TOOL NO 2: VULNERABILITY ASSESSMENTS: STEPS AND TECHNIQUES

This tool has been adapted from the UNDP Toolkit for a Human Rights Based Approach and Gender Analysis for Local Governance. It was developed by UNDP Bosnia and Herzegovina’s Rights-based Municipal Development Programme (RMAP) project. It includes a ‘Vulnerable Groups List’, which is an extensive list of pertinent indicators and questions anchored in a human rights framework to identify potentially vulnerable groups and assess likely human rights issues affecting them in the country context. The list includes groups such as women, persons with disabilities, national minorities, Roma, displaced persons, refugees and returnees, children, the elderly, trafficked persons, detainees, HIV positive persons, homosexuals and the very poor. The Vulnerability Assessment for Roma is provided as an example of how to target assessment to a specific minority group. The questions can be adapted for other minorities.

Using this tool:

Step 1: It is useful to begin with a desk-study of the existing socio-economic, political and culturally relevant data of the local community. This can be done by reviewing reports and publications on the area as well as existing statistics at the local level. All data collected needs to be disaggregated by sex and by ethnicity, religion and language. It is important to have a gender perspective while conducting the desk review. This means reviewing documents with information about the situation of men and women in the community, paying attention to references to different problems of men and women when reviewing documents about specific vulnerable groups, and most important, by analyzing sex disaggregated data at the local level. The output of the desk study could be a mapping of the major challenges and a few general hypotheses about who might be the vulnerable minority groups in the municipality, the ways in which they experience vulnerability, and the reasons for their vulnerability.

Following the desk review, a primary data collection process is necessary to identify vulnerable minority groups, the causes of their vulnerability, as well as to investigate the situation of vulnerable groups with regard to access to local services and decision making in order to set priorities and identify concrete actions to redress vulnerability in the municipality. This is important because data is often missing on the most vulnerable minority groups. To obtain this data you can use quantitative and qualitative methods. The assessment is an excellent entry point for participation of local stakeholders.

To use quantitative methods to conduct a vulnerability assessment you could use tools such as a survey. In this toolkit there are several examples of questionnaires from surveys identifying vulnerability. In developing the survey, it is advisable to cooperate with a professional polling institute or statistical office and to engage cooperation from minority communities. This team can also lead on training the interviewers, and collecting and analyzing data with the appropriate statistical techniques.

Another way to collect information on vulnerability and exclusion is to use qualitative methods. What characterizes qualitative methods is that they are: interactive and communicative; help develop hypotheses; help to interpret and develop linkages; are dynamic and flexible processes; and help with data analysis. They enhance understanding of a specific context, generating information on such important points as the extent and types of discrimination, quality of social services, and (dis)satisfaction of rights-holders. Tools to use are interviews, observations and focus groups to involve communities and other stakeholders in in-depth examination of their marginalisation (dimensions, causes and consequences as well as actions to be taken) and challenges.⁴⁵

Step 2: Filling in the Matrices. Once the information has been collected, it can be used to fill in data in matrices. Matrices are self-explanatory and easy to complete. Sample matrices:

There are two options when filling in matrices:

Project teams fill in the matrices. This could be done in a participatory manner between all project team members. Problems could be prioritized according to the preferences expressed by communities during the data collection. If the matrix is filled out by the project team/local government, a final community meeting could be included to share the results with the community and to get their reaction to the priorities established by the team.

Community members fill in the matrices. Matrices can also be used in a participatory manner, asking communities to identify problems, solutions and the resources available to implement these solutions. If truly participatory, it is important to ensure that men and women, as well as the excluded and vulnerable, have a say in the consultation process and participate effectively.

Objectives of the Vulnerable Groups List

• To aid assessment teams/researchers to identify potentially vulnerable groups and the types of issues that these groups may face.
• To make sure that teams/researchers do not overlook the concerns of entire categories of people who may not be immediately visible on first assessment of the municipality. Indeed, to guarantee a meaningful participatory approach to assessment, it is important to pay attention to those who are typically marginalised and whose issues would not necessarily be voiced either by themselves, or by the State authorities or other residents on their behalf.
• To ensure that information gathered is relevant to human rights indicators or couched in the human rights framework.
• To ensure that the needs of men and women are taken into account in the process of design of the project/programme/policy at the local level.

How to use the Vulnerable Groups List

• Assessment teams/users could use the list as a reference for the types of questions to be asked in identifying the most vulnerable groups and relevant municipal actors.
• This list does not claim to be exhaustive and is intended to be a living instrument that teams can adapt according to experience and relevance in the field. As a result, users may use it as a guideline, rather than as a rigid tool. Similar questions may also be asked of other groups under each sector depending on what emerges as a priority in the municipality/sector assessed. Assessment teams/researchers are encouraged to add their own questions/comments and, where necessary, go that one step further to ask, ‘why?’
• When answering the questions in the list, one needs to explain how such conclusions were reached and assessed (e.g. is this an impression formed during the assessment visit? Was information gathered from NGOs or the general public? Was there any focus group discussion conducted?). References and sources for answers need to be provided.

When to use the Vulnerable Groups List during the “Programme/Project Cycle”

1. This tool will help you to ask relevant questions during the situation and problem analysis

2. During Policy and Programming development

3. Monitoring and Evaluation stages: if new challenges arise, for example during the “reflective praxis”, this tool will help as a background document for human rights related questions with regard to social inclusion and non-discrimination issues

Vulnerability assessment list for Roma

Note: The HRBA and Gender in Local Governance Toolkit (2007) also includes vulnerability assessments for: national minorities, migrant workers, refugees and asylum seekers.

Marginalisation / Discrimination

• Is there political, social and/or economical discrimination against Roma communities?
• Have the authorities taken measures to improve the relations between Roma communities and non-Roma communities, with a view to promoting tolerance and overcoming prejudices and negative stereotypes on both sides?

Status/identity

• Are Roma people registered as “displaced persons” or “refugees”? Do they have evidence of that status?
• Do the authorities respect the wishes of Roma as to the designation they want to be given and the group to which they want to belong? Is there any disadvantage resulting from the choice Roma make in that respect?
• Do Roma feel free to identify themselves or register as Roma for different services, without fear of reprisals or discrimination, if they want to?
• Do Roma have birth certificates? Do they have evidence of state citizenship?
• Do they face problems in obtaining official personal documents?

Public participation

Elections

• Do Roma face barriers concerning voting rights (e.g. inability to validate citizenship claims?)
• Are there any Roma political parties?

Direct participation in public affairs

• Have the authorities developed appropriate modalities of communication and dialogue between them and Roma communities and encouraged their active participation?
• In particular, are there modalities and structures of consultation with Roma political parties, associations and representatives in place, when considering issues and adopting decisions on matters of concern to Roma communities?

Civil Society

• Are there any Roma organizations or associations? What are they focusing on? Is there any organization dealing with advocacy for the rights of Roma?
• Is the ability of Roma organizations to address the concerns of the Roma population as a whole frustrated through lack of co-operation between communities? If so, are there efforts to increase co-operation?
• Are there any Roma women’s associations? If so, what does their work involve?

Justice

• Are crimes perpetrated against Roma investigated and punished appropriately? Do Roma perceive they have equal legal protection of the authorities?
• Are Roma in conflict with law treated with dignity and the principle of equality before law and equal protection of law are implemented for them also? Is there any incident recorded on discrimination against Roma in equal protection of law?

Pre-trial rights

• Are translators made available when the individual does not speak one of the constituent languages?

During trial rights

• Are attacks against Roma dealt with appropriately by the courts (i.e. are complaints listened to seriously and appropriate remedies issued)?

Economy

Right to work

• Are there any statistics available on Roma in employment?
• Are Roma enjoying opportunities related to employment e.g. access to education, vocational training, information etc? If not, are Roma confined to certain types of employment, such as manual labour? Are there vocational training programmes specifically targeted to Roma in order to provide more work opportunities?
• Is there discrimination against Roma in recruitment or dismissal practices of employers? If so, what is the municipality doing to eradicate such discrimination? Are Roma workers aware of their rights and legal measures that can be resorted to when discrimination occurs?
• Does the registration process create barriers to entry to the employment market for Roma?
• Does the municipality support self-employment initiatives (e.g. development of agricultural co-operatives/small businesses) amongst the Roma population?

Education

• Are there statistics regarding the school attendance of Roma children? If so, is attendance of this minority group considerably lower than for other ethnic groups in the municipality? How many Roma children go on to secondary or further education? Of these, what percentage are girls?
• Do Roma children in urban areas enjoy their right to education more than those living in rural areas? Are there programmes in place to facilitate the inclusion of Roma children into mainstream schools, e.g. the establishment of preparatory classes?
• Do Roma children face problems of access to education based on lack of financial resources for clothing, supplies, books and tuition, transport, or registration problems due to lack of birth certificates, language etc? If so, are there any initiatives (national/local authorities, NGOs or international organizations etc) to solve this problem?
• Are Roma children relied upon by their families for income generated through work carried out during school time?
• Is early marriage an issue in terms of cutting short the school careers of Roma children?
• Are there alternatives available to Roma children as to their religious or moral education in mainstream schools (if they/ their parents do not wish them to receive instruction in the religion dictated by the curriculum)?
• Do Roma children face discrimination/prejudice from fellow pupils or teachers? Does this deter enrolment or attendance?
• Are there attempts by state authorities (at local or central level) responsible for education to block the attendance of Roma children in schools?
• Are there attempts by state authorities to encourage the attendance of Roma children in schools and reduce dropout rates, in particular among Roma girls?

Social Welfare

• Are Roma excluded from social services benefits due to complicated processes of registration (e.g. requires official documentation, payment of fee, stable address, action to be taken within a certain time limit)?
• Have attempts by Roma to register been frustrated by authorities?
• Are there statistics available on the number of Roma receiving social security/benefits and what this includes (i.e. is any financial assistance sufficient to cover basic living requirements)?
• Are Roma aware of their entitlements to social welfare?

Health

• Have there been reports of increased health problems linked to poverty that disproportionately affect the Roma population? Is infant mortality amongst Roma unduly high in comparison with national average?
• Are Roma covered by a valid health insurance policy? If not, can they afford health care, or is access restricted?
• Do Roma face discrimination from health care workers?
• Do Roma women in particular receive adequate health care according to their needs? If not, why not?

Adequate housing

• Do Roma enjoy all aspects of the right to adequate housing, including the right to security of tenancy (e.g. in Roma settlements)?
• Are there local measures of denying of residence to Roma or unlawful expulsion of Roma? What has been done to give redress to Roma in these cases?
• Is the accommodation where Roma reside habitable?
• Are sanitation/waste collection services provided to Roma communities – in promotion of adequate housing, health and healthy environment?
• Do Roma households have access to potable water?
• Has the adequacy of sanitation of Roma settlements suffered due to increased numbers of returnees relying on the facilities?
• Do Roma benefit from alternative accommodation or alterative housing arrangements that are of an adequate standard?

Property

• Do Roma possess clear property titles in order to benefit from current property laws? Is there enjoyment of the right to property frustrated through lack of documentation?
• Is the problem of destroyed property an issue for Roma in the municipality?
• Do Roma benefit equally from any reconstruction projects in the municipality?

Culture

• Do Roma suffer from discrimination based on stereotypes of Roma culture?
• Is the municipality undertaking any efforts to dispel misconceptions e.g. education of the local population as to Roma culture and the situation of Roma in society?
• Are the media aware of their particular responsibility to not disseminate prejudices about Roma?
• Are the media educating the public about Roma life, society and culture, in the aim of building an inclusive society while respecting the human rights and identity of Roma?

Gender

• What are the traditional roles of men and women in Roma culture?
• Do men and women find obstacles in the new area to fulfil these roles in the new area?
• Does this have negative consequences for men, women, and there families?
• Do Roma women experience domestic violence? If so, can they access municipal services to protect women from domestic violence? Do municipal social services have a strategy to reach out to Roma women who experience domestic violence?
• Do Roma cultural norms discriminate against women and limit their development opportunities? In which ways?
• Does the new environment offer opportunities to end discrimination against Roma women by accessing municipal and NGO run services/programmes?
• Are Roma men particularly affected by alcoholism and other stress related behaviours? If so, can they access municipal services to treat these problems? Is there a municipal strategy to reach out to Roma men with this type of problem?