Annex III Terms of Reference RFP: Regional Human Development Report Social exclusion survey

Transcription

1 Context: Annex III Terms of Reference RFP: Regional Human Development Report Social exclusion survey There is currently no standard set of definitions and indicators for social inclusion that is easily transferable to all ECIS country contexts, which reduces the usefulness of this powerful concept as an analytical and policy-making tool. A regional human development report which develops a common analytical approach to social inclusion that is applicable from Central Europe to Central Asia, and that provides examples of measurement methods as well as policy applications for addressing inequality, poverty, and social exclusion in a multi-national context, would fill an important gap in this regard. The further articulation of the meaning of social inclusion in the ECIS context could help ECIS governments to refine and improve their analysis of and policy measures for poverty reduction, anti-discrimination, and human rights. It can also build the foundation for promoting social policy measures which extend beyond simply meeting basic needs. The Regional Report on Social Inclusion for the Europe and CIS countries will examine social exclusion, both as processes and outcomes, in the region around four different types of exclusions that people in the region can experience: Exclusion from economic, social, cultural and political life of the society where they live. As an underlying data source for the Regional Human Development Report UNDP Bratislava Regional Centre envisages to carry out a comparable multi-country face-to-face survey on social exclusion in Kazakhstan, Tajikistan, Ukraine, Moldova, Serbia and FYROM. 1 The envisaged survey (planned for September 2009) is a nationally representative, questionnaire-based survey conducted at individual level covering a wide range of topics which will allow measurement of different dimensions of social exclusion with both objective and subjective elements, and enable an accurate picture of the social exclusion in these countries. The project is implemented by UNDP Bratislava Regional Centre in close cooperation with the respective UNDP country offices of the survey countries. Working definitions Social exclusion refers to the processes which hamper people and group s opportunities to exercise the full range of their choices as well as to the outcome of marginalization ensued. It results from direct or indirect discriminatory rules and behavior, processes, policy, regulations, and institutional practices that can put, advertently or inadvertently, certain groups of population in disadvantages position visà-vis other groups. 1 Separate data collection exercises using a similar methodology will take place in Uzbekistan and Cyprus using local polling institutes.

2 Social exclusion is multi-dimensional and apart from economic, political social and spatial dimensions, it has also cultural aspects and can result from social traditions and values that may differ among different social groups of population. Multiple deprivations reinforce social exclusion and can be both its outcome and a cause. Socially excluded are usually those marginalized in a society. Social inclusion is not social exclusion with the opposite sign. The European Commission defines social inclusion as a process which ensures that those at risk of poverty and social exclusion gain the opportunities and resources necessary to participate fully in economic, social and cultural life and to enjoy a standard of living and well-being that is considered normal in the society in which they live. Similarly to social exclusion, inclusion is both a process and status. Unlike social exclusion however, the weight of the process dominates in social inclusion. Human development refers to the process of enlarging people's choices to be who they want to be and do what they want to do by expanding their capabilities and functioning. It refers to processes and outcomes of development about people, by people and for people. Characteristics of the social exclusion survey: Objective: The survey s objective will be to provide quantitative and comparable data on social exclusion in Kazakhstan, Tajikistan, Ukraine, Moldova, Serbia, and FYROM. For that purpose under the current assignment, the polling agency will conduct a nationally representative survey using a common questionnaire and same sampling methodology in the above-mentioned countries and in line with the UNDP survey expert s guidelines on sampling design, field-work and data entry/processing. The primary objective of the survey is to provide information on the magnitude and determinants of social exclusion. Applying the conceptual framework briefly sketched above, it will address social exclusion as phenomenon resulting from inequalities in terms of access to economic resources, education and employment opportunities, access to and quality of social services, social networks, and political, cultural and civic participation. It will address both causes of exclusion and the outcome of exclusion building logical causalities between the two. As a secondary objective, the survey can go in-depth into some country-specific dimensions of social exclusion. For that purpose the common (core) questionnaire can be amended in individual countries by additional questions and the general sample can be extended to cover specific groups. This can be done though only if such amendments and extension doesn t jeopardize the comparability of the data from the core questionnaire. The primary objective is leading in that regard. Any country-specific extension beyond the regionally agreed price will be beyond this contract/request for proposal and would need to be covered by a separate amendment. Scope of the survey: The survey is supposed to: Directly produce data necessary for calculation of a set of social exclusion indicators and indices applicable to the ECIS region will be developed. In that regard the survey will fill gaps in existing data sources

