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Social Analysis in PSIA
Renate Kirsch
Nairobi, December 2006
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TIPS Sourcebook:
A framework for Social Analysis
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Social Analysis in PSIA

Institutional: the “rules of the game” that people develop to govern
group behavior and interaction in political, economic and social
spheres of life

Political: the structure of power relations and often-entrenched
interests of different stakeholders

Social: the social relationships that govern interaction at different
organizational levels, including households, communities and social
groups.
 Important to signal that reforms



are manifested through institutional mechanisms
have important political economy dimensions
have differential impacts on different social groups
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What is the value added of social
analysis in PSIA?





Explains how social identity and social relations may
affect reform outcomes and impacts (ethnic minorities in
Laos)
Analysis of informal rules and behaviors helps to
understand implementation issues and constraints
(Tanzania Crop Board)
Focus on Analysis of interests and influence of different
stakeholders helps to understand effects of political
economy (Indonesia Imported Rice Tariff Pricing)
Helps to identify socio-political and institutional risks
(Zambia land reform)
Emphasis on PSIA process and dialogue helps to identify
bottlenecks and preconditions for ownership of reforms
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What are institutions?

Organizations as well as “Rules of the Game”



may be formal ( legal systems, property rights,
enforcement mechanisms); or
informal, (cultural practices and social norms)
Institutions operate and influence behavior in different
domains of daily life:



the state domain (governing justice, political processes and
service delivery),
the market domain (governing credit, labor and goods) and
the societal domain (governing community and family
behavior).
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TIPS Sourcebook:
A framework for Social Analysis
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Macro Level
Country
Context
•Country Social
Analysis
•Power Analysis
•Drivers of Change
Macro Level
Country & Reform
context
Reform
Context
•StakeholderAnalysis
Matrices
•Political Mapping
•Network Analysis
•TransactionCost
Analysis
•The RAPID Framework
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1. Macro level social analysis:
Understanding country context

What is the significance of:
Historical context
 Political-ideological climate
 Political-institutional culture
 Economic and social make-up

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Country Social Analysis (CSA)

upstream, political economy analysis that seeks to inform policy
dialogue and to improve the effectiveness and sustainability of
development interventions

provide recommendations for the removal of barriers to equal
opportunities for participating in development, accessing public
institutions and holding them accountable,

The CSA framework analyzes the interaction between two dimensions:

Social diversity, assets, and livelihoods
 What is the existing distribution of and access to assets and services across
different social groups? What is the impact of that distribution in the
livelihoods and coping strategies of the poor?

Power, institutions, and governance
 What are the institutions that mediate access of the poor to assets and services?
How do these institutions impact policy making and resource reallocation ?
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Country Social Analysis Yemen
Three objectives:



Factors that contributed to inclusion/exclusion of specific socioeconomic
groups,
The processes that enhanced or weakened cohesion within and among groups,
The means by which people could hold institutions accountable.
Pursued through an Analysis of Livelihoods:



Change of livelihood pattern in secondary towns and how this affects access to
assets and services of different social groups.
Livelihood strategies in rural areas. Most poverty is in rural areas with farming
predominant livelihood, rural people’s access to assets, institutions
Analysis of the alignment of government policies and investments with
people’s strategies..
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Country Social Analysis:
Yemen, Findings


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Inequality is increasingly becoming an issue in Yemen. Youth,
women and rural people are becoming marginalized from the
economy as traditional livelihood systems decline but are not
replaced with new opportunities
Insufficient integration of modern and customary norms is
rapidly changing the rules for managing communal resources
such as land and water. This is resulting in the concentration of
productive land in the hands of a small number of powerful
families, while the poor have diminishing access to either rural
or urban land
Poverty, inequality and patronage also threaten social cohesion
in Yemen. Current systems of social solidarity at the household
and communal levels are stressed as a result of deepening
poverty.
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Country Social Analysis:
Yemen, Findings II

