclusively on • classroom-based education courses designed to reduce risky behaviors, or • vocational training designed to improve labor market outcomes among youth Empowering Adolescent Girls Benedetta Lerva 7 The BRAC Strategy • BRAC is one of the largest development NGOs in the world, founded in Bangladesh in 1972 • One of BRAC’s most successful programs is the ELA Program (Empowerment and Livelihood for Adolescents). Empowering Adolescent Girls Benedetta Lerva 8 The ELA Program • It is based on adolescent development clubs, established at the village level. • Beneficiaries: girls between 10 and 25 years of age • All activities take place in a dedicated club house • Activities: – Life skills training – Vocational skills training (including financial literacy) – Dancing, singing, playing games, reading books Empowering Adolescent Girls Benedetta Lerva 9 The ELA Program • Clubs are open 5 days a week, from 2 to 5pm • Each club is led by an adolescent leader, called the club “mentor”. • Each club has 20 to 35 club members • Actually, more than 1,300 clubs established throughout Uganda (Karamoja included), reaching about 50,000 girls. Empowering Adolescent Girls Benedetta Lerva 10 Life-skills Training Empowering Adolescent Girls Benedetta Lerva 11 Vocational Training 5 types of vocational trainings are offered: 1) tailoring, 2) hairdressing, 3) computing, 4) agriculture, 5) poultry rearing. They are complemented with financial literacy courses. Empowering Adolescent Girls Benedetta Lerva 12 Vocational Training Empowering Adolescent Girls Benedetta Lerva 13 The Evaluation • Randomized control trial (RCT) following 4800 girls over two years. • Girls, parents and household head were interviewed. • 10 BRAC branch offices: 5 in urban or semi urban areas of Kampala and Mukono, 5 in rural areas surrounding Iganga and Jinja • 100 treatment villages receive ELA • 50 control villages do not receive ELA Empowering Adolescent Girls Benedetta Lerva 14 The Beneficiaries • Information about the intention to participate in ELA was collected at baseline, and can be compared to actual participation • Girls that are more likely to intend to participate in ELA are: • Those who are more likely to benefit from the program • Those who place a high value in financial independence • Those who believe they would be successful entrepreneurs but lack the skills • When we look at actual participation, we see that girls who participate are not substantially different from girls who do not participate. Empowering Adolescent Girls Benedetta Lerva 15 Health-related Findings • Improvement in HIV and pregnancy related knowledge • Self-reported routine condom usage increases by 50% • 28.6% decrease in fertility rates among the targeted population • 76% reduction in girls reporting having recently had sex unwillingly Empowering Adolescent Girls Benedetta Lerva 16 Labor-market Related Findings • The Program raised the likelihood of girls being engaged in income generating activities by 35% • This effect is concentrated on an increased participation in self- employment • 3% increase in likelihood girls will spend any hours engaged in self employed activities • Annual income increase from self-employment of 45k UGX. • No results for wage Empowering Adolescent Girls Benedetta Lerva 17 Findings On Satisfaction And Empowerment • No impact on general life satisfaction… • …but significant increase in satisfaction with income and earnings • Increase in gender empowerment index: girls believe that certain tasks should be more gender neutral • No impact on attitudes towards work and society Empowering Adolescent Girls Benedetta Lerva 18 Conclusions • Key of ELA’s success could be explained by the fact that it’s a two pronged program (life-skills training and vocational training) • Synergies between providing girls information about health risks and empowering them economically • The two components build on each other and reinforce the overall impact Empowering Adolescent Girls Benedetta Lerva 19 Way Ahead: The Tenancy Pilot • We are currently piloting an extension of the program to test whether we can make the ELA Program self sustainable • BRAC gives to one girl in selected clubs: • ½ acre of land • Seeds • Agricultural training • After cultivation, the product of the land is shared equally between the ELA Farmer and BRAC, and revenues are spent to pay for club-related expenses Empowering Adolescent Girls Benedetta Lerva 20 CLICK OR TAP HERE TO RETURN TO EXECUTIVE SUMMARY MODULE 4 CONSULTATIONS AN INTRODUCTION TO COMMUNITY CONSULTATION IN DEVELOPMENT PROJECTS “HOW – TO”, THE “DOS” AND “DON’TS” OF COMMUNITY CONSULTATION An Intro to Community Consultation Georgina Angela Manyuru Community Consultations And Social Inclusion • Consultations are a cornerstone of diagnosing problems and building support for interventions • Consultations give voice: Active listening to beneficiaries and careful consideration of comments, ideas and recommendations of beneficiaries/the excluded • Consultations can help frame the key questions and identify right channels for intervention An Intro to Community Consultation Georgina Angela Manyuru 2 What Is Community Consultation? • Defined in various ways depending on purpose • A level of community involvement • Resident community members, groups of interest and users of a service • Given an opportunity • Inform a decision about policy, project or service change • Giving and getting information An Intro to Community Consultation Georgina Angela Manyuru 3 Context Of Consultations Influences the outcomes/results Context includes: • Issue • Purpose • Affected/target groups • Scope (single or multiple issue) • Timeframe • Consultation methods • Previous experience An Intro to Community Consultation Georgina Angela Manyuru 4 Issues For Consultation In Development • Legislation • Strategy development – government, NGOs • District development planning • Policy development and implementation • Policy change and implementation • Projects and Programmes • Community needs • Planning • Performance • Impact An Intro to Community Consultation Georgina Angela Manyuru 5 Research The Issue For Consultation • Review available relevant literature • Consultations on the issue in the past • Very important as it may reveal: • Concerns and challenges faced • Community opinion to be expected • Identifying various interest groups • Ways of accessing them • Example: The Proposed Uganda GPE Project – DCI & Unicef Education Programs An Intro to Community Consultation Georgina Angela Manyuru 6 Who Do You Consult On The Issues? • Depends of the purpose • All stakeholders potentially affected by the decision • Consider equality and diversity issues if any • Direct and indirect stakeholders Example: Privatisation of water services: Stakeholders consulted - community elders, women, men & children, LC I C/Ps, owners of water points & water vendors (direct stakeholders); government officials from DWD, Water ministry/GTZ, district, PU, NWSC, MUK; NGO officials from WaterAid, AWEPON, SEATINI, UWASNET, DENIVA,NETWAS; Private sector, district and municipal council An Intro to Community Consultation Georgina Angela Manyuru 7 How Do You Reach Excluded Groups? • Will and Commitment • Establish and identify • Devise ways of accessing them • Know what you want from them • Innovative methods • Monitor progress Example: How the Ik and Batwa were reached in consultations for the proposed Uganda GPE project last year (2013) An Intro to Community Consultation Georgina Angela Manyuru 8 Approach To Community Consultation The Approach involves a number of procedures including: • Determine who will be responsible • Identify the issue, stakeholders and, decide how often you will consult with them • Determine the resources required • Select appropriate methods • Prepare a consultation plan • Make contacts, build relationships with stakeholders and provide all information • Conduct the consultations • Disseminate the results and finally evaluate the consultation activity An Intro to Community Consultation Georgina Angela Manyuru 9 Methods For Undertaking Consultation • Context of consultations determines the choice of methods • Use mixed methods to encourage different groups to participate • Wide spectrum of methods from which to choose • Interviews • Surveys • Meetings • Workshops • Working groups • Discussion papers • Web-based methods An Intro to Community Consultation Georgina Angela Manyuru 10 Consultation Methods: Some Examples • Privatisation of urban water services: key informant interviews (one-on- one and face-to- face), FGDs, informal meetings and interviews, transect walks, and observations (only qualitative methods) • The proposed Uganda GPE project: open community meetings, key informant interviews, FGDs and observations (only qualitative methods) • Kindernothilf (KNH): trainee survey, key informant interviews, FGDs, time lines, wealth ranking, mapping and observations An Intro to Community Consultation Georgina Angela Manyuru 11 Appropriate Locations • Depends on the context of the consultations • Comfortable, safe and familiar • Accessible to a wide range of participants preferably within the communities • Use variety of venues • Most prefer to meet ‘near’ or ‘at’ the project/issue of discussion where relevant • Example: Consultations for the GPE project – venues were the selected primary school premises. Privatisation of water services – venues were near or at the water source An Intro to Community Consultation Georgina Angela Manyuru 12 Appropriate Timing/Schedule Should be timed well and allow enough time Should be early enough in the decision-making process Should be viewed at 2 angles : • Timing in the policy process and project cycle • Policy formulation and implementation • Project development, implementation and completion • Timing of actual consultation activity • Availability of target groups • Example: Consultations for GPE (good timing); consultations for BAP (poor timing) An Intro to Community Consultation Georgina Angela Manyuru 13 Data Processing And Analysis • Requires expertise in research methodology and statistical procedures • Quantitative data (surveys) easier to analyse – SPSS and Excel • Qualitative data is richer but more difficult to analyse – Atlas ti. • Take caution when interpreting and drawing conclusions • Interpretations and conclusions should be evidence-based An Intro to Community Consultation Georgina Angela Manyuru 14 Documentation And Dissemination • Is an important aspect of effective consultations – depends on purpose & audience • Plan for the process of giving feedback and use suitable mechanism • Report consultation results to your managers and participants • Ways of documentation and reporting include: • Formal detailed reports (summary report) • Posters, leaflets, booklets, newsletters, flyers, journal articles • Media – news papers, radio, television, press releases • Public/community meetings • Presentations • Example: GPE Project: - formal in-depth report, community meeting An Intro to Community Consultation Georgina Angela Manyuru 15 Integrating Results In Project Design And Implementation Consultations undertaken to improve project design and implementation. How? Example: integrating consultation results in the proposed Uganda GPE project’s design & implementation - paid particular attention to recommendations & issues raised e.g. overlook selection criteria to ensure the Ik and Batwa benefit and; sensitise them on the thematic curriculum Example: incorporating consultation results in FK Norway S-S project design & implementation – results of consultations during project implementation greatly improved the design and implementation of the programme over the years in the following ways: home visits, flexed age limit for female participants, funds for home coming activities and logistical support An Intro to Community Consultation Georgina Angela Manyuru 16 Challenges • Managing dominant participants/saboteurs e.g. GPE project and EU HRGGP • Dealing with indifference and consultation fatigue • Managing false expectations • Dealing with conflict/varying opinions e.g. GPE Project (Ik and Batwa) • Devising suitable methods & ensuring inclusiveness of all affected parties • Inadequate resources/poor planning • Determining when consultation efforts have been sufficient • Integrating consultation results into project design & implementation An Intro to Community Consultation Georgina Angela Manyuru 17 Successful Examples Of Consultations • Ireland Aid Supported Projects of Kiboga District Development Programme (KDDP) 1999 – 2001 • The 9th EU/EDF Micro Projects Programme (MPP) in Uganda • The Revision of the PEAP in 2000 and its transformation into PRSP An Intro to Community Consultation Georgina Angela Manyuru 18 Conclusion • No simple, quick and cheap way • Make deliberate efforts, wise decisions and follow the ‘good practices’ • It can be done, it has been done and anybody can do it • Its benefits far outweigh any challenges or costs • No justification for avoiding community consultations • Continue to be an essential part of development work An Intro to Community Consultation Georgina Angela Manyuru 19 UNDERSTANDING SOCIAL INCLUSION AND IMPACT EVALUATION: Concepts, Trends, Policies, Methods and Measurement Held at L. Victoria Serena Resort, UGANDA, February 3 – 7, 2014 AN INTRODUCTION TO COMMUNITY CONSULTATION IN DEVELOPMENT PROJECTS SESSION: The “How – To”, the “dos” and “don’ts” February 5, 2014 By Georgina A. Manyuru An Introduction to Community Consultations in Development Projects 2014   1.0 INTRODUCTION It is a common practice now days for governments (central and local), development partners and many other development agencies in Uganda to seek input from communities/service users when addressing issues or problems that affect them. Community consultation is a good democratic practice whose usefulness in increasingly being recognised. However, to undertake effective community consultations and achieve the desired outcomes, it requires a genuine commitment on the part of government and development agencies usually reflected in proper planning and implementation of the activity. What is Community Consultation? Consultation may be defined in various ways depending on the purpose but for purposes of this training the concept will be used to refer to a level of community involvement in which community members resident in a particular local area, groups of interest and users of a specific service are given an opportunity to discuss particular issues of concern to them in order to inform a decision about a policy, project, new proposal or service change. Consultation is a particularly common way of involving people and goes beyond information giving by actively seeking, listening to and taking account of peoples’ views before making decisions or setting priorities. 