65886 social resilience & climate change operational toolkit THE WORLD BANK © 2011 The World Bank Group 1818 H Street, NW Washington, DC 20433 Telephone: 202-473-1000 Internet: www.worldbank.org/socialresilience E-mail: asksocial@worldbank.org All rights reserved. This volume is a product of the World Bank Group. The World Bank Group does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of the World Bank Group concerning the legal status of any territory or the endorsement or acceptance of such boundaries. Rights and Permissions The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a violation of applicable law. The World Bank Group encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. 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CONTENTS SOCIAL RESILIENCE AND CLIMATE CHANGE: How we can help ...........................................................................................................................6 CONTRIBUTION 1: Identifying key factors of vulnerability and resilience.................................................................8 CONTRIBUTION 2: Supporting pro-poor adaptation in project design and implementation ...............................10 CONTRIBUTION 3: Promoting socially inclusive mitigation interventions...............................................................12 CONTRIBUTION 4: Promoting accountability and good governance towards improved resilience .......................14 TIPS FOR TASK TEAM LEADERS .................................................................................................17 SOCIAL DEVELOPMENT TOOLS FOR CLIMATE RESILIENCE ......................................................19 INTRODUCTION 2 SOCIAL RESILIENCE AND CLIMATE CHANGE Photo: Julio Pantoja/The World Bank OPERATIONAL TOOLKIT 3 “[Climate change] is a development, economic, and investment challenge. It offers an opportunity for economic and social transformation that can lead to an inclusive and sustainable globalization. That is why addressing climate change is a critical pillar of the development agenda.� — World Bank Group President Robert B. Zoellick The World Bank is committed to helping its client countries adds an additional source of unknowns for decision mak- better manage risks related to climate change. The Bank ers to manage� and that, “Accepting uncertainty [is] inher- has already committed nearly $25 billion (about 10% of the ent to the climate change problem.� overall portfolio) to climate change related themes. As the demand for climate change support increases, the Bank’s There is a need to revise existing concepts of vulnerabil- ability to promote an integrated approach to addressing ity and integrate approaches into development efforts to climate change is of paramount importance. help the poorest and most vulnerable access the financial, technical and institutional resources necessary to adapt to Climate change has major social implications. The negative climate change impacts and climate action. Proper atten- impacts of climate change push those living on the margin tion to the social dimensions of climate change can greatly closer to the edge and can hamper the development path- enhance the effectiveness and sustainability of World Bank ways of entire regions by impeding the fight against poverty, projects. disease, and hunger. In addition, policies and interventions to both mitigate and adapt to climate change entail signifi- This note is written for World Bank task teams and explains cant distributional, poverty and social impacts. how an understanding of the social dimensions of climate change can enhance the sustainability and quality of Bank- The starting point to understanding vulnerability to climate supported operations while mitigating potential risks. The change is a clear understanding of existing levels of socio- note reviews major challenges involved in addressing the economic vulnerability and adaptive capacity. However, social dimensions of climate change; outlines how social climate change impacts entail a number of characteristics development approaches can help to solve these chal- that require a more dynamic view of vulnerability and new lenges; highlights the main social development analytical ways of working: they are diverse, long-term and unpre- and operational tools in relation to the social dimensions dictable. Adapting to these traits is challenging as they of climate change; and, provides operational examples to require making decisions under high levels of uncertainty. highlight strategies that focus on the social dimensions of The 2010 World Development Report: Development and climate change. Climate Change, echoes this by stating, “Climate change SOCIAL RESILIENCE AND CLIMATE CHANGE 4 SOCIAL RESILIENCE AND CLIMATE CHANGE how we can help Photo: Yosef Hadar/The World Bank OPERATIONAL TOOLKIT 5 Social development specialists help task teams better un- ability profiles into operational design and, c) ensure that derstand the multi-faceted nature of vulnerability; utilize interventions effectively target vulnerable populations and participatory methods to engage people in the develop- build their resilience. ment and implementation of climate change strategies that are tailored to their needs, priorities and realities; 2) Support socially inclusive adaptation in project design and promote good governance, transparency and account- and implementation: The social dimensions of climate ability, in order to enhance the efficacy of climate change change approach helps teams a) utilize participatory strat- related operations. egies to engage communities in the design and implemen- tation of adaptation interventions and b) devise community Upstream social and institutional analysis helps provide based solutions for relevant areas such as disaster risk a more holistic understanding of institutional capacity for reduction to natural resource management. responding to climate change, and helps task teams iden- tify potential risks and opportunities before project imple- 3) Promote sustainable mitigation with equitable im- mentation starts. Addressing adaptation and mitigation pacts: The social dimensions of climate change approach interventions through participatory mechanisms enhances helps a) identify potential political and social risks stem- operational sustainability by providing local people with ming from mitigation programs b) ensure that projects are ownership of interventions and the ability to equitably ben- designed so that local communities can equitably benefit efit from programs. The section “Tips for Task Team Lead- from mitigation interventions and c) protect the rights of ers� provides a list of tips that task teams can draw upon to indigenous peoples and other forest-dependent communi- maximize social development specialists’ contributions