Annex No 7
Social Standards Assessment
Section I for Applicants: Self-assessment concerning social standards
When and by whom should the social assessment be filled-in?
The self-assessment has to be conducted by partners at the project/programme design or formulation stage.
It has to be submitted as soon as possible, preferably at the stage of a draft project/programme document
and at the latest together with the final version of the project/programme document. A thorough consideration
of the following questions is required in order to ensure compliance with the ADA Environmental and Social
Impact Management Manual. Partner organizations are requested to integrate all related information directly
in the project document. In case of non-provision of relevant information and data please provide the
reasons in the questionnaire below.
If a social assessment or other strategic social impact assessment is already carried out for the intervention
(e.g. by a co-financing partner) or specific components, the summary of the results should be included.
Title of the project:
Applicant/Contact person:
Question:
I. Identification/Formulation Phase
1. Have the relevant national/regional framework and
policies, (esp. social policies, human rights framework
and/or action plans) been analysed and the related
conclusions taken into account?
If not, pls. state why:
Please include information
in the following sections of
the project document
2.1 Relevant governmental
and sector policies
3.4 Data base for analyses
and design
2. Has information related to the target group(s) been
included on the basis of vulnerability e.g. poor households,
indigenous people, ethnic or religious minorities, children,
youth, persons with disabilities, elderly, displaced persons,
etc.?
If not, pls. state why:
3.1 Target group
3. Have existing access and user rights (e.g. regarding
land, natural resources, economic or social services etc.),
possible diverging or conflicting interests and related power
relations been taken into account?
If not, pls. state why:
4. Are any individuals or groups excluded from participation,
influence, equal access and utilization in the respective
sector/thematic area/intervention? If yes, pls. state how the
exclusion of certain individuals or groups will be addressed.
5. Are social, economic and political capabilities of
marginalized persons strengthened?
3.2 Problem analysis and
analysis of local potential,
3.3 Strategic approach
If not, please state why:
6. Are there any risks and impacts to community health,
safety and security which may arise from project related
activities (such as constructions, use of equipment and
technology, use of hazardous materials, exposure to water
borne, water related and communicable diseases)?
If yes, which safety and security measures are foreseen?
7. Are existing labour standards and conditions (such as
decent work, fair remuneration) considered?
YES/NO
3.2 Problem analysis and
analysis of local potential,
3.3 Strategic approach
4.6 Risk assessment
3.2. Problem analysis and
analysis of local potential,
3.3. Strategic approach
3.2 Problem analysis and
analysis of local potential,
3.3 Strategic approach
4.6 Risk assessment
Annex No 1) Logframe matrix
3.2. Problem analysis and
analysis of local potential,
3.3. Strategic approach
Annex 7 - Social standards assessment / page 1
If not, pls. state why:
8. In case the construction of buildings is foreseen, has
universal design/barrier-free access been taken into
account?
9. Are land acquisition/restrictions on land use and/or
natural resources or physical1 and/or economic
displacement2 foreseen?
If yes, pls. state which mitigation actions / targeted
assistance is foreseen. Please provide also information
concerning following topics:
- respect and protection of all tenure rights, including
informal and customary rights as well as common
property;
- free, effective, meaningful and informed participation of
affected individuals and groups in decision-making
processes;
- the principle of free, prior and informed consent (FPIC);
- fair, prompt and adequate compensation respectively
other benefit-sharing mechanism;
- non-discriminatory, effective, accessible, affordable,
timely and transparent processes;
- respective grievance and dispute mechanism.
10. Is the project located in an area where cultural heritage
is expected to be found or will activities affect cultural
resources, knowledge or practices of local/indigenous
communities?
If yes, pls. state what measures are foreseen to protect
cultural heritage, cultural resources, traditional knowledge
or practices. Pls. provide also information concerning
respective mitigation actions in case of negative impact.
11. Are relevant accountability mechanisms and processes
at project / program and/or national/ local levels
established?
