Guidebook for developing analyses on marginalized communities: identifying the needs and providing potential solutions This is a translation from Romanian Page 2 of 220 March 2017 This report was delivered in accordance with the Reimbursable Advisory Services Agreement signed between the International Bank for Reconstruction and Development and the Ministry for European Funds (currently the Ministry for Regional Development, Public Administration and European Funds) on 9 September 2016 for the implementation of the technical assistance “Informing Project Evaluation”. This report is included in the set of documents delivered upon the completion of the above-mentioned agreement. This is a translation from Romanian Page 3 of 220 Disclaimer This volume was prepared by the employees of the International Bank for Reconstruction and Development/ World Bank. Any findings, interpretations and conclusions set forth herein do not necessarily reflect the opinions of the World Bank’s Executive Officers or of the governments they represent. The World Bank does not guarantee the accuracy of the data included in this document. This report does not necessarily express the position of the European Union or of the Government of Romania. Copyright The material included in this publication is protected under the copyright law. Any unauthorized copying and/or dissemination of any or all content of this paper may amount to an infringement of the applicable laws in force. In order to obtain the permission to photocopy or reprint any part of this paper, kindly deliver an inquiry setting forth all relevant information to (i) the Ministry of Regional Development, Public Administration and European Funds, 16 Libertăţii Blvd., North Wing, 5th District, Bucharest, postal code 050706, or to (ii) The World Bank România (31 Vasile Lascăr St., 6th floor, 2nd District, Bucharest, Romania. This is a translation from Romanian Page 4 of 220 Table of contents Introduction ............................................................................................................................................................................................ 8 1. Why is the analysis of marginalized community necessary? ....................................................................................... 11 1.1. Why is attention focused on the participative approach? ................................................................................... 11 1.2. How is the analysis performed at the level of the marginalized community? ............................................ 12 1.3. How to best use the Guidebook .................................................................................................................................... 14 2. Defining marginalized areas ..................................................................................................................................................... 16 2.1. Identifying marginalized areas ....................................................................................................................................... 21 2.2. Types of marginalized areas ............................................................................................................................................ 25 2.2.1. Types of marginalized urban areas ...................................................................................................................... 25 2.2.2. Types of marginalized rural areas ......................................................................................................................... 32 3. Validation of marginalized communities ............................................................................................................................ 35 3.1. Performance of validation study for marginalized communities ...................................................................... 35 3.1.1. Development of the research instrument for validation ............................................................................. 37 3.1.2. Preparation of research design and its implementation ............................................................................. 38 3.2. Assessment of condition to prove that the community is marginalized ....................................................... 42 4. Identifying the needs of marginalized communities and potential solutions ...................................................... 46 4.1. Specificity of quantitative and qualitative data ........................................................................................................ 47 4.2. Quantitative data in identifying needs ........................................................................................................................ 49 4.2.1. Types of useful instruments in the analysis of the marginalized community ..................................... 49 4.2.2. Indicative points to assess (i) identification of the target group and needs, (ii) methodology and outcome, and (iii) the marginalized community chart ............................................................................................. 52 4.3. Qualitative data to identify the needs and validate the solutions with the community support ........ 57 4.3.1. Why are qualitative methods also required? .................................................................................................... 57 4.3.2. Types of methods ........................................................................................................................................................ 58 4.3.3. Target group envisaged in the research ............................................................................................................ 60 4.4. Participative methods in identifying solutions ......................................................................................................... 61 4.4.1. What are participative methods and what are they used for? .................................................................. 61 4.4.2. Types of participative methods which may be used ..................................................................................... 64 4.4.3. Assessment criteria for the use of participative approach to identify the needs and solutions .. 66 5. Segregation of marginalized communities ........................................................................................................................ 68 6. Identification of the ethnicity of the community members and potential fields of specific intervention 78 This is a translation from Romanian Page 5 of 220 7. Impact assessment and project sustainability ............................................................................................................. 86 7.1. Project sustainability, context and stake .......................................................................................................................... 87 7.2. Impact evaluation...................................................................................................................................................................... 88 References ............................................................................................................................................................................................ 92 Annexes ................................................................................................................................................................................................. 96 Annex 1: Pointers for filling in “Appendix B: Minimal synthetic community sheet” .......................................... 97 Annex 2: Calculation of sample volume in excel............................................................................................................ 104 Annex 3: Guide for the “random route” type of selection in building samples ................................................ 105 Annex 4: Contextualisation of Excluded Rural Communities .................................................................................... 108 Annex 5: Indicators for Justifying Eligible Activities ..................................................................................................... 110 Annex 6: Minimal Questionnaire for Rural Households .............................................................................................. 128 Annex 7: Minimal Questionnaire for Urban Households ............................................................................................ 132 Annex 8: Extended Questionnaire for Households ....................................................................................................... 136 Annex 9: Excluded Community Diagnosis Sheet ........................................................................................................... 146 Annex 10: Community indicators based on the household questionnaire ......................................................... 172 Annex 11: Diagnosis sheet for the village where the excluded community is located .................................. 175 Annex 12: Diagnosis sheet for the commune/town where the excluded community is located ............... 182 Annex 13: Minimal synthetic sheet for the excluded community ........................................................................... 189 Annex 14: Questionnaire to validate inclusion in the project target group (suffering poverty and social exclusion) ....................................................................................................................................................................................... 202 Annex 15: Indicators useful in evaluating project activities ...................................................................................... 206 Annex 16: Qualitative Research Instruments ................................................................................................................... 209 Interview Guide (individual or focus group) ............................................................................................................... 209 Observation sheet template for community/envisaged area of intervention............................................... 213 Annex 17: Community mobilization guideline ............................................................................................................... 218 This is a translation from Romanian Page 6 of 220 Acknowledgments This report is drafted under the provisions of the Reimbursable Advisory Services Agreement on ‘Informing Project Evaluation’ and prepared under the supervision of Mr. Andrew Mason and under the general guidance of Ms. Elisabetta Capannelli. This report was drafted under the coordination of Vlad Grigoraș and Alina-Nona Petric (team leaders). Mircea Comșa, Claudiu Ivan, Vintilă Mihăilescu, Dumitru Sandu, and Manuela Sofia Stănculescu contributed to this deliverable. The team also benefited from the support of Cristina Vladu, Andrei Zambor, Raluca Banioti, Monica Ion, Oana Maria Caraba, and Corina Grigore. The report was peer-reviewed by Yulia Smolyar (Senior Social Protection Specialist, GSP03), Marcel Ionescu Heroiu (Senior Urban Development Specialist, GSU09), and Sandor Karacsony (Social Protection Specialist, GSP03). The World Bank is thankful for the excellent cooperation, guidance and timely feedback provided by the representatives of the Management Authority of the Human Capital Operational Programme (MA HCOP), in particular Mr. Ciprian Cătălin Necula, Ms. Daniela Bălan and Mr. Daniel Chițoi. This is a translation from Romanian Page 7 of 220 Acronyms HCOP Human Capital Operational Programme MLSJ Ministry of Labor and Social Justice MRDPAEF Ministry of Regional Development, Public Administration and European Funds MNE Ministry of National Education NGO Non-governmental Organization ROP Regional Operational Programme WB The World Bank This is a translation from Romanian Page 8 of 220 Introduction The Guidebook for developing analyses on marginalized communities: identifying the needs and providing potential solutions (‘the Guidebook’) was prepared for the purpose of informing the development and evaluation of analyses on marginalized communities, as basis for the implementation of viable and sustainable development projects in such areas. The document is mainly aimed at assisting the future applicants for projects targeting marginalized communities, by means of providing an extended set of quantitative and qualitative research instruments, relevant social indicators and recommendations of research options to be used both for the validation marginalized areas, and for the identification of problems and solutions specific to such territorial clusters. Moreover, the Guidebook is also meant to serve as a reference document for the evaluators of projects that include analyses on marginalized communities – and therefore comprises suggestions on sets of criteria based on which the evaluators may assess such analyses. In Romania, 4.5% of the population (more than 900 thousand individuals) lives in marginalised communities (3.2% of the urban population and 6.2% of the rural population). 1 By definition, marginalised communities are areas accumulating low human capital (such as lack of education), high unemployment rate and inadequate housing. Marginalised areas qualify as ‘problematic’ areas on account of a mixture of factors: inadequate housing, insalubrious or non-existent streets, high number of households in extreme poverty, very low level of education, precarious state of health, single or underage mothers, large number of children, low-quality and/or segregated schools and high rates of misdemeanour occurrences. In these areas, public services are lacking or of poor quality. Apart from being marginalised, such categories are also confronted with territorial stigmatisation, a situation whereby their chances to adequate education or decent employment is further diminished. In general, the interests of these areas are underrepresented amongst the local-level policy decision structures. Given that the Roma population is over-represented within the areas referred to above and is confronted with social exclusion problems of a more stringent nature compared to non-Roma population, the interventions targeting Roma marginalised communities are considered a priority. The Background Study for the National Strategy on Social Inclusion and Poverty Reduction 2015-20202 reveals that: (i) the self-identified Roma population is extremely concentrated at territorial level within marginalised communities3, (ii) within the same types of communities (rural or urban, marginalized/non- marginalized and with similar shares of Roma people within the community), Roma people are much more often socially excluded from education and employment4, (iii) in general, the higher the share of 1 See The Atlas of Urban Marginalised Areas in Romania (Swinkels et al., 2014) The Atlas of Rural Marginalised Areas and Local Human Development in Romania (Teșliuc, Grigoraș and Stănculescu (coord.), 2015). 2 Teșliuc, E., Grigoraș, V., Stănculescu, M.S. (coord.) (2015b). 3 ‘In rural areas, nearly 39% of self-declared Roma people live in marginalised communities (accumulating low human capital, limited formal employment and precarious living conditions), compared to the percentage of persons of different ethnicity, which is below 5%. In urban areas, nearly 31% of self-declared Roma people live in marginalised areas, while the share of non-Roma people is of only 2.6%.’ (Teșliuc, E., Grigoraș, V., Stănculescu, M.S. (coord.) (2015b), page 329). 4 ‘For instance, in the rural marginalised communities with a large number of Roma people , the young people who are, at most, graduates of primary education, account for 83% in the case of Roma people, while this percentage decreases to 52% in the case of non-Roma people.’ (Teșliuc, E., Grigoraș, V., Stănculescu, M.S. (coord.) (2015b), page 330). This is a translation from Romanian Page 9 of 220 Roma population within a marginalised community, the lower the values of all social exclusion indicators5. Under these circumstances, the development interventions should be targeted with priority to Roma marginalised areas, so as to reduce the gap between such areas and the rest of the population. The European Structural and Investment Funds (ESI Funds)6 are key-instruments supporting the efforts made by Member States for improving the life of vulnerable groups, including Roma people. Specifically, the Human Capital Operational Programme (HCOP) provides funds amounting to Euro 4.7 billion (of which Euro 4.3 billion from the European budget), to finance projects that contribute to poverty reduction and social inclusion, with specific focus on youth, Roma population and population living in the most disadvantaged areas. Priority Axis 4 of HCOP, by means of its integrated measures, will help vulnerable groups and disadvantaged persons – including Roma – to have access to the labour market, by improving their competencies and by providing support to social enterprises, amongst other measures. Apart from the Roma vulnerable group, the specific challenges faced by several other vulnerable groups are also addressed – homeless persons, people with drug dependencies, victims of domestic violence or human trafficking, prisoners or ex-prisoners, elderly people and persons with disabilities. Considering the low absorption rate and the limited impact of projects targeting marginalised areas that were financed during the 2007-2013 programming period, the Romanian Government, through the HCOP Managing Authority, strives to strengthen the capacity and knowledge of staff involved in designing the Call for Proposals and evaluation. In this context, in September 2016, the Romanian Government, through the Ministry of European Funds, requested the Work Bank to provide assistance for the training of HCOP evaluators in charge for the evaluation of projects implemented under Priority Axis 4 (under the specific objectives 4.1. and 4.2.) related to the challenges faced by marginalised communities.7 This Guidebook is a part of the support provided to the Ministry of European Funds under the Reimbursable Advisory Services8. The Guidebook may represent a useful instrument9 not only for the team of evaluators involved in the selection of projects under the first Call for Proposals for objectives 4.1. and 4,210, but also for the local authorities or NGOs that will be involved, in the future, in the actual writing of projects . Local authorities and NGOs engaged in interventions targeted to such areas have the practical experience 5 ‘While, for example, in marginalised areas with no self-declared Roma, 31% of the young people in the 16-24 age group do not go to school and are at most graduates of primary education, this percentage, in the marginalised communities with a Roma population of above 40%, is of 65%’. (Teșliuc, E., Grigoraș, V., Stănculescu, M.S. (coord.) (2015b), page 332). 6 Mainly the European Social Fund (ESF), the European Regional Development Fund (ERDF), the Cohesion Fund (CF) and the European Agricultural Fund for Rural Development (EAFRD). 7 Upon the preparation of the Guidebook, the first round of Calls for Proposals under objectives 4.1. and 4.2. had already been closed (the Guide for Applicants was prepared, the applicants’ projects had already been submitted into the system, and the Managing Authority staff was about to engage in project evaluation). 8 This Guidebook was accompanied by two training sessions for the team of evaluators (approximately 100 persons attending the first session and 70 the second session) and accompanied by help-desk services supporting the analyses of marginalised communities during the 6-month contractual period. 9This Guidebook shall be construed as a source of reference, of non-mandatory nature, and shall be treated as a document meant to complement the HCOP standards and guidelines underpinning the implementation of EU policies and Romanian regulations. 10 The specific information pertaining to the Calls for Proposals that were already launched, and which are not applicable also to other situations, will be specifically marked within the Guidebook in blue boxes (for example: definition of the intervention area, criteria used for needs or methodology assessment or the validation of the marginalised community by using Table 1 in the Guide for Applicants). This is a translation from Romanian Page 10 of 220 required to work with these communities, but they do not have – at all times – the necessary technical information needed to develop the methodology for data collection and analysis necessary for mapping the problems faced by the marginalised communities where they want to intervene. Therefore, the Guidebook was developed so as to provide instruments for future Calls for Proposals, irrespective of whether the projects are financed from European funds or other sources. Furthermore, the Guidebook may represent a useful reference instrument even for the stakeholders possessing specialised knowledge in social research, as it allows for a significant reduction of financial and time resources required for the development of research instruments dedicated to marginalised areas, while also allowing for the validation of the applied methodology. However, it must be emphasized that the information covered by the Guidebook is highly specialized, and technical, even if it may appear to be simple because it implies also activities that are often carried out by the applicants, such as the meetings or public gatherings with beneficiaries, the understanding of the needs of the communities, interviews with stakeholders, analysis of indicators, etc. However, the analysis of marginalized communities, as it was proposed in the Applicant’s’ Guide for Specific Objectives 4.1. and 4.2., requires a systematic approach for data collection, analysis, and reporting both for validating the marginalized community and for understanding its needs and solutions for them. Therefore, if a similar approach is embraced for future calls, it is recommended the Guidebook to be complemented by specific support to applicants such as training sessions, and hands-on technical assistance. The Guidebook starts with a justification as to the need to conduct analyses on the marginalised areas and with an overview onto the methods that can be used for this purpose (Chapter 1). The document continues with the presentation of the methodology used for the identification of urban and rural marginalised areas, followed by a description of the typology of these areas and of the specific problems faced by each type of area (Chapter 2). Chapter 3 includes recommendations on the research methodology required to validate the marginalised areas, where the identification thereof needs to be conducted at present (either because the areas show a different profile compared to the one identified during the 2011 census, or on account of the fact that the areas are not perfectly overlapping the census sectors identified as marginalised in the two Atlases). As each community presents its own specific characteristics (both in terms of needs, and in terms of possible solutions to those needs), the Guidebook describes the types of quantitative and qualitative data and the participatory methods that can be used for the mapping of those problems and solutions (Chapter 4). Chapter 5 describes the issue of segregated marginalised communities and proposes specific interventions in such areas, while also signalling to potential stakeholders (applicants and evaluators) the possible slippages that could lead to a deepened segregation. Chapter 6 presents the approach that can be used to identify Roma communities and their specific features (including in terms of solutions). Chapter 7 underlines the importance attached to impact evaluations of such interventions and the importance of ensuring project sustainability after the end of financing. The Annexes comprise a wide range of instruments templates that can be used by future applicants for a better understanding of problems faced by marginalised communities and of solutions. This is a translation from Romanian Page 11 of 220 1. Why is the analysis of marginalized community necessary? Each community has its own particularity – or even particularities – of marginalization, discrimination, exclusion, etc. An intervention project can only be efficient if it takes into account the local context and particular needs of the community and target group, and if it relies on consultations with the population in order to reach the final solutions. Therefore, introducing this condition for projects targeted at marginalized communities is aimed at guaranteeing a participative knowledge as detailed as possible of the beneficiary population. This helps to avoid not only the mere application of successful projects from other areas or sectors, but also to projects driven by the intention to help a disadvantaged population without an appropriate justification. Carrying out an analysis of the marginalized community for the justification of the project necessity and the proposed solutions: o Forces the applicants to connect more deeply with the communities, groups and individuals and know their needs, problems and expectations “live”; o Allows the communities to become familiar with the project and its operators; o Facilitates communication (applicants and beneficiaries come to “speak the same language”), thus increasing the chances for better trust and cooperation in the future. 1.1. Why is attention focused on the participative approach? A participative approach is a “process whereby people, in particular disadvantaged people, may exercise their influence on the issuance of policies, design of alternatives and versions, for the performance of investments, management and monitoring of interventions conducted with a view to developing the communities”11. The express requirement for a participative approach in the analysis of the community thus takes into account engaging the community both in the process of learning the needs, and in the decision-making process, of finding solutions. Such participation is meant to avoid the occurrence of abstract, general solutions or solutions which “have worked elsewhere”, thus compelling the applicant to validate the results and solutions proposed through systematic consultations with the potential and actual beneficiaries of the project. Furthermore, through the consultations with the population with regards to the proposed solutions, the risk of involuntary effects of community (re)segregation is decreased (see Section 5. Segregation of marginalized communities). At the same time, community participation is a method of “empowerment”, of assuming liability and increasing the involvement of the community and direct beneficiaries. From the same perspective, community participation represents the method of raising the awareness on responsibilities, the distribution of roles and obstacles to be surmounted in the implementation of the project. That is why it is important to insist, during the consultations with the community, on the perceived role of various social actors (Government, town hall, church, services, etc.), but also of the community and/or certain of its members in settling the problems/needs of the target group. In brief, introducing the condition of a participative approach is aimed at guaranteeing a partnership with the targeted community, partnership that is deemed mandatory for the success of such a project. 11 The World Bank (1992), Discussion Paper # 183: Participative Development and the World Bank, p. 2. This is a translation from Romanian Page 12 of 220 1.2. How is the analysis performed at the level of the marginalized community? The analysis of the envisaged community shall address the following three categories of requirements: o Requirements of identification and validation, proving that the target group falls in the category of marginalized communities, in accordance with the terms and criteria set out in the financing program; o Requirements of social knowledge, through various and optional methods of statistical and on site research, providing a detailed and thorough description of the level, fields and factors of marginalization/discrimination existing at local level and the particular needs of the (intended) community; o Requirements of community participation, ensuring information of the community on the outcome of research, expected solutions and to receive feedback from the members of the community, both as regards the identified needs, and in respect of expected solutions. At the same time, community participation shall also be a method to increase the responsibility and involvement of direct beneficiaries. In that regard, the applicant may use the following research instruments and methods: o Support instruments. The applicants may choose between two basic instruments designed by the World Bank: the Atlas of Marginalized Rural Areas and Local Human Development in Romania and the Atlas of Marginalized Urban Areas and Local Human Development in Romania . These allow a preliminary identification of marginalized areas and may provide reference data in the cases where the selected marginalized community is contained in the data base of the atlases; o Instruments for validating the marginalized community. In order to comply with the criteria for validation of the marginalized community, the applicants can consult the list of indicators used for the identification of marginalized areas. In order to test if a community is marginalized or not, the applicants can apply the recommended research methodology and one of the questionnaires proposed among the annexes (Annex 6, Annex 7 and Annex 8). o Secondary data analysis. Applicants may use the existing statistical and administrative data (census, records of the administrative and territorial unit, available investigations, etc.) in order to obtain a series of necessary information on the targeted community. However, it shall be corroborated and, if necessary, verified through new research, because not all is complete, up to date or valid; o Quantitative, qualitative and participative research methods. Applicants should conduct an on- site survey in the form that they choose. The selection of research instruments depends, in the first stage, on the existing reference data. Thus, for instance, the target group (analysis unit) may be found in full or not in one of the atlases, in the census data or in the records of the town hall. Depending on the above, the applicant may use or not a poll, or shall have to conduct or not a “census”12. Furthermore, the applicant should opt for the quantitative and qualitative analysis variants and for their manner of combination in such a way that they achieve an image as comprehensive and integrating as possible of the situation and of the problems facing the marginalized community, however, without unnecessarily doubling the quantitative data with the qualitative data. The selection of such corresponding methods and instruments also depends on the size and specificity of the 12 For some calls for projects (such as the one for specific objective 5.1) carrying out the poll is compulsory. This is a translation from Romanian Page 13 of 220 community, accessibility of informants, etc. so that the applicant may set out from a minimal preliminary knowledge, through observation participation, of that community. In addition to the information acquired further to the secondary analysis of data, applicants should generate their own information, by using the following: o Quantitative methods (for example, a poll), to provide statistically representative data for the target groups (observance of questionnaire design, sampling and statistical data processing rules); the use of a questionnaire on “some” people in the community, randomly, is not representative and therefore shall have no value on the analysis of the community; o Qualitative methods (for instance interview, focus group, participative observation), which does not provide statistically representative data on all of the community, but adds to the information on the community by a series of significant elements concerning values and practices, individual to or shared by it, deep motivations and expectations of individuals or groups, etc. ; o Participative methods, referring to various forms of involving the community (consultations, brainstorming, debate forum, etc.). Their main purpose is to provide useful feedback on the validity and realism of the solutions taken into account by the applicant. In brief, the applicant should follow the steps below addressing the following key issues: o Know the criteria for identifying marginalized areas to be used in the financing program. o Identify and validate the marginalized community: Is it really “marginalized” in accordance with existing regulations and those adopted in the financing program? Which is the evidence submitted in this respect? o Organize the existing data: What is already known (atlases, census, town hall data, data from other researches etc.)