baseline data collection

2003 Good Practice Note (GPN 2003) with respect to establishing a "social baseline"

Socioeconomic data is often obtained in two stages. The first of these involves “scoping” or “characterization.” The objective of the scoping phase is to identify and prioritize the range of likely social impacts and opportunities at an early stage through consultation with affected groups and review of secondary data. (p. 4)

An important task of scoping is to identify the project's probable area of influence in terms of its potential social, bio-physical, economic, and cultural impacts. The use of maps (of appropriate scale) is an initial step. Map overlays (depicting existing settlement and land use patterns as well as proposed project footprints including associated facilities such as access roads, pipelines, transmission lines, or sources of materials such as quarries and borrow pits) can be used to provide a spatial portrayal of impacts on communities, their land base, and other natural resources.

However, social impacts typically extend beyond footprint overlays and may include indirect and induced impacts. It is therefore essential to analyze impacts in the wider context of the area or region as well as to consider short-term, long-term, cumulative, and transitory impacts. (pp. 4-5)

Initial public consultations should commence at the scoping stage. Early social scoping activities, including stakeholder analysis and initial participatory appraisal, can serve as a first step. Consultation during the scoping process assures that no group within the community is excluded, that the issues discussed and subsequently researched through baseline studies are posed in a culturally appropriate and socially relevant way, and that the community takes ownership in building solutions for mitigation measures or development opportunities. A plan for engaging interested and affected parties in a consultation and disclosure process should be set forth as early as possible.

Similarly, there needs to be good and continuous communication among the SIA and EIA teams (where these are separate processes). Organizational integration of these teams with the project's planning and design team is critical. Preliminary indications of impacts from the scoping stage should be communicated to the planners as early as possible as this may inform decision-making in the design and siting of project facilities. (p. 5)

secondary data

Baseline studies normally begin with a review of secondary data. Secondary sources typically involve a desk study using a number of sources: official data (such as topographic and thematic maps, censuses and other government records), research reports, historical texts, and other available documentation on demographic trends and the history of the people and the area. The use of secondary sources is a good starting point; however, in any instance where significant social, economic or cultural issues are likely to be a factor, the use of secondary material alone is insufficient. Field surveys must be undertaken to fully establish an appropriate social baseline and update information that may no longer be current. (p. 6)

.... to systematically compile and re-structure secondary data into a form more amenable to data analysis. CCCS accomplished this objective within the context of TO7 by transforming *.PDF-formatted census data into spreadsheet formats that are more amenable to data analysis [submitted as 'maluku-data,20141106.zip']

public consultation

During the scoping and baseline phases of the assessment, the community can be made aware that information is sought as part of a shared agenda to mitigate future project impacts and identify opportunities for improvements in social and economic conditions. Consultation and baseline studies for both environmental and social impacts should work synergistically. The key conclusions of the baseline study analyses must be discussed with the community as part of an iterative process. It is very important that good and frequent two-way communication exists between the baseline study team and the consultation team, where these two are separate units; but where possible this should be undertaken by the same team. (pp. 6-7)

In many societies it is best to carry out separate consultations with vulnerable groups, and in particular women, who often provide much of the economic support for households but have no formal political power in the community.

In some cases, focused consultations with specific social groups can be constructive, especially where high rates of unemployment or under-employment prevail, or where projects are likely to affect vulnerable populations such as the young and the elderly. Likewise, where marginalized or minority ethnic groups are present, consultations should be designed to accommodate their views. (p. 7)

participatory techniques & stakeholder analysis

Participatory techniques, such as Participatory Rural Appraisal (PRA) and participatory land use planning, can be especially helpful at the initial scoping and planning stages.

Similarly, undertaking a stakeholder analysis as part of the social baseline activities is important in identifying the various parties who may have an interest in the project or who may affect or be affected by the project in some way. (p. 7)

qualitative methods

Qualitative interview techniques are used to provide insight into community social institutions and organization including local arrangements for decision-making and leadership. Qualitative surveys can be used to obtain descriptive information on topics such as: household livelihood options, social differentiation, ethnic minorities, lines of solidarity and conflict, the role of women, key resource issues, local perceptions about the project and more. They also serve to enhance and verify quantitative data.

Larger, more general, group interviews help to inform the community as a whole about the project, gather information on local perceptions, and reveal impacts and issues while providing firsthand information on social, economic, cultural and political organization at the community level. Discussions with focus groups (such as women, youth groups, social or cultural organizations, marginalized groups, minorities, etc.) are an effective means to identify and understand different perspectives, conflicts, concerns and aspirations for development within a given community. Knowledgeable key informants may be used as another means of acquiring more detailed information on complex issues and past events, which may be difficult to gather at a group level. An initial sampling at the household level can help establish a basis from which to focus subsequent quantitative surveys. (pp. 7-8)

quantitative methods

Quantitative surveys serve to establish baseline measures for key social parameters that can be used later as indicators to measure social impacts. Quantitative methods are commonly used to generate data on: household assets; income streams and livelihood survival strategies; vulnerable individuals and households; the role of women and children in the division of labor; the degree of economic dependency on land and local resources; household composition and demography, health, and educational characteristics; skills of the labor force; etc.

