Social exclusion

Identifying exclusion

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Identifying and measuring social exclusion
Using quantitative and qualitative data
Using non-income measures
Tools for assessing exclusion
Examples of social exclusion analyses

Identifying and measuring social exclusion

The measurement of social exclusion is tied to the definition of social exclusion. Different approaches have been adopted to define social exclusion in developing countries. These include efforts to determine whether people benefit from opportunities or whether they fall below average achievements. They may also be based on preconceived ideas about which groups are excluded (e.g. people living in remote areas or tribal groups) or on surveys assessing which groups are perceived to be excluded. These approaches all tend to identify different people as excluded, as the 'states' of exclusion are highly diverse and of differing salience globally. As a result, there can be no single set of indicators that would be equally relevant to all contexts.

Social anthropologists argue that exclusion is a process and that identifying and measuring it risks essentialising statistical categories into groups. On the other hand, economists argue that gathering and analysing statistical information relating to social exclusion can help to identify which groups are excluded, identify the forms and levels of exclusion they face, and quantify the impact of exclusion. Disaggregated data allows progress to be monitored and change relating to specific groups to be tracked over time. Statistical information can also draw attention to exclusion, strengthening advocacy strategies and creating leverage. Raising the profile and visibility of excluded groups can also be a powerful act in itself.

The collection of multidimensional data – including economic, social and political dimensions – is essential if policies are to be effectively designed and monitored, and correctly aimed at reducing group inequalities and increasing social inclusion. Without such data it is difficult to know what sort of action is needed, and whether it has been effective. However, the availability of disaggregated data across countries and regions remains a problem.

Burchardt, T., Le Grand and Piachaud, 2002, ‘Degrees of Exclusion: Developing a Dynamic, Multidimensional Measure’, in Hills, J. Le Grand, J. and Piachaud, D., 2002, ‘Understanding Social Exclusion’, Oxford University Press, Oxford
How can a dynamic, multidimensional measure of social exclusion be developed and applied? This chapter illustrates this process by applying a definition of social exclusion to the British Household Panel Survey, 1991-1998. The study examines different dimensions of social exclusion at specific points in time, analysing the degree of individuals’ participation in ‘key activities’ by number of dimensions and by duration. Developing an empirical measure of social exclusion involves clarifying which outcomes matter for their own sake rather than as indicators of other problems. The measurement tools available, however, do not address the extent to which non-participation is voluntary.
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Using quantitative and qualitative data

Some forms of social exclusion are relatively easy to measure, while others are quite difficult. Many forms of social exclusion are represented by clear divisions between groups, but multiple identities can blur group boundaries, and some excluded groups can be ‘invisible’. For example, it can be difficult to collect information on mobile populations, and some sensitive information such as HIV status can be difficult to collect using traditional methods such as surveys. This has implications for how data is collected and reported.