? Is this sufficient? Is the data valid? o Establishing the research design and collecting data for the needs analysis: how can the missing necessary information be collected, through the appropriate use of quantitative and qualitative research methods. o Elaborate and validate solutions, mainly by using participative methods. Consequently, the analysis of marginalized community shall include, for the identification of genuine needs of the marginalized community, the informed substantiation of the intervention action proposed by the applicant. Certain elements to be considered are also the eligibility criteria13; the quality of the analysis as a whole is a key criterion in project assessment, guaranteeing the relevance, appropriateness and feasibility of the intervention proposed in the applicant’s project. 13For example, under the Call for objectives 4.1 and 4.2 the validation of the marginalized community and filling in Annex B represent compulsory eligibility criteria. This is a translation from Romanian Page 14 of 220 1.3. How to best use the Guidebook The Guidebook has been written with two types of beneficiaries in mind: on the one hand, (i) the applicants to projects from EU funds and other stakeholders interested in finding out the challenges of specific marginalized communities and identifying solutions, and on the other hand, (ii) the evaluators of the project proposals that include analyses of marginalized communities, in particular the evaluators of the projects to be financed from HCOP, specific objectives 4.1. and 4.2. (the Guidebook was designed to answer the specific questions regarding the Projects’ Call launched in 2016, but it can be adjusted and applied to other calls as well). Below are listed the steps that each of these actors need to take in meeting their specific objectives, as well as the chapters from the guide that describe how these steps could be achieved. Box 1: Steps for project applicants carrying out analyses of marginalized communities Step Chapter/subchapter in the Guideline 1. Understanding why the analyses of marginalized 1. Why is the analysis of marginalized community communities need to be undertaken necessary? 2. Validating the marginalized communities 2.1. Understanding the marginalization indicators for rural 2.1. Identification of marginalized areas; 2.2. Types and urban areas and the typologies of marginalized areas of marginalized areas 2.2. Developing the research instrument for validating the 3.1.1. Development of the research instrument for marginalized areas validation 2.3. Designing the research for validating the marginalized 3.1.2. Preparation of research design and its communities, and carrying it out implementation 3. Identifying the needs of marginalized communities 3.1. Developing the quantitative research instruments, 4.2. Quantitative data in identifying needs applying them, and recording/analyzing the information 3.2. Developing the qualitative research instruments, applying 4.3. Qualitative data to identify the needs and them, and recording/analyzing the information validate the solutions to support the community 4. Identifying solutions for the social problems of the 4.4. Participative methods in identifying solutions marginalized communities 5. Making sure that the proposed interventions do not foster 5. Segregation of marginalized communities the segregation of marginalized communities 6. Identifying Roma communities and including specific 6. Identify the ethnicity of the community activities for the Roma members in the proposed members and potential fields of specific interventions intervention 7. Making sure that the projects are sustainable and have an 7. Impact assessment and project sustainability impact on the communities Box 2: Steps for the evaluators of the projects with analyses of marginalized communities Step Chapter/subchapter in the Guideline Assess the way in which the marginalized communities 3.2. Assessment of condition to prove that the have been validated community is marginalized Assess the way in which the target groups and their needs Identification and definition of the target group and were identified corresponding needs Assess the soundness of the methodology for analyzing Does the analysis at the level of the marginalized the marginalized communities (Roma) community details the methodology and outcome of the analysis? Assess the quality of information filled in in the Synthetic Filling in the Minimal Synthetic Sheet of the Fiche of the marginalized community community; Annex 1: Pointers for filling in “Appendix B: Minimal synthetic community sheet” This is a translation from Romanian Page 15 of 220 Evaluate the way in which the participatory assessment 4.4.3. Assessment criteria for the use of participative has been used to identify needs and solutions approach to identify the needs and solutions Evaluate the fact that the project activities do not Analysis of project proposals based on the non- segregate the communities segregation principle Evaluate the fact that the marginalized community has Calculating the number/percentage of Roma as more than 10% Roma required by the Guide for Applicants for specific objectives 4.1 and 4.2. This is a translation from Romanian Page 16 of 220 2. Defining marginalized areas There is a wide variety of disadvantaged urban and rural areas. Some of them are disadvantaged based on the size of infrastructure or habitation, however the population in such areas is not subject to human capital or employment level significantly different from the population in other areas. Examples in that respect are old house neighborhoods in towns (districts of poor quality blocks built in the 60s or 70s and predominantly occupied by retired persons) or emerging areas located in the suburbs of towns, where the town hall has given under concession land plots with houses to people selected in reliance upon a set of criteria (Law 15/2003) and which were not yet connected to utilities (Figure 1 A2). Other areas, such as most villages in towns14, are disadvantaged both in respect of infrastructure and of access to services (Figure 1 A1) however, human capital and the level of employment for residents do not significantly differ from those of other inhabitants. A series of other areas are disadvantaged based on the size of employment, but not on the size of habitation or human capital. This is the case of several small mono- industrial towns in which the factory hiring most of the population was closed and only small companies were developed (in general, trade). Various criteria may be determined to define and classify all these types of disadvantaged areas. An analysis15 of existing studies in connection with the “poor communities”, “segregated communities” and „the marginalized communities” in Romania has revealed that almost all studies, irrespective of the research method used,16 point to three main criteria in defining and analyzing the various types of disadvantaged, or marginalized areas, in particular: (1) human capital (usually, education, health condition, size and components of the household), (2) formal employment degree of manpower and (3) housing conditions. Starting from these three main criteria, in 2014-2015, the World Bank has developed a new methodology (combining quantitative and qualitative research methods) to identify the marginalized areas both in urban and rural areas. This Guidebook refers to marginalized areas consisting of territorial poverty concentrations and differing from disadvantaged areas (Table 1, below). According to the World Bank’s methodology, both in urban and rural areas, “marginalized areas” are defined as areas inside the communities (communes, towns and municipalities) that do not meet an appropriate standard in any of the three criteria, in particular human capital shortage, low level of formal employment and providing precarious housing conditions (please see Figures 1 B1 and B2 below). On the contrary, “disadvantaged areas” are, by definition, areas inside the localities, which do not reach the appropriate standard in one or two of the three envisaged criteria. 14 Only 81 towns (out of the 320 in Romania) do not include villages. On the other hand, 88% of small towns recently declared (between 2002 and 2006), 80% of the other small towns and 62% of average-sized towns include between 1 and 21 villages. There are, for instance, small towns in the mountains, where villages are scattered over a radius of more than 10 km from the town center. Many small towns have small populations and are marked on the map as agglomeration of distant settlements, with poor road connection among them. (Teșliuc, Grigoraș and Stănculescu, coord., 2015: 308-315). 15 Swinkels et al., 2014 16 Most studies referred to the rural environment and estimated that “community poverty” and/or the “community deprivation” at the level of administrative unit (most often, at the level of a commune). A very low number of studies looked into marginalization in urban areas, at the level of sub-locality (neighborhood, area etc.), and most of them have been performed by means of qualitative research. This is a translation from Romanian Page 17 of 220 Figure 2. Marginalized areas differ from disadvantaged areas A) Disadvantaged areas in respect of infrastructure: (A1) Villages in town Photo: Village of Stănceşti, town of Strehaia (A2) Emerging areas The only utility available in the neighborhood is “lent” from the neighbors, as it may be noticed from the manner in which electricity connections are laid. Photo: Tineretului Neighborhood, Municipality of Slobozia (B) Marginalized areas: (B1) Ghetto (B2) Makeshift shelter Photo: Turol Block, Municipality of Oltenița Craica area, Municipality of Baia Mare Source: The World Bank (2013) Poor Urban areas and Disadvantaged communities: Qualitative assessment. This is a translation from Romanian Page 18 of 220 Table 1: Typology of urban areas in Romania CRITERIA Low level of Precarious Low level of FORMAL HOUSING HUMAN CAPITAL EMPLOYMENT conditions 1. Disadvantaged areas in terms of Varies NO YES housing 2. Disadvantaged areas in terms of NO YES Varies employment 3. Disadvantaged areas in terms of YES Varies NO human capital 4. Marginalized areas YES YES YES 5. Non-disadvantaged areas NO NO NO Source: Swinkels et al. (2014: 6). Note: only census sectors of households where population is 50 inhabitants or more have been taken into account. Although, theoretically speaking, several combinations of criteria would be possible, the analysis of census data and on-line studies have revealed that only the combinations in the table above are typical for the Romanian urban areas. Marginalized areas refer to extreme poverty17 (multidimensional) and not to relative poverty (insufficient revenues/consumption). World Bank studies on marginalized areas, conducted in 2014-2015, have reconfirmed the research18 conducted in Romania since 1990, revealing that extreme poverty is not merely an individual or family phenomenon, but a geographical one, as it usually focuses on marginalized areas, both rural and urban, where extreme poverty goes from one generation to the next. Thus, urban and rural marginalized areas are deemed “problematic” from the perspective of social policies and actions, precisely because they share the following features:19 o Statistical overrepresentation of large households,20 with many children,21 and also single-parent families (in particular single mothers, including underage mothers); 17 Extremely poor families often face various other constraints, in addition to pecuniary poverty, including long-term unemployment among adults and no jobs, inappropriate food for children, high risk of child neglect or child abuse (associate with abuse of alcohol by parents), with inappropriate behavior in children education, with single-parent or extremely young families, unstable marriages, poor health condition or disabilities, low school attendance or school dropout, inappropriate housing or absence of shelter, domestic violence, misdemeanor and discrimination. There are also issues related to the low level of expectations and self-esteem and acquired helplessness. Families facing extreme poverty are, therefore, a major challenge, not only in respect of skills and physical capital, but also in relation to psychological disorders. 18 For instance, studies on “extreme poverty" and “poor areas" or “marginalized areas" Chelcea (2000), Stănculescu and Berevoescu (coord., 2004), Constantinescu et al. (2005), Berescu et al. (2007), Preda (coord., 2009), Stănculescu et al. (2010), Berescu (2011), Stănculescu and Marin (2012), Stănculescu et al. (2012), Stănculescu et al. (2013) and Swinkels et al. (2014). Studies on Roma and Roma communities: Zamfir and Zamfir (coord., 1993), Rughiniş (2000), Zamfir and Preda (coord., 2002), Duminică and Preda (2003), Sandu (2005), Berescu et al. (2006), Bădescu et al. (2007), Fleck and Rughiniş (ed., 2008), Preoteasa et al. (2009), ICCV (2010), Botonogu (2011), Daragiu and Daragiu (2012), Giurcă (coord., 2012), Tarnovschi (ed., 2012), FRA et al (2012) and Anan et al. (2014). 