to ties and enhance the benefits they may derive from mitiga- climate change operations. tion activities. With a focus on inclusion, cohesion, resilience and ac- 4) Promote accountability and good governance: The so- countability, social development specialists help task cial dimensions of climate change approach helps teams teams in four key ways: a) implement “demand driven� interventions that enhance accountability and transparency in order to increase the 1) Identify key factors of vulnerability and resilience: efficacy of climate change policies at the local level and The social dimensions of climate change approach helps b) build the capacity of local institutions to adapt to the a) identify key drivers of vulnerability b) integrate vulner- uncertainties associated with climate change. did you know? One of the key operational challenges looming on the horizon is to develop a better understanding of the range of potential complex social responses to climate change so that these risks can be integrated into project design and implementa- tion. High quality social analysis is essential to fulfilling the Bank’s mandate for effective poverty reduction and equitable mitigation and adaptation strategies. At the global level social analysis underpins our understanding of transboundary social, environmental and political processes, including migration, conflict and the role that scarcity of natural resources plays in these processes. At the national level it is necessary to understand the context in the countries where we work in order to identify the key socio-political barriers to equitable and efficient interventions in response to climate change. At the local level it is necessary to ensure that climate change related projects and policies build the resilience of the poor and improve their welfare. Adapted from “The Social Dimensions of Climate Change: Equity and Vulnerability in a Warming World,� Eds. Robin Mearns and Andrew Norton, December 2009 CONTRIBUTION 1: identifying key factors of vulnerability and resilience Providing insights into the socially differentiated nature of vulnerability and existing capacity to build resilience. Many of the world’s poorest and most vulnerable people already feel the effects of climate change, CHALLENGE: and adverse impacts are unavoidable for millions more. Information on hazard exposure is one component of risk analysis. It is equally critical to have a comprehensive understanding of a community’s vulnerability to those hazards as well as their adaptive capacity. Thus, a first step in formulating strategies to help poor people adapt is to develop an understanding of who is affected, how they are affected and where vulnerable groups are located. Vulnerability is shaped by liveli- hood context, gender, age, social class, ethnicity, caste, etc. A comprehensive understanding and quantification of risks needs to be complemented with information on how vulnerability is socially differentiated. Photo: Curt Carnemark/The World Bank OPERATIONAL TOOLKIT 7 Integrating the social dimensions of climate change BOX 1. Using vulnerability profiles to inform helps: Given that climate change is a dynamic process with adaptation interventions in India uncertain outcomes, project design needs to be informed by the active and future drivers of risk and people’s exist- Challenge: Reducing the impacts of drought has been a key ing adaptive and coping strategies. Existing frameworks priority for the Government of Andhra Pradesh. Nevertheless, the failure of the monsoon rains continues to have a disastrous grounded in vulnerability analysis, including entitlements, effect on the state’s agricultural sector. Moreover, crafting an livelihoods, and other asset-based approaches, offer entry effective policy response has proven difficult because the effects points for pro-poor climate action and guide task teams in of the drought are socially differentiated and different dry land farming systems face unique vulnerabilities. targeting interventions. Social development solution: Use participatory methods to Social development tools: Social development tools can tailor interventions for different vulnerability profiles. be used to compile vulnerability profiles that task teams The pilot Andhra Pradesh Drought Adaptation Initiative (AP-DAI) focuses on transmitting messages and proposing approaches can draw upon in the process of designing operations with that recognize basic differences among communities located in climate change related themes. Vulnerability profiles, in dry land farming systems in the region. The impacts of drought their simplest form, provide descriptive information about vary significantly at small geographic scales in the region due the major characteristics of a particular social group that to the natural variability in weather patterns, differences in soil types and water availability, access to markets and social make people vulnerable including: physical factors, lack of circumstances. Potential responses to drought therefore require assets and/or access to resources, socioeconomic trends, intensified efforts at village and watershed levels. cultural or political factors and institutional issues. By high- The project compiled vulnerability profiles and tailored interven- lighting the social differentiation of vulnerability task teams tions to each community. First, the project targeted areas that are able to more effectively target policies and programs. were representative of different challenges (e.g. little irrigated Existing social analysis tools (e.g., institutional analysis, land, common property, depleted soil tops). Second, the project stakeholder analysis, social assessments, environmental held participatory consultations with communities to identify other drivers of vulnerability and devise ways of addressing analysis, etc.) help task teams better identify and address factors that limit long-term adaptation to climate change. Next, assets and capacities to promote resilience. Moreover, the project developed a variety of matrices that could be used an array of participatory tools (e.g., participatory risk as- to classify drivers of vulnerability, the way that climate change would impact these vulnerabilities and potential responses. sessment, participatory risk mapping, participatory rural Finally, the project used the matrices to determine the blend of appraisal, wealth ranking) can be used to develop a com- interventions that should be implemented in different communi- prehensive profile of vulnerability at the community level. ties. As a result, the project has been able to tailor adaptation strategies to communities’ unique risk profiles. Based on the results of the pilot, the project has plans to scale up the ap- proach to a bigger coverage area. Adapted from: Andhra Pradesh Drought