2.0 CONTENT 2.1 Context of Consultations The context of any consultation very much influences the outcomes, either for better or worse. It determines to a great extent which consultation processes will be effective and which might not. The context of a consultation includes the immediate issue(s), policy, project for which consultation is sought; the overall aim/purpose of the consultation; the people or groups affected/target groups; the scope (single issue or multiple/general issue-based); the intended timeframe (brief, extended or on-going consultations); previous experience with past Georgina Angela Manyuru Page 1   An Introduction to Community Consultations in Development Projects 2014   consultations (has an influence on community attitudes); how the information collected will be used etc. Understanding all these will help in planning for consultations and executing your plan. Therefore for consultations to be effective, it is important to take careful account of the context in which the consultations would take place. Georgina Angela Manyuru Page 2   An Introduction to Community Consultations in Development Projects 2014   2.2 Issues on which there needs to be Consultation It is vital that you clearly state the issue(s) or proposal for which consultation is to be undertaken. These issues can be wide-ranging but this training will focus on a few, particularly those in the development arena. These include: • Legislation – e.g. constitution (1995 and 2005 in Uganda) and, other laws • Strategy development – e.g. government: PEAP/PRSP which has facilitated the formulation of policies since its inception in Uganda in 1997, for development partners, CSOs/NGOs • Development Planning – e.g. 3 or 5 years development plans for districts • Policy development and implementation – fiscal and monetary policies, policies in various sectors • Policy change and implementation • New proposals in different development areas • Projects and Programmes: -­‐ consulting over community needs/problems - establishing the needs of the communities and/or involving them in decision making -­‐ consulting over planning for the community -­‐ consulting on performance to improve service delivery by reviewing the project/programme and identifying gaps in the service delivery. -­‐ consulting over evaluation of provision of services/project/programme -­‐ consulting over service change 2.3 Research the Issue under Consideration for Consultation You do not have to reinvent the wheel. Find out and review any available secondary data regarding the issue for consultation. Have community consultations been done on the same issue in the past that can be drawn upon? Who did it, where and how can the information be accessed? Remember that no matter what the issue and no matter how original you think your idea/proposal/initiative is, there is usually a chance that someone, somewhere has tried it (or something similar) before. Georgina Angela Manyuru Page 3   An Introduction to Community Consultations in Development Projects 2014   Therefore before you embark on consulting the community review some relevant literature on the issue – look at some of the concerns and challenges faced in other areas. This is likely to provide valuable clues as to what community opinion is expected, or might give you an insight into the issue itself and how it has played out in the past. The review of past work in your area of interest may also be helpful in identifying all the groups/individuals that should be consulted on the issue(s) as well as having revealed ways for gaining access to them. For example the consultations for the proposed Uganda GPE project benefited from the work that the Ireland embassy (DCI) had done in its support to the education programme and the UNICEF education programme in the Karamoja region. 2.4 Who to Consult on the Stated Issue The list of who to involve in the consultations will vary according to the issue(s) and purpose of the consultation. All those people or groups of people with some stake (stakeholders) in the decisions to be made, form the population to be consulted on the issue(s) under consideration. It is crucial at all times to bear in mind that there are always different groups of people in any given community who may have different needs, common interests, religions, ethnic origins, perspectives and races. Consequently, you will need to consider equality and diversity issues (if any) and where possible, aim to involve all potentially affected groups and interested parties and ensure there is equal involvement from all the members of the community in the consultations. This will enable views of those people/areas most affected by the proposal/issue to be heard; the views of non- users of the service to be enlisted, especially when service changes are being consulted on, and above all allow the views of groups frequently excluded or overlooked to be voiced. People to be consulted can be grouped in two broad categories: • Direct stakeholders – those immediately and directly affected by the proposal e.g. local people who reside in the project area e.g. men, women, children, youth, elderly, community leaders etc and; • Indirect stakeholders - these have an interest which is indirect and less immediate e.g. government officers, experts, CSOs, NGOs, development Georgina Angela Manyuru Page 4   An Introduction to Community Consultations in Development Projects 2014   partners, community activists at different levels – local, national, regional and international levels. Figure 1: Some of the direct stakeholders (local people) in Kanungu for the GPE project Georgina Angela Manyuru Page 5   An Introduction to Community Consultations in Development Projects 2014   Example 1: Stakeholders consulted in consultations on privatisation of urban water services The  GoU  was  implementing  the  privatisation  policy  and  NWSC  was  undergoing  reforms  in  preparation  for   its   privatisation.     Policy   discussions   around   the   privatisation   of   water   had   excluded   the   concerns   and   analysis   of   those   who   are   most   affected.     CSOs   in   Uganda   were   not   generally   active   in   water   activities   apart   from   providing   alternative   water   sources   in   rural   areas   and   informal   settlements   in   urban   areas.     However,  CSOs  predicted  the  likely  impact  of  the  transfer  of  the  provision  of  urban  water  services  from   government  into  private  hands.    And  they  had  also  seen  how  civil  society  activism  in  the  water  sector  in   Ghana   had   stopped   the   privatisation   of   the   services.     In   light   of   the   above,   a   coalition   of   CSOs   carried   out   a  study  aimed  at  taking  a  critical  analysis  of  privatisation  of  water  services  in  Uganda  and;  assess  how  its   privatisation  would  impact  on  the  vulnerable  and  marginalised  urban  poor.    This  was  to  enable  CSOs  have   an  informed  basis  upon  which  to  advocate  for  keeping  the  service  as  a  responsibility  of  government.    I  led   the   team   that   undertook   the   consultations   where   a   wide   range   of   players/interest   groups   in   the   urban   water  sector  were  consulted.  These  were:     direct  stakeholders:  -­‐  women  and  children  at  various  water   points;   women   and   men   in   the   communities,   community   elders,   LC   I   chairpersons,   owners   of   water   points,   water   vendors,   and   youths   and;  indirect   stakeholders   (national   level):-­‐   government   officials   from   the  Directorate  of  Water  Development  (DWD),  Reform  of  the  urban  water  sector  (Water  Ministry/GTZ),   Privatisation   Unit,   NWSC,   and   Makerere   University;   NGO   officials   from   WaterAid   Uganda   and   UK,   AWEPON,   SEATIN.   UWASNET,   DENIVA,   NETWAS;   and   private   sector   officials   from   WSS   services,   OSUL,   AquaConsult  and  an  independent  consultant  (individual)  in  the  sector  –   (district  level):-­‐  NWSC  officials,   district  technical  officers,  district  and  municipal  council  members,  SNV;  private  sector  –  BIKA  and,  Iruma   and  Associates,  public  stand  pipe/tap  dealers.   2.5 Reaching Excluded Groups Many times, for one reason or another, consultations leave out certain segments of the community either deliberately or unconsciously. These groups are excluded due to two main reasons: i) they have distinctive characteristics that make it difficult to reach them and; ii) the inability and unwillingness of some agencies to seek the involvement of all interested groups in a manner that suits them. Therefore the failure to reach excluded groups rests not so much with the groups per se but rather with those undertaking consultations. As indicated earlier result there is a great need to focus on the issue of diversity and equality in consultations in order to ensure that all interest groups consulted. Inclusive consultation gives all people/groups with an interest in the policy/project/issue an opportunity to be heard but how can this be achieved? This can be attained by making sufficient effort and in smart ways to involve them through the following: Georgina Angela Manyuru Page 6   An Introduction to Community Consultations in Development Projects 2014   a) Have the will and commitment by government and development agencies to involve all people including often excluded groups. This includes availing resources for consultations. For example the World Bank’s policy on Indigenous Peoples (IPs) is a commitment to having excluded groups involved. There are several examples of organisations (especially local organisations) in a number of countries that lack the will and commitment to embrace this good practice in development work. In Malawi for example, a local NGO, which was championing the cause of children in the country deliberately had no intentions of consulting with its key stakeholders in its activities. The organisation was opposed to any form of accountability and transparency. This was revealed through the routine monitoring of the programme and the funding to the organisation had to be stopped. However, there are also local organisations that consider consultations very seriously and take no major decision without consulting the people it affects. b) Establish and identify who the excluded groups are among the potential stakeholders spotted - some are clearly defined, whereas others may not. These groups/communities could be ethnic minorities, marginalised groups, women, children, youth, teenage girls, victims of domestic violence, people with impairments, elderly people, refugees, drug users, vulnerable people, homeless people, poor people, albinos, and gays/lesbians. Albinos are distinct and can be easily identified by their very nature. In Tanzania, the albinos are hunted and murdered due to negative perceptions and misconceptions to the extent that the government of Tanzania appointed a minister for the emancipation of the Albinos. In Uganda, you may identify excluded groups through the constitution which provides recognised minority ethnic groups. The local governments (especially the planning, and community development departments) are also able to assist in providing demographic profiles of the areas or communities under consideration. However, data may not be available at a level that allows you to identify some of these groups. If this is the case, you may have to talk to intermediary community groups/activists, CBOs, and any other local development organisation that operate in the area who will be able to provide a different, localised perspective on who these groups are within your target community. As indicated earlier, a review of past work undertaken in your area of interest may also help identify some of these groups. c) Access them. Once you have identified who these groups are, you need to Georgina Angela Manyuru Page 7   An Introduction to Community Consultations in Development Projects 2014   devise ways of accessing them. Consider their potential motivations for involvement and where possible address any barriers to their participation in order to access often excluded groups. Some of the barriers include: difficult areas to access (topography and lack of roads); poverty; physical inaccessibility (disability, older or frail people); transport; literacy levels; inappropriate language (may require an interpreter); cultural perceptions and traditions; social expectations (e.g. children and young people who are often not considered as appropriate to be consulted and who themselves often do not expect to be taken seriously); poor timing and inaccessible venues. These parameters should help in informing the choice of methods to be used for consultation. The review of past work in your area of interest could have provided ways for gaining access to the identified excluded groups. If however, the review does not help, you may have to think of creative ways to access these groups. This could be via informal networks, social venues, or local organisations who work with these groups. Then go direct to them, that is, in places where they live or where they spend most of their time during the day to get their views and ideas about the issue. Where possible have direct access to excluded groups and/or use their representatives to make decisions or provide information on their behalf if this is what suits the circumstances. d) Know exactly what you want from them and when this should be sought e) Devise innovative methods that would enable them participate. Once you are able to access excluded groups in your area of interest, it is necessary to take measures that will help overcome the barriers that prevented them from participating in the first place. Consider how you will ask them to participate and provide information in culturally appropriate ways where relevant. Diversify consultation methods beyond the traditional/conventional techniques to suit their needs so that their voices can be heard. This may involve using interpreters, using visual aids, adapting facilities for disabled people etc. It is important to note that indigenous cultural traditions are based on verbal and informal approaches of information sharing. You should also try to be flexible over the timing and location and; endeavour to use a neutral venue in their own community. This would enable them to express their views freely. For example, it would not be appropriate to use a police station to explore issues around juvenile offenders! This will provide them with an opportunity to express their views freely and have them considered. Georgina Angela Manyuru Page 8   An Introduction to Community Consultations in Development Projects 2014   f) Monitor the progress of the implementation project/policy to ensure that excluded groups are taking part in the project and are using the services as required. It is only when they involved and benefit from the project that the consultations will be considered successful – there should be a reasonable uptake of the project by the excluded groups for you to know that the efforts were worthwhile. The above step by step endeavour would enable groups or communities who often experience social exclusion and disempowerment; communities that are generally perceived by agencies as being by their nature difficult to access, to be reached. Figure 2: Primary school children of the Batwa reached during the consultations for GPE project Georgina Angela Manyuru Page 9   An Introduction to Community Consultations in Development Projects 2014   Example 2: Reaching the Ik and Batwa (excluded) groups, under the proposed Uganda GPE project of the MoES Last   year,   the   MoES   undertook   a   social   assessment   in   two   regions   of   Uganda   where   Indigenous   Peoples   (IPs)   reside   –   that   is   the   Ik   in   the   Karamoja   and   the   Batwa   in   the   Rwenzori   regions.   The   consultations   were  part  of  a  process  that  led  to  the  development  and  approval  of  the  project  entitled:  “The  Uganda   Global   Partnership   for   Education”   (GPE),   a   proposed   GoU   project   supported   by   the   GPE   fund   and   supervised   by   the   World   Bank.     The   project   will   be   implemented   in   priority   public   primary   schools   selected   based   on   the   BRMS   and;   related   institutions,   particularly   the   PTCs.     The   overall   aim   of   the   consultation   was   to   determine   the   relevance   of   specific   approaches   designed   in   the   GPE   project   and   how   these   would   potentially   affect   the   two   indigenous   communities.   The   Ik   and   Batwa   are   clearly   defined   in   the   Ugandan   constitution   and   were   thus   easily   identifiable.     They   are   largely   vulnerable,   marginalised   and   often   excluded   from   development   projects.     According   to   WB’s   policy   on   IPs,   such   groups   must   get   involved   in   all   its   supported   projects/programmes   so   that   they   too   can   benefit.     Researching  on  the  issue  and  the  two  groups  as  well  as  interviewing  knowledgeable  officers  from  WB,   MoES  and  national  NGOs  that  work  in  the  communities  provided  some  useful  clues  about  these  groups.       I   then   made   contacts   with   the   district   education   offices   and   sent   a   tentative   schedule   for   the   consultations   before   travelling   there.   On   arrival   at   the   districts,   selection   of   the   actual   communities/schools  for  the  consultations  was  done  and  a  final  schedule  agreed  on.  The  first  days  were   spent   consulting   with   district   level   target   groups   which   provided   relevant   information   and   was   useful   in   refining  consultation  instruments  that  were  used  to  consult  with  the  two  communities.  The  initial  days   were   also   used   to   go   direct   to   these   communities,   informally   talk   to   a   few   key   people   about   the   consultations,  build  relationships  as  well  as  plan  and  mobilise  for  the  actual  consultations.   