19 All footnotes in this section are calculations by the World Bank, in reliance upon the Census of population and houses of 2011. This is a translation from Romanian Page 19 of 220 o Low level of education among adults and weight much above average of school children who do 22 not attend school (never enrolled in the education system or who have abandoned school/left school early), in particular as regards children older than 14 and Roma children; o Weight above average of adults who are neither employed, not enrolled in any form of education or training, in particular women and Roma; 23 o Statistical overrepresentation of persons who self-identify as Roma. There is a large variety as regards the weight of Roma in marginalized areas, among virtually 0% and 100% of the residents. At any rate, the average weight of persons who self-identify as Roma in the overall population is approximately 21% in marginalized urban areas, in particular 27% in marginalized rural areas. Given that certain Roma individuals are reluctant to declare their ethnicity, it is expected that the weight of Roma in these areas is, in fact, higher. According to the national study on Roma population,24 conducted by the Life Quality Research Institute in 1998, the ratio between hetero-identification and self- identification, in the case of Roma, is as follows: for each 100 persons hetero-identified by the authorities as Roma, 56 in urban areas and 64 in rural areas self-identify as Roma. Therefore, by applying this hetero-identification- self-identification ratio, it follows that the weight of persons hetero-identified as Roma would increase up to approximately 37% in marginalized urban areas and to 42% in marginalized rural areas; o A large ratio of houses in the area are made of cheap construction materials (for instance, adobe, wood, plastic and other non-traditional materials) and are poorly equipped with urban utilities: they are not connected to the water supply,25 are not connected to sewerage, do not have electricity.26 In addition, in urban areas, a large part of the houses are not owned by the inhabitants,27 a ratio almost three times higher than the urban average at national level; 20 In marginalized urban areas, the average size of a household is 3.2 people, as compared to the national average at urban level of 2.53 people, and the average number of children per household is 1.0 in marginalized areas, as compared to only 0.37 in non-disadvantaged areas (and 0.44 the national average at urban level). In marginalized rural areas, one household out of four contains at least five members, as compared to only 15% in non-marginalized areas, while 16% of the households have three children, as compared to only 5% in non-marginalized areas. 21 As a result, the average percentage of children (0-17 years of age) out of the total population is more than 31% in marginalized urban areas, and respectively 34% in marginalized rural areas (as compared to a national average of approximately 22%). Corresponding percentages of elderly aged over 65 account for merely 4%, and respectively 13%. 22 In marginalized urban areas, almost half of adult inhabitants (+18) have graduated eight grades or less. In marginalized rural areas, approximately 80% of the adults have graduated no more than eight grades, and among them 35% only primary school. 23 The percentage of employed individuals out of population aged between 20 and 64 reaches almost 63% at the national level in the urban environment, but drops to approximately 48% in marginalized urban areas and even further, down to 35%, among women, respectively 31% for Roma in such communities. For the same indicator, the national average in the rural environment is merely 36% and drops down to 12% in marginalized rural areas, respectively no more than 5% among Roma women in such communities. 24 Zamfir and Preda (coord.). 2002. 25 In marginalized urban areas, 30% of houses are not connected to water supply (as compared to 6.3% national urban). In the rural environment, 72% of houses are not connected to running water in marginalized areas, with the percentage increasing up to 88% among Roma in such areas (as compared to 38% national rural). 26 In marginalized urban areas, more than 4% of the houses do not have electricity (as compared to 0.4% at the national urban level). In marginalized rural areas, 5% of the houses do not have electricity, the percentage increasing up to 10% among Roma in such areas (as compared to 1% national rural). 27 Includes tenants and other situations (for instance, free of charge house). This is a translation from Romanian Page 20 of 220 o Low access to services by residents, more often than not the area is described by the local population as an “infection center” ignored by health experts, and a large number of the children in the area are forced to attend segregated schools, where only poor families enroll their children; o A high probability to be source communities for the special children protection system, because they deliver in the system significantly more children than other areas;28 o Communities marked by fear, domestic violence, small crimes and stigma from the local population, thus further reducing the residents’ chances to get rid of poverty. Box 3. Living conditions in marginalized rural areas Almost half of the marginalized rural areas are Roma communities, usually referred to a gipsy town, shanty town or slum (mahala). The other half of marginalized rural areas largely consists of local people communities who used to work in a factory in a nearby town. Given that factories were closed, they have become unemployed, have become poor and started to work in agriculture. Most of the times, these communities are named after the village or another geographic element, such as a valley, river meadow, forest and others. Marginalized areas are in general, inhabited by stable communities living in the same community since before 1990. Less than 10% of marginalized rural areas were formed after 1990 or are emerging. Most marginalized communities comprise of young families with children, earning their living from agriculture, day work and social benefits, in particular children allowance and minimum guaranteed wages or pensions for agricultural workers. In almost half of the marginalized rural areas under review, there are minor thefts, disturbance, disputes, fights, scandals, domestic violence and some kind of disorder generated by the large number of children and lack of fences. Almost all houses in marginalized areas are made of adobe or are improvised shelters, mostly deteriorated and which need repairing. In approximately half of the marginalized areas, there are reports of ownership document problems (for land or for the houses), 10% of the inhabitants do not possess ID documents. In certain areas, access to drinking water is an issue. Waste collection services are very rare. Floods and landslides seem to be extremely frequent. Nevertheless, in most marginalized rural areas, the main problem identified by local sources is by far the insufficient work places. This derives from the low level of adult education and from the low attendance of children in school, from the lack of revenues and lack of infrastructure, in particular roads and water supply. Source: Excerpts from the Atlas of Marginalized Rural Areas (Teșliuc, Grigoraș and Stănculescu, coord., 2015: 27-28). 28 Stănculescu, Grigoraș, Teșliuc, Pop (coord.), 2016. This is a translation from Romanian Page 21 of 220 2.1. Identifying marginalized areas Methodologies developed so far in identifying marginalized areas vary significantly, beyond the three main criteria - human capital, employment and housing. Differences refer to the data used, level of analysis, selected indicators and aggregation method. This Guidebook refers to the latest methodology, developed by the World Bank in 2014-2015 and applied in the Atlas of Marginalized Urban Areas 29 and in the Atlas of Marginalized Rural Areas.30 The two atlases provide a data base necessary for making well-grounded decisions and for public policy and actions addressing urban and rural communities with the most stringent shortcomings in Romania, so that interventions at community level, created with a view to mitigate poverty and social exclusion, are as efficient as possible. Thus, the atlases are instruments for targeting certain areas, monitoring and assessing anti-poverty programs and interventions and promoting social inclusion, at national, (micro-) regional, county, and local level. Since marginalization is defined not only in terms of poor revenues, but in particular depending on the human capital (education and health), employment and housing conditions, the usefulness of the atlases extends to also cover programs relating to education, health, infrastructure and social houses, such as early school leaving , primary healthcare services, family planning, parental education, domestic violence and other risks / vulnerabilities spread among the marginalized communities. Both in urban and rural areas, the methodology of the World Bank has relied on the Census of population and households of 2011. In order to reach the smallest sub-locality territorial units, the chosen level was the census sector (map) containing, as a matter of rule, approximately 200 people, but it may be smaller in rural areas. Therefore, for the purpose of the analysis, micro-data of the 2011 census aggregated at the level of census sector have been used. It is important to highlight that the data at sub-locality level should be interpreted carefully, because the overlap between the actual marginalized communities and census sectors usually is only partial. In other words, an actual marginalized community may consist of only a part of a census sector or may cover two or more census sectors (meaning marginalized areas identified in the two atlases). Consequently, the features of an actual marginalized community may not always be analyzed at the level of census sector. The figure below illustrates several typical examples for this situation. Example 1 illustrates the case where a large community covers several census sectors. Example 2 describes a situation where a community covers parts of two or several census sectors. Example 3 corresponds to a situation where a small community is included in a census sector, together with other population groups. And, finally, example 4 describes a community located at the outskirts of the town (for instance, improvised shelters, located near landfills), partially on intra muros land, and partially on extra muros land. Census data is not the most appropriate to identify situations similar to this last example. In such areas, certain inhabitants did not provide answers to the census, and those who did were distributed in the existing census sectors, located nearby. Therefore, by using aggregated data at the level of census sector, only a part of this type of communities may be identified or reconstituted. 29 Swinkels et al. (2014). 30 Teșliuc, Grigoraș and Stănculescu (coord.) (2015). This is a translation from Romanian Page 22 of 220 Figure 3. Examples of interaction in the territory among census sectors and actual communities Example 4 Example 3 Example 1 Example 2 Intra muros land Extra muros land Note: The cells indicate the intra muros land divided into census sectors, and the figures illustrate the actual communities. Figure 4. Census sectors in rural areas do not always constitute a territorial unit Source: Map from the population and houses census in 2011 in the Commune of Văleni, Vaslui county. Furthermore, in the rural environment, the validation study 31 of the marginalized areas identified on the basis of census data has revealed that precisely because census sectors are not “natural" communities, local authorities and local leaders face challenges in separating them in the territory. Certain local authorities no longer possess the local maps created for the census 2011. In other communes, census sectors determined in 2011 did not comply with a territorial unit, but were made up of groups of households scattered in several parts of the village, as indicated in Figure 3. The situation is simpler only 31The World Bank team has conducted an extensive validation study, relying on a combination of several qualitative methods. On-site research was conducted in May-June 2015, in two counties, Călărași and Vaslui. The sample consisted of 68 communes gathering 232 villages and respectively 1123 census sectors, out of which, in theory, 82 are marginalized rural areas. The validation study revealed that: (a) Inclusion errors account for 11% in all theoretically marginalized rural areas subject to test, when the assessment was made by local sources and 26% when it was made by the research team; (b) Exclusion errors account for 2% of all theoretically non-marginalized areas. Teșliuc, Grigoraș and Stănculescu (coord.) (2015). This is a translation from Romanian Page 23 of 220 when the census sectors overlap the villages (however, in most cases, a village contains two or more census sectors). The key indicators used for the three main criteria defining the marginalized areas have been determined in reliance upon the relevant literature and empirical analysis of census data.32 Thus a set of key indicators resulted, including both common indicators, and indicators specific to urban and rural areas, as shown in Table 2 below. Overall, 7 indicators have been selected: 3 indicators for human capital (1 common indicator for urban and rural areas and 2 indicators specific to urban areas); 1 indicator for formal employment which is common for urban and rural areas; and 3 indicators for housing conditions (1 common indicator and 2 indicators specific to each of the two residential areas). Both for urban and rural areas, by definition, marginalized areas refer to census sectors which cumulate disadvantages in all of the three criteria. In order to determine the “disadvantaged” sectors, first of all, the value of each of the key indicators was calculated for each census sector, in urban, respectively rural areas. In the second stage, a national urban/ rural threshold was determined for each key indicator. By using the common indicators, major discrepancies are revealed between urban and rural areas.33 For instance, the 20% value registered between the sectors with the highest percentage of population aged 15-64 having graduated no more than 8 grades is above the 22.1% threshold, while the most disadvantaged communes in that respect account for more than 59.3%. In the third stage, for each of the census sector, it was determined whether the value exceeded the threshold per indicator and the residential environment. In the fourth stage, it was determined for each census sector whether it is or not “disadvantaged” for each of the three criteria, by using the algorithm described herein below: URBAN AREAS RURAL AREAS An urban census sector has a low level of A rural census sector has a low level of human capital if any two out of the three human capital if the indicator used has Human indicators have values in excess of the values exceeding the corresponding capital corresponding threshold, as determined at threshold, as determined at the national the national urban level. rural level. An urban census sector has a low level of A rural census sector has a low level of employment in the formal sector if the employment in the formal sector if the used indicator has values exceeding the used indicator has values exceeding the Formal corresponding threshold, as determined at corresponding threshold, as determined at employment the national urban level (namely, there is a the national rural level (namely, there is a concentration of unemployed and/or concentration of unemployed and/or persons not employed in the formal labor persons not employed in the formal labor 32 Further details on the selection of key indicators are available in Annex 4 of the Atlas of Marginalized Urban Areas (Swinkels et al., 2014). 