There are also new opportunities for
socioeconomic inclusion. Social mobility in
Yemen used to be based on social status, now
the cash economy and state education provide
are means for social advancement of
historically marginalized groups
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Macro Level
Country
Context
•Country Social
Analysis
•Power Analysis
•Drivers of Change
Macro Level
Country & Reform
context
Reform
Context
•StakeholderAnalysis
Matrices
•Political Mapping
•Network Analysis
•TransactionCost
Analysis
•The RAPID Framework
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1. Macro Level Social Analysis:
Understanding policy reform context
Policy reform is highly political and not a technical exercise. If
political-economic and social context of the reform is not
understood, danger that the designed is a ‘one-size-fits-all-solution’
ignoring country specific factors that can be crucial for the success
or failure of reform.
Macro-level stakeholder analysis: Understanding the interests of political actors,
economic or social influential groups and the incentives under which they operate

Questions: Who are the stakeholders? What is their position with respect to policy
change? What motivates them? Who opposes? What is the danger of elite capture?
Difficulty here: Interests change over time
Macro-level institutional analysis

Questions: What are the institutional rules and relationships that influence policy
reform? What is the capacity of the institutions to implement the reform?
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Political Mapping
What is it?
Political Mapping is a tool for organizing information about the political landscape in an
illustrative way. Political mapping provides analysis of political alliances at the macro
(national or sector) level. The tool can provide an entry-point to a more in-depth analysis of
the political economy.
What can it be
used for?
Political mapping identifies the most important political actors and spatially illustrates their
relationships to one another with respect to policy design and delivery.
•
Provide a graphic representation of the political viability of a regime

Offer clues about the vulnerabilities of the regime

Detect the existence of opposing alliances and potential support coalitions

Give an indication of the level of authority possessed by the regime

Help indicate implementation capacity of various actors

Detect new directions in policy
What does it
tell you?
The tool can illustrate the distribution and nature of support or opposition to government
with respect to a given reform.
Key elements
For purposes of making sense of a complex political landscape, a political map simplifies the
real world into two dimensions: horizontal and vertical, with the actors on the vertical axis
and the degree of their support for the government on the horizontal axis. Since the
government is the primary focus of decision-making regarding how the benefits to society
will be distributed, it is always placed at the centre of the map
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Political mapping: Import tariff on Rice
Two opposing arguments:
•Higher Rice Tariff for
imported rice: higher
incomes for farmers and
rural workers
(protectionist producer
focus)
•Abolish/Reduce Rice
Tariff: poor people are net
rice consumers not
producers and suffer
economic hardship with
higher prices (poverty
consumer focus)
Opposition sectors
Support sectors
International
NGOs
External
actors
Sector
position
Anti-system
Social
sectors
Small
farmers in
Region X
Legal
opposition
World Bank,
IMF, WTO
Ideological
support
Core
support
Ideological
support
Urban
consumers
Political
actors
Opposition
socialist
party
Pressure
groups
Farmworker
federation
Opposition
Neoliberal
party
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Meso Level
Stakeholder Analysis
Stakeholder Analysis Matrices
Micro - Political Mapping
Force - Field Analysis
Meso Level
Policy Implementation
Institutional Analysis
Static Mapping
Process Tracing
Process Mapping
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2. Meso Level Social Analysis:
Understanding the policy implementation
process

Analysis of the process of implementation allows us to
explore how, why and under what conditions a policy
intervention might work, or fail

Understand the rules and incentives that govern
stakeholder behaviour and institutional relationships
during the implementation of policy reform.