3 Produce information that will be used as markers that would make possible contextually linking different existing data sets related to various aspects of social exclusion. In that respect, the survey will not be the only source of quantitative data but will be also a common dominator linking to the extent possible various types and sources of information with the objective both to avoid duplication and to address the phenomenon of social exclusion in its entirety. In regards thematic areas, the survey should provide information on social exclusion along the following dimensions: Economic exclusion: Labour market status and insecurity; inequalities in the sphere of income, non-income (access to services) and assets; poverty and deprivation; remittances Exclusion from social services and social life: education and life-long learning; health care; social protection (including social assistance, social security, social work and social welfare services); housing and basic infrastructure; transportation; information and communications technology; social networks/ social ties and membership in civic associations Cultural exclusion: levels of tolerance and social attitudes in societies; values on cultural identity and use of language; access to and protection of arts and cultural heritage; equality of opportunity in education; employability of ethnic minorities with differing customs and norms; access to health care; freedom of expression and belief as well as protection from cultural discrimination Political exclusion: access to political processes, justice, freedoms, rights The universe of study and sample: The universe of study will be the excluded those who meet certain determinants of exclusion and who find themselves in disadvantaged position in regards to their human development opportunities. Vulnerability to exclusion is strongly correlated but does not entirely coincide with particular vulnerable groups affiliation. Following the assumption that exclusion is group-related individual characteristic, identifying the universe of study is the first major task and the first outcome of the data component. One of the survey s objectives would be to define (map) the universe of the excluded. It will not address and sample initially pre-defined excluded groups (like ethnic minorities, unemployed, people with disabilities, etc.). Firstly, not necessarily all representatives of such groups are excluded in all dimensions. Secondly, the group-focused approach underestimates the issue of multiple identities and potentially multiple deprivation risks. Thirdly, the actual size and distribution of such excluded groups is not always clear and thus building a sampling model may be a problem. This is why the research adopts different approach to the identification of the universe of the study. It assumes that most members of the society face some level of exclusion in this or that dimension. The magnitude of this exclusion and its determinants are perceived as unknown and a matter of mapping during the survey. Instead of defining excluded groups and sampling them individually, during the survey a bigger representative samples will be interviewed (some 3,000 individuals per country) to identify various types and magnitude of exclusion. Out of this representative sample the individuals in vulnerable position (facing degree and intensity of exclusion beyond certain threshold) will be identified.