33 The analyses tested thresholds at the 70th, 80th and 90th percentile for each of the key indicators. The final decision took into account the most appropriate result, indicating a percentage of the overall population in marginalized areas that was neither too small, nor too large, in such a manner as to identify the most disadvantaged communities and simultaneously allow a strong and sustainable public intervention in such areas. In urban areas, the threshold was determined as the 80th percentile for all criteria, while, in rural areas, the threshold was set as the 80th percentile for the criteria concerning human capital and employment and the 90th percentile for the criteria concerning housing. Please also see the notes to Table 2. This is a translation from Romanian Page 24 of 220 market). market). An urban census sector has precarious A rural census sector has precarious housing if any two out of the three housing if any of the three indicators has Housing indicators have values exceeding the values exceeding the corresponding corresponding threshold, as determined at threshold, as determined at the national the national urban level. rural level. In the last stage, any census sector qualified as “disadvantaged” in all of the three criteria – with a low level of human capital, with a low level of employment in the formal sector and with inappropriate housing – was deemed a marginalized (urban or rural) area. Table 1. The three criteria for marginalization in urban and rural areas, together with key indicators and national thresholds URBAN AREAS RURAL AREAS The 80 The 80 percentile = percentile = Criteria/ urban urban Key indicators Key indicators size threshold at threshold at national level national level *) **) Percentage of population aged Percentage of population Human between 15-64 having graduated 8 22.1 aged between 15-64 having 59.3 Capital grades at most graduated 8 grades at most Percentage of population with disabilities, chronic illness or other 8 - medical disorders who hamper their daily activities Percentage of children (0-17 years) 20.5 - in the entire population Percentage of persons aged Percentage of persons aged 15-64 Formal 15-64 who are not employed who are not employed in formal employme in formal labor market labor market (employees or 22.2 72.1 nt of (employees or employers) and employers) and who are not manpower who are not attending any attending any form of education form of education Percentage of houses without Percentage of houses without Housing 0.0***) 2.7****) electricity electricity Percentage of overcrowded Percentage of overcrowded houses 54.7 houses (Eurostat indicator 26.1****) (<15.33 sqm per individual) *****) Housing insecurity: percentage of Percentage of houses without households where the inhabitants do 12.3 87.9****) running water not own the house This is a translation from Romanian Page 25 of 220 Source: Calculation of the World Bank using the population and houses census in 2011. For urban areas - Swinkels et al. (2014: 9); for rural areas - Teșliuc, Grigoraș and Stănculescu (coord.) (2015: 20). Notes: *) In urban areas, thresholds have been calculated using only census sectors with households, having a total number of 50-500 inhabitants. **) In rural areas, thresholds have been calculated using only census sectors with households, with a total number of minimum 50 inhabitants. ***) Below 1% of urban houses do not have electricity, the 80th percentile being therefore 0%. Any census sector where at least one house is not connected to electricity (and therefore the value is higher than 0 %) exceeds that threshold. ****) For the criterion regarding housing, the rural threshold at national level was set at the 90th percentile, and the criterion is exceeded if any of the three indicators is higher than the corresponding threshold. *****) Eurostat indicator on overcrowded house, without the condition referring to the existence of a shared room per household. When we look at the distribution of the communities and their coverage at national level, we observe that: o As a whole, in the towns and municipalities of Romania, 1,139 census sectors34 fall under the criteria determined for marginalized areas, being located in 264 towns and in Bucharest. In these areas, there are 342,933 inhabitants. At the national level, 3.2% of urban population, 2.6% of households in urban areas and 2.5% of houses in urban areas are located in marginalized areas (census sectors). o In total, in the communes in Romania, 2,244 census sectors35 have met the criteria to be deemed as marginalized rural areas, and there are more than 564,000 inhabitants living in them. At the national level, 6.2% of the rural population, 5.3% of all rural households and 5.2% of all rural houses are located in marginalized areas (census sectors). The Atlas of Marginalized Urban Areas and the Atlas of Marginalized Rural Areas contain a list of localities with marginalized areas (census sectors). The urban Atlas contains information on the towns/ municipalities with marginalized areas and the percentage of people in these areas. The rural Atlas contains a list of villages with marginalized areas, a range for the estimated number of people in the marginalized census sectors and an indication of whether communities have at least 20% Roma or not (as per the census data). 2.2. Types of marginalized areas 2.2.1. Types of marginalized urban areas The Atlas of Marginalized Urban Areas36 identifies four main types of marginalized areas which may be found in all types of towns, be they small, average or large, in all counties and regions of the country.37 These four main types of marginalized urban areas are described below. 34 Out of all 50,299 census sectors in the urban areas, in the census conducted in 2011. 35 Out of the 46,547 census sectors in the areas registered for the 2011 census, 2,523 sectors were not included in the analysis, because they have fewer than 50 inhabitants (2,473), or because there were no sectors with households. 36 Swinkels et al. (2014). 37 In 56 towns, no marginalized areas have been identified, out of which only one with 20,000 inhabitants and more. To the other extreme, in five towns, more than one third (up to 47%) of the population lives in such areas. These towns are: Aninoasa (Hunedoara), Podu Iloaiei (county of Iași), Budești (county of Călărași), Băneasa (county of Constanța) and Ștefănești (county of Botoșani). In 14 towns, the residents of marginalized areas account for between 20% and 31% of the overall population, and in 50 of the towns, the percentage reaches 10-19% of the entire population. In the other towns and municipalities, the rate of residents in marginalized areas is below 10%. This is a translation from Romanian Page 26 of 220 2.2.1.1. Ghetto type areas or former workers’ colonies In Romania, ghetto type areas refer to low quality blocks of flats (comfort level III or IV), built before 1990 for the workers of large socialist factories. More often than not, these are small or average areas (150-500 inhabitants), consisting of one– two buildings that look bleak. The main issues found here are the massive over-crowdedness, exercising major pressure on shared installations, and debts to utilities providers (electricity, water, sewerage and garbage collection). The apartments in ghetto type areas usually consist of only one room, 9-15 square meters,38 over- furnished and including big families with many children. In general, these small rooms act as bathroom, dining room, office and kitchen for large households, with up to 11 members. Nevertheless, inside, many of them are well organized and clean. Bathrooms may be shared (one per floor) or individual. Common areas and installations (electricity, sewerage, water, etc.) are old, deteriorated and/or unsanitary. Utilities are either absent, or disconnected because of unpaid bills. In ghetto type areas, ownership status over houses and/or agreements concluded with utilities companies may take various forms. In certain areas, the inhabitants are the house owners and have agreements with the utilities concluded in their own name. However, in others, the inhabitants are the owners of the rooms where they live, but have a common utilities agreement, or the rooms are leased from the town hall, but utilities agreements are individual, both the apartments, and the utilities agreements are owned by the town hall or another public institution (such as the county council). Figure 5. Former workers’ colony Source: The World Bank (2013) Poor Urban Areas and Disadvantaged Communities: Qualitative Assessment. Photo: 1 Mai Neighborhood, town of Călan. Some ghettos are located in former workers’ colonies. In such cases, living conditions and access to infrastructure are even more challenging. Houses are often falling apart, with ruined walls, cracked roofs 38In rare cases, rooms may have a surface area of approximately 30 square meters. This is a translation from Romanian Page 27 of 220 and infiltration when it rains. The extremely inappropriate living conditions (moisture, mold, cold, dirt, pests) endanger the health of most inhabitants in the area. Consequently, this entails risks in relation to the health of inhabitants (please see Figure 4 above). Nevertheless, local authorities rent such buildings to poor families as social houses. The infrastructure is almost inexistent. In the example in the photo, it may be noticed the only infrastructure available in the area, in particular a water pump acting as the only water source for the entire neighborhood. Cost of water is covered by the town hall, but, having regard to the high consumption, the representatives of town hall declare that the water bill is a burden for the local budget. The inhabitants in ghetto type areas are facing three major challenges: (1) payment of utilities (electricity, water, sewerage and sanitation), (2) constant fear of eviction or losing their house because of arrears and (3) insufficiently developed support networks and bad reputation of the area (low social capital). Ghetto type communities are split between owners and tenants, between “the bad” and “the good”, between self- proclaimed leaders making the law of the fist and the “weak”. They are characterized by low self-esteem, mistrust in other people and in (public or private) institutions. These communities are predominantly characterized by helplessness, increased by the permanent shame of living in a bad reputation area and associated to a strong sentiment of disdain and discrimination by most population. Many inhabitants of ghetto type areas do not disclose their address precisely in order to gain respect. 2.2.1.2. Slum type areas with improvised houses and/ or shelters Usually, these are old neighborhoods, at the outskirts, which have extended after 1990, with extremely poor communities (Roma, but not exclusively). Thus, in addition to poor quality houses (made of adobe), many improvised cottages and/or shelters have been built (made of plastic and cardboard with any kind of wooden structure) either in the yards of old houses, or on the public domain in the close vicinity of the neighborhood. Although the houses and the shelters are usually very small, with a surface area ranging between 6 and 40 square meters, they are inhabited by big families, with many children. Houses are located in disarray, one next to another, with very little distance between them. This type of area is usually found near a river or dismantled railways. Not all slum areas are adjoining old neighborhoods. Some of them have been built at the beginning of the 1990s by people in the area who had lost their apartments because of overdue payments to utility providers. This is a translation from Romanian Page 28 of 220 Figure 6. Slum consisting of improvised shelters Source: The World Bank (2013) Poor Urban Areas and Disadvantaged Communities: Qualitative Assessment. Photo: Craica area, Municipality of Baia Mare. In slum type areas, the community is scattered over a wide territory, which makes it even harder to settle their problems. In certain slum areas, there is virtually no trace of infrastructure (at best, a tap that provides the required water for the entire area), and in others, there is infrastructure on the main area, however, not available in the rest of the area (not even electricity). Consequently, many of these areas are insanitary and face climate risks, such as rainfall or floods. Because of the poor quality of construction materials and the proximity between houses (which are attached to one another), a fire as small as it may be, broke out in one house could cause damages to other tens of houses in the area. The main challenges for these areas, in addition to extreme poverty and squalid living conditions, consist of the lack of identification and ownership documents. The issue of identification documents was settled in most areas, as stated by local authorities. However, there are still areas, in particular those of improvised shelters, in connection with which not even the number of inhabitants is known. Therefore, such areas are in fact at least partially “invisible” (in administrative terms) insofar as the inhabitants in the area do not claim welfare. Consequently, the inhabitants are talking of human trafficking and prostitution, claiming that they are at the mercy of strong leaders of opposing gangs acting in the area. Certain slum areas are quiet, in particular old neighborhoods, while other are quite unsafe and dangerous, may people being virtually “slaves” to informal leaders. The issue of ownership documents over the land is common for all slum type areas. In old neighborhoods, people have inherited the houses from parents or grandparents, but do not hold legal documents over This is a translation from Romanian Page 29 of 220 the land. Their children have built a cottage as appendix or in the garden of the old house without, however, holding ownership documents, in their turn. Much more complicated is the situation of people living in plastic and cardboard shelters, located on public domain. This is a major legal challenge even in the opinion of institutional representatives. The law does not allow municipalities to confer the status of owners and the legal right to use the public domain. The issue may only be settled by means of the domestic law, in particular a framework allowing the mayors to resort to that option. Usually, in the slum type areas, there are several leaders fighting for supremacy. These communities are highly segmented in more or less segregated groups, each with their own leaders. The law of the fist is very prevalent. In addition, owners of small shops, selling on credit and having their entire community in their book, hold significant influence in these communities. Participative actions are difficult to organize in slum type areas. The main issues that should be resolved require either huge investments (in infrastructure and town planning, for instance), or a nation-wide approach, such as the legal matters pertaining to land ownership. The issue of low school attendance or school dropout by children should become a national priority and needs to be addressed, in cooperation, by the town hall, local schools, Roma leaders, Roma experts, education experts and the organizations of civil society. Therefore, such average to large communities, with significant fluctuating population and extending trends, require a national frame, well-coordinated local actions for the average and long term, the involvement of many local actors who are well aware of this situation, as well as considerable budgets. 