Puts us in a better position to predict or explain how
policies can change and sometimes distort the expected
impact of policy reform.
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2. Meso Level Social Analysis
Stakeholders and Institutions

Meso-level Stakeholder Analysis

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Objective: To test assumptions about the
interests of social actors.
Meso-level Institutional analysis

Objective: To test assumptions about the social
rules governing the implementation of policy
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Stakeholder Analysis
What is it?
Stakeholder Analysis is a systematic methodology that uses qualitative data to
determine the interests and influence of different groups in relation to a reform.
What can it be
used for?
While stakeholder analysis can be carried out for any type of reform, it is particularly
amenable to structural and sectoral reforms. Basic stakeholder analysis should
precede reform design and should be consistently deepened as reform elements are
finalized. Stakeholder analysis is also critical for informing an end-of-exercise
assessment of the risks to policy reform.
What does it tell
you?
Once different types of stakeholder have been identified and listed, matrices and
other illustrative devices can be developed that map: (i) the nature of their interest
in policy reform (whether positive or negative); (ii) the extent to which
stakeholder interests converge or overlap; (iii) their importance to the reform;
(iii) their influence over the reform onto four quadrants.
Key elements
Stakeholder Analysis is iterative and usually proceeds through the following sources
of data to reach final conclusions: (i) background information on constraints to
effective government policy making; (ii) key informant interviews and group
workshops that identify specific stakeholders relevant to the sustainability of policy
reform. When working with groups, Participants should be drawn from diverse groups
of interest in order to limit bias; (iii) verification of assumptions about stakeholder
influence and interest through survey work and quantitative analysis
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secondary data.
Legend
Government
National Unions
1
National Government
11
Trades Union Congress
2
Ministry of Finance
12
Civil Servants Association
3
Ministry of Energy
13
4
NDPC
5
Ghana Water Co. Ltd.
21
Endusers
Residential Consumers
22
Non-Residential Consumers
23
SLT Customers
24
VALCO
25
Irrigation Farmers
Ghana Bar Association
Interest Groups
14
Association of Ghana Industries
15
Ghana Chamber of Mines
Civil Society Organisation
Utilities
26
Consumers Association of Ghana
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Ghana National Association of Consumers
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ISODEC
29
Energy Foundation
30
Media
Political Parties
6
VRA/NED
16
7
ECG
17
8
New Patriotic Party
TICO
18
National Democratic Congress
Convention Peoples Party
Regulators
9
10
19
Peoples National Convention
20
Others
PURC
Energy Commission
Development Partners
31
World Bank
32
IMF
33
0
DfID
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High
Stakeholders Analysis:
Ghana Electricity Tariffs
9
1
1
6
30
23
Influence over decision
2
7
32
17
31
33
0
34
0
15 14
16
3
12 11
28
4
24
8
18
19
29
20
10
26
27
22
21
5
13
Low
Benefit/Support
Neutral
Effects of Tariff Reforms
Harm/Oppose
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Organisational Mapping
What is it?
A visual illustration that combines mapping and tracing techniques to illustrate
and analyse the flows of resources, information and decision making.
What can it be used
for?


Following the path of services, products, money, decisions and
information in the implementation of policy reform
Communicating process-related ideas, information and data in an effective
visual form.
Identifying actual or ideal paths, revealing problem areas of risk and
potential solutions.
Showing intricate connections and sequences clearly.
Aids in critical communication, problem-solving and decision-making
processes.
Permits immediate identification of any element of a process.
What does it tell
you?




What activities are completed, by whom, in what sequence.
Hand-offs between departments or individuals.
Internal and external operational boundaries.
Helps identify areas where a process can be improved.
Key elements
Organisational mapping involves three analytical steps that can be used
sequentially or independently: static (institutional) mapping, process tracing
and process mapping.
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
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Institutional Analysis:
Analytical sequencing in organizational mapping
Figure 4.1. Analytical Sequencing in Organizational Mapping
Static Mapping
Process Tracing
Process Mapping
Identify and place
actors in a spatial
map
Trace cause-effect
flows in key
processes between
actors
Map out the
dynamics and
relations between
actors
Examples:
Chad cotton
Examples:
Chittagong port
Examples:
Chad cotton
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Institutional Analysis: Static and Process Mapping
Cotton Chad: Decrease in quality?
“White as
snow” … but
always
Producersdowngraded!
Accord d’Ouverture
Interface
CT resp.
for quality
of cotton
after
signing of
Accord…
in theory
Marche Autogere
Convoyer
He “travels with the
cotton” … and with
bribes, in case cotton
has been
downgraded
Transporters
CotonChad
Ginnery
Commission de
Classement
Technical
Transformation
and Production
Biased balance
of power
Duala
97% first
class
cotton
-Japan
-France
-Europe
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Micro Level
Analytical Frameworks
for
Impact Evaluation
Micro Level
Impact of Policy Reform
Data collection
methods
•Vulnerability Assessment
•Gender Analysis
•Livelihoods Analysis
•Empowerment Analysis
Secondary Research Methods
Contextual
Methods
Non-contextual Methods
Participatory Methods
Mixed Methods
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Micro Level Social Analysis