4 Thus one of the important outcomes of the survey will be to construct the profile of the excluded in each country. Sampling methodology and sample sizes should allow constructing socially excluded sub-samples later, once the universe of the excluded is mapped and its parameters are defined. At this point socially excluded sub-samples determined by specific exclusion criteria will make possible conducting quantitative analysis of their status compared to the overall population. The survey instrument: In order to meet the dual objectives of the survey described under scope of the survey section, a questionnaire will be developed by UNDP s survey expert and finalized in cooperation with the surveying agency selected for the current assignment. The survey questionnaire will have a core that will be the same in all countries with some room for country specific questions/adaptations. It will have approximately variables within questions. The survey instrument will consist of several blocks: Block 1 status questions: The block 1 will cover major demographic and selfidentification questions of the individual and the household of the individual (i.e. age, sex, marital status, number of children) and capture information on the status of the individual across the 4 dimensions (level of education, employment status, health status, level of civic and cultural participation, etc.). It will also be the major source of information necessary for the data integration function. Block 2 practices, attitudes and perceptions: The block 2 will cover the practices, attitudes and perceptions of insecurity and social position across the 4 dimensions. This block will be a major source of information addressing data gaps in existing surveys and datasets related to the issue of social exclusion. Block 3 exclusion relevant external attributes of the individual s household, its dwelling and survey location (sampling clusters/units). This block will be a major source of objectively registered contextual information of the sample unit that will be encoded and added as additional variables to the data set (data from blocks 1 and 2). As an annex to the core questionnaire, the information will be filled in by the survey enumerators (description of the neighborhood, incl. images of the street and adjacent public infrastructure that will be used to defining the broader social context). Cooperation with UNDP s survey expert: UNDP s survey expert will provide the polling agency with the draft questionnaire in English, the sampling methodology, a data entry mask, a manual for the field-work and carries out a technical training with the polling institute s country managers. All the elements will be finalized in cooperation with the survey agency involving national coordinators of individual countries reports. Duties and responsibilities: Under the guidance of the UNDP survey expert and direct supervision of the project manager and coordinator, the polling agency shall be responsible for the following: 1. Cooperate with UNDP Bratislava, the country offices/teams and the UNDP survey expert in the finalization, piloting and adaptation of the questionnaire in each country.

5 2. Translate the questionnaire into local languages, fine-tuning of local language versions and re-translate into English (and make corrections to unify the contents) and print them. 3. In cooperation with the UNDP survey expert and based on the UNDP survey expert s sampling guidelines, construct the country samples for the survey, which should be national representative samples with a sample size of maximum 3,000 individuals per country. 4. Polling institute s country managers to participate in one technical training/meeting with the UNDP survey expert on field work, data entry and quality control. 5. Conduct instruction training for interviewers on field work. 6. Conduct the field-work according to the UNDP survey expert s guidelines on field-work and quality control. The surveys will be conducted on the basis of face-to-face interviews. The quality control mechanisms need to include not less than 5% of the sample centrally based random telephone check-ups. The polling agency will use its own network and means - transportation and logistics to complete the survey. Write up a brief report on the field-work experience. 7. Enter the collected data according to the preliminary consulted and agreed data entry mask and software provided by UNDP s survey expert; perform the standard data cleanup and logical checks procedures. 8. Provide basic data processing and interpretation of country results from the surveys in consultation with UNDP Bratislava Regional Centre and UNDP country offices based on guidance and directions from national experts and the UNDP survey experts. Deliverables: The Polling Agency is supposed to deliver the following (if not defined otherwise the deliverables should be in English): Complete country datasets in electronic format and on CD in agreed software. Country databases must be accompanied with codebook, showing variable titles and possible values. Country datasets must be in a form that they can be merged into one database Final survey questionnaires in electronic form (local and English language). Reports on field work from each country with detailed list of sampling clusters locations (incl. postal codes). Technical report (Frequency distributions, tables and graphs) All outputs provided in electronic and hard copies. Timing: The work should proceed along the following schedule: Week 1 after signing the contract: completion of the questionnaire in its source version (English); work on the sampling design Week 2: participation in technical training with UNDP survey experts; translation into local languages and re-translation into English, modification fine-tuning of the national languages versions; completion of sampling design