I  also  had  to   go   direct   to   the   communities   to   inform   them   about   the   consultations   as   the   DEO   had   failed   to   reach   them  within  the  available  time  due  to  lack  of  transport  and  a  poor  telephone  network.       The  methods  used  were  interactive  and  provided  qualitative  data.    Key  informant  interviews  were  held   with   head   teachers   of   selected   schools   and   community   leaders.     Additional   secondary   data,   mainly   statistics  was  obtained  from  the  HT’s  office.    Separate  FGDs  were  conducted  with  teachers,  SMCs  of  the   selected  schools  and  school  children.  Open  public/community  meetings  were  held  with  a  cross  section   of  community  members  including  parents,  local  people  resident  in  the  area  (women  and  men),  church   leaders,   local   leaders   and   any   other   interested   member   of   the   community.     At   the   end   of   the   community   meeting   with   one   of   the   excluded   groups,   people   expressed   their   appreciation:   “we   are   grateful  that  for  the  first  time  government  has  consulted  us  and  we  are  ready  to  work  together”.  The   same   sentiments   were   expressed   in   the   second   community:   “we   thought   that   government   had   forgotten  about  us  totally”.     Upon  reporting  the  results  of  the  consultations  to  relevant  authorities  in  the  MoES  and  WB,  follow-­‐up   consultations  were  conducted  with  the  IPs  to  prepare  an  Indigenous  Peoples  Planning  Framework  (IPPF)   which  will  guide  the  involvement  of  the  IPs  in  the  implementation  of  the  GPE  project.    It  now  remains  to   be  seen  if  the  groups  will  participate  in  project  implementation  by  taking  more  children  to  school  and   keeping  them  there  until  they  complete  primary  level  education.   Georgina Angela Manyuru Page 10   An Introduction to Community Consultations in Development Projects 2014   2.6 Approach and Methods of Consultations 2.6.1 Approach: The approach to be taken for consultations should be systematic and well coordinated to allow effective consultations to take place. Generally, processes that generate high rather than low participation are recommended. Therefore the approach to be used should aim to maximise involvement and access to decisions within the constraints of time, money and other resources. The process of consultation requires a series of decision procedures including: ! Determine who will be responsible for the consultation; ! Identify the issue, policy or project about which consultation is to occur; ! Identify the stakeholders – may be done through asking key informants and interviewing known stakeholders; ! Decide how often you will consult with the various stakeholders/ interest groups/interested parties; ! Determine the resources that will be required to undertake the consultation; ! Prepare a consultation plan which should include a time framework; ! Consider all methods of consultation: meetings, surveys, key informant interviews, focus groups etc. and decide on appropriate ones; ! Make contacts with stakeholders and any other interest groups e.g. through media where relevant; ! Establish relationships with stakeholders by telephone, email or better by visiting them; ! Take advantage of community activists or members who have been involved in managing a consultative process or community mobilisation project before to give valuable advice; ! Have a genuine desire to learn from the process so that you can address any concerns, take into account any constructive suggestions and improve any weaknesses in your argument, plan or position. Georgina Angela Manyuru Page 11   An Introduction to Community Consultations in Development Projects 2014   ! Provide all the relevant information so that they make contributions from an informed view point; ! Conduct the consultations; ! Disseminate the results of the consultations; ! Ensure there is a follow up after any consultation and that those who participate know where to access final results/findings and; ! Evaluate the consultation activity Georgina Angela Manyuru Page 12   An Introduction to Community Consultations in Development Projects 2014   2.6.2 Consultation Methods: The choice of methods will depend on the issue(s) involved, the target groups/community in question, levels of literacy, cultural appropriateness, resources available and the stage at which the project is. It is essential to employ a combination of consultation methods, formal and informal, that encourage different members of a community to participate in ways that suit them to provide relevant information. The use of mixed methods increases the likelihood of engaging a diversity of people, from powerful influencers to people who are impacted and affected but have traditionally been excluded from consultations e.g. marginalised and vulnerable groups. Therefore, if consultation is to be effective, traditional methods must be augmented and triangulated with some more participatory methods. Once the aims and objectives of the consultation exercise have been agreed and other contextual issues have been considered, you must identify the methods that are most suitable for your needs in order to achieve successful results. There is a wide spectrum of consultation methods or techniques from which to select those that are suitable for your purpose. All consultation methods have advantages and disadvantages and it is upon you to come up with the right combination which will increase the benefits while minimising the limitations within the context of the consultations. Therefore when selecting appropriate methods for consultation, you need to ask yourself the following questions: a) What is the nature of the issue/project? b) What resources are available and how much time is needed for this purpose? c) What type of information is required and from whom? Quantitative, qualitative or both? d) How can you enable everyone to participate or will there be any groups unable to respond using a combination of the methods selected? e) What training and skills are available/will be required to conduct the consultations and analyse the data? f) How much involvement and participation do you require? g) What are the requirements of specific groups e.g. language h) What is the likely impact of the project on that community? Georgina Angela Manyuru Page 13   An Introduction to Community Consultations in Development Projects 2014   The above factors will determine how widely you consult, who you will consult, why you need to consult, the timeframe in which you wish to consult and the form the consultations will take. Consequently the consultation process can range from a single and simple meeting with relevant stakeholders to more complex process to a long-term on-going consultative process involving more time and resources. The heterogeneous nature of communities and projects demands that the methods of community consultation must be context specific. Therefore careful understanding of particular contexts is central to successful community consultation. Methods of community consultation include the following: 1. Interview – Is the most common method and comes in different forms ranging from structured, semi-structured to unstructured interviews. Interviews are conducted with individuals and/or small groups, both in person and over the phone to provide in-depth and useful information while giving individuals maximum opportunity to have their say. These are most effective when teamed with other techniques. For consistency, be sure to use a standard set of questions when interviewing. 1.1 One-on-one interviews – these are conducted with one individual at a time either face to face or via telephone to provide important qualitative information at a level of detail that is difficult to obtain by any other method. It may not be feasible to interview everyone in the community but a representative sample with a cross-section of people could be interviewed. The aim of in-depth interviews is to understand perceptions and attitudes underlying a problem or practice in a target group and to gather ideas and information. They include key informant interviews. 1.2 Focus Group Discussions (FGDs) – this is a way of collecting information from a small group (6-12 people) of identified stakeholders selected either randomly or purposively to deliberate on the issue under consultation. The size of FGDs is debatable but as a general rule, it should be large enough to generate discussion and small enough to maintain adequate control over the agenda. Often, the group comprises of people with common attributes or interests but the mix of people will depend on the purpose of the consultation. FGDs are usually small meetings that tend to involve open-ended questions Georgina Angela Manyuru Page 14   An Introduction to Community Consultations in Development Projects 2014   with a limited number of issues deliberated upon. It is a way of getting a cross-section of views from people who would not usually contribute to a consultation in a big public/community meeting. FGDs involve setting up collective discussions guided by a skilled facilitator. They are an effective means of providing information and explanation, exploring issues around proposals and gathering the views of those involved. It is a popular form of consultation which is flexible in that each FGD can be changed to suit the needs of its participants e.g. adapting the content and level at which information is pitched to suit the participants. 2. Surveys – these are very good if you want to make generalisations although they may not give the complete picture. They involve posing a standard set of open and/or closed questions to a range of people. They are popular for collecting mainly quantitative but also qualitative information from a population at a certain point in time. They can be conducted through face-to-face interviews, self- administered (questionnaire), through telephone or electronically via the internet or email. 3. Meetings – meetings of all kinds bring together interest groups to share information, discuss ideas, hear differing perspectives, build consensus, resolve issues and/or clarify points of disagreement. Meetings can be small or big depending on the purpose. Different parties will need to meet for different reasons. These include: 3.1 Open public/community meetings – these allow interested members of the public to get information about and express their views on a particular issue. They provide a two-way means of communication and facilitate interactive discussion. They are used to inform the public or community about an intention and get views on the subject. 4. Workshops – these are more structured formal activities which combine dialogue and information giving with a limited number of community issues discussed 5. Working groups or advisory committees – these involve a cross section of affected people and/or organisations. They allow on-going exchange of information between stakeholders and the policy/project proponent. A balance of Georgina Angela Manyuru Page 15   An Introduction to Community Consultations in Development Projects 2014   interests promotes broad thinking and creative solutions. This method is most effective for more complex projects/issues. 6. Discussion Papers – these are tentative government reports and consultation documents of policy proposals for debate and discussion, without any commitment to action. They contain government policy proposals/issues which are considered in working groups for the purpose of creating discussion within the group. 7. Web-based consultation methods – Information and Communication Technologies (ICT) have opened up innovative channels for people to participate in the processes of government policy development, programmes/projects and service planning and implementation. This is a tool which should be considered in combination with other consultative methods as it may exclude people with no access, are illiterate, or lack computer skills. It is also very useful when the consultations go beyond national boundaries. Web-based methods include: 7.1 Internet surveys are used to gain information from the public on a single issue or to gauge public opinion on a number of topics. It can be an effective way for users of the internet to submit their ideas and opinions directly to government and development agencies. For example, FK Norway programme in Africa frequently used this method to obtain information from its participants (users of the service) across various countries to gauge their satisfaction of the programme and how it impacted on their careers. 7.2 Interactive websites can be used to support consultation by encouraging technology based participation including surveys mentioned above, polls, online discussions and email feedback. Email feedback can be an easy way to obtain ideas from the public on an issue or a range of issues. It is quicker than most forms of consultation and may be attractive to those with little time. FK Norway programme used this method in consultations for its M&E activities in the different countries. Consultations come in different forms. `One size does not fit all’. A creative approach and a selection of the most appropriate methods will enable you to engage discussion, resolve differences and solicit feedback. One of your Georgina Angela Manyuru Page 16   An Introduction to Community Consultations in Development Projects 2014   most valuable tools will likely be meetings with the various players. Try to make the methods fit the subject, audience and scope of the issue. Effective community consultation typically incorporates two or more complementary methods. Example 3: Methods used in various consultations on different projects Privatisation  of  urban  water  services:  The  study  on  the  privatisation  of  urban  water  services  in  Uganda   employed   a   combination   of   interactive   consultation   methods   to   get   the   required   data   for   the   assessment.    The  methods  included:  Key  informant  interviews  (KIs  –  one-­‐on-­‐one  as  well  as  face-­‐to-­‐face)   at   national   and   district   levels   with   high   level   officials   from   government   and   development   agencies   identified;   KIs   with   community   leaders,   members   and   elders;   FGDs   with   women,   men,   and   children;   informal   meetings   and   interviews   at   the   water   sources,   transect   walks   with   some   community   members   and  observations  at  water  points.    These  were  all  qualitative  consultation  methods.     Proposed   Uganda   GPE   Project:   The   methods   used   were   all   qualitative   in   nature   such   as:   open   community  meetings  with  local  communities  of  the  Ik  and  Batwa;  KIs,  FGDs  and  observations     Kindernothilf   (KNH)   Community   Based   Training   (CBT)   Programme:   Consultations   were   conducted   in   the  last  quarter  of  2013  to  assess  the  relevance,  effectiveness,  efficiency,  outcomes  and  sustainability   of  KNH  supported  CBT  programme  in  Uganda.    KNH  supports  CBT  projects  implemented  by  Vocational   Training   Centres   at   four   sites   in   Uganda.     The   programme   seeks   to   provide   opportunities   for  vulnerable   and   poor  youth  to  access  skills  training  earn  more  on  a  sustainable  basis  and  improve  their  incomes  for   a   better   livelihood.     The   methods   used   for   the   consultations   provided   both   qualitative   and   quantitative   information.     These   were:   trainee   survey   (with   separate   questionnaires   for   current   and   ex-­‐trainees),   KIs,  FGDs,  observations  and  some  PRA  exercises  (timelines,  wealth  ranking,  and  mapping)     Georgina Angela Manyuru Page 17   An Introduction to Community Consultations in Development Projects 2014   2.7 Appropriate locations for conducting consultations The appropriate location for conducting consultations depends on the circumstances of the target group and context of the consultations. In general, a suitable venue should be comfortable, safe, familiar to the participants, accessible to a wide range of individuals and should be a place where people are confident in expressing their views freely. An accessible venue can make it easier to attract people to participate. Try to take the consultation to the target groups rather than making them come to you. Use a variety of community venues for meetings with local communities and ensure they are accessible to all interest groups including people with disabilities. For example people with little experience with venues such as conference centres may feel uncomfortable with them. Example 4: Venues used for Consultations for the GPE project Community   consultations   for   the   GPE   project   took   place   at   the   selected   primary   school   premises,   under   trees   or   in   church.   