2.2.1.3. Areas of upgraded social houses The areas of upgraded social houses were created through integrated projects, combining social actions with extended investments in new real estate and infrastructure. This type of areas benefits from good infrastructure (sometimes, even better than in other areas of the corresponding towns), however, they are only inhabited by poor people, with difficult social circumstances. Consequently, the payment of utilities is still a major challenge for these poor inhabitants. It does not suffice for social houses to be modern and equipped with utilities, but they need to be affordable. Rehabilitation of buildings and the provision of all utilities to destitute population are sustainable interventions only where there is a mechanism in place able to ensure affordability for such housing. When the monthly bill for only one utility (usually, electricity) exceeds the family income, then the investment is not at all sustainable because the inhabitants cannot afford the house maintenance costs. In fact, the areas of upgraded social houses reveal a major risk associated to integrated projects, in particular further segregation by upgrading the infrastructure. When these types of houses are located outside the borders of the town, closer to a neighboring village than to the town in which the citizens lived and were raised, under dangerous environmental conditions, and the relocation of population took place without appropriate information and permanent consultation, negative effects could ensue, such as deeper segregation. This is a translation from Romanian Page 30 of 220 Figure 7. Area of upgraded social houses Source: The World Bank (2013) Poor Urban Areas and Disadvantaged Communities: Qualitative Assessment . Photo: Drochia area, Municipality of Dorohoi. Upgraded social houses shall comply with all technical regulations in terms of size and infrastructure, but should also pay attention to the following issues: (1) geographical location at the level of urban territory, (2) information and consultation before relocation and (3) ethnic component of relocated population. If the area of social houses is located in a territory disconnected from the vital tissue of the town, far from employment opportunities, and is inhabited by only one socio-economic and/or ethnic group, then the area is segregated and has very low development potential, irrespective of how up to date such houses may be. Segregation is exacerbated if the formation of the area results from imposed relocation. Mention is to be made that, in many marginalized areas, residents declare that they live in permanent fear that they will be relocated by the town hall, a concern expressed particularly by people living in improvised shelters or social houses (either in ghettos, slum or upgraded houses). Roma, in particular, fear that they would be relocated outside the town. Mayors of several town plan to remove “the areas of poverty installed inside the town” and relocate the poor population, in particular Roma, to compact building complexes, well-endowed and with pleasant appearance, somewhere outside the town, on a hill, near an old factory, near a forest, in an old poultry farm and so on. However, such projects would only further cleave the social isolation in which such people live (families with children) and not promote social inclusion. This is a translation from Romanian Page 31 of 220 2.2.1.4. Historical (central) areas The “historic center” or “historical areas” of towns/ municipalities are the forth type of marginalized urban areas and refer to areas of individual houses, nationalized during the communist period, in an advanced state of degradation which, after 1990, were used as social houses (or with social nature). Most of these houses were given by local authorities to poor families, either before 1989, or at the beginning of the 1990s or, in the case of ruined buildings, they were illegally occupied by homeless. Thus, these communities are the consequence of the housing policy adopted by the Communist party and of the local authorities in post-Communist times. This refers to rather old neighborhoods, with people having lived in the same house for more than 30-35 years, some of them were even born in that house. Figure 8. Historic center type area Source: The World Bank (2013) Poor Urban Areas and Disadvantaged Communities: Qualitative Assessment . Photo: historic center, Municipality of Brăila. Except for the downtown position, the living conditions in these communities are much similar to those existing in slum type areas. Given that these houses are located in areas that are appealing for investors, with high real estate potential, the former owners (or their heirs) have tried their best to recover. Law No 10/2001 stipulates that these houses be retroceded to their old owners (or their heirs). The inhabitants were allowed five years to find a new house, or were otherwise evicted. On the other hand, certain people were allowed to continue to inhabit some of the ruined buildings, however without being given identification documents placing them at such address (since the building is registered in administrative books as ruined). There are therefore people who lived there for 10-15 years and only holding temporary identification documents in which they appear to have “no domicile,” and in that case the individual at issue may not find employment, is not entitled to health care or welfare and so on. Unlike the other types of marginalized areas, the historical areas of towns are not inhabited by strong tied communities, intense daily interactions or leaders. In exchange, in these areas, there are small cores of neighbors to be treated individually when directly subject to intervention. In addition, the interventions to This is a translation from Romanian Page 32 of 220 the buildings in the area may require very high prices, given that they are classified as historical monuments. 2.2.2. Types of marginalized rural areas The Atlas of Marginalized Rural Areas39 identifies two main types of marginalized areas scattered throughout all counties and regions of Romania.40 These two main types of marginalized rural areas are described below. 2.2.2.1. Geographically isolated villages This type of marginalized rural areas refers to villages containing predominantly Roma population, isolated "beyond the hills" "down, in the valley, on the bank of the river" "beyond the forest". These communities usually communicate with the rest of the world by a non-asphalt road, sometimes cobbled, not practicable in the cold season. The situation is even more severe when, in addition to isolation, there is also difficult or impossible access to fresh water. Figure 9. Rural marginalization related to geographical isolation Source: Validation study for marginalized rural areas (May – June 2015). Photo: villages in the county of Vaslui. Low attendance of school, early school leaving and dropout are major challenges in these isolated communities. Absence or poor quality of roads results in reduced school attendance and poor school results among children, as well as a high rate of dropout after the fourth grade. Even in the communes where there is a school bus, in periods of bad weather, the service is no longer available for children in marginalized communities. Apart from the road connecting the area to other villages, inland roads are very narrow, and they do not allow access for firefighters or ambulances. However, the image of the village as a whole is rather bucolic. Poor, but well-organized households. Unpretentious houses, but white washed and clean yards. Simple but well-kept fountains. The entire area has a rather agricultural nature. Many sheep and cows running free, poultry, vegetables and fruit trees in every yard. Horses and carriages are the main means of 39Teșliuc, Grigoraș and Stănculescu (coord.) (2015). 40 Marginalized rural areas may be found in 991 communes (or 35% of all communes in Romania), respectively in 1,605 villages (13% of all villages). Consequently, most communes/villages in Romania do not have marginalized areas. On the other hand, in 157 communes (accounting for 5.5 % of all communes), more than one third of the population lives in marginalized areas. As far as the villages are concerned, in 663 villages, more than half of the inhabitants live in such areas. This is a translation from Romanian Page 33 of 220 transportation. Even small children drive the carriage, work the field or tend to animals. In many of these areas, there is not even telephone coverage. 2.2.2.2. Suburbs of well-connected villages These marginalized rural areas refer to areas located on the outskirts of villages well connected to the village that is the center of the commune and/or to a national or European road. Figure 10. Rural marginalization related to social isolation Source: Validation study for marginalized rural areas (May – June 2015). Photo: villages in the county of Călărași. These areas are usually characterized by local sources as Roma communities. Most of the times, inhabitants are usually referring to themselves as “Roma”, “gypsies” or “rudars”. These areas are clearly demarcated from the rest of the village. Usually, at the entry to a marginalized suburb area of this type, the asphalt-coated road ends abruptly and is continued by a cobbled or earth road. As a general rule, most of the existing infrastructure in the village only reaches up to the boundary and only to the main road of these marginalized areas, but rarely to peoples’ houses. Some inhabitants are not interested in using that infrastructure, while others cannot afford to or have been disconnected because of debts. For instance, even in the villages with local running water network, most of the inhabitants in marginalized areas carry water from a public fountain. Although physical access to public services is good, they are seldom used. Youth drop out of or leave school early, even if there is a school within a ten-minute walk. The lack of clothing, footwear and appropriate school supplies is the main reason invoked by parents, followed by discrimination. The general appearance is rather that of disarray, many houses with damaged roofs, no windows or doors, no fences and a lot of more or less useful items scattered everywhere. There are carpets and blankets all over the place. Children and adults stay in the street. Vegetable gardens and yard animals are rare. Dogs and pigs wandering free are most of the animals. All villagers, not only the inhabitants of the marginalized area, throw their garbage at the outskirts of the area. Given that these areas are located in well-connected villages, the population has access to black market employment and work as day laborers. Most of them gather scrape iron or plastic bottles or are ambulant sellers. Furthermore, since the road to town is easily accessible, some of them commute to construction or sanitation companies in town. This is a translation from Romanian Page 34 of 220 Key aspects to consider by project applicants and evaluators carrying out analyses of marginalized communities Applicants Marginalized communities are territorial areas that are simultaneously highly disadvantaged in terms of housing, employment and human capital. The marginalization indicators are different in urban areas from rural areas. If an applicant needs to carry out their own research, they should compute the indicators specific to the area from which the community is*. In order to prove that an area is marginalized or not, the applicant should test whether the values for the marginalization indicators are higher in that community than the thresholds calculated at national level (at the 80th percentile). Each marginalized area has its own specificity, and it is important to understand the profile of each area in order to tailor the programs for it. Qualitative research show that, in urban areas the marginalized communities can be divided into: (i) ghetto type areas/former workers’ colonies, (ii) slum type areas with improvised houses and/or shelters, (iii) areas of upgraded social houses, and (iv) historical (central) areas; rural areas can be broadly divided into: (i) geographically isolated villages and (ii) suburbs of well-connected villages. Evaluators A territorial area is not marginalized unless it is deprived on the three dimensions (housing, employment, human capital) simultaneously: the values of the indicators specific to the residential area to which the community belongs (rural or urban) are higher than the thresholds listed in Table 2. Note: * However, in the case of the Call for Proposals on the Specific Objectives 4.1. and 4.2., the indicators and thresholds from urban areas were asked to validate both urban and rural marginalized communities. This is a translation from Romanian Page 35 of 220 3. Validation of marginalized communities As indicated above, marginalized areas identified at the level of census sectors only partially overlap with the specific marginalized communities. Territorial concentrations of extreme poverty may, in fact, be part of a town/municipality neighborhood or part of a village and, in certain cases, may cover an entire village.41 These, in turn, may fully or partially overlap with one or several census sectors, but rarely is the overlap complete (please also see Figures 2 and 3). Consequently, the mere comparison between the locality/village addressed in the project and the localities/villages in which there are marginalized census sectors, as per the two Maps, does not automatically validate the marginalized area. The comparison shall be conducted at the level of the census sector (in reliance upon their delineation in accordance with census maps, made available by local authorities or by the National Agency for Cadaster and Land Registration). Nevertheless, in order to validate that a specific community is marginalized, according the the Applicant’s Guide for Specific Obijectives 4.1. and 4.2, it was compulsary for a reference study to be conducted in the respective community. The study was recommended all the more as the factual realities of 2016 may largely differ from 2011 (the year of the census), and a good understanding of the characteristics of the community is paramount in designing an efficient intervention. However, in the future, for similar situations, it is recommended to consider more carefully if the use of the Atlases of rural and urban Marginalized Communities is not enough to validate the marginalized community (in this case, new analyses could be allowed if the marginalized communities could not be found in the Atlases). This approach would have a number of advantages: (i) it would allow the stakeholders that do not have highly analytical skills to apply for projects and be more confident that they can receive the financing, (ii) it would extend the intervention area not only to a marginalized area but also to its neighborhoods, not encouraging segregation, (iii) it would decrease the costs for data collection and would maximize the energy of the applicants on the identification of the needs of the communities. 3.1. Performance of validation study for marginalized communities The validation study of marginalized areas may rely on qualitative research methods. For instance, the validation study of the World Bank42 for marginalized rural areas (sectors identified in reliance upon census data) relied on a combination of several qualitative methods. In each selected commune, a visit was first paid to the town hall. One or more interviews were carried out with the mayor, vice-mayor, secretary or social assistant from the Public Social Assistance Department. In each commune, a brief introduction of the study was made, followed by a presentation of the methodology for the identification of marginalized rural areas, together with the theoretical results. Starting from a map of the commune, census sectors were identified and some statistical data were collected, as well as opinions on the theoretically marginalized areas, on several topics (please see Table 3, the first column). In the next stage, the theoretically marginalized areas were visited and discussion groups were organized on site with the locals on the topics included in the second column of Table 3. At the same time, the research team made direct observations in the community, by using the list of indicators in the third column of Table 3. All the 41 Within the meaning of the Guide of Applicants for Calls 4.1. and 4.2., it may be construed that marginalized communities also include entire communes, having regard to the thresholds for the indicators used– please see Table 1 of the Guidelines. 