If not, pls. state why:
12. Were possible obstacles to ensure equal access to
information for all persons and groups involved addressed?
If not, pls. state why:
13. Have indicators reflecting the principles (please see
ADA Environmental and Social Impact Management
Manual)
- Equality and non-discrimination
- Participation and inclusion
- Transparency and accountability
- Empowerment of marginalized groups
been developed on (impact), outcome and output level?
If not, pls. state why:
14. Are the costs for ensuring the respect of the above
mentioned principles (see qu. 13) e.g. inclusion,
participation of marginalized individuals and groups,
accountability as well as for monitoring and assessment
adequately considered within the project budget?
If not, pls. state why:
II. Implementation Phase
15. Has it been planned to monitor the above mentioned
indicators (see qu. 13) on a regular basis?
If yes, pls. state which mechanisms are in place to ensure
that steering measures will be taken in case necessary?
1
2
3.2 Problem analysis and
analysis of local potential,
3.3 Strategic approach
3.2 Problem analysis and
analysis of local potential,
3.3 Strategic approach
4.6 Risk assessment
3.2 Problem analysis and
analysis of local potential,
3.3 Strategic approach
3.3 Strategic approach
3.3 Strategic approach
4. Intervention logic and
Annex No 1) Logframe matrix
4. Intervention logic and
Annex No 1) Logframe
matrix,
Annex No 3b) Detailed
project budget
5.1 Monitoring, steering and
dissemination of information
5.2 Assessment and
Evaluations
4.6 Risk assessment
Relocation or loss of shelter.
Loss of assets or access to assets leading to loss of income sources or other means of livelihood.
Annex 7 - Social standards assessment / page 2
If not, pls. state why:
III. Evaluation/Review Phase
16. Has it been foreseen to assess the integration and
further promotion of the above mentioned principles (see
qu. 13)?
If not, pls. state why:
5.2 Assessment and
Evaluations
IV. Social and/or Human Rights Competence and Capacity Development
17. Do project/programme partners and all other relevant
stakeholders have adequate knowledge on these principles
and project/programme related topics?
Are accompanying measures (such as the involvement of
relevant experts) foreseen in order to promote the above
mentioned principles (qu. 13), create awareness and
provide knowledge to enable partners/parties to apply and
pass on the knowledge they have acquired for the
implementation and for monitoring the project? Are these
costs included in the budget?
If not, pls. state why:
18. In case security personnel is employed for protection of
project/programme personnel and property, are adequate
arrangements and mechanism in place (i.e. inquiries,
training, monitoring, sanctions) to ensure appropriate
conduct towards workers and affected communities?
If not, please state why:
6.2 Organizational structure,
processes and management
capacities
Annex No 3b) Detailed
project budget
4.6 Risk assessment
Section II: ADA internal social assessment – to be filled in by ADA experts
The ADA internal social assessment consists of
1. suggestions concerning more in-depth assessment to be carried out before approval - in case
required. This could be necessary specifically in case questions 4, 6, 9 or 10 are answered with
YES. In these cases, consultation with the relevant thematic adviser(s) in HQ is strongly
recommended.
2. specific comments and recommendations for implementation, monitoring and follow-up.
It will be completed by the responsible sector/program officer as soon as possible during the internal
approval process, at the latest before signing of the contract. Consultation with the relevant ADA social
advisors should take place according to the delegation of work as agreed upon in the annual work plan
(Arbeitsfeldprogramm). Once all required information has been provided (SECTION I and SECTION II) all
relevant information will be entered by the social advisor3 directly into the ADA internal document
management system (section recommendations for monitoring and follow-up).
1. Suggestions concerning more in-depth assessment to be carried out before approval:
2. Specific comments and recommendations regarding implementation, monitoring and follow-up:
3
Until the adaptation of the new IT-system, this step will be done by the contract manager (based on the notes of the social advisors).
Annex 7 - Social standards assessment / page 3