Although   this   was   a   bit   of   a   disruption   to   school   activities,   it   was   the   community’s   preference   and   seemed   to   be   the   most   appropriate   venue   for   the   consultations.     Communities  that  have  community  halls  or  meeting  places  will  always  prefer  meeting  in  these  places   e.g.  under  a  big  tree.   Experience  has  shown  that  community  people  prefer  to  meet  near  or  at  the  issue/project  of  discussion   where  relevant  e.g.  at  water  sources,  health  centres  and  schools.     Georgina Angela Manyuru Page 18   An Introduction to Community Consultations in Development Projects 2014   Figure 3: A Community meeting with community members in Kanungu in a church at one of the selected schools (GPE) 2.8 Appropriate timing/schedule for conducting consultations The timing of any consultation should be considered at two angles: timing in the policy process (formulation to implementation) or project cycle (project development to completion); and timing for the actual consultation events or activities. The appropriate timing for consultations in the policy process and project cycle depends on the purpose of the consultations or the stage of the policy process or project cycle. As a general rule however, consultations should be timed well to allow the results to influence policy/proposal development and improve implementation. People are less likely to take the consultations seriously if they feel that decisions have already been made and that their involvement is of minor importance or a mere rubber stamp. Community consultations must therefore take place early enough in the decision-making process during project development and approval (i.e. during scoping or identification of the issues) to ensure that its outcomes are considered prior to the decisions being made. Important to note is that the earlier the involvement of the communities in the consultation process, the better the outcome. Depending on the purpose, consultations during project implementation may be continuous (M&E), mid-way (effectiveness) or towards the end of the project (outcomes/impact). It is worthwhile to note that many times far too little time is Georgina Angela Manyuru Page 19   An Introduction to Community Consultations in Development Projects 2014   allowed for effective consultations, and yet they often take much longer than usually expected. Timing is thus a key factor in consultations and enough time should be planned as tight deadlines to have the community consulted may affect the quality of community involvement and ultimately the outcomes. On the other hand, timing for consultation activities should consider how it may affect the availability of local people or target groups. Avoid religious events or festivals, school hours, lunch times, rainy season, peak of agricultural activities, drought/hunger periods, market days, and national campaigns/election periods. Therefore caution should be taken to ensure that the day/period chosen does not coincide with a major event for a particular community. Allow some flexibility in the timing to cater for unforeseen eventualities. In Ethiopia, days close to the Epiphany holiday should be avoided and the month of Ramadan in Zanzibar, Tanzania. Example 5: Good timing of consultations in policy implementation and project design The   study   on   water   privatisation   was   timed   well   before   the   policy   could   be   implemented   on   NWSC   and   it   was   saved   from   getting   into   private   hands.     This   is   a   good   example   of   appropriate   timing   in   policy   implementation.     The   timing   for   the   consultations   for   the   proposed   Uganda   GPE   project   was   also   suitable  as  it  enabled  the  results  of  the  consultations  to  be  incorporated  into  the  GPE  project  design,   thus  improving  its  development.   Example 6: Poor timing of consultation events in reviewing BAP I  was  involved  in  consultations  to  review   Bundibugyo  Actionaid  Programme  (BAP)  in  Bundibugyo  district   but  were  interrupted  and  shortened  due  to  poor  timing.  It  was  unwise  to  undertake  the  consultations   during   the   rainy   season   in   a   mountainous   area   that   is   prone   to   land   and   mud   slides.   Heavy   rains   suddenly   arrived   and   swept   away   all   the   huts/tents   of   the   community   (IDP   camps)   in   which   the   consultations   were   taking   place,   killing   17   people   and   leaving   the   rest   further   displaced   with   no   shelters.    The  organisation  together  with  other  NGOs  in  the  district  had  to  now  focus  on  addressing   the  emergency  situation.    We  got  stranded  close  to  4  hours  as  the  car  could  not  cross  a  fast  running   seasonal   river   which   had   been   created   with   the   heavy   rains   until   a   time   when   drove   through   with   our   Actionaid  strong  car.    Other  road  users  were  not  so  lucky  due  to  their  not  so  strong  vehicles  that  could   not  cross  through  the  heavy  mud  left  behind  by  the  river.    They  had  to  spend  the  night  on  the  road!     This  was  before  the  road  from  Fort  Portal  to  Bundibugyo  was  tarmacked.     Georgina Angela Manyuru Page 20   An Introduction to Community Consultations in Development Projects 2014   Sometimes it might be the right timing in the policy process or project cycle to conduct consultations but unsuitable for implementing the consultation activity making it difficult to strike a balance. Figure 4: A Community Meeting with the Ik (GPE) at a time when the district was experiencing famine Georgina Angela Manyuru Page 21   An Introduction to Community Consultations in Development Projects 2014   2.9 Analysis, Documentation and Dissemination of Consultation Results 2.9.1 Analysis On completion of the consultations, you will have to embark on data processing and analysis. You should know how you are going to do this from the outset. Data analysis can be a complex process that requires expertise in research methodology and statistical analysis. Quantitative data is simpler to analyse once one is skilled at statistical procedures (e.g. SPSS and Excel) but should ensure that appropriate software is used, if the results are to be meaningful and accurate. Qualitative data (from semi-structured and unstructured interviews) on the other hand is ‘richer’ but more difficult to analyse as there are no standard analytical procedures that one can follow. There are some computer aided qualitative data analysis softwares such as Atlas ti. but these are not standardised. One should take precaution when interpreting findings and drawing conclusions to remain as objective as possible. Interpretations and conclusions should be evidence-based so that you are able to justify any conclusions in case you come under scrutiny from key stakeholders. 2.9.2 Documenting and disseminating your results Following analysis, you will have to report your consultation results. Documentation and dissemination are important aspects of effective consultations. Reporting serves 3 main purposes: i) informing managers and decision makers of your findings and recommendations in terms of project, policy, and strategy development; ii) as a mechanism of providing feedback and; iii) as a mechanism of sharing your findings and experiences with partner agencies. It is therefore vital that documentation is undertaken and feedback given to the participants of the consultation. Participants will want to know the outcomes of the consultation process and the reasons for the decisions that are made, particularly if they are different or contradictory to the ideas expressed during the consultations. Georgina Angela Manyuru Page 22   An Introduction to Community Consultations in Development Projects 2014   In spite of the importance of providing feedback to participants, it is often ignored by many agencies. You have a duty to tell those involved what conclusions have been made and what you plan to do with the information. Feedback is particularly necessary when the outcomes are relatively `invisible’, for example where strategies or policies have been developed, but there are no immediate tangible outputs. Telling people about how the information they provided will be or is being used shows people that their involvement is worthwhile and counts, thus helping to avoid apathy and a `why bother’ attitude. In turn this encourages future involvement. Plan for Feedback activity: reporting back is mechanism of engagement that requires the same planning process as the original exercise. When planning the feedback process, it is necessary to consider the most appropriate mechanism. Participants should be told from the outset how and when they should expect to receive feedback. Ways of Documentation: In light of the above you will need to document and present your findings in a variety of ways. • A formal, in-depth report is usually written specifically for your organisation/commissioning agency. It is the most complex report, and should include a detailed analysis and descriptive statistics if applicable, together with key recommendations. A summary report that can be accessed by participants, the public and partner organisations may be written if necessary. However, feedback does not always have to be in form of a report. There are a wide variety of dissemination methods and, it is important to select the right one(s) to get your message across to the target audience and achieve your purpose. These include: • Posters • Leaflets and booklets • Newsletters • Flyers • Journal articles • Websites • Workshops or online discussion lists • Media - newspapers, radio, television, Press releases • Direct mailing Georgina Angela Manyuru Page 23   An Introduction to Community Consultations in Development Projects 2014   • Public/community meetings • Presentations - are a useful way of communicating consultation findings to sections of the community that would not normally be reached by other methods, particularly if the presentations are entertaining and in their language. Example 7: How the results of Consultations for the proposed Uganda GPE project were documented and disseminated The   information   from   the   consultations   for   the   GPE   project   were   categorised   and   analysed   manually   according   to   various   themes   that   emerged   from   the   exercises   and   a   formal   detailed   report  including  an  executive  summary  was  written.    Since  the  consultation  results  revealed  the   presence   of   IPs   in   the   proposed   Uganda   GPE   project   areas,   the   implementation   of   the   project   will  trigger  Operational  Policy  (OP)  4.10:  Indigenous  Peoples.  This  called  for  the  preparation  of  an   Indigenous   Peoples   Planning   Framework   (IPPF)   that   would   guide   their   inclusion   in   the   project   and  ensure  that  they  benefit  from  the  project  to  the  greatest  extent  possible.    As  a  result,  further   consultations   were   carried   out   with   the   IPs   and   a   plan   was   prepared   together.     It   was   during   the   follow  up  consultations  that  results  of  the  first  consultations  were  reported  to  them  through  a   presentation.   2.10 Integration of consultation results in project design and implementation One of the most important reasons for conducting consultations is to improve policy and practice; project design and implementation and; to increase project ownership and sustainability. But how do you ensure that the outcomes of consultations inform and improve those processes? As mentioned earlier, it is important to be clear from the outset about what you want to get from the consultations and how the information will be used. Bear in mind that however good your initial idea, the consultation process might end up changing your proposal or improving it in some way to take in the suggestions and to provide the ability for wider community ownership over the concept. Alternatively it might remain the same but refinements will be made in the implementation phase, which arise out of the consultation process. Examples 8 and 9 below show how consultation results were used in improving project design and implementation. Georgina Angela Manyuru Page 24   An Introduction to Community Consultations in Development Projects 2014   Example 8: Incorporating results of consultations in the proposed Uganda GPE project’s design and implementation The   proposed   Uganda   GPE   project   improved   its   design   by   paying   particular   attention   to   some   of   the   recommendations   of   the   social   assessment   and   issues   raised   during   the   consultations   with   the   Ik   in   Kaabong   and   Batwa   in   Kanungu   districts.     The   MoES   decided   that   it   would   overlook   the   selection   criteria  of  the  schools  to  benefit  from  the  project  for  the  two  excluded  groups  as  a  way  of  ensuring  that   they   benefit   from   the   project.     This   would   ensure   that   at   least   one   school   in   the   excluded   groups’   communities   would   benefit   from   the   project.     Both   ethnic   groups   raised   issues   to   do   with   the   `new’   thematic  curriculum  being  implemented  in  Uganda.    The  thematic  curriculum  requires  that  learners  in   the  lower  classes  from  Primary  1  to  Primary  3  be  taught  in  the  language  commonly  used  by  the  majority   of   people   in   a   given   community   and;   Primary   4   is   a   transition   class   in   which   the   language   of   instruction   is   gradually   switched   from   the   local   language   to   English,   after   which   it   would   be   the   only   instruction   language   up   to   Primary   7.     However,   one   of   the   communities   (the   Batwa)   expressed   strongly   their   dislike   for   the   thematic   curriculum   and   called   upon   government   to   stop   it   in   their   schools   as   they   preferred  only  English  as  the  language  of  instruction.  The  reason  for  this  was  that  they  (Batwa)  were   least   educated   in   the   area   and   wanted   their   children   to   speak   good   English   so   that   they   could   teach   their  parents  and  in  turn  be  recognised  in  their  larger  community.    The  second  ethnic  minority  group   (the   Ik)   on   the   other   hand   requested   that   the   thematic   curriculum   be   implemented   in   their   language   instead  of  the  dominant  local  language  in  their  district.  This  was  because  they  wanted  to  be  identified   as   the   Ik   by   recognising   their   language   instead   of   teaching   their   children   in   Karimojong,   some   of   whom   do  not  understand  it  well.    This  is  not  possible  at  the  moment  due  to  a  lack  of  orthography  and  teachers   to   teach   in   the   language.     These   are   recognition   and   identity   issues   that   were   of   great   concern   to   these   communities   but   will   not   be   addressed   by   the   GPE   project   the   way   they   would   want.     Instead,   MoES   will  emphasise  the  above  issues  in  its  community  mobilisation  and  sensitisation  on  the  importance  of   education   during   project   implementation.     They   will   also   be   sensitised   on   the   importance   of   the   thematic  curriculum  and  why  it  is  not  possible  at  the  moment  to  have  it  implemented  in  all  languages.     Georgina Angela Manyuru Page 25   An Introduction to Community Consultations in Development Projects 2014   Example 9: Incorporating results of consultations in the FK Norway South to South (S-S) project design and implementation and the eventual success of the Programme FK  Norway  is  a  programme  of  the  Norwegian  government  under  the  Ministry  of  Foreign  Affairs  that   facilitates   the   mutual   exchange   of   personnel   between   organisations   and   businesses   in   Norway   and   Africa,  Asia  and  Latin  America.    