6 Week 3-5: Pilot testing of the survey questionnaire; final modifications of the questionnaire; printing of the modified questionnaires; instructing the interviewers and supervisors Weeks 6-8: fieldwork Week 9-10: data processing (entry, cleanup, logical checks) Week 11-12: final submission of the requested deliverables Methodological requirements for the agency: The Agency should meet the following requirements: Internationally recognized experience in socio-economic and nationally representative surveys Presence and ability to conduct coordinated research in the ECIS region and in particular in the aforementioned countries Proven capacity (interviewers and supervisors network) and quality control Experience in working with UN systems organizations Good record in working with marginalized groups Payment As described in Section C Paragraph 13. Annex: Regional report outline (see below) Annex: A preliminary outline for the Regional Report: 1) Conceptual Framework for Social Inclusion and Human Development; including definitions, conceptual linkages between human development and social exclusion in its various manifestations This section will introduce the concept of social exclusion, its dimensions, manifestations and challenges. It establishes the conceptual linkages between human development and social inclusion, analyzes social exclusion as a process and state of being excluded from the life of a community, and explores the potential of a social exclusion-based analysis to better understand and address the social dynamics of poverty and inequality in the ECIS region. 2) The State of Human Development and Profile of the Socially Excluded in the ECIS This section presents the key indicators used in analyzing human development and social exclusion in the ECIS, namely: human development index, human poverty index and social exclusion indicators. It will also present and analysis findings from quantitative and qualitative studies that map the manifestations and perceptions about exclusion in the different sub-regions. 3) Thematic analysis

7 In these sections, four different themes will be presented and analyzed in different chapters. They include a study of: (i) (ii) Economic exclusion as outcome and process. This chapter intends to provide a profound analysis of initial contraction, followed by recovery and explosive growth, and the current economic crisis in the ECIS region, by looking at its impact on inequality, poverty, vulnerability and social exclusion. It approximates the economic dimension of social exclusion by focusing on the quality of growth, using indicators of absolute and relative poverty, poverty risk, vulnerability, social exclusion, and income/non-income inequality, rather than only simple economic indicators of success or failure. Growth performance is therefore analyzed by parting from the proposition that growth can only be inclusive when it is with poverty reduction (rather than seeing the latter as a trickle down outcome of growth). Furthermore, growth needs to be inclusive for the vulnerable and poor sections of society, and to be sustainable, in particular reduce inequalities in the sphere of income, non-income (access to services) and assets. The issue of economic exclusion is being dealt with by using a heterodox approach to macroeconomic theory, particularly analyzing dynamic micro-macro linkages in economic growth models. This is being complemented by using a political economy approach, and some aspects of the sustainable livelihood framework (SLF), in order to make sure that the economic analysis will provide sufficient linkages with the social, cultural and political dimensions of exclusion and inclusion. Exclusion from Social Life and Social Services, including a sociological study on exclusion on the basis of gender, class, ethnicity, religion, access to education and health, and social services and networks etc, and an analysis of policies in these areas hampering social solidarity. Here, social services and social life refers to a range of services and opportunities which are essential to the full realization of human development. Among the most important are: education and life-long learning; health care; social protection (including social assistance, social security, social work and social welfare services); housing and basic infrastructure; transportation; information and communications technology; social networks / social ties and membership in civic associations. There are clear inter-linkages between the different services, with rights limited on the basis of a number of criteria, often linked to understandings of citizenship; direct and indirect discrimination; discretion on the part of service providers; and so on. Whilst few are completely excluded from such services in modern societies, inequalities in access, voice/participation, and to quality services in terms of process and outcomes may be based on a number of criteria. Exclusion from social life is a somewhat different category, relating to access to social networks, participation in a range of community activities and membership associations, and, above all, possession of social capital, in its three forms, i.e. bonding (social networking with people like oneself); bridging (social networking with people different from oneself) and linking (relations with those in positions of power) social capital. Social capital helps us to understand access to services in terms of broader value systems, (generalized and specific) trust, and ascribed and achieved characteristics of service users.