Gacitua-Mario, E., and Woden, Q., 2001, ‘Measurement and Meaning: Combining Quantitative and Qualitative Methods for the Analysis of Poverty and Social Exclusion in Latin America’ World Bank, Washington DC
What policy implications do integrated poverty analyses, incorporating quantitative and qualitative methods, present to decision-makers in Latin America? This paper examines three case studies, from Argentina, Chile and Uruguay, to survey the recommendations produced by research combining quantitative and qualitative approaches. It argues that governments need to improve service provision to marginal communities by expanding public information campaigns and developing their collection of data on poverty in these areas.
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Adato, M., Carter, M. R. and May, J., 2006, ‘Exploring Poverty Traps and Social Exclusion Using Qualitative and Quantitative Data’, Journal of Development Studies, Volume 42, Number 2, pp. 226-247
Are poverty traps inevitable in a polarised society like South Africa? This article investigates social capital and blockages to upward mobility using quantitative and qualitative data from the 1990s. Large numbers of South Africans are indeed trapped in poverty. Social relationships are most helpful for non-poor households. For the poor, social capital at best helps stabilise livelihoods at low levels and does little to promote upward mobility. Poverty alleviation therefore requires more proactive efforts to ensure that households have a minimum bundle of assets and access to the markets needed to increase them.
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Adato, M., Carter, M. and May, J., 2004, ‘Sense in Sociability? Social Exclusion and Persistent Poverty in South Africa’, University of KwaZulu-Natal, Durban
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Popay, J. et al., 2008, ‘Defining and Measuring Social Exclusion', in Understanding and Tackling Social Exclusion, Final Report to the WHO Commission on Social Determinants of Health from the Social Exclusion Knowledge Network, Part 2
Part II of this report focuses on issues related to the definition and measurement of social exclusion. Chapter 2 describes the general approach to the concept of social exclusion adopted by the SEKN and presents the conceptual model we have developed. The global salience of the concept of social exclusion is considered, as is the relationship between social exclusion, population health and health inequalities. Chapter 3 presents a series of thematic case studies to explore the nature, scale and impact of exclusionary processes, before describing some of the formal approaches to measurement which are available or being developed.
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Stewart, F., Brown, G., and Mancini, L., 2005, ‘Why Horizontal Inequalities Matter: Some Implications for Measurement’, Centre of Research on Inequality, Human Security, and Ethnicity, Oxford
Why do inequalities between groups matter as well as inequalities between individuals? What is the best way to measure such horizontal inequalities? This paper argues that horizontal inequalities (HI) matter for the well being of individuals within groups, and for their impact on wider growth and conflict. Most discussion of inequality concerns Vertical Inequality (VI) between individuals, and is generally confined to a few economic variables such as income or consumption. Horizontal inequalities (HI) are inequalities between groups, and have been largely ignored by policy makers. Group inequality is important because it can affect happiness, efficiency and political stability. It is difficult to assess HI because group identities are fluid, multiple, and may be endogenous. However, felt differences are important and clear enough in many societies to measure HIs if the contingent nature of group definitions is taken into account. Three alternative HI measures were reviewed and compared using data over time for Indonesia, South Africa and the USA; the coefficient of variation among groups (GCOV), the Group Gini (GGINI), and Group Theil (GTHEIL) indices.
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Using non-income measures

While income poverty is an important indicator of social exclusion, it is not the only one. There are various non-monetary and subjective indicators, which should be explored at the cross-sectional level and also longitudinally.

McKenzie, D., J., 2005, ‘Measuring Inequality with Asset Indicators’, Journal of Population Economics, Volume 18, Number 2, pp. 229-260
Are household infrastructure, building materials and ownership of certain durable assets significant in measuring inequality in living standards? This paper focuses on poverty in Mexico and shows that where there is no information on household income and consumption, asset indicators can be used to provide a reasonable measure of inequalities in living standards. When used in practice, the study found that, after controlling for household income and demographics, school attendance of boys in Mexico is negatively related to state-level inequality.
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Verner, D. And Alda, E., 2004, ‘Youth At Risk, Social Exclusion and Intergenerational Poverty Dynamics: A New Survey Instrument with Application to Brazil’, World Bank, Washington DC
What risk factors face poor youth in Northeastern Brazil and how are these risks transferred from one generation to the next? This paper documents the results of a survey conducted in the very poorest urban neighbourhoods of Fortaleza. The new survey instrument used covers five areas: i) socio-economic background; ii) education; iii) health and sexuality; iv) social capital and violence; and v) employment and economic activity. The survey results reveal that youth face significant environmental challenges.
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Innovative measuring techniques, such as the socio-economic mapping technique described below, can also help to raise public awareness of social exclusion issues.

Camara, G. et al., 2004, ‘Mapping Social Exclusion/Inclusion in Developing Countries: Social Dynamics of São Paulo in the 1990s’, Centre for Spatially Integrated Social Science, Sao Paulo
How can spatial analysis of socio-economic indicators mapped over geographical areas enhance understanding of social exclusion patterns in developing world cities? This paper reviews social indicator mapping projects in Sao Paolo and presents methodologies for mapping social exclusion in urban areas. It argues that social scientists and policymakers could benefit from socio-economic mapping techniques, for instance in redrawing Sao Paulo’s administrative zones according to social exclusion indicators.
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Tools for assessing exclusion

Many donor measures are concerned with mapping the processes of exclusion and identifying the excluded in a given country: an important task when such groups may previously have been excluded from development interventions. The DFID Gender and Social Exclusion 'How to' Note below also aims to identify the implications of exclusion for economic development and growth, and for conflict and political stability, in any given context.