It  is  a  capacity  building  programme  that  aims  to  make  the  world  a   smaller   and   better   place   through   an   exchange   of   knowledge   and   skills.     FK   Norway   S-­‐S   exchange   programme   in   Africa   which   effectively   started   in   2002   undertook   continuous   consultations   throughout   project   implementation   while   performing   the   programme’s   M&E   function   in   the   region.     The   results   of   constant   consultations   with   stakeholders   during   project   implementation   greatly   improved   the   design   and   implementation   of   the   programme   over   the   years.   This   was   in   the   following  ways:  The  programme  made  particular  consideration  to  the  provision  of  one  home  visit   during   the   exchange   to   participants   who   had   own   biological   children;   it   flexed   the   age   limit   for   female  participants  to  encourage  more  women  to  participate  in  the  programme,  provided  a  fund   that  was  used  by  the  host  organisation  to  improve  its  logistical  situation  especially  computers  and   office   furniture   to   serve   the   extra   staff   (exchange   participant)   and;   created   a   fund   that   was   utilised   by  the  sending  organisation  on  homecoming  activities  once  the  participants  returned  to  their  home   organisations.     These   greatly   improved   the   effectiveness   and   outcomes   of   the   programme.     An   evaluation  carried  out  in  2006  for  the  entire  FK  Norway  programme  concluded  that  generally  the   South   –   South   partnerships   were   very   successful   with   regard   to   capacity   building   and   two   of   the   reasons   for   this   was   that   the   monitoring   of   the   programme   was   very   professional   and   effective   and;  that  the  exchanges  were  often  based  on  a  participatory  capacity  needs  assessment.   2.11 Challenges and Successful examples 2.11.1 Challenges While community consultation can be an interesting and rewarding venture when effectively conducted, it can also be challenging and there are no simple solutions for success. Communities are complex and dynamic and can react in various ways to efforts to consult with them. As a result, there is no assurance that what works in one context can be replicated in another, or that following ‘good practice’ in consultations will always deliver the desired outcomes. Having said this, my experience with consultation is that the activity has always been welcomed by the target communities occasionally marked with a few isolated Georgina Angela Manyuru Page 26   An Introduction to Community Consultations in Development Projects 2014   challenges. These could be grouped into two categories: challenges emanating from the community and; those that are a result of issues on the side of the consulting agency/individuals. Georgina Angela Manyuru Page 27   An Introduction to Community Consultations in Development Projects 2014   a) Challenges as a result of mainly `Consultees’ Managing dominant participants/ Saboteurs: In any community there are some people in the target group who will always want to dominate meetings either unconsciously or intended. It takes good facilitation skills to manage such people and allow others to contribute. Another type is the saboteur – individuals or agencies that may be against the consultations and work towards failing the activity or may want to take the consultations in their direction. If such people are left unmanaged, the results of the consultations would be skewed or unrepresentative of the views of the community. Example 10: How to manage dominant participants and saboteurs in consultations In  two  separate  consultation  meetings  with  the  Ik  in  Kaabong  district  for  the  Uganda  GPE  project,  a  lady  and   gentleman   wanted   to   dominate   the   discussions   but   were   politely   asked   to   make   their   submissions   when   their  turn  came  and  give  chance  to  others  so  that  every  participant  present  in  the  meeting  could  be  heard.     It  always  works.     Another   example   was   a   local   NGO   in   Uganda   that   was   contracted   by   the   EU   HRGGP   to   undertake   nationwide  sensitisation  of  citizens  on  the  1995  Uganda  constitution  and  its  review.    This  was  to  enable  the   people   of   Uganda   to   make   informed   contributions   to   the   constitutional   review   process   that   was   taking   place   in   the   early   2000s.     It   turned   out   that   the   NGO   was   deliberately   biased   in   selecting   the   people   for   the   sensitisations/training,   advised   them   what   to   say   on   certain   contentious   articles   and,   even   made   them   collect   their   views   which   they   presented   at   the   constitutional   review   commission   meetings.     This   was   revealed   by   an   independent   consultant   contracted   to   monitor   the   activities   of   the   NGO   and   the   entire   constitutional  review  consultation  process.    As  a  result  the  EU  HRGGP  stopped  funding  the  activities  of  the   NGO  thus  denying  the  majority  of  the  population  the  right  to  know  in  order  to  make  informed  decisions.     Dealing with indifference and consultation fatigue: We saw that giving feedback shows people that they are taken seriously and encourages them to participate in future consultations. And yet many agencies in Uganda rarely give feedback which makes most communities loose interest in consultations. Remember not to make consultation meetings unnecessarily long and always give feedback. On the other hand, many consultations in various sectors from several agencies take place in the same communities which makes them exhausted. Georgina Angela Manyuru Page 28   An Introduction to Community Consultations in Development Projects 2014   Managing false expectations: This is one of the greatest obstacles to effective consultations. The mere going to communities to consult with them can raise unrealistic expectations beyond what government/agencies can reasonably deliver and managing them can be problematic. To minimise this, there is a need to carefully and clearly communicate the limits of the project; clarifying what the project will be able to address and what it will not undertake and; what is the responsibility of others. Dealing with conflict/varying opinions: While consultation may seek to achieve consensus, this will not always be attainable due to fundamental differences in opinions among parties. Example 11: How to deal with conflict/varying opinions In   consultations   with   minority   ethnic   groups   in   Uganda   (Uganda   GPE   Project)   on   the   issue   of   how   the   proposed  project  would  impact  on  them  and  how  best  they  can  participate  and  benefit  from  the  project;   there   were   strong   divergent   views   by   one   of   the   communities   regarding   the   thematic   curriculum   –   they   rejected   it   and   demanded   that   the   learners   should   be   taught   in   only   English.     While   in   another,   they   demanded   that   the   learners   be   taught   in   their   own   local   language   (lack   of   orthography   and   teachers   in   the   local  language  could  not  make  it  possible  at  the  moment)  and  not  in  a  language  spoken  by  the  majority  in   the  area.    To  deal  with  the  two  varying  views,  the  MoES  will  emphasise  community  sensitisation  in  order  to   educate   the   two   communities   on   the   importance   of   the   thematic   curriculum   and   why   some   of   their   requests  could  not  addressed  at  the  moment   b) Challenges Caused Mainly by the `Consultants’ Devising suitable methods and ensuring inclusiveness of all affected parties: Working out successful methods for generating adequate and relevant community input can be challenging too, particularly in coming up with methods that will enable inclusiveness in the consultations. Sometimes, there is one reason or two that may affect efforts to reach all interested participants in the consultation process such as the difficulty in identifying some communities of interest, inappropriate methods, overlooking gender issues, time constraints and, consulting representatives who fail to represent common interests of the group. Georgina Angela Manyuru Page 29   An Introduction to Community Consultations in Development Projects 2014   Example 12: Missing inclusiveness of all affected groups Consultations  with  the  Ik  minority  ethnic  group  in  Kaabong  district  for  the  proposed  Uganda  GPE  project,   the   voices   of   women   could  have   been   heard   better,   if   a   separate   meeting   for   them   had   been   organised.    In   an  open  community  consultation  meeting,  a  few  of  them  actively  participated  much  as  efforts  were  made   to   have   the   majority   of   them   express   their   views.     The   consultations   had   to   be   conducted   within   the   available  time  and  therefore  time  could  not  allow  meetings  for  women  separately.     Inadequate resources/Poor planning: Resources such as skills, staff, time and finances coupled with proper planning are a prerequisite for effective consultations. Running a genuine consultation process is often more work initially than expected but often inadequate resources are allocated for the exercise. Preparation of a comprehensive consultation plan which identifies the required resources as part of the overall project plan including services of a consultant if necessary is an important step in overcoming the challenge and achieving successful consultations. Adequate time for response by participants should be provided in case of consultation by government over policy. This will ensure that consultations are not carried out hurriedly for the sake of it but instead yield sustainable outcomes. Determining when consultation efforts have been sufficient – At what point do you know that you have received sufficient and relevant data? This is usually a challenge with qualitative data. Striking a balance between ensuring that consultations have yielded adequate and good quality information on which balanced, informed decisions can be made and; an overly extensive consultation which may be ineffective, get bogged-down and hamper other important work. One of the solutions is by gauging after several interviews conducted, when you reach a point where no new information is coming in but instead only repetitions, you know you have reached a point in which you are `saturated’ with the required information. Integrating consultation results into policy formulation, project design and implementation can sometimes be challenging. Although it is undesirable to Georgina Angela Manyuru Page 30   An Introduction to Community Consultations in Development Projects 2014   dismiss community objections or concerns, failure to consider them on the basis of objections by groups who are non-representative or who have not carefully considered the issues at hand is also problematic. An account is needed for determining when investigators may justifiably dismiss community concerns; which account must be sensitive to the nature of disagreements. 2.11.2 Successful Examples of Consultations As indicated throughout the presentation ideally, effective (successful) consultation will demonstrate the following features: • Information is made available in appropriate formats for informed input • Access different social groups and make sure they participate • People feel involved and their input valued • Have a strong qualitative component • Have structures and practices already in place for direct follow up and action • Timing of the consultation is right so that its results are able to influence policy, planning and decision-making. • Plan services and policies based on the needs/views of the people • Improves the take-up of those services/community ownership • Success of the project in relation to its objectives and expected outcomes Georgina Angela Manyuru Page 31   An Introduction to Community Consultations in Development Projects 2014   Example 13: Ireland Aid Supported Projects of Kiboga District Development Programme (KDDP) 1999 - 2001 Ireland  Aid  (now  Development  Cooperation  Ireland)  was  working  in  partnership  with  the  GoU  to  achieve  its   development   objectives   enshrined   in   the   PEAP.     Following   assessments   undertaken   based   on   existing   government  and  line  ministries’  development  policies,  programmes,  and  information;  Ireland  Aid  committed   to   support   six   key   projects   of   the   KDDP   for   three   years.     These   were:   food   security,   feeder   roads,   health,   water  and  sanitation,  basic/primary  education,  and  institutional  support  and  training.    Several  consultations   were   conducted   at   different   stages   of   the   projects’   cycle   and,   at   district   and   community   levels.     The   first   consultations   were   conducted   at   district   and   sub   county   levels   through   a   participatory   planning   workshop   held  with  key  stakeholders  including:  district  heads  of  departments  and  their  technical  staff,  district  executive   committee  members,  chairpersons  of  the  district  council  sectoral  committees,  sub  county  extension  workers   and   NGOs/CSOs   operating   in   the   district.     This   was   followed   by   consultations   with   the   communities   for   immediate  needs  identification,  planning  and  implementation.    The  projects  were  planned  and  implemented   based   on   the   communities’   own   identified   prioritised   needs.     I   carried   out   consultations   with   various   stakeholders   to   assess   the   performance   of   the   projects   after   three   years   with   the   aim   to   document   the   successes   and   failures   of   the   projects   in   light   of   the   expected   outputs,   short-­‐term   as   well   as   intermediary   outcomes.    The  projects  were  largely  successful  with  a  registered  high  participation  at  district,  sub-­‐county  and   community  levels  and  a  felt  sense  of  ownership  of  the  projects  by  the  service  users/local  communities.   Example 14: The 9th EU/EDF Micro projects Programme in Uganda th The  9  European  Union  (EU)/European  Development  Fund  (EDF)  Micro  projects  Programme  (MPP)  was  funded   by   the   EU   under   the   Lome   convention   and   implemented   in   7   districts   (by   then).     The   MPP   aimed   at   improving   the  livelihoods  of  the  people,  especially  of  the  more  marginalised  people  and  the  rural  population.    Specifically   the   EU/EDF   MPP   in   Uganda   was   to   provide   the   target   population   with   improved   access   to   social   services   –   health,  education,  water  and  sanitation.    The  general  approach  of  the  MPP  was  to  get  communities  participate   in  financing  (25%  community  contribution  in  cash  and/or  kind),  project  selection,  appraisal,  implementation,   monitoring,   supervision,   operation   and   maintenance   of   the   micro   projects.   The   programme   partnered   with   NGOs   and   private   sector   organisations   to   support   communities   and   local   authorities   in   strengthening   the   capacities   of   communities   to   undertake   future   development   initiatives.   EU/EDF   MPP,   through   contracted   private   firms,   also   supported   local   governments   and   communities   to   strengthen   their   capacities   in   project   identification   and   appraisal,   planning,   implementation   and   management   of   the   projects.   Consultations   with   communities,   local   government   officials,   NGOs,   private   sector   organisations   and   other   stakeholders   were   at   the   centre   of   the   programme.     Prior   to   the   MPP,   a   capacity   needs   assessment   was   conducted   in   the   beneficiary  districts  as  a  baseline  and  to  guide  the  capacity  building  component  of  the  programme.    I  served  on   the   programme   as   a   short-­‐term   specialist   and   participated   in   the   CNA,   capacity   building   activities   and   evaluation   of   the   capacity   building   component.     The   evaluation   of   the   EU/EDF   MPP   capacity   building   component   which   was   a   key   component   for   the   programme   in   Uganda   indicated   that   the   consultations   had   worked   in   meeting   the   objectives   of   the   programme.     In   yet   another   evaluation   at   the   global   level   (in   ACP   countries)   commissioned   by   the   EU   in   Brussels,   the   conclusions   were   that   the   Ugandan   EU/EDF   MPs   programme  was  quite  a  success.     Georgina Angela Manyuru Page 32   An Introduction to Community Consultations in Development Projects 2014   Example 15: The Revision of PEAP in 2000 and eventual transformation into the PRSP The   Poverty   Eradication   Action   Plan   (PEAP)   is   a   broad   policy   framework   first   formulated   in   1997   for   the   elimination   of   poverty   in   Uganda,   and   revised   in   2000   with   extensive   public   consultations   involving   CSOs.     Uganda’s   Poverty   Reduction   Strategy   Paper   (PRSP)   is   based   on   the   revised   PEAP   2000,   as   was   determined   by   the   World   Bank   and   IMF   to   serve   as   a   requirement   for   debt   relief   under   the   Highly   Indebted   Poor   Countries   (HIPC)   initiative   and   future   concessional   lending   under   the   World   Bank’s   Poverty   Reduction   Support   Credit   and   IMF’s   Poverty   Reduction   and   Growth   Facility.     Uganda   was   fortunate   that   when   the   requirement   for   governments   by   the   WB   and   IMF   to   prepare   PRSPs   was   communicated,   consultations   to   revise   the   PEAP   were   already   underway   which   led   to   its   quick   transformation   into   PRSP   between   January   and   April   2000,   having   discussed   it   with   the   WB.   The   consultation  process  had  several  dimensions:     i)  Consultations  between  government  and  donors;   ii)  Consultations  between  the  lead  government  ministries  and  other  line  ministries;   iii)  Consultations  between  government  and  civil  society  and;   iv)  Consultations  within  civil  societies     I   participated   in   some   of   the   consultations   for   the   revision   of   the   PEAP   as   a   rapportour   at   the   consultations  within  CSOs  at  national  level  and  the  PEAP/PRSP  is  widely  recognised  both  in  official  and   CSO   circles   in   Uganda   for   its   comprehensiveness   and   extensive   consultations   made   in   its   formulation   and  revision.     3.0 CONCLUSION There is no simple, quick and cheap route to conducting effective community consultations. There is always a need to make deliberate efforts and wise decisions within the constraints of time, finances and skills in order to conduct successful consultations. It can be done, it has been done and anybody can do it as long as the `good practices’ of community consultation are followed. Other factors remaining constant, it is unlikely that policy and practice as well as projects and programmes would fail if they reflect the concerns and requirements of all groups it affects in the community. The benefits accrued from successful consultations far outweigh whatever challenges that one may experience or the immediate costs which may appear high in the short-run. The process would pay off in the long-term making it a worthwhile venture. Therefore there should be Georgina Angela Manyuru Page 33   An Introduction to Community Consultations in Development Projects 2014   no justification for avoiding consultations. Community consultation will continue to be an essential part of development work in Uganda and elsewhere. Georgina Angela Manyuru Page 34   An Introduction to Community Consultations in Development Projects 2014   Abbreviations and Acronyms ACP Africa Caribbean and Pacific Countries AWEPON African Women’s Economic Policy Network CBOs Community Based Organisations CBT Community Based Training CNA Capacity Needs Assessment CSOs Civil Society Organisations DENIVA Development Network for Indigenous Voluntary Associations DEO District education Officer EU HRGGP European Union Human Rights and Good Governance Programme FGD Focus Group Discussion FK Norway Fredskorpset GoU Government of Uganda GPE Global Partnership for Education GTZ German Development Cooperation HIPC Highly Indebted Poor Countries IDPs Internally Displaced Persons IPPF Indigenous Peoples Planning Framework IPs Indigenous Peoples KDDP Kiboga District Development Programme KI Key Informant Interviews KNH Kindernothilf LCs Local Councils M&E Monitoring and Evaluation MoES Ministry of Education and Sports NETWAS Network for Water and Sanitation NGOs Non-Governmental organisations NWSC National Water and Sewerage Corporation ONSUL Ondeo Services Uganda Limited PEAP Poverty Eradication Action Plan PRGF Poverty Reduction and Growth Facility PRSC Poverty Reduction Support Credit PRSP Poverty Reduction Strategy Paper PTCs Primary Teachers’ Colleges SEATINI Southern and Eastern Africa Trade Information and Negotiation Institute SMC School Management Committees SNV Netherlands Development Cooperation UWASNET Uganda Water and Sanitation NGO Network WB World Bank WSS Water and Sanitation Sector BDP Batwa Development Programme BMCT Bwindi Mgahinga Conservation Trust Georgina Angela Manyuru Page 35   An Introduction to Community Consultations in Development Projects 2014   References Bolton Council (May 2007): Involving our communities: Bolton’s Community Engagement and Consultation Toolkit Carmarthenshire Community Tool Kit: Community Consultation Community Consultation: Good Practice – Key Issues accessed at http://www.lga.sa.gov.au/webdata/resources/files/community Dr. Lyn Carson and Dr. Katharine Gelber; Plan First, Department of Urban Affairs and Planning: Ideas for Community Consultation: A discussion on principles and procedures for making consultations work Ethical Goals of Community Consultation in Research accessed at http://www.ncbi.nlm.nih.gov/pmc/articles/PMc1449329/ INVOLVE: Promoting public involvement in NHS, public health and social care research: Involving Marginalised and Vulnerable People in Research: A consultation Document. Pain R., Francis P., Fuller I., O’Brien K., & Williams S.: ‘Hard to Reach’ Young People and Community Safety: A Model for Participatory Research and Consultation Planning and Community Consultation: Capital Project Planning and Community Consultation found at http://www.vsb.bc.ca/planning-and-community-consultation Practical ways to engage with your community accessed at http://www.local.gove.uk/localism-act/-/journal_content/56/10180/3510950/ARTICLE Reid Howie Associates (2002): Good Practice Guidance: Consultation with Equalities Groups. Scottish Executive Central Research Unit and Equality Unit Resource Papers in Action Research: Community Consultation Checklist found at http://www.aral.com.au/resources/comcon.html Running Consultative Processes accessed at http://www.ourcommunity.com.au/trainig/trainig_main.jsp VLGA; Community Consultation: Resource Guide accessed at http://www.vlga.org.au/Resources/Consultation_and_Engagement.aspx Volunteering Qld; Conducting Community Consultations: Information Sheet found at http://www.vlcaconsultation.org.au Georgina Angela Manyuru Page 36   COMMUNITY DEVELOPMENT AGREEMENTS (CDAs) INVOLVING COMMUNITIES IN THE EXTRACTIVE INDUSTRIES Community Development Agreements Lisa Schmidt Extractive Industries In Uganda • Expectation for Uganda to become oil and gas producer in the next four to five years • Hydrocarbon revenues could double government revenue (at today’s prices) • Hydrocarbons are an important growth sector and will be key to achieve Vision 2040 Community Development Agreements Lisa Schmidt 2 Extractive Industries In Uganda What does social inclusion mean in the context of Extractive Industries? • Uganda’s National Oil and Gas Policy 2008: “lasting benefits to society” • Two key dimensions for inclusion in Extractive Industries: - Equitable outcomes - Participation in processes • Inclusion is not a luxury but a political and business requirement! Community Development Agreements Lisa Schmidt 3 CDAs Within The Bigger Picture: Outcomes • Types of benefits/outcomes expected from Extractive Industries: - Public revenues - Investments by companies in communities affected by extractive industries - Economic opportunities created through private sector Community Development Agreements Lisa Schmidt 4 CDAs Within The Bigger Picture: Processes • Processes/negotiations in extractive industries: - Between government and company (contract terms) - Between company and communities (local benefits) - Between government and citizens (distribution) Community Development Agreements Lisa Schmidt 5 What Is A CDA? • Formal agreement between companies, local communities and the state regarding the responsibilities of each party to ensure sustainable local development takes place alongside mining/hydrocarbon operations. • CDAs are put in place to share benefits, which is distinct from compensation! Community Development Agreements Lisa Schmidt 6 Why Should We Care? Mining company Community Government • Social License to Operate • Long-term improvements in • Greater benefit-sharing quality of life from private sector • Risk and reputation management • Access to opportunities • Reduced pressure on government for local • Productivity gains community investment • Positive legacy • Utilization of potentially • Company of choice for next effective implementation project system held by company • Retained support at local level for industry responsible for generating significant GDP contribution Source:  World  Bank  (2010):  Mining  Founda>ons,  Trusts  and  Funds  –  A  Sourcebook.   7 Content Of A CDA • Context is crucial: Consultations with local communities and all other stakeholders to determine content of CDAs. • CDAs can vary greatly in complexity, depending on existing structures and vision. • But some basic building blocks: - Outputs: mechanism for regular dialogue & socio-economic benefits - Structures: financing agreement & institutional structure Community Development Agreements Lisa Schmidt 8 Some issues that are important to consider to make Community Development Agreements an instrument for inclusion… Community Development Agreements Lisa Schmidt 9 Who Should Benefit From A CDA? Two dimensions that are important to consider. • Which communities should be included? Geographical definition, Social and Environmental Impact Assessment, administrative boundaries, perceived/expected impacts. • Are there potentially excluded groups that need to be targeted? Difference in impacts across groups. Some may find it hard to access benefits of CDAs. May have to be targeted with tailored interventions. Community Development Agreements Lisa Schmidt 10 Community Representation In CDAs • Capacity • Legitimacy • Existing vs. New • Context-specificity (case by case vs. some national consistency) • Ability to represent divergent views within community and develop consensus positions that does not exclude Community Development Agreements Lisa Schmidt 11 The Need For Capacity Building • Often, capacity of local communities needs to be built to enable more transformational engagement (e.g. finance, management, monitoring and evaluation, planning, negotiation and leadership) • Intermediaries (state institutions, civil society and international NGOs) can play a key role in representing the interests of local communities and the poor and vulnerable • Critical step that needs to take place even earlier: information sharing Community Development Agreements Lisa Schmidt 12 Options For Implementing A CDA • Depending on context: can be implemented by government (local or central), civil society organizations, mining companies, independent trusts • Critical factor for deciding what is most suitable is the capacity of various organizations • Trusts and funds often used when there is limited capacity on the part of other institutions, or when there is concern regarding the independence or accountability of the institution responsible for implementing benefit sharing arrangements Community Development Agreements Lisa Schmidt 13 An Example From Ghana: Newmont Mining • US$1 per ounce of gold sold and one percent of net annual profits for a Community Development Fund • Social Responsibility Forum to facilitate community participation in decisions on how the Community Development Fund should be used • Three CDAs were set up through the Forum: - Social Responsibility Agreement - Local Employment Agreement - Newmont Ahafo Development Foundation Agreement Community Development Agreements Lisa Schmidt 14 Social Responsibility Forum • 55 members + independent monitor: regional and district government officials, Members of Parliament, members of the District Assemblies, officials from Newmont, traditional chiefs, NGOs and representatives from affected communities, including women, youth and farmers • Members first nominated by the community and then elected in secret ballots • Tasks: 1) developing and overseeing the implementation of the Social Responsibility Agreement, 2) assisting with conflict-resolution, 3) managing the Community Development Foundation, and finally 4) ensuring open and regular communication between Newmont and the local community • Meets twice a year and has a standing committee to meet in the interim in cases of emergencies Community Development Agreements Lisa Schmidt 15 Social Responsibility Agreement • Between Newmont Ghana Gold Company and 10 communities/towns in two districts • Regulates the interaction of stakeholders • Documents formal commitments made by them, e.g. how announcements and information should be transmitte Community Development Agreements Lisa Schmidt 16 Local Employment Agreement 1) The hire of local skilled labor. 2) The hire of local unskilled labor. 3) A Newmont target of employing 35 percent (to be increased to 50% within 10 years) of their workforce (including contractors) from local communities. Community Development Agreements Lisa Schmidt 17 Development Foundation Agreement • Regulates the use of the funds dedicated to community development by company • Defines the conduct of the Foundation’s affairs • Sets parameters for the selection of sustainable development projects as agreed by company and community Community Development Agreements Lisa Schmidt 18 CLICK OR TAP HERE TO RETURN TO EXECUTIVE SUMMARY MODULE 5 SUBJECTIVE WELLBEING SUBJECTIVE WELLBEING WHY AND WHAT DOES IT CONTRIBUTE TO POLICY MAKING? Subjective Wellbeing Juan Carlos Parra Why Should We Care About Subjective Wellbeing? • It is widely recognized that economic outcomes can tell us only part of the story about quality of life. • Measures of subjective wellbeing can provide information on the relative importance of several domains in people’s lives. • The maximization of wellbeing should not necessarily be the primary policy goal (e.g., future vs current generations, certain human rights) • People’s wellbeing has more to do with perceptions of quality of life than with material comforts, pleasure, or any objective feature. Subjective Wellbeing Juan Carlos Parra 2 Using Monetary Indicators To Measure Wellbeing • What if people are bad at predicting how much satisfaction they would get from specific goods? • What if the link between work and utility is not only derived income? • People who get divorced after a bad marriage act rationally in terms of the effect of this decision on subjective wellbeing, even if this lowers their economic wellbeing. Subjective Wellbeing Juan Carlos Parra 3 Using Measures Of Wellbeing For Policy • Any measure that consistently contradicts intuitions about the effects of life circumstances would likely be of little use in influencing public policy • The value of these measures would be quite limited if they only confirm what we already knew • Subjective wellbeing encompasses many different areas in a person’s life so each factor can explain only a small share of the variance in wellbeing outcomes. Subjective Wellbeing Juan Carlos Parra 4 Using Measures Of Wellbeing For Policy • The effect size needs to be interpreted carefully. • For example, a study found that whether a person is employed or unemployed accounted for 4% of the variance in life satisfaction ratings, with a correlation of 0.2 • However, using standardized mean differences, the average employed person is happier than 83% of those who are unemployed Subjective Wellbeing Juan Carlos Parra 5 Some Criticisms To The Use Of Subjective Wellbeing And Response • These measures capture irrelevant information. Empirical evidence suggests that trivial concerns (weather) don’t have a large