8 (iii) (iv) Cultural exclusion. This chapter will include an analysis of cultural exclusion on the basis of language, traditions, the levels of tolerance and social attitudes in societies, and an analysis of policies and processes reducing cultural inclusion. Cultural exclusion is defined as living mode exclusion (not recognizing a certain lifestyle chosen by individuals or groups) and participation exclusion (not allowing certain groups to take part in policies and processes). Human development to culture is understood an aspect of human freedom; the defense of cultural liberties and the emphasis on their importance by the means of human development approach, and the correlation of culture with other dimensions of human life relevant to human development. Several dimensions of cultural exclusion will be analyzed, such as access to and protection of arts and cultural heritage; equality of opportunity in education; employability of ethnic minorities with differing customs and norms; access to health care; freedom of expression and belief as well as protection from cultural discrimination. Exclusion from political participation. This chapter will intend to address the issue of political exclusion, including an analysis of exclusion in political and civic processes in the region and participation in democracy building, and an analysis of policies and processes hampering participation. Democratic form of government, protective role of democracy, democratic rights and shared opportunities of political participation are prerequisites for political inclusion. Exclusion from political participation leads to impoverishment of human lives. Here the political exclusion is understood as a lack of political power caused by inequalities in access to political processes, justice, freedoms, rights, and discriminatory policies and practices in the ECIS countries. This perspective ensures linkages to social exclusion and rights based approach with individuals at the core. The analysis strongly focuses on citizens rights and the opportunities of individuals to exercise them, while at the same time it is intended to reveal the complex phenomenon of social exclusion in terms of causes and outcomes. The suggested structure for the chapters includes: 1) The concepts : Definitions, conceptual framework and linkages 2) The context: The socio/economic/cultural/political evolution of the countries of the region and the regional and global contexts within which individuals and groups have experienced exclusion, including periodization if relevant. 3) Who are the excluded? What patterns emerge in terms of typology of groups and countries? 4) How are they excluded? What are the levels and dynamics of exclusion and bleed in effect (reinforcement) from one domain on to another? 5) Why are they excluded? Which barriers do groups and individuals face? What role do institutions and policies play in generating exclusion? 6) What are the implications of these exclusions? In terms of outcomes in other domains, for human development, for social cohesion, etc. 7) What needs to be done? What strategies are needed to overcome these barriers?

9 4) Overall Analysis (v) A section which looks at the inter-relationship between the various types of exclusion and how they relate in cycles of vulnerability. a. How are exclusions in the different domains related? b. What patterns emerge in terms of typology of groups? c. What patterns emerge in terms of countries? d. In post-socialist countries specifically, how is social exclusion related to the dynamic interaction between legacies and transition policies e. Emerging patterns in terms of policies and institutional environments 5) Policy Recommendations (vi) Set of recommendations drawn on the basis of evidence presented in the report, including an analysis of institutional responsibilities for more inclusive policies and processes. 6) Appendices, which will include Inventory of data availability for the region Comparative tables on the HDI and other composite indicators Technical annexes Bibliography The RHDR will draw on: The regional report will base its findings on Literature review of secondary sources on the region Country Studies in Kazakhstan, Tajikistan, Uzbekistan, Ukraine, Moldova, Serbia, Macedonia and Cyprus will answer the general research questions. Each country study will follow the pattern of the Regional Overview report to analyze social exclusion as a process and state and will explore inequalities and vulnerability risks using a combination of existing data and newly collected survey information to identify the extent and causes of exclusion, and to provide a detailed analysis of common vulnerability risks but also of institutions and policies that reinforce exclusion. Background papers on gaps identified by the research team. Data: including o Quantitative survey data from the selected countries will provide information on social exclusion based on national inequalities, in terms of access to economic resources, education and employment opportunities, access to and quality of social services, social networks, and political and civic participation. A set of social exclusion indicators and indices applicable to the ECIS region will be developed. o Existing quantitative and qualitative data on status, process and outcomes of exclusion. Characteristics of the social exclusion survey:

10 Objective: The survey s objective will be to provide quantitative and comparable data on social exclusion in Kazakhstan, Tajikistan, Ukraine, Moldova, Serbia, and Macedonia. For that purpose a polling agency will conduct a nationally representative survey using a common questionnaire and same sampling methodology in the above-mentioned countries and in line with the UNDP survey expert s guidelines on sampling design, field-work and data entry/processing. The primary objective of the survey is to provide information on the magnitude and determinants of social exclusion. Applying the conceptual framework briefly sketched above, it will address social exclusion as phenomenon resulting from inequalities in terms of access to economic resources, education and employment opportunities, access to and quality of social services, social networks, and political, cultural and civic participation. It will address both causes of exclusion and the outcome of exclusion building logical causalities between the two. As a secondary objective, the survey can go in-depth into some country-specific dimensions of social exclusion. For that purpose the common (core) questionnaire can be amended in individual countries by additional questions and the general sample can be extended to cover specific groups. This can be done though only if such amendments and extension doesn t jeopardize the comparability of the data from the core questionnaire. The primary objective is leading in that regard. Scope of the survey: The survey is supposed to: Directly produce data necessary for calculation of a set of social exclusion indicators and indices applicable to the ECIS region will be developed. In that regard the survey will fill gaps in existing data sources Produce information that will be used as markers that would make possible contextually linking different existing data sets related to various aspects of social exclusion. In that respect, the survey will not be the only source of quantitative data but will be also a common dominator linking to the extent possible various types and sources of information with the objective both to avoid duplication and to address the phenomenon of social exclusion in its entirety. In regards thematic areas, the survey should provide information on social exclusion along the following dimensions: Economic Exclusion - Inclusive Growth: Labor market (insecurity, unemployment benefits, discrimination); Migration (remittances); Asset inequality in access and ownership (housing, land); Welfare and poverty Cultural Exclusion: Values, Attitudes, Prejudices: Use of language; Identity; Freedom of expression; Cultural heritage Political Exclusion: Accountability, Participation, Regulation, Law: Legal status; Civil liberties; Transparency; Civil Society Organisations; Corruption; Public infrastructure Exclusion from Social Services and Social Life: Structure, Networks, Social capital: Deprivation; Discrimination; Social Connection; Education and Health The universe of study and sample: The universe of study will be the excluded those who meet certain determinants of exclusion and who find themselves in disadvantaged position in regards to their human development

11 opportunities. Vulnerability to exclusion is strongly correlated but does not entirely coincide with particular vulnerable groups affiliation. This is why one of the survey s objectives would be to define (map) the universe of the excluded and will not address groups defined in advance. Instead of defining excluded groups and sampling them individually, bigger representative samples will be interviewed (some 3,000 individuals per country) out of which the individuals in vulnerable position will be identified. Thus one of the important outcomes of the survey will be to construct the profile of the excluded in each country. Sampling methodology and sample sizes should allow constructing socially excluded sub-samples later, once the universe of the excluded is mapped and its parameters are defined. At this point socially excluded sub-samples determined by specific exclusion criteria will make possible conducting quantitative analysis of their status compared to the overall population. The survey instrument: In order to meet the dual objectives of the survey described under scope of the survey section, a questionnaire will be developed by UNDP s survey expert and finalized in cooperation with the surveying agency selected for the current assignment. The survey questionnaire will have a core that will be the same in all countries with some room for country specific questions/adaptations. It will have approximately variables within questions. The survey instrument will consist of several blocks: Block 1 Status questions: Age, sex, marital status, number of children, educational level, employment status, types or income sources, self-identification as majority or minority nationally and locally. Block 2 Attitudes and perceptions: Behavioural attitudes, social networks, access to, affordability and quality of social goods and services and household and individual coping strategies; pre-and post-transition perceptions of social position. Block 3 Exclusion-relevant attributes of the dwelling and survey location (sampling clusters): This block will be partially filled in by the survey enumerators (description of the neighbourhood, incl. images of the street and adjacent public infrastructure that will be used to defining the broader social context). This bloc will be complemented by a separate component of the research mapping the governance institutions, data on local participation, availability of services like schools, clinics, public transport, water/sewerage, etc.