42 Teșliuc, Grigoraș and Stănculescu (coord.) (2015). This is a translation from Romanian Page 36 of 220 data collected was encoded and registered in a set of data in view of a quasi-statistical analysis. In addition, photos were taken in all marginalized areas, to contribute to the decision-making process. In reliance upon all the information above and by applying the inter-rater reliability method, the research team decided whether to validate or not the theoretical marginalized areas. Table 3. Research techniques and topics for discussion Structured open-end Group discussions with the interviews with the inhabitants of marginalized Direct observation representatives of local rural areas authorities History of the area History of the area a. Broken fences Access to public services Access to public services b. Poor quality or broken roofs Infrastructure Infrastructure c. Ruined or poor houses Employment and main sources of Employment and main sources d. Many children in the street income of income Issues relating to delinquency Issues relating to delinquency e. Barefooted children, naked or and public order and public order with poor and shabby clothes Relationships in the community Relationships in the f. Garbage/sludge in the street community Living conditions Living conditions g. Blankets/carpets on the fences Utilities (water, sewerage, Utilities (water, sewerage, h. Non-asphalt roads, difficult electricity) electricity) access Geographical obstacles Environmental risks Key groups in the area and fluctuations of population Major problems of the community Interventions already enforced in that area The first useful observation: informants from the local level have difficulties in delineating census sectors, and therefore, as a matter of rule, they provide chance estimates when asked about statistical data (such as population, number of Roma, houses, etc.) in connection with such areas. A large part of the local representatives does not possess systematic information in relation to the areas in the town/commune, in particular as regards the education of inhabitants, their employment, children not attending school and so on. At best, they have results from the 2011 census and information only at the level of administrative unit (town/commune) or village. Therefore, most tend to limit their assessment to visible issues, in particular the infrastructure and public services. On the one hand, if an area is located near a road or has access to any infrastructure, marginalization is simply excluded. On the other hand, most tend to assess the entire neighborhood/village as poor, instead of outlining and identifying a certain area as marginalized. The second key observation: a validation study according to the template above, however useful, would not suffice to receive financing from EU funds. For that purpose, the study shall also verify whether the values of key marginalization indicators in the community are above the thresholds in table 2 (please see above) determined at the national level and by residential area, in reliance upon census data. Qualitative data is not enough; it needs to be supplemented by quantitative data. To conclude, the steps required to validate the marginalized community are as follows: This is a translation from Romanian Page 37 of 220 A. Development of a research instrument to collect information on site; B. Preparation of the research design; C. Data collection on site and data analysis. 3.1.1. Development of the research instrument for validation In order to verify, for the envisaged area, the values of each key indicator for marginalization (please see Table 2), a research instrument needs to be developed, to be applied at house level and included information on households and individuals. For instance, for urban areas, the indicators in Table 2 contain information at the level of: (i) persons aged between 15 and 64; (ii) children (0-17 years); (iii) persons, irrespective of their age; (iv) household; and (v) house. Consequently, the questionnaire shall contain information on all of the levels above. The best solution is to fill in a questionnaire for each household, to include information on each member (adults and children), as well as data on the household. As deriving from the methodology used by the National Institute of Statistics in investigations, the household is defined as: Household: a group of one or more individuals, with or without children, which usually live together, generally are connected by family ties and manage their affairs in common, by providing full or partial contributions to the household’s revenues and expenses budget. As the case may be, the members of a household farm the land or grow animals together, jointly use and capitalize on the goods obtained. Household may also consist of a group of two or more individuals, with or without children, not connected by family ties, but which declare that, by mutual agreement, they live together and share a budget. The individuals not belonging to another household and who live and manage their affairs individually shall be construed as single-person households. The following shall be deemed members of the household: o Present individuals, temporarily absent or departed for a longer period of time from the household, but not for more than 6 months (for education purposes in other localities, on vacation, to relatives, rest houses, admitted to hospitals or nursing homes); o Children under the care of individuals outside the household, nurseries or kindergartens, in camps, etc.; o Individuals who left on business (in Romania or abroad), but who did not set up another household or did not establish their domicile in another locality; o Institutionalized individuals (retirement homes, hospital-homes for the disabled, orphanages, monasteries, etc.) forming part of a household, absent in the reference month, but not absent from the household for more than 6 months; o Individuals deprived of their freedom (in detention or arrest) forming part of the household, absent in the reference month, but not absent from the household for more than 6 months; o Children under placement with foster family or entrusted for a period longer than 6 months; o The elderly and other individuals who are dependent of the household; o Persons living on rent or lease, contributing to the expenses of the household and living together with the members of the household for a period of at least 6 month or who are not domiciled elsewhere; o Individuals employed to supply household services, contributing to the expenses of the household and living together with the members of the household for a period of at least 6 month or who are not domiciled elsewhere. This is a translation from Romanian Page 38 of 220 The following shall not be deemed to be members of the household and shall not be subject to the analysis: o Individuals/guests temporarily found in the household; o Individuals whose budget is separated from that of the household members; o Individuals who permanently live in joint housing units, retirement homes, disabled homes, workers’ houses, nursing homes, etc. A fiche of the community is useful in order to find out, for instance, data concerning access to services, but does not suffice in order to verify marginalization criteria. Research instruments shall be designed for the residence environment to which the area intended to be validated as marginalized pertains. Minimal questionnaires at household level, as well as the extended one available in the annex (Annexes 6, 7 and 8) may be used in order to validate the community as marginalized, both in the urban and in rural areas. Attention! For the validation of marginalized communities according to the Guide for Applicants for specific objectives 4.1 and 4.2, only marginalization indicators from urban areas were used (and their corresponding thresholds) for both rural and urban marginalized communities. Because of this, in the case in which the future calls will use the same methodology for the identification of marginalized communities, the minimal questionnaire at household level for urban areas should be used for communities from both urban and rural areas. 3.1.2. Preparation of research design and its implementation Census or poll? Census or poll to collect data necessary for validation ? The answer depends on the size of the community for which the marginal character needs to be validated and on the resources available for data collection. For marginalized communities with a low number of households- under 120-150 households - it is recommended and most of the times possible, to use the census. o For larger communities, polls may be used. o Both polls and census may focus on all three categories of indicators necessary to identify marginalization (human capital, employment, housing) or only for those indicators for which there is no data available. For example, in some localities, information on the number of members in each household and the dwelling surface can be systematically collected from the city hall. Similarly, the information about the proportion of households that do not hold ownership of the dwelling can be documented without resorting to poll or census data. o As a matter of principle, it is recommended for the on-site research (by poll or census) to be performed both in order to validate the marginal character of the target community, and to identify the features relevant for the project, at the level of the community for intervention. Volume and quality of the sample This is a translation from Romanian Page 39 of 220 A sample has a higher representativeness 43 if: 1. The compliance between its socio-demographic characteristics (age, gender, education, employment, ethnicity, etc.) also referred to as “statistics”, and those of the population from which it was excerpted (”parameters”) is higher; 2. Its volume is higher; and 3. It allows the selection of interviewed subjects by probabilistic procedures, not mainly associated to low costs for reaching the interviewees (improbable methods)44. The research team carrying out the analysis of the marginalized community may easily determine the required volume for the sample, by specifying solely the volume of population from which the sample shall be collected and the acceptable error margin (1%, 3%, or 5%). The excel calculation method may be found by activating the excel table in Annex 2. Depending on the resources available, it is recommended for the sample to the calculated for an error margin as low as possible (1% or 3%) and implicitly, for a volume as large as possible. Calculating the sample volume for a simple random sample The sample volume (n) is calculated to be pro-rata with the variability of the defining feature for the sample (p*q), the size of statistical t or z associated to the level of trust selected, and inverse proportional to the allowed error limit ( . A correction factor shall be added to the denominator of the above formula in order to take into account the volume of population (N) out of which the sample is collected. The sampling feature shall be considered to be of the dichotomy type, maximum variability p=q=50%. The calculation formula, actually used in order to determine the sample volume, shall be: . Best practice in designing and conducting the poll Best practice in poll research are valid irrespective of who designs them and applies the poll methodology. 1. Involvement of expert poll takers, irrespective of the size of the data collection sample, is paramount45: o The presence of an expert or of an institute specializing in polls (in designing the sample necessary for data collection and, afterwards, for assessing the sample quality) is the best solution. 43 For a less technical introduction to the matter of sampling, please see (Sandu, 1992), whose volume may be consulted online on the author’s page on Academia.edu (at Statistica in stiintele sociale. Probleme teoretice si aplicatii pentru invatamantul universitar, 1992) and (Babbie, 2010). 44 Preferred methods are those of probabilistic types (random route sample or selection from lists of individual/ households/ dwellings combined with a stratified and/or cluster sampling. Improbable methods that are not desirable to validate the marginalized community are: snowball sampling (respondents who selected each other), the opportunity sampling (any individuals/households are willing to answer questions) or quota sampling (selection of subjects in different areas proportional to the size of their area, without the subjects being selected systematically within areas). 45 The purpose of these benchmarks in correct sampling is to provide the project applicant with a simple guideline to check the way in which the individuals designing the sample and implementing it in a poll should work. This is a translation from Romanian Page 40 of 220 o Over time, the process of conducting complex polls at the local and/or micro-regional level should be fostered, to create substantiation data for development or poverty or precariousness control projects. Partnerships among significant local actors could ensure the financing necessary in that respect. o In case of absence of experts directly involved in the performance of the polls, the preparation of a poll plan (designing a sample, questionnaire, data collection method, validation and analysis method) to be previously discussed with the relevant expert in the field is recommended. 2. The quality of the sample may substantially be improved by adopting a layering46 or prior classification procedure for the population from which the sample is collected. If, for instance, the envisaged marginalized community includes census sectors in the village acting as the center of the commune (in the territory of which the town hall of the commune is located) and in a marginal village, then it would be useful for the community population to be known on such separation line and the sample to be designed in “layers”, one referring to the areas in marginal villages, and the other referring to the village acting as the center of the commune. 3. Collection of on-site data, after designing the sample and after the preparation of the questionnaire, is recommended to take place in accordance with a probabilistic scheme, by using a sampling frame, with lists of corresponding addresses, to select the subjects on which the questionnaire shall be applied or a semi-probabilistic method, such as the one of random route. An option for the selection steps of households for the random route method can be found in Annex 3. o In both alternatives for collecting data on site, it is important for data collection to be organized in such a manner that the operators applying the questionnaire have as little as possible freedom to choose the subjects (as the case may be, following the counterproductive rule of the indulgent operator “I’ll go where it is easy to reach and I’ll look for those I know”). o Questionnaires shall strictly be applied to people randomly selected from constituents (or similar) lists or following rules specific to the random route method (please see the materials in the previous footnote). o Operators filling in the questionnaires on site shall be trained in advance so that to comply with deontology and professional performance rules specific for the field (shall not replace subjects to be interviewed in accordance with the interview protocol with individuals who could more easily be interviewed in their households, strict observance of the answers given by the subjects, refraining from any influence thereof in their answers, etc.). o If the selection is made starting from the voters registered in constituents lists, the practical working method shall aim at: determining the selection pace from the lists by dividing the number of voters in the reference constituency to the number of individuals to be interviewed in that constituency. If the first individual selected is supposedly the third name on the first page of 46 In the case of stratified sampling, members of the population are divided before the start of the selection process into groups (relevant to the research objective), named strata. The two conditions which must be fulfilled in the case of stratified sampling are: (i) each unit (e.g. household/ dwelling) belongs to a single stratum, and (ii) probabilistic samples (most frequently simple random) are selected within each stratum. The strata must be as homogeneous as possible within and heterogeneous in the exterior according to variables relevant for the study (for example, if we expect a marginalized community to be divided into two sub areas distinct as profile, then it would be useful for distinct samples to be selected from each area. Stratified sampling can be proportional or non-proportional – stratified sampling is proportional when the weight of a group within the sample is equal to the weight of the same group in the total population. This is a translation from Romanian Page 41 of 220 the constituency list; the following shall be the number given by 3+ the value of the selection pace determined in accordance with the bullet above. o Irrespective of the manner in which data is collected on site, starting from the sampling frame or through the random route method, the operator shall draw up a table, similar to the one at item 8 in the Guidebook for the performance of poll through the random route method in Annex 3, so that the manner in which the actual works were performed in applying the sampling scheme and the questionnaire can be verified. 