Apply Analytical Frameworks for Impact Evaluation
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Livelihoods Framework Analysis
Gender Analysis
Vulnerability Assessment
Use qualitative and quantitative methods for data
collection
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Key informant Interviews, Focus Group Discussion
Community Level Household Questionnaire
Household Economy Approach
Consultative Impact Monitoring
Consumer Assessment
PPA, RRA,
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Consumer Assessment
What is it?
A mixed-method tool that (i) spatially maps social indicators, indicators of access, quality
of service, formal and informal prices of services, and socio-economic data (ii)
combines this with information on willingness and ability to pay, and on consumer
preferences from both qualitative and quantitative field research; and (iii) for certain
sectors (utilities) inputs this data into financial models of the utility in an interactive
manner to inform policy choices.
What can it be
used for?
Data generated by consumer assessment can be used to understand how prices are
transmitted (or not) from the formal to the informal sector, and to analyzes
qualitative factors in price levels (social capital, neighborhood type, informal
networks) in order to determine the distributional impact of tariff changes, or
changes in service provision such as privatization of utilities. It can also inform the
indicators of performance included in private management contracts so that they respond
more closely to consumer priorities. Most useful for policy changes involving urban areas
such as utility reform.
What does
tell you?
The consumer assessment method has been used in several African countries
(Mozambique, Lesotho, Zambia, Angola among others) to help inform policies related to
the introduction of the private sector in the water and electricity services, and in
setting and structuring socially and economically sustainable tariff policies for these
services. It is useful in the African context, for services such as water, where formal
services may reach only a minority of the urban population, and where actual tariff
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increases may depend on both the institutions that put them in place, and the informal
it
What determines the choice of
analytical focus and methods?
Nature of impacts (direct and indirect)
 Channel through which impacts are
transmitted
 Data, resources, client capacity and time

Remember: You can not skip a level !!!!!
 However, the emphasis to each levels varies
considerably according to case context
 Most information will be obtained via
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literature review and existing analyses

Mixed method approach

Combining Social and Economic Analysis


Bringing a social, economic and sectoral lens to
the research questions
Combining quantitative and qualitative
methods

Assess research questions with different
methods and tools
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Analytical focus vs type of data
and analysis
Social
Quantitative analysis
Socio-cultural basis of
social exclusion
Access to assets and
services differentiated by
gender or ethnicity
Economic
Qualitative analysis
Institutional
economics
Impact of removal of
agricultural subsidies on
production
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Qualitative and quantitative dimensions of poverty and social impact
analysis
More “qualitative” research <<<<<<<<
Non-numerical information
Specific (contextual) population coverage
Active population involvement
Inductive inference methodology
Broad social sciences disciplinary
framework
>>>>>>>>>>More “quantitative”
research
Numerical information
General (non-contextual) population
coverage
Passive population involvement
Deductive inference methodology
Neo-classical economics (and natural
sciences) disciplinary framework
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Combining tools from different
disciplines
Use qualitative methods to understand
context, relationships, patterns – informs
the design of a survey questionnaire
 Use quantitative methods to assess extent
to which phenomena occur (generalization,
representation)
 Use qualitative methods to unpack issues
which are hard to explain from survey
results

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Three ways to combine methods

Joint
conceptual
framework
In parallel

In sequential

Iterative
Basis for
identifying
results
and
developing
recommendations
34