DFID, 2008, 'Gender and Social Exclusion Analysis How to Note', A Practice Paper, UK Department for International Development, London
This guidance note suggests a structure, methodology and analytical framework for a Gender and Social Exclusion Analysis (GSEA). A GSEA examines who is excluded, plus the processes, impacts and implications of gender inequality and social exclusion. DFID country offices should carry out a GSEA before preparing a Country Governance Analysis and as part of the country planning process. The GSEA should inform the analysis, issues and choices stages of the country planning process.
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Several donor agencies have also developed tools for political economy analysis, which can be conducted at a country, sector or problem level in order to support the design of country strategies and programmes. Some of the more widely cited country-level approaches are DFID’s Drivers of Change, the Dutch Foreign Ministry’s Strategic Governance and Corruption Assessment, and SIDA’s Power Analysis. DFID’s ‘Drivers of Change’ approach, for example, focusses on agents (individuals and organisations pursuing particular interests), structural features (the history of state formation, economic and social structures), and institutions (the rules governing the behaviour of agents). It is used to analyse the way power works in a society, and to understand the formal and informal institutions and incentives that drive change or maintain the status quo. This type of analysis can provide deeper insights into how exclusion operates in a particular context, and help identify options to bring about more inclusion.

DFID, 2009, 'Political Economy Analysis How to Note', A Practice Paper, Department for International Development, London
DFID’s 'how to' note aims to bring together the diverse literature and tools on political economy analysis within a short and accessible document. It covers the following questions: what is political economy analysis? How and why does political economy analysis add value to development agencies’ work? What political economy tools are available? How does political economy analysis relate to other tools? and how should political economy analysis be prepared, undertaken and applied? It includes case studies on how political economy analysis has been used by DFID offices.
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Examples of political economy analysis including DFID’s Drivers of Change country studies are available in the GSDRC Political Economy Analysis guide. Poverty and Social Impact Assessments (PSIA) are another way of analysing the impact of policy reforms on different stakeholder groups, with a particular focus on the poor and vulnerable. They can also be an important way of providing a focus on, and opening up dialogue around, issues of exclusion.

World Bank, 2007, 'Tools for Institutional, Political, and Social Analysis of Policy Reform: A Sourcebook for Development Practitioners', World Bank, Washington DC
This Sourcebook introduces a framework as well as tools for institutional, political, and social analysis (TIPS) in Poverty and Social Impact Analysis. Intended primarily for practitioners who undertake policy analysis in developing countries, it provides illustrative guidance on a range of tools and their application.
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For further resources on political economy analysis tools, see the GSDRC Political Economy Analysis guide.

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Examples of social exclusion analyses

The disadvantages faced by the excluded are multidimensional and overlapping. Which of the various dimensions – if any – is most central to the exclusion of a particular group will depend on context. The concept of social exclusion can form the basis for context-specific analysis, and can allow for contesting definitions of integration. So, in some societies or among some groups labour market participation may form the core element around which other elements of deprivation coalesce, whereas elsewhere religious identity may be the more important factor. The resources below present some country-specific analyses of social exclusion.

Mario, E. G. et al., 2007, ‘Overview: Assessing Social Exclusion and Mobility’, in Mario, E. G. and Woolcock, M., ‘Social Exclusion and Mobility in Brazil’, World Bank, Washington DC
What is the way forward for poverty reduction in Brazil? This study looks at the problems of inequality, exclusion and restricted mobility. It argues that income inequality is the main impediment to poverty reduction in Brazil. Therefore, redistributive policies are essential to enhancing social inclusion. This means focusing on developing market, political, social and cultural institutions and delivery mechanisms that will sustain progress towards a more accountable and cohesive society.
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Human Rights in China, 2007, 'China: Minority Exclusion, Marginalisation and Rising Tensions', Minority Rights Group, London
Over the past twenty-five years, China has undergone rapid social and economic change. This report argues that this transformation has exposed the Chinese government’s negative policies towards minorities. Key issues preventing minorities from exercising their rights include limited political participation, inequitable development and inadequate protection of minority cultural identity.
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Carraro, L., 2005, ‘A Quantitative Assessment of Social Exclusion in Pakistan’, Oxford Policy Management, London
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Byrne, S. and Chakravarti, S., 2009, ‘Inequality, Power and Social Exclusion in India’, Poverty-wellbeing.net
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