influence on wellbeing measures. • SWB can be manipulated. – Any measure can be manipulated if poorly captured (e.g., income from HHS). – SWB is not the only criterion for policy (e.g., men and women with comparable levels of life satisfaction despite unequal access to opportunities). – Only preferences formed under free conditions should be used (SWB of minority groups based on imposed cultural norms or ideals freely chosen?) • We assume that voting decisions as a valid reflection of their political preferences. Subjective Wellbeing Juan Carlos Parra 6 Some Criticisms To The Use Of Subjective Wellbeing And Response • Too much SWB would make people lazy. Emotions and moods help people deal more efficiently with complex stimuli. ‘Happier’ people tend to experience more positive outcomes (work, love and health). • SWB condones immoral behavior. It is more a criticism of utilitarianism. • One question, multiple answers. No different from economic indicators. Subjective Wellbeing Juan Carlos Parra 7 Examples Of The Use Of Subjective Wellbeing Measures In Policy Health • Checkups for school children. Mental health problems have direct consequences on overall well (anxiety, social phobias, and depression are associated with drop-outs, failing grades, drinking, etc.) SWB can be used as an effective screening tool. • Subjective health measures (quick, easy, cheap) add valid information about a person’s true health status. Simple self-rated measures predict mortality and longevity even after controlling for objective reports! • A study found that people who are low in social integration report twice the number of sick days as do people high in social integration. Subjective Wellbeing Juan Carlos Parra 8 Examples Of The Use Of Subjective Wellbeing Measures In Policy Unemployment • Unemployment has psychological effects. It might signal to an individual that he or she is not as valuable, and this might affect self-esteem and optimism. • According to classical theory, unemployment is a voluntary state. • People who are unemployed for a long time do not report higher levels of life satisfaction • People who have been previously unemployed still react negatively to a new bout of unemployment (they don’t get used to being unemployed) • The negative effects of unemployment remain even after people are reemployed (scarring effect) • The negative effects of unemployment are smaller in societies with high level of unemployment protection Subjective Wellbeing Juan Carlos Parra 9 Examples Of The Use Of Subjective Wellbeing Measures In Policy Wellbeing in the workplace • Several studies find a positive (~0.3) correlation between job satisfaction and performance and it is significantly stronger for complex jobs • Other studies find that average satisfaction of specific work unit predicted factors such as profitability, productivity, and customer satisfaction Management of cities • Perception surveys have gained popularity among large cities. Improving urban life is high in the agenda of local governments. What services are providing good value in relation to their underlying cost? Subjective Wellbeing Juan Carlos Parra 10 Concluding Thoughts • Subjective wellbeing gives us a more holistic view about people’s wellbeing • Remember, people add on the basis on how they feel • SWB adds valuable information about priorities • It is increasingly used for policy making and even as an objective in itself Subjective Wellbeing Juan Carlos Parra 11 MEASURES OF SUBJECTIVE WELLBEING Measures of Subjective Wellbeing Juan Carlos Parra Reliability Of Measures Of Wellbeing • Reliability refers to the extent to which a measure yields consistent results (weight scale). • The average reliability of a SWB measure is about 0.6 • More points in the scale of response categories tend to produce more reliable measures Measures of Subjective Wellbeing Juan Carlos Parra 2 Validity Of Measures Of Wellbeing • Validity refers to the extent to which a measure actually assesses what is supposed to assess. • There is a relatively strong correlation between national levels of income and life satisfaction (somewhere between 0.6 and 0.8) – Good: life satisfaction measures are genuine measures of wellbeing – Bad: why do they need measures of SWB if we already have income? Between 40 and 60% of the variation in life satisfaction can be explained by per capita income. Measures of SWB go beyond what can be explained by differences in per capita income Measures of Subjective Wellbeing Juan Carlos Parra 3 How To Go About Measuring Subjective Wellbeing? • Most times it makes more sense to add modules or questions on SWB to existing surveys than creating a new instrument • There are very rich sources of SWB measures • Afrobarometer (afrobarometer.org) and other barometers (Euro, Latin) • World Values Survey (worldvaluessurvey.org) • Gallup World Poll Survey (gallup.com) Measures of Subjective Wellbeing Juan Carlos Parra 4 How To Go About Measuring Subjective Wellbeing? • Use neutral language • The order of the questions might affect responses • Control for objective and subjective factors that might affect the answer Measures of Subjective Wellbeing Juan Carlos Parra 5 How To Measure Aspects Of Subjective Wellbeing? • Life satisfaction “Generally speaking, how satisfied are you with your life these days?” • Self-esteem How much do you agree with the following statement? “I describe myself as a confident person” • Empowerment “How are decisions made at home regarding _____” • Tolerance “Who would you like to have as a neighbor? Measures of Subjective Wellbeing Juan Carlos Parra 6 How To Measure Aspects Of Subjective Wellbeing? • Fairness “Do you think [group A] and [group B] are treated equally in society” • Perceptions of inequality Objective vs. subjective inequality (Egypt) Measures of Subjective Wellbeing Juan Carlos Parra 7 Examples Of Measures Of Subjective Wellbeing From Afrobarometer round 5 (Uganda) Measures of Subjective Wellbeing Juan Carlos Parra 8 Examples Of Measures Of Subjective Wellbeing From Afrobarometer round 5 (Uganda) Measures of Subjective Wellbeing Juan Carlos Parra 9 Measures of Subjective Wellbeing Juan Carlos Parra 10 Concluding Thoughts • Subjective wellbeing can be measured validly and reliably • Measurement issues are not too different from the encountered when measuring objective wellbeing • Increasing availability of SWB data and instruments makes the design of modules/questions easier • Adding short modules to standard LSMS/HHS has high potential and is relatively inexpensive Measures of Subjective Wellbeing Juan Carlos Parra 11 CLICK OR TAP HERE TO RETURN TO EXECUTIVE SUMMARY MODULE 6 QUALITATIVE METHODS QUALITATIVE METHODS WHY AND WHEN? Qualitative Methods - Why and When Lisa Schmidt Why Are Maternal Deaths Among Tribal Women In India High? Source:  World  Bank  (2013),  p.  236.   Qualitative Methods - Why and When Lisa Schmidt 2 Why Are Maternal Deaths Among Tribal Women In India High? Source:  World  Bank  (2013),  p.  236.   Qualitative Methods - Why and When Lisa Schmidt 3 Implications For Program Design Source:  World  Bank  (2013),  p.  236.   Qualitative Methods - Why and When Lisa Schmidt 4 Ethnic Minority Poverty In Vietnam What do you think is the most effective policy to reduce ethnic minority poverty in Vietnam? Source:  h=p://blogs.worldbank.org/eastasiapacific/why-­‐ethnic-­‐minority-­‐poverty-­‐persistent-­‐vietnam Qualitative Methods - Why and When Lisa Schmidt 5 Analyzing Poverty I “Rural poverty in Tanzania has been halved in the period from 1985 to 2001. At present about 38 per cent of people living in rural areas are classified as poor. This progress is reflected in the United Nations Development Programme's Human Development Index for Tanzania, which rose from 0.3 in 1991 to 0.4 in 2002.” Source:  Kielmann  et  al.  (2011),  p.  6.     Qualitative Methods - Why and When Lisa Schmidt 6 Analyzing Poverty II “If you want to do something and have no power to do it, “Poverty is like living in jail, it is talauchi (poverty).” living under bondage, waiting — a proverb from Nigeria to be free.” — a saying from Jamaica “For a poor person everything is terrible - illness, humiliation, shame. We are cripples; we are afraid of everything; we depend on everyone. No one needs us. We are like garbage that everyone wants to get rid of.” — a blind woman from Tiraspol, Moldova Source:  Kielmann  et  al.  (2011),  p.  6.     Qualitative Methods - Why and When Lisa Schmidt 7 Equal Treatment Source:  World  Bank  (2013),  p.  182.     Qualitative Methods - Why and When Lisa Schmidt 8 If You Only Have A Hammer… … you tend to see every problem as a nail • Surveys are not the ideal tool to answer certain questions and address certain research purposes that are relevant for policy-making. • By using surveys only, you may neglect important dimensions, especially when concerned with social inclusion issues. • Ultimately, this can lead to the design of interventions that do not target the actual problem. Qualitative Methods - Why and When Lisa Schmidt 9 Qualitative Methods Are Useful When You… • are at the beginning of exploring a question/issue/problem and to develop a theory and hypotheses. • need a complex, detailed understanding of the issue or a specific case and textual description. • want to know how people experience a given research issue, e.g. exclusion. • need to know more about seemingly contradictory/”irrational” behaviors, beliefs, opinions, emotions, norms, culturally shared meanings, roles and relationships of individuals that affect their behavior. Qualitative Methods - Why and When Lisa Schmidt 10 Qualitative Methods Are Useful When You… • are more interested in the “why” and “how” (mechanisms/processes) than the “what” and “how much”. • want to empower individuals to share their stories, hear their voices. • want to follow up on quantitative research or develop survey instruments for it. Qualitative Methods - Why and When Lisa Schmidt 11 Main Differences With Quantitative Quantitative Qualitative General framework Seeks to confirm hypothesis Seeks to explore Seeks to elicit and categorize responses Flexible and iterative style of eliciting to specific questions responses to questions Uses highly structured methods Semi-structured methods Analytical objectives Quantify variation Describe variation Predict causal relationships Describe and explain relationships Describe characteristics of population Describe individual experiences Describe group norms Study design Stable Some flexibility in study design and instruments Participants responses do not determine how study proceeds Participants responses affect process Study design is subject to assumptions Iterative design, data collection and and conditions research questions adjust Qualitative Methods - Why and When Lisa Schmidt 12 Main Trade-off Rich and complex understanding of a specific social context or phenomenon vs. Eliciting data that can be generalized to other geographical areas or populations Qualitative Methods - Why and When Lisa Schmidt 13 Examples Some examples of the types of questions for which researchers used qualitative methods & their rationale for using qualitative methods... Qualitative Methods - Why and When Lisa Schmidt 14 Uganda “Moving Out Of Poverty” Study • “Why do some people move out of poverty, and stay out of poverty, while others remain trapped into poverty?” • Qualitative: Investigation of the dynamics of upward (and downward) mobility from poverty in the community by means of so-called Ladders of Life. In addition to that, Individual Life Stories. • “This study was conducted as part of our larger mandate to provide voices and perspectives of the poor in evidence-based decision-making processes.” Source:  Uganda  Ministry  of  Finance,  Planning  and  Economic  Development  (2007) Qualitative Methods - Why and When Lisa Schmidt 15 “On Norms And Agency” Study • capture men’s and women’s perspectives and their own accounts on how they experience gender differences in their communities • work from a vantage point that gives primacy to local people’s own perceptions and interpretations of their experiences • capture local narratives of different situations where gender differences come into play without imposing pre-conceived concepts and models Source:  World  Bank  (2012)   Qualitative Methods - Why and When Lisa Schmidt 16 “Voices Of The Poor” Study • What is it like to be poor? How do people define well-being or a good quality of life? And ill-being or a bad quality of life? (people’s experience of poverty) • Location-specific information: Poverty’s dimensions vary across time, place and social groups involved. • Interest in “livelihood” as opposed to “income” and “employment” • Engage the “respondents” actively in the research process to empower them Qualitative Methods - Why and When Lisa Schmidt 17 Blattman (2009) From Violence to Voting: War and Political Participation in Uganda • Quantitative evidence for a link from past violence witnessed to increased political engagement among ex-combatants/abductees: “Survey data suggest that abduction leads to substantial increases in voting and community leadership, largely due to elevated levels of violence witnessed” • Patterns are not easily explained by conventional theories • Qualitative interviews suggest that violence may lead to personal growth and political activation, a possibility supported by psychological research on the positive effects of traumatic events. Qualitative Methods - Why and When Lisa Schmidt 18 References • Blattman, Christopher (2009): From Violence to Voting: War and Political Participation in Uganda. American Political Science Review 103 (2). • Kielmann, Karina, Fabian Cataldo, Janet Seeley (2011): Introduction to Qualitative Research Methodology. • Narayan, Deepa (1999): Voices of the Poor Volume 1 – Can Anyone Hear Us? Voices from 47 Countries. Washington DC: World Bank. • Uganda Ministry of Finance, Planning and Economic Development (2007): Moving out of Poverty - Understanding Freedom, Democracy and Growth from the Bottom up. • World Bank (2012): On Norms and Agency – Conversations about Gender Equality with Women and Men in 20 Countries. Washington DC: World Bank. • World Bank (2013): Inclusion Matters – The Foundation for Shared Prosperity. Washington DC: World Bank. Qualitative Methods - Why and When Lisa Schmidt 19 QUALITATIVE METHODS THE HOW Qualitative Methods - How Lisa Schmidt Key Features Of Good Qualitative Research • Reproducible: someone else could use the same research plan and guide to generate similar information • Systematic: not just picking interviewees or data that support our pre- existing ideas about the answers • Credible: the questions asked, and the ways in which they are asked should generate valid accounts of phenomena • Transparent: methods and protocols should be written up so that others can see exactly how the data were collected and analyzed. Qualitative Methods - How Lisa Schmidt 2 Steps Involved • Study objectives and main questions • What do we know already (literature review)? • Data collection tool • Sampling • Data analysis Qualitative Methods - How Lisa Schmidt 3 Data Collection Tools • Observation: Participant and non-participant • Conversational: Interviews (structured, semi-structured, open-ended/in- depth), focus groups • Documentation/text • Visual material: Mapping, pictures, videos Qualitative Methods - How Lisa Schmidt 4 How To Decide Which One • Questions in need of answer • Level of structure and comparability required • Level of exploration • Time and cost Qualitative Methods - How Lisa Schmidt 5 Observation • Main goal: – ‘See through the eyes of the people’ without imposing a pre- conceived frame of reference – We can understand things better if within a context • Two crucial aspects of observational research: – Capture interactions – Observational approaches allow to learn about things people may be unaware of or are unwilling/unable to discuss in an interview or focus group. Qualitative Methods - How Lisa Schmidt 6 Focus Group • Recruit small group of people who share a particular characteristic and encourage an informal group discussion on a particular topic or set of issues. • Combine elements of both interviewing and participant observation • Capitalize on group dynamics that can stimulate a richer response and new thoughts • Focus group participants: – Participants are homogeneous group of people, and power balances and differences among them need to be considered (class, age, sex, education, etc.) – Conduct at least two groups for every variable considered to be relevant to the outcome (sex, age, educational level, etc.). Qualitative Methods - How Lisa Schmidt 7 Focus Group • Process: – Participants are asked to reflect on the questions asked by the moderator (guided by list of topics and question areas). – Participants permitted to hear each other’s responses and to make comments beyond their own original responses. – Participants don’t have to reach any kind of consensus, nor it is necessary for people to disagree. Qualitative Methods - How Lisa Schmidt 8 Text And Documents • Records provide insights into a setting and/or group of people that cannot be observed or noted in another way. • They are particularly useful in describing institutional characteristics, and in identifying institutional strengths and weaknesses. • They provide a record or history not subject to recall bias. • Useful for making comparisons (e.g between project participants and project applicants, project proposals and implementation). • Most used: public records, personal documents Qualitative Methods - How Lisa Schmidt 9 Visual Example: • Visual representations by participants: photos, videos, maps, allow them to express views that they might not be able to verbalize Qualitative Methods - How Lisa Schmidt 10 On Sampling • Participants for qualitative data collection are not selected without a method. • Sampling strategies should be determined by the purpose of the research project. • Samples are purposive: Participants are selected because they are likely to generate useful data for the project. • Sample sizes are typically small Qualitative Methods - How Lisa Schmidt 11 Differences With Sampling For Quantitative Research QUANTITATIVE RESEARCH QUALITATIVE RESEARCH Large probability samples Relatively small probability samples Randomly selected Purposefully selected Statistically representative Representative (but not all statistically) of the broad types of informants relevant to the research Purpose: generalization; statistical comparison Purpose: selection of Information-rich Cases Source:  Kielmann  et  al.  (2011),  p.  19.   Qualitative Methods - How Lisa Schmidt 12 A Few Strategies • Maximum variation sample: – Select key demographic variables that are likely to have an impact on participants’ view of the topic – Recruit groups that reflect various combinations of variables • Deviant case sampling: Learning from “outliers” Qualitative Methods - How Lisa Schmidt 13 Analyzing Qualitative Data I • What patterns and common themes emerge in responses dealing with specific items? • How do these patterns (or lack thereof) help to illuminate the broader study question(s)? • Are there any deviations from these patterns? If yes, are there any factors that might explain these atypical responses? Qualitative Methods - How Lisa Schmidt 14 Analyzing Qualitative Data II • Time consuming • Involves: • transcribing • coding • interpreting the data • plus translation if necessary Qualitative Methods - How Lisa Schmidt 15 Coding I Source:  h@p://onlineqda.hud.ac.uk/Intro_QDA/phpechopage_KtleOnlineQDA-­‐Examples_QDA.php Qualitative Methods - How Lisa Schmidt 16 Coding II Source:  h@p://www.qualitaKve-­‐research.net/index.php/fqs/arKcle/view/209/461 Qualitative Methods - How Lisa Schmidt 17 Presenting Data Source:  World  Bank  (2012),  p.  37.   Qualitative Methods - How Lisa Schmidt 18 References • Kielmann, Karina, Fabian Cataldo, Janet Seeley (2011): Introduction to Qualitative Research Methodology. • World Bank (2012): On Norms and Agency – Conversations about Gender Equality with Women and Men in 20 Countries. Washington DC: World Bank. Qualitative Methods - How Lisa Schmidt 19 STUDY ON PARADOXICAL ISSUES ON PRIMARY EDUCATION IN UGANDA Primary Education in Uganda Clarence Tsimpo Outline Of The Presentation • Background (UNHS findings) • Objectives of the Study • Methodology • Key Findings • Policy Implications Primary Education in Uganda Clarence Tsimpo 2 Background (UNHS Findings) • Reason for not being enrolled (6-12 who have never been to school) 100%% 90%% 80%% 70%% 45.7% 60%% 60.9% 63.8% 61.7% 50%% 79.9% 70.7% 60.9% 75.3% 40%% 30%% 20%% 10%% 0%% Kampala% Other%urban% Rural% Central% Eastern% Northern% Western% Residence%Area% Region% Uganda% Too%expensive% Too%far%away% Poor%school%quality% Had%to%help%at%home% Had%to%help%with%farm%work% Had%to%help%with%family%business% EducaRon%not%useful% Parents%did%not%want% Not%willing%to%aSend% Too%young% Orphaned% Displaced% Disabled% Insecurity% Other%(specify)% Primary Education in Uganda Clarence Tsimpo 3 Background (UNHS Findings) • Share of children not attending school by age 90" 80" 70" 60" 50" (%)$ 40" 30" 20" 10" 0" 4" 6" 8" 10" 12" 14" 16" 18" 20" Age$ Boys" Girls" Primary Education in Uganda Clarence Tsimpo 4 Background (UNHS Findings) • Reason for not being enrolled (6-18 who drop-out) 100%% 90%% 6.0% 80%% 6.6% 12.0% 70%% 60%% 23.0% 17.9% 20.0% 23.0% 13.6% 50%% 56.1% 40%% 58.8% 30%% 55.8% 35.3% 36.9% 38.7% 24.4% 33.6% 20%% 10%% 0%% Kampala% Other%urban% Rural% Central% Eastern% Northern% Western% Residence%Area% Region% Uganda% Completed%desired%schooling% Further%schooling%not%available% Too%expensive% Too%far%away% Had%to%help%at%home% Had%to%help%with%farm%work% Had%to%help%with%family%business% Poor%school%quality% Parents%did%not%want% Not%willing%to%aSend%further% Poor%academic%progress% Sickness%or%calamity%in%family% Pregnancy% Other%(specify)% Primary Education in Uganda Clarence Tsimpo 5 Objectives Of The Study • Quantitative analysis: The What? – Late enrollment – Cost still and issue despite UPE reform – High Drop out rate – Many considers education as useless • Qualitative analysis: The Why? – Why is it that late enrollment is the norm? – Why is the cost still and issue despite UPE? – Why are kid dropping out? – Why some people considers education useless Primary Education in Uganda Clarence Tsimpo 6 Methodology • 1. Document Review; consultation with sector experts • 2. Random selection of 14 districts – 10 sub-regions – Over sample were the issues are deeper • 3. People to consult – Key Informant Interviews – Focus Group Discussions – Case Studies • 4. Design of data collection tools • 5. Field work, data analysis, dissemination Primary Education in Uganda Clarence Tsimpo 7 Methodology Primary Education in Uganda Clarence Tsimpo 8 Methodology Primary Education in Uganda Clarence Tsimpo 9 Determinants Of Age At Enrollment • Insecurity and difficult terrain • Inculcate basic livelihood skills before starting school • Access food provided at school and absence of caregiver at home • Parents who value education less delay enrollment Primary Education in Uganda Clarence Tsimpo 10 Cost As Still A Barrier • UPE is neither absolutely free nor compulsory • Cost is a trade-off of alternative investment. • Cost interacts with value attached, age of start and drop out • School requirements vary across ranging between 30,200= lowest(Kasese rural) and 87,500= highest (Kampala) • Exam fees are a significant cost Primary Education in Uganda Clarence Tsimpo 11 Causes Of Drop-out • Affordability of other costs that UPE does not cater for • Distraction from entertainment and leisure involvements • Sanitary facilities are a significant factor for girls • Inadequate counseling and guidance • Early marriages, pregnancy and defilement for girls • Absence of Role models of education leading to better lives • Economic participation • Absenteeism correlates with seasonality of local economic activities Primary Education in Uganda Clarence Tsimpo 12 Dropping Out • A dropout due to early pregnancy being interviewed by the research assistant Primary Education in Uganda Clarence Tsimpo 13 Value Attached To Education • Education is valued but competing trade-offs limit investment in education • Uncertainty on outcome and return of education • Education is a major exit route out of poverty • Degree of involvement and level of investment in education correlates with value attached by parents Primary Education in Uganda Clarence Tsimpo 14 Competing Interests • Education is valued but competing trade- offs limit investment in education. Primary Education in Uganda Clarence Tsimpo 15 5. Policy Implications • Invest more in Games, sports, music, dance and drama? • Integrating economic activities into education curriculum and calendar an incentive to parents? • Policy on lunch at school? • Teacher re-orientation for standardized and uniform thematic curriculum? • Standardize content, language of instruction and duration of stay in ECDs? • Sensitization by role model • Scale-up existing programs for girls affected by pregnancy Primary Education in Uganda Clarence Tsimpo 16 Primary Education in Uganda Clarence Tsimpo 17 CLICK OR TAP HERE TO RETURN TO EXECUTIVE SUMMARY MODULE 7 IMPACT EVALUATION METHODS TO ASSESS THE IMPACTS OF AN INTERVENTION Methods to Assess the Impacts Juan Carlos Parra Objective • To assess the causal impact of an intervention on outcomes. Why? • The ideal scenario is not feasible (two options: cloning or time travel) • Since we cannot observe the counterfactual, proxies are needed • Counterfactual: what if beneficiaries had not received the program? • Example for the rest of the presentation: – Initiative (training) to improve employability of adolescent girls Methods to Assess the Impacts Juan Carlos Parra 2 Trying To Establish Causal Impacts Before and After • Measure outcomes before and after an intervention • Using the example, measure employment rates among beneficiaries before and after the training. • Q: Is the difference the impact of the intervention? Methods to Assess the Impacts Juan Carlos Parra 3 Trying To Establish Causal Impacts With and Without • Measure outcomes for both beneficiaries and non-beneficiaries • Using the example, measure employment rates among those who received the training and for those who did not. • Q: Is the difference the impact of the intervention? Methods to Assess the Impacts Juan Carlos Parra 4 Trying To Establish Causal Impacts With and Without • This comparison suffers from selection bias. The people who enroll in this training is different from those who did not. • One proposed solution: compare people with identical characteristics (age, education, etc.) Methods to Assess the Impacts Juan Carlos Parra 5 Trying To Establish Causal Impacts Randomized Experimental Methods • Considered the gold standard of evaluation. Randomly assign potential beneficiaries to be in the treatment and control group. • If the sample is large enough, observables and unobservables will be, on average, very similar. The only difference is the treatment. • Is it ok to randomize? Methods to Assess the Impacts Juan Carlos Parra 6 … But Randomization Is Not Always Possible • Treatment has been assigned and announced (or program is over) • Universal take-up • Universal coverage and non-excludable How can we construct a good control group? Methods to Assess the Impacts Juan Carlos Parra 7 Quasi-experimental Methods Matching • Control group as similar (observables) as possible to the treatment group • Compare matched observations from treatment and control groups • Direct matching compares individuals from treatment and control with identical characteristics. • Propensity score matching uses an estimated probability of being in the treatment group, given observed characteristics, to compare individuals. Methods to Assess the Impacts Juan Carlos Parra 8 Quasi-experimental Methods Differences in Differences (diff-in-diff) • 2 groups observed at 2 different points in time • 1 group (T) receives the program only in the second period while the other group (C) does not receive the program • Diff-in-diff is calculated as the change in time for the treatment group (T) minus the change in time for the control group (C) • Any differences (observable and unobservable) between the groups that don’t change over time are removed Methods to Assess the Impacts Juan Carlos Parra 9 Quasi-experimental Methods Differences in Differences (diff-in-diff) • The underlying assumption is that pre-intervention differences are a good indicator for the post-intervention would have been without the intervention (common trends) Regression Discontinuity Design (RDD) • Compares participants and non-participants around a threshold for eligibility. • We assume individuals are randomly assigned to the treatment around the threshold (eligibility index, age), i.e., is not manipulated. Methods to Assess the Impacts Juan Carlos Parra 10 Quasi-experimental Methods Regression Discontinuity Design (RDD) • Estimates of causal impact are only valid around the threshold. • Can be used to evaluation ex-post using the discontinuity as an experiment. Methods to Assess the Impacts Juan Carlos Parra 11 How To Design Impact Evaluations - Sampling • Selecting units from a population to estimate some of the characteristics of the population • Larger samples yield more precise estimates of these characteristics but are more costly • How to draw a good sample? Define the target population clearly Define a sampling frame and a sampling procedure Methods to Assess the Impacts Juan Carlos Parra 12 How To Design Impact Evaluations - Sampling • Random sampling is not enough for impact evaluation. Why? • How to determine the ‘right’ sample size for an IE? Power calculations • The ‘right’ sample size depends on i) the minimum impact of the intervention that you would like to capture, ii) the variance of the outcome and iii) the level of clustering. • Attrition is also critical when computing the sample size • Increasing sample size is costly but so is having a useless evaluation Methods to Assess the Impacts Juan Carlos Parra 13 How To Design Impact Evaluations - Sampling • Minimum impact that you would like to capture What is the minimum impact that would justify the intervention? • ii) Variance of outcome • iii) Clustering – outcomes at the unit of implementation might be correlated Unit for the measurement of impact Unit for implementation of the intervention It adds more information to add an observation in a new cluster than to add it in an existing cluster Methods to Assess the Impacts Juan Carlos Parra 14 How To Design Impact Evaluations - Sampling Other important considerations: • Multiple evaluation questions • Multiple treatments • Data quality • Choice of the evaluation method Methods to Assess the Impacts Juan Carlos Parra 15 Example Of An Impact Evaluation • Zambia Social Recovery Project II (1995-2000) • IE conducted by Chase and Sherburne-Benz, 2001 (PSM + qualitative, $175K) • As part of its poverty reduction strategy, the government of Zambia (GoZ) adopted a decentralization policy to facilitate participatory bottom-up planning and to allow communities to formulate proposals to finance their initiatives and a systematic participatory monitoring system Methods to Assess the Impacts Juan Carlos Parra 16 The Zambia Social Action Fund • Compared with control groups, education projects increased school attendance and households’ education expenditures to a significant degree. • Health projects primarily involved rehabilitating health posts; they saw increased use of primary health facilities (94 vs. 71%) and their access to safe water (88 vs. 77). • There were also improvements in some types of child vaccinations, specifically diphtheria vaccinations. There is limited evidence of increased BCG and Polio vaccinations. Methods to Assess the Impacts Juan Carlos Parra 17 The Zambia Social Action Fund • The IE shows that the social fund had important impacts on social capital in rural area to bring communities together. • In rural households where the project operated, households were more likely to have participated in the project. Increased participation in parent-teacher meetings, higher contribution to the financing of projects, longer construction times for facilities. • Subjective measures of community togetherness increased. Further, those communities were more likely to undertake other community initiatives, such as building new health posts and other new schools. • However, urban areas with social funds saw no such social capital improvements. Methods to Assess the Impacts Juan Carlos Parra 18 Concluding Thoughts • IE is the preferred method to assess the impact of interventions • IEs are costly and should be done carefully • There are a public good in some sense so it makes sense for government and other agencies to contribute to their financing • Increased number of IEs on many different topics provide a critical mass to increase external validity Methods to Assess the Impacts Juan Carlos Parra 19 CLICK OR TAP HERE TO RETURN TO EXECUTIVE SUMMARY