Pilot questionnaire surveys should be undertaken in order to refine questions and test the usefulness of the questionnaire before undertaking the overall survey. If the affected population is large, appropriate sampling methods should be employed. Where appropriate, these should be stratified according to target groups identified in the qualitative survey. (p. 8)

The importance of quantitative methods cannot be overstated. A quantitative analysis of income streams, household expenditures, and household demographic characteristics portrays how households allocate their labor, capital, and other resources. The absence of quantitative data opens the door to conjecture or anecdotal speculation that serves neither the interests of the population nor the company. Quantitative methods enable an empirical measurement of project impacts and effective evaluations of progress made in mitigation or sustainable development undertakings. Reliable quantitative baseline data also provides a sound basis to challenge unfounded claims and future disputes concerning project impacts. (p. 8)

team composition

Professional staff with relevant training and skills in social science research should manage baseline studies. The size and composition of the field research team will vary in proportion to the size of the affected population, the timeline for undertaking the studies, and the range of issues to be investigated. Local language speakers with facilitation, interviewing and recording skills should be employed to carry out fieldwork. Where possible, facilitators/interviewers as well as study managers and planners should be sourced from the local population (e.g. teachers, social workers, nurses, or university researchers with the necessary skills and familiar with the local circumstances). In addition, the research team should — if possible — include women who can better interact with female informants, especially during consultation activities. Scheduling should take into account time needed for survey design, training of field staff, testing, implementation, and analysis of survey information, as well as the availability of community groups involved. Continuity of the baseline study team is advised where social action plans (such as resettlement plans, community or Indigenous Peoples development plans) or other development projects are foreseen. (pp. 8-9)

content of baseline studies

Table 3 (pp. 24-25) provides an indicative list of topics often explored as part of a social baseline study and specifies the methods best suited for attaining different types of information. However, topics covered will vary in light of the specifics of a given project. The process of collecting baseline information is not about assembling any type of social data, but rather is a targeted exercise based on the preliminary impacts identified in the scoping stage and focused specifically on the directly affected population. The objective is to investigate in further detail only those aspects most relevant to the project and its potential impacts. (p. 9)

Secondary Data

Qualitative Methods and Participatory Techniques

Quantitative Methods

Case Study

how it could be tackled to permit comparison with official statistics and align it with GoI systems:

  1.   Geographical classification system- adopt the same 10-digit numbering system as Government of Indonesia, whereby:
00 00 000 000
Province
Province		 Kabupaten
District		 Kecamatan
Sub-district		 Desa
Village		 
  1.   Village classification

1- Perkotaan (Urban)

2- Perdesaan (Rural)

  1.   Household sampling method- follow the Susenas sampling method recording the total number of households and buildings in a village recorded in the census and normally , number of household members and household expenditure group. Refer to VSEN2003.L SuSeNas2003.pdf attached.

  2.   Question wording and coding- follow the same format as used by GoI as it is familiar to enumerators and respondents and has been tested/ is proven. Refer to VSEN2003.K SuSeNas2003.pdf attached. For example:

· Relationship to household head codes: 1- household head, 2- Spouse, 3- Child, 4- Daughter-in-law, 5- Grandchild, 6-Parent, 7- Other family, 8- Helper, 9- Other

· Civil status codes: 1- Not yet married, 2- Marries, 3- Separated, 4- Widowed

· Relative household wealth questions on income, quality of food, capacity to purchase clothing, health status etc

· VI. Housing: 1. Tenure status of occupied residential buildings: 1- Owner-occupied, 2- Contracted, 3- Rented, 4- Rent free, 5- Service, 6- Owned by parents, siblings, 7-Other

· VI Housing: 2. Roof material: 1-Concrete, 2-Tiled, 3- Shingle, 4- Zinc, 5- Asbestos, 6- Thatched, 7- Other

... Agricultural Census for 2013 for Maluku province is published at: http://st2013.bps.go.id/st2013esya/booklet/at8100.pdf which may be a good secondary data source for us on regional livelihoods.

Data Sources MTB https://mtbkab.bps.go.id/ https://mtbkab.bps.go.id/publikasi.html https://mtbkab.bps.go.id/pencarian.html?searching=dalam+angka&yt1=Cari