Adaptation Initiative Final Report. World Bank, 2007. did you know? As with other climate change risks, resilience to natural disasters is shaped by a variety of social factors, including gender. While men and women are equally exposed to natural hazards, their vulnerabilities differ and they face different challenges in both the response and recovery processes. For example, women in Bangladesh had a much higher mortality rate than men during cyclones as a result of a variety of factors. First, many women delayed departing for shelters because they were responsible for organizing provisions for the livestock and preparing food for their families. Second, due to religious reasons many women would not leave their homes without their husband’s permission, even in the face of a cyclone. Finally, women were hesitant to go to shelters because it put them in the company of a large number of unknown men in a dark and crowded setting and did not include separate facilities for women. By making shelters more comfortable for women and adopting community based approaches to ensure that women make it to shelters, Bangladesh has been able to decrease female mortality due to cyclones. Adapted from: Nehal Karim. “Options for Cyclone Protection: Bangladesh Context.� Available online at http://www.climate.org/PDF/Bangladesh.pdf CONTRIBUTION 2: supporting pro-poor adaptation in project design and implementation Helping climate change interventions be responsive to the needs of the poor and vulnerable CHALLENGE: Poor and natural resource-dependent households will bear a disproportionate burden of the ad- verse impacts of climate change. Information on climate change impacts and household responses to current climate risk need to be integrated into initiatives in order to strengthen existing adaptive capacity and build long-term resilience. Photo: Steve Harris/The World Bank OPERATIONAL TOOLKIT 9 Integrating the social dimensions of climate change helps: Approaches such as community driven development, BOX 2. Bridging the gap between local and national adaptation strategies in Mozambique community-based natural resource management and community-based disaster risk management can be used Challenge: Mozambique faces a high level of risk to current to promote pro-poor adaptation. Social development can climate variability. Given the uncertainties related to how climate change will affect these risks in the future, national adaptation also help mobilize or strengthen the capacity of local insti- plans need to take into account the risks faced by the most tutions (e.g., Water User Associations, Farmer Groups and vulnerable communities at the local level in order to be relevant. Women Groups) to promote climate resilience. By utilizing participatory methods, social development approaches can Social development solution: Use Participatory Scenario Development to link local realities to the national policy help task teams design and implement community-based In order to bridge the gap between national and local level development and institutional strengthening activities that approaches to adaptation, the World Bank facilitated a series enhance local people’s capacity to adapt to climate vari- of Participatory Scenario Development (PSD) workshops with ability and volatility. While climate science is limited at the national and local stakeholders. The PSD approach explores different futures for a region or set of social groups under local level, this need not be a constraint on thinking how changing climate conditions. Through a facilitated set of group to build resilience. By drawing on the living experience of exercises, stakeholders identify their preferred future vision for poor communities, much can be learned about both the an area; apply boundary conditions of climate projections as well as socio-economic, demographic and economic projections; and impacts of climate change and ways in which autonomous then identify expected socioeconomic impacts of projected climate adaptation can be supported. Participatory methods can change and preferred adaptation options and their sequencing. be used to build on local indigenous knowledge and collect The analysis is conducted with reference to a particular place good practices of past risk management strategies. In addi- (e.g., sub-national regions) or a particular producer or other socioeconomic group (e.g., smallholders, fishing community, tion, participatory approaches can help bring stakeholders urban petty traders, etc.). Adaptation options identified are further together to develop comprehensive regional adaptation interrogated by the group to identify how pro-poor an option is; the strategies and longer-term development plans that take synergies and tradeoffs of each option; and what policy or other into account local dynamics and drivers of risk. pre-conditions need to be in place. A timeline for implementation is also identified. Undertaking PSD workshops across a number of key agro-ecological zones or production systems, as well as Social development tools: Participatory scenario devel- in rural, town and urban settings allows for validation of results opment can be used to contextualize climate scenarios obtained in national-level workshops and in other national plans of adaptation such as NAPAs. at a local level and facilitate discussions about potential adaptation options in order to identify what forms of pub- Adapted from: Economics of Adaptations to Climate Change: Social lic policy or investments are needed to facilitate effective Synthesis Report. Social Development Department, The World Bank, 2010 adaptation at the local, regional or national levels. More- The Social Dimensions of Adaptation to Climate Change in Mozambique, Environment Discussion Paper No. 16, December, 2010 over, tools such as the Community-based Risk Screening Participatory Scenario Development Approaches for Identifying Pro-Poor Tool-Adaptation and Livelihoods (CRiSTAL) can be used to Adaptation Options, Environment Discussion Paper No. 18, December, provide an understanding of the links between people’s 2010 Participatory Scenario Development Approaches for Pro-Poor Adaptation: livelihoods, climate-related risks, and project activities. Capacity Development Manual, Environment Discussion Paper No. 19, December, 2010 BOX 3. Implementing community based approaches to enhance climate resilience in China Challenge: The World Bank supported Poverty 5 project covers some of China’s poorest areas. The project area population’s continued dependence on agriculture and their agricultural practices threaten the ecosystem and land resources sustainability. While accelerating land degradation is in great part due to poor land use decisions, these challenges are likely to be exacerbated by climate change, which is projected to have particularly pronounced effects in these agricultural transition areas. Social development solution: Implement a Community Driven Development approach By adopting a CDD approach, the Poverty 5 project supports communities’ ability to adapt to land use constraints and enhances their climate resilience. Promoting community-led adaptation planning helps to ensure ownership and sustainability of the project. Moreover, through its activities, the project will demonstrate ways to integrate policies and practices for ecosystem-based land use planning, sustain- able land management and climate change risk management into the government’s poverty reduction programs. CONTRIBUTION 3: promoting socially inclusive mitigation interventions Helping operations minimize adverse impacts, ensuring that people equitably benefit from mitigation action CHALLENGE: Mitigation policies and measures can have significant distributional impacts, including opportuni- ties and risks for the poor and other vulnerable groups. As programs like Reducing Emissions from Deforestation and Forest Degradation (REDD) and the Clean Development Mechanism (CDM) become more widespread, promoting low-carbon livelihood options that deliver development co- benefits—particularly in the areas of agriculture, forestry and sustainable land management—will be an important benchmark for the success and sustainability of climate mitigation. This calls for participatory approaches that place particular emphasis on robust safeguards and equitable benefit-sharing opportunities. Photo: Scott Wallace/The World Bank OPERATIONAL TOOLKIT 11 Integrating the social dimensions of climate change helps: Social development can help teams to manage BOX 4. Sharing the benefits of wind power and carbon offsets with Indigenous Communities: The Jepirachi Project in Colombia the social risks of mitigation, assess co-benefits, promote bottom-up participation and analyze the accountability Challenge: The objective of the Jepirachi Carbon Offset Project mechanisms in mitigation projects and policies. Applying (JCP or Jepirachi Project) is to contribute to the reduction of greenhouse gas emissions from the power sector in Colombia diagnostic tools such as social assessments or Poverty through the promotion of a wind-based electricity generation and Social Impact Analysis (PSIA) can help to ensure that facility. The project is expected to displace an estimated 1.168 carbon programs respect the rights of Indigenous Peoples million metric tons of carbon dioxide equivalent over a period of and marginalized groups and that mitigation interventions 21 years. In this way, the JCP contributes to the development of the international carbon market in Colombia through the supply engage local communities and generate significant socio- of emission reductions developed under the Clean Development economic co-benefits. Mechanism set forth under the Kyoto Protocol. Implemented on indigenous lands, the program had to develop novel ways to Social development tools: In addition to the Bank’s own share the project’s benefits with the local communities in order to be successful. safeguard policies, a variety of social development tools can be applied to guide mitigation interventions. First, so- Social development solution: Use participatory approaches to cial analysis, PSIA and strategic environmental and social ensure benefit sharing In order to ensure that the intervention benefited the local popu- assessments (SESA) can be incorporated at the beginning lation and adequately addressed their economic and cultural of the project cycle to inform operational design by identify- priorities, the project carried out a participatory diagnosis with ing potential winners and losers of proposed interventions. communities. Working together, the project and communities Second, institutional analysis can be applied to provide an developed a funding mechanism to support indigenous social programs in which the energy provider agreed to pay an addi- understanding of political economy and governance issues tional premium on the value of the emission reductions that was involved in mitigation projects. Finally, participatory tools earmarked to benefit indigenous communities directly through such as participatory poverty assessments and participa- a variety of initiatives. The projects, which are community driven tory monitoring and evaluation can be used to enhance and designed in a sustainable manner, address a variety of so- cial, cultural, and economic themes in ways that are consistent accountability in mitigation interventions. with community members’ traditions and priorities. For example, the program funded a health clinic, rehabilitated schools and provided community members with training on indigenous rights. This project is a prime example of how effectively linking global environmental issues with a concern for local development issues can generate positive development outcomes. Adapted from: Social Development and Infrastructure: Working in Partnership for Sustainable Development, World Bank, 2009. BOX 5. Identifying the poverty and social impacts of charcoal sector reform in Tanzania Challenge: In Tanzania, wood fuels make up nearly 95 per cent of total energy supply. With an annual charcoal consumption of around 1 million tons, wood harvesting for charcoal production causes an average loss of forest area of 100,000 to 125,000 hectares per year. With an estimated annual population growth of 2 to 3 per cent and rapid urbanization, the demand for charcoal is expected to increase in the future. This is a key driver of forest degradation and deforestation which counters efforts to mitigate climate change and runs contrary to Tanzania’s REDD objectives. Moreover, the distribution of benefits along the charcoal value chain is considered to be highly inequitable. Charcoal dealers, transporters and wholesalers in the informal sector capture a major share of profits, while charcoal producers – mainly poor households in rural and peri-urban areas – see little money for their work. Social development approach: Understand the political economy of reform The World Bank collaborated with government and local stakeholders to map out the political economy of the charcoal sector and analyze the poverty and social impacts of potential policy options. The team systematically assessed the stakeholders and institutions involved in the sector, their interests, influence, and resources; and identified ways to engage relevant stakeholders in a sector reform strategy. Based on this understanding the team identified policy options that can be realistically implemented. The results of the analysis will feed into the ongoing policy dialogue with the government on charcoal sector reform and sustainable natural resources management. CONTRIBUTION 4: promoting accountability and good governance towards improved resilience Helping to enhance the effectiveness of climate change policies and programs by promoting citizens’ demand for good governance. CHALLENGE: The governance of climate action at the national and local levels poses significant challenges. Effective local adaptation requires local institutions that are responsive and adaptive to the un- certainties associated with climate change. Institutions shape adaptive capacity at the local and national levels and are critical in ensuring that the results of adaptation and mitigation efforts match their intentions. In order to function effectively, they must be transparent and accountable to citizens. Photo: The World Bank OPERATIONAL TOOLKIT 13 Integrating the social dimensions of climate change helps: Social development can help design and implement BOX 6. Building bridges between coastal communities and governments in West Africa approaches that increase transparency, accountability, and performance of climate change interventions. Social Challenge: Coastal fishing communities in West Africa are pre- accountability tools help expose mismanagement, cor- dominantly vulnerable, poor, and rural. Unless communities are aware of government plans for coastal areas and empowered ruption, and poor governance by increasing communities’ to engage with governments to develop policies and programs awareness of what operations are supposed to do and to deal with the impacts of climate change, their vulnerability is provide them with the tools necessary to monitor progress. likely to increase in the future. Moreover, interventions that enhance transparency and Social development approach: Enhance accountability accountability provide stakeholders with a sense of owner- through participatory approaches ship and empowerment so that they can more effectively The Community Co-Management for Disaster Risk Management contribute to the development of climate change related of Marine Resources in West Africa project aims to empower actions and policies. communities to: comprehend existing policies and engage with government on issues pertaining to coastal and marine resource management; develop local-level policies and strategies which Social development tools: There are a wide range of social will help each community assume stronger management of development tools that can be applied to enhance account- their own coastal and marine resources; and, begin to develop community-specific strategies to respond to local risk factors ability and improve governance in climate change related resulting from climate change. operations including: input tracking, community score cards, citizen report cards, participatory monitoring and To accomplish these objectives, the project first conducts evaluation, and institutional mapping. For example, citizen surveys to collect information about existing vulnerabilities, livelihoods strategies and government-community relations. The report cards, which involve polling citizens to get their opin- information collected is then disseminated to communities so ion on the quality of service delivery in a given sector, can that they can get a sense of the vulnerability profile within their be used to assess governments’ performance on climate community. The project then strengthens local government-com- change interventions at the local level. Also, awareness munity cooperation via moderated sessions for the preparation of local-level policies and strategies related to co-management raising and communication tools, such as community radio of marine resources and local disaster risk management. By and participatory videos, are an effective tool in bridging enhancing accountability and strengthening the links between the coordination and communication gap between commu- citizens and government, the approach promoted by the project enhances communities’ ability to hold government accountable nities, local authorities and national level policy makers on in the context of adaptation planning. integrating climate resilience into local level planning. did you know? Local institutions have shaped how rural residents have responded to environmental challenges in the past and are also the mechanisms that will facilitate adaptation to climate change in the future. Because adaptation to climate change is local, local institutions (including private, public and civic organizations in both their formal and informal forms) play an important role in shaping adaptation and strengthening the livelihoods of the most vulnerable social groups. Broadly speaking, local institutions shape the effects of climate risk in three important ways. First, they influence how households are affected by climate impacts. Second, they shape the ability of households to respond to climate impacts and pursue different adaptation practices. Finally, they mediate the flow of external interventions in the context of adaptation. Given that well functioning local institutions are a prerequisite for effective climate change operations, implementing interventions aimed at promoting transparency and accountability at the local level is an important step in the right direction towards climate change resil- ience. Adapted from: Arun Agrawal, Catherine McSweeney and Nicolas Perrin. “Local Institutions and Climate Change Adaptation.� World Bank, 2008. 14 SOCIAL RESILIENCE AND CLIMATE CHANGE BOX 7. The importance of local institutions in climate change adaptation: Recommendations from Niger’s Pilot Program for Climate Resilience (PPCR) Challenge: The impacts of climate change are local, and require locally-driven solutions if they are to be sustainable. Niger’s PPCR aims to demonstrate ways in which climate risk and resilience may be integrated into core development planning and implementation, provid- ing incentives for scaled-up action and initiating transformational change. Social development approach: Understand and strengthen capacity of local institutions A report commissioned by the Social Development department examined the role of local institutions in adaptation to climate change in Niger. The report concluded that the vulnerability of communities to climate-related hazards is a local issue requiring a local approach that is managed by grassroots institutions. As such, the report made the following operational recommendations: • Integrate the climate dimension into local council development plans: Council Development Plans will need to more effectively account for how the impacts of climate change will affect households’ livelihoods. As such, various climate scenarios and adaptation strategies should be gradually integrated into the planning process. • Give more responsibilities to community institutions: Develop efficient mechanisms enabling grassroots community institutions to better participate in diagnosis on climate change at the local level and lend their environmental know-how and knowledge in defining appropriate adaptation measures. • Envisage the planning/implementation of inter-communal actions to combat climate change: Large-scale initiatives to combat the effects of climate change should be launched at the level of local governments sharing the same agro-climatic constraints. Moreover, the use of informal inter-community associations could facilitate to kick-start inter-community projects. These recommendations were included in the Strategic Program for Climate Resilience (SPCR), which has the objective to strengthen the resilience of communities and production systems to climate change, in order to increase national food security. The strategy includes a proposal for a “Community Action Project for Climate Resilience� (CAPCR), which is currently under development. It complements the second phase of the on-going ‘Community Actions Program’ (PAC2), that aims to strengthen local municipalities’ capacity to formulate and implement local development plans and annual investment plans on the basis of needs expressed by rural communities in a participatory manner. Adapted from: Local Development, Institutions and Climate Change in Niger. Social Development Department. World Bank, 2009. Photo: Tom Blomley/Acacia Natural Resource Consultants OPERATIONAL TOOLKIT OPERATIONAL TOOLKIT 15 TIPS FOR TASK TEAM LEADERS: getting the most out of your social development specialist for climate change operations The Bank has adopted a growing range of activities and in- Country Assistance Strategy (CAS) struments to support climate resilient development. Social As awareness of the potential impacts of climate change development specialists can help task teams working on on social and economic development grows, an increasing climate change activities ranging from analytical work and number of countries are integrating climate change as a technical assistance to investment lending and country strategic pillar in their Country Assistance Strategies. In fis- strategies. Involving a social development specialist from cal year 2010, 30 out of 34 Country Assistance or Country the earliest stages of preparation and ensuring continued Partnership Strategies included strategies to address cli- support through the entire cycle of the project or program mate change. For example, the Philippines’ CAS integrates can improve operational effectiveness and development climate change into its social protection system by identify- outcomes. Social development specialists can contribute ing how poverty is driven by the nexus between the environ- in four main areas: ment and climate change, including natural disasters. 1. Analysis: providing an improved understanding of com- Social development specialists help identify priority areas plex social responses to climate change and drivers of risk by facilitating vulnerability mapping for a 2. Consultations: giving voice to the poor and marginal- particular location or social group. These guides can serve ized to inform climate action as inputs for macro level policy tools and determine appro- 3. Instruments: ensuring that project components sup- priate responses for vulnerable groups. Diagnostic tools, port pro-poor climate action such as country social analysis and country gender analy- 4. Monitoring and evaluation: developing M&E indicators sis, can also be used to assess the current and future risks to monitor progress and track outcomes related to the related to the negative social impacts of climate change in social dimensions of climate change. the context of the wider development context. Support from social development goes beyond social safe- Development Policy Operations (DPOs) guard policies, including: Development Policy Operations on climate change are a stra- tegic opportunity to support a government’s climate change • Upstream social and institutional analysis agenda, including key sectors and policy actions that also • Assessing client institutional capacity to manage social contribute to sustainable poverty reduction. For example, risks and opportunities the Government of Mexico is undertaking a DPL to develop • Managing structured consultations a pro-poor national adaptation strategy and to ensure that • Developing networks of local social scientists that can their efforts on disaster risk management, urban develop- act as resource people for climate change action ment and forestry support the adaptive capacity of the poor • Contributing to capacity development components in vulnerable areas. The Government of Indonesia is prepar- • Assisting with methodological issues (e.g. design of ing a series of DPOs focused on three main development is- baseline survey, participatory monitoring and evalua- sues: climate change mitigation, climate change adaptation tion) and institutional/cross-sectoral issues. The interventions aim to support the Government’s efforts to develop a lower The following examples highlight some of the ways in which carbon, more climate-resilient growth path that will also ben- the World Bank is supporting its client governments to ad- efit Indonesia by improving governance, forest management, dress the social dimensions of climate change. efficiency, competitiveness, and energy security. Operational Policy 8.60 requires that the Bank determine SOCIAL RESILIENCE AND CLIMATE CHANGE 16 SOCIAL RESILIENCE AND CLIMATE CHANGE whether country policies supported by DPOs are likely to Working with communities and indigenous groups on miti- have significant poverty and social consequences. Pov- gation efforts by reducing emissions from deforestation erty and Social Impact Assessment (PSIA) is a systematic and forest degradation (REDD) can present risks of nega- approach to analyze the distributional impact of policy tive outcomes for the rural poor and their livelihoods in reforms on the welfare of different stakeholder groups, terms of limited access to markets and information, weak with a particular focus on the poor and vulnerable. Climate legal regulatory frameworks, restricted access to forests, policy interventions require the analysis of distributional and corruption. impacts, including the types of impacts and transmission channels, the tools and techniques most appropriate, the Social development specialists can help in assessing and data sources typically required, and the range of political addressing the social impacts of REDD through Strategic economy factors most likely to affect the reform process. Environmental and Social Assessment (SESA) that includes consultation, analysis and planning. Facilitating participa- As part of its country dialogue, the Bank advises borrow- tion of vulnerable stakeholders and building the capacity of ing countries to consult with and engage key stakeholders different stakeholders ensures that financial flows benefit in the process of formulating the country’s development local communities. They can also help in mainstreaming strategy. Consultation and interviews with key informants REDD in land-use plans and poverty strategies, as well as not only provide important information about expected incorporating local formal and informal institutions (includ- beneficiaries and most affected people and groups, but ing women’s groups) in the analysis and decision making. also contribute to country ownership of the planned reform. Climate Investment Funds (CIF) Investment Lending Social development approaches can help mitigate the Strategic Environmental and Social Assessment (SESA) as reputational risks associated with implementing CIFs by well as social safeguards OP4.10 on Indigenous People including socially adequate indicators and monitoring and and OP4.12 on Involuntary Resettlement play a key part evaluation frameworks at all levels, from global programs in climate-change related operations (both mitigation and to sub-funds and investment plans. Indicators that take adaptation). Social assessments are used to identify the into account socio-economic and cultural differences can nature and magnitude of social impacts and risks, identify guarantee that the financing instruments designed to sup- indirect social and economic impacts and identify project port low-carbon and climate-resilient development are activities that may give rise to involuntary resettlement. socially inclusive and benefit different target groups in the Task teams can also use social development specialists to pilot countries. help facilitate frequent field visits for the task team so as to better understand potential impacts, community priorities, Especially relevant are the Forest Investment Program and opportunities for enhancing benefits. (FIP) and Pilot Program for Climate Resilience (PPCR) that aim for transformational change through investments in Carbon Finance institutional capacity and local level interventions. Social In recent years, the World Bank has been increasing its development specialists can help with broad consultations efforts to apply market-based solutions to mitigation chal- to ensure voice and participation of local populations, with lenges. In this context, it is working through a number of upfront social analysis to make sure that vulnerable and carbon funds and facilities to support policy initiatives marginalized groups such as women, the elderly and youth and specific projects. Among those, the Forest Carbon are properly considered, as well as with project design to Partnership (FCPF), the BioCarbon Fund (BioCF), and the assist in determining appropriate instruments (e.g., social Community Development Carbon Fund (CDCF) are facing protection) to target the different determinants of vulner- the most direct social and livelihoods issues. FCPF is the ability. World Bank’s instrument for supporting REDD. In practice it is expected to be blended with Investment Lending. OPERATIONAL TOOLKIT OPERATIONAL TOOLKIT 17 SOCIAL DEVELOPMENT TOOLS FOR CLIMATE RESILIENCE TOOL KEY RESOURCE Participatory Poverty Assessment: An instrument for including poor people’s views in the • Participatory Poverty Assessment - A Rough Guide to analysis of poverty and the formulation of strategies to PPAs. Overseas Development Institute, 2001. reduce it through public policy. Poverty and Social Impact Analysis: Analyzes the distributional impact of policy reforms • A User’s Guide to Poverty and Social Impact Analysis. on the well-being or welfare of different stakeholder World Bank, 2003. groups, with particular focus on the poor and vulner- • Analyzing the Distributional Impact of Reforms. World able. Bank, 2005. • Tools for Institutional, Political and Social Analysis of Policy Reforms (TIPS), World Bank and DfID, 2005. • PSIA for Climate Change DPOs: A Guidance Note. World Bank, 2011. Social Analysis: Social Analysis of Investment Lending examines the • Social Analysis Sourcebook. World Bank, 2002. social opportunities, constraints and likely impacts of Bank-supported operations Country Social Analysis is a macro-level analytical ap- • Understanding Socio-economic and Political Factors to proach, developed to improve the World Bank’s under- Impact Policy Change. World Bank, 2006. standing of a country’s political and social context. Conflict Analysis: Analyzes key factors influencing conflict, focusing on • The Conflict Analysis Framework. World Bank, 2005. six areas: social and ethnic relations; governance and political institutions; human rights and security; eco- nomic structure and performance; environment and natural resources; and external factors. Gender Analysis: An approach used to improve understanding of the • A Conceptual Framework for Gender Analysis and role gender issues play in a country’s development Planning. International Labour Organisation, 1998. context in order to improve opportunities for women. • Indonesia Gender Assessment. World Bank, 2006. Resources available online at worldbank.org/social resilience, except where otherwise indicated. SOCIAL RESILIENCE AND CLIMATE CHANGE 18 SOCIAL RESILIENCE AND CLIMATE CHANGE TOOL KEY RESOURCE Tools to understand the specific gender impacts of • Resource Guide on Gender and Climate Change. climate change. UNDP, 2009. • Training Manual on Gender and Climate Change. IUCN, UNDP and the Global Gender and Climate Alli- ance, 2009. Social Capital Assessment: A toolkit for understanding and measuring social capi- • Social Capital Assessment Tool. World Bank, 2003. tal and its role in development Livelihoods Analysis: Sustainable Livelihoods Guidance Sheets: Short notes • DfID, 1999. Available on http://www.ennonline.net/ aimed at senior policymakers, managers and practi- resources/667 tioners interested in studying livelihood change. They provide a distillation of lessons learned on the “how� of studying livelihood diversification and change. A Guide to Learning About Livelihood Impacts of • CIFOR, 2010. Available on www.cifor.cgiar.org REDD+ Projects: Provides guidance on understand- ing the livelihood impacts of first-generation REDD+ projects. Participatory Monitoring and Evaluation: Facilitates stakeholder engagement in monitoring • Sleeping on Our Own Mats: An Introductory Guide to or evaluating a particular project, program or policy. Community-based Monitoring and Evaluation. World Stakeholders share control over the content, the pro- Bank, 2002. cess and the results of the M&E activity and engage in • Participatory Monitoring and Evaluation: Learning identifying and implementing corrective actions. From Change (IDS Issue Brief), 1998 • Participatory Monitoring and Evaluation with Pastoral- ists: A Review of Experiences and Annotated Bibliog- raphy, Wolfgang Bayer and Ann Waters-Bayer, GTZ, 2002. • Changing views on change: participatory approaches to monitoring the environment. Joanne Abbot and Irene Guijt, SARL Discussion Paper No. 2, July 1998. • Participatory monitoring and impact assessment of sustainable agriculture initiatives. Irene Guijt, SARL Discussion Paper No. 1, July 1998. • Participatory Impact Monitoring. Dorsi Germann, Eber- hard Gohl, and Burkhard Schwarz, GTZ, 1996. Resources available online at worldbank.org/social resilience, except where otherwise indicated. OPERATIONAL TOOLKIT OPERATIONAL TOOLKIT 19 TOOL KEY RESOURCE A participatory survey that solicits client feedback on • Citizen Report Card: Social Development Note, No. 91, the performance of public services World Bank, 2004. • Community Score Cards in Bank Operations A monitoring tool that draws on techniques of social • Community Score Card Process in Gambia: SD Note audit, community monitoring and citizen report cards. 100 (World Bank), 2005. Facilitates opportunities for service providers and • Characteristics of a Resilient Community. John Twigg, stakeholders to exchange ideas and provide feedback August 2007. Contributes to M&E at community level by detailing what a resilient community might consist of Participatory Processes: Engages stakeholders to influence and share control • The World Bank Participation Sourcebook. World over development efforts and the decisions and re- Bank, 1996. sources that affect them • Participatory Learning and Action: A Trainer’s Guide. Jules N. Pretty, Irene Guijt, John Thompson, and Ian Scoones. IIED, 1995. Institutional Analysis: An approach that unpacks “the black box� of decision- • A User’s Guide to Poverty and Social Impact Analysis. making and implementation processes. World Bank, 2003. Provides an understanding of political economy and • Interest Groups and Organizations as Stakeholders, governance issues by analyzing the institutions that Social Development Paper 35. World Bank, 2001. are involved in the design and implementation of reforms and the potential constraints on reform that these dynamics generate Participatory Public Expenditure Tracking Survey: A participatory technique used to survey service pro- • Public Sector Governance Analytical Toolkits and Sur- viders to assess the efficiency of public spending and veys — Public Expenditure Tracking Surveys the quality and quantity of service • Efficiency of Public Expenditure Distribution and Be- yond: A Report on Ghana’s 2000 PETS in the Sectors of Primary Health and Education (World Bank), 2002 Independent Budget Analysis--A wide range of stake- • Budget Demystification, Review and Analysis: A Gen- holders research, unpack, monitor and disseminate eral Note on Methodology, (World Bank) information about public expenditure and invest- ments. This may involve analyzing the impact and implications of budget allocations, demystifying the technical content of the budget, raising awareness about budget-related issues and undertaking public education campaigns to improve budget literacy. Resources available online at worldbank.org/social resilience, except where otherwise indicated. SOCIAL RESILIENCE AND CLIMATE CHANGE 20 SOCIAL RESILIENCE AND CLIMATE CHANGE TOOL KEY RESOURCE Vulnerability Analysis and Adaptation Planning: Social Vulnerability Profiles for Climate Change: Par- • Climate change and vulnerability profiles : a decision ticipatory technique to identify common areas and centric approach (SDV) 2009 determinants of vulnerability of a particular location or social group Participatory Scenario Development for Climate • Economics of Adaptation to Climate Change: Social Change: An instrument for including communities’ Synthesis Report, Social Development Department, views in the analysis of climate vulnerability and the The World Bank, 2010. formulation of mitigation and adaptation strategies to reduce it. Adaptation Coalition Toolkit: Prepares local commu- • Adaptation Coalition Toolkit (World Bank, 2011) nities to adapt under uncertain climate scenarios by building their internal organization and capacity to identify external partners and resources, such as World Bank projects seeking greater levels of local participation, in order to adapt over the long-term to the unpredictable and diverse impacts of climate change Community-based Risk Screening Tool-Adaptation • Community-based Risk Screening Tool-Adaptation and and Livelihoods (CRiSTAL): Provide an understanding Livelihoods (CRiSTAL) of the links between people’s livelihoods, climate- • ProVention Consortium Guidance Notes (available on related risks, and project activities. www.proventionconsortium.org) Climate Vulnerability and Capacity Analysis Hand- • Climate Vulnerability and Capacity Analysis Handbook book: Helps to understand the implications of climate • CARE, May 2009. change for the lives and livelihoods of the poor. By combining local knowledge with scientific data, the process builds people’s understanding about climate risks and adaptation strategies. Resources available online at worldbank.org/social resilience, except where otherwise indicated. OPERATIONAL TOOLKIT OPERATIONAL TOOLKIT 21 TOOL KEY RESOURCE Community Risk Assessment Toolkit: A searchable • http://www.proventionconsortium.org/?pageid=39 database of tools for community based disaster risk • Adapting to Climate Variability and Change: A Guid- assessment ance Manual for Development Planning, USAID, Au- gust 2007 Carbon Finance: The Carbon Finance Toolkit: Ensuring Benefits for • Community Development Carbon Fund, World Bank, Communities Contains carbon finance guides for com- 2009 munities, local governments, and task team leaders Climate Change E-learning tools: A suite of new and innovative tools and methods, da- • SDCC E-Learning Module tasets, experiences and guidance that is a resource • E-learning Community Based Adaptation to Climate for strengthening the capacity of those tasked with Change. Available at: www.fao.org/climatechange/ undertaking adaptation and mitigation. learning • www.weADAPT.org Community Driven Development: Tools for integrating disaster risk management into • Building Resilient Communities: Risk Management CDD operations and Response to Natural Disasters through Social Funds and Community-Driven Development Opera- tions, World Bank. Resources available online at worldbank.org/social resilience, except where otherwise indicated. The Social Development Department The World Bank 1818 H Street NW Washington D.C. 20433, USA For more information about social resilience and climate change, scan this www.worldbank.org/socialresilience code. asksocial@worldbank.org INSTRUCTIONS: 1. Download a “QR code� reader for your mobile phone. 2. Open the application on your phone and scan the code using your phone’s camera