4. It is recommended that the questionnaire: o Includes questions regarding the necessary indicators for the validation of the marginal community and those for the identification of needs and possibilities of development for the community; o Does not include, in the wording of its questions, technical terms, difficult to understand by the interviewees. Phrasing of questions shall be made in such a way that words and phrases are intelligible for the interviewees with a minimum level of education. o Is pre-tested, in order to ascertain the extent to which its questions are understood by the subjects and, also, to pre-determine the duration for which the questionnaire is to be enforced. o Does not suggest, by the wording of its questions, the answer, in any one form or another (”Isn’t it true that........”). This kind of questions should not be found in the questionnaire, or in the manner in which the questionnaire operator phrases the questions. o At least 15% of the questionnaires filled in shall be controlled in the territory for correct enforcement. Control as to the manner in which questionnaires are applied shall be notified to interview operators in advance. The idea that the factual questions (such as educational level, income or dwelling characteristics) which, apparently, could be given a simple answer, not possible to be influenced by the operator, cannot pose any difficulties in the poll has no merits most frequently in the poll practice. If, for instance, the questionnaire also includes a question concerning the ethnicity of the respondent, then all of the above-mentioned requirements in connection with the interviewer’s behavior fully reveal their significance. o Control of filled in questionnaires shall take place not only on site, but also before their input into the computer (to identify any filling-in errors), and by verifications of the filling in logical type, after data is input into the computer (to identify questionnaire data entry errors). Drafting the research component as part of the project It would be ideal for a technical annex to the analysis of the marginalized community to refer to the sampling design and its implementation. Specifically, this annex should indicate: the sampling scheme (probabilistic-semi-probabilistic, single- or two-stages, layered or not layered, etc.), the comparison between the features of the collected sample and those of the population (on a series of relevant variables existing at the population level or from census data or other actualized data sources), who applied the questionnaire, how was the compliance with the sampling scheme on site checked. Access of certified assessors to micro-data (data at individual level deriving from the poll or from the census, after appropriate redaction) is also a solution of direct testing for the quality of data used in order to estimate the indicators of validation of the marginalized community47. 47 Under the Call for Proposals for Objective 5.1, the access of evaluators to microdata is compulsory. This is a translation from Romanian Page 42 of 220 Data quality The mere fact of collecting data through a poll or by census does not automatically lead to a better validation of the marginalization of target communities or to a better research of the whole intervention section of the project (in situations in which the marginalized community only represents a sub-area of the intervention area). The sampling scheme may have been good, but its application on site faulty. The questionnaire may include questions appropriate for the topic, but their topic may have given rise to failures of communication or understanding in relation to the interviewees. For these reasons, it may also be necessary to conduct a validation of collected data. o The sample was appropriately designed and the application of the questionnaire and of the sampling scheme was correctly performed provided that the data obtained is “consistent”, “is connected to one another” as expected in theory. For example, we expect the percentage of the population with a low level of education in these areas not to be lower than the one observed for the population at community or village level or for the percentage of the population without utilities from marginalized community to also be lower than the one registered in rural areas or at the level of the commune to which the community belongs. o Also, it would be useful for marginality indicators, to be linked to indicators as close to them as possible such as meaning, deriving from other research or data bases (education stock, infant mortality rate, index of local human development, etc.). 3.2. Assessment of condition to prove that the community is marginalized How can communities considered marginalized - in projects fighting poverty and social exclusion - be validated through quantitative social research? Does the marginalized area include all marginalization characteristics? Are those communities - very poor and with a high probability of social exclusion - defined in line with the atlas type of social research48? This section of the Guidebook mainly aims at providing case-by-case answers to the questions related to the assessment of the validation method for the inclusion of territorial micro-zones in the category of marginal communities (please see Figure 10). Additionally, this section aims at developing a mind frame to guide the evaluators in selecting and grading the projects in terms of their degree of substantiation through quantitative research. The cases which may be found on site, in terms of the relationship between the target community and the marginal community already identified through one of the two Atlases, rural and urban, should consider some of the following aspects: 1. Full compliance between the target community for the intervention and one or more marginalized communities already identified as being marginalized. The target community, assumed to be marginalized, exceeds in size one census sector, has the dimension of a village, commune or town and is comprised of census sectors, of marginalized type. In these cases, a specific validation research for marginality is no longer required. 2. The community assumed to be marginalized only partially overlaps a census sector having the status of marginalized area. 48 Teșliuc, Grigoraș and Stănculescu (coord.) (2015). This is a translation from Romanian Page 43 of 220 3. The target community, assumed to be marginalized, overlaps a census sector; however, the latter, for whatever reason, was not assessed as marginalized before (no registration in the census, faulty registration, lack of data in quantitative analysis, fundamental changes after 2011 etc.). Even simpler, there are three types of situations that the project applicant and, implicitly, the evaluator, shall take into consideration: a) full coordination between the census sector and the marginalized community starting from census sector level data from the Atlases data; b) partial overlap between the marginalized community and a certain census sector included in the analysis set forth in the urban and/or rural Atlases; and c) labeling a community as marginalized, without partially overlapping a census sector deemed as marginalized community area in the Atlas49. Attention! A community is marginal if the reference territory, within the meaning of the applicant, fully overlaps a territory identified in the Atlas as marginal. In respect of census sectors in the urban environment containing more than 20.000inhabitants, marginalized urban areas are publicly available. In the rural environment, at the time when the Guide for Applicants for objectives 4.1 and 4.2 was published, there was no public list of marginalized community sectors. Regarding areas deemed by the applicant as marginalized, but for which overlapping with the marginality set forth in the Atlas is only partial, or there is no such overlap, it is necessary to conduct a reference study which validates the marginality status of that territory. The need to conduct a poll or census to estimate the values of the six indicators in table 1 (in respect of human capital, employment and housing) is stringent in the cases where the marginality set forth in the Atlas largely differs, in territorial terms, from the marginality proposed in the application. If a part of the area proposed by the applicant as marginality area overlaps with the area holding the status of marginality in the Atlas, then the reference study shall continue to be required, however, the need to conduct a poll or census for validation could be reduced to the area which is not covered by the Atlas. Also, it does not suffice to report a census or poll (or other administrative data) in order to validate the marginalized community unless also providing convincing arguments referring to the quality of the data collection method and the quality of the data itself. 49 “Atlas” is used, herein below, in this section of the Guideline, to refer to Tesliuc, E., Grigoras, V., Stanculescu , M., (coord), (2016) Atlas of marginalized rural area and local human development in Romania, World Bank, and Swinkels, R., Stanculescu M. (coord.) (2015). Atlas of marginalized urban areas in Romania, World Bank. This is a translation from Romanian Page 44 of 220 Figure 110. Key questions in the quantitative validation of marginalized communities Key questions in Questions and actions within the research associated to presenting the the project. marginalized community in the project evaluation. Is the area of intervention targeted by the applicant of marginal type? YES: It perfectly overlaps on NO: Lack of overlap or Was the validation caried out a community determined partial overlap. on the basis of census sector through the urban or rural Unknown: lack of access to level data? Atlas. data. Collecting or obtaining data for validating the Are the data collected or hypothesis of marginal community through measuring obtained from other sources the values for the marginalization indicators. of good quality? Are marginalization indicators The new data support the Noile date nu susțin ipoteza correctly calculated and higher MC hypothesis: the area is CM. Renunțare la zona de than minimum marginalization validated as MC. intervenție preliminară. values? Does the validated community have Are the data collected or over 10% Roma in the population? obtained from other sources of good quality? Source testing such as NSI census, City Hall evaluation, Roma Does at least one of the data leaders evaluation, own survey or census.* sources allow the calculation of the number of self- identified Roma? YES: over 10% self-identified NO: under 10% self- Roma: community validated identified Roma: community as Roma MC. validated as non-Roma MC. Question Answer Action This is a translation from Romanian Page 45 of 220 Key aspects to consider by project applicants and evaluators carrying out analyses of marginalized communities Applicants The Applicant should pay attention to the specifications from the Applicant’s Guideline when proposing a marginalized area for a project. For example, in the Guideline for Specific Objectives 4.1. and 4.2., the mere inclusion of the locality covered by the project in the list of localities/villages with marginalized census sectors, as per the Atlases, is not enough to validate a marginalized area. The comparison shall be conducted at the level of census sector; if the overall is not perfect, the proposed marginalized community should be validated by a new research. No matter of the Guideline specifications, new research is needed in the cases in which a marginalized community cannot be found in the Atlases. In the case of the Applicant’s Guidelines for Specific Objectives 4.1. and 4.2., only the marginalization indicators and thresholds from urban areas were used both for rural and urban areas. In this case, the minimal/extensive questionnaire for urban areas should be used for communities from both urban and rural areas to calculate the marginalization indicators. To validate that a community is marginalized or not, a fiche of the community is not sufficient to verify the marginalization criteria; a questionnaire need to be applied at the house level and include all the information on households and individuals regarding the marginalization indicators. The questionnaire should be applied either on all the population or on a representative sample of households from the marginalized areas. In the cases in which some of the information exist in administrative data, the applicant should document the how the information from that data source was collected and its quality. The collected data should be aggregated at community level, and the values for the indicators compared with the thresholds at national level. Evaluators A community is marginal if the reference territory fully overlaps a territory identified in the Atlas as marginal. In respect of census sectors in the urban environment containing more than 20.000inhabitants, marginalized urban areas are publicly available. In the rural environment, at the time when the Guide for Applicants for objectives 4.1 and 4.2 was published, there was no public list of marginalized community sectors. Regarding areas deemed by the applicant as marginalized, but for which overlapping with the marginality set forth in the Atlas is only partial, or there is no such overlap, it is necessary to conduct a reference study which validates the marginality status of that territory. The community is marginalized if the values of the indicators from Table 2 are larger than the thresholds. Also, it does not suffice to report a census or poll (or other administrative data) in order to validate the marginalized community unless also providing convincing arguments referring to the quality of the data collection method and the quality of the data itself. This is a translation from Romanian Page 46 of 220 4. Identifying the needs of marginalized communities and potential solutions The need of the community may be analyzed by using a combination of quantitative and qualitative data. Each of these types of data, quantitative or qualitative, is collected by using specific instruments such as the ones described in the annexes. In the intervention logic of the types covered by the Guide for Applicants for the objectives 4.1 and 4.2, the instruments should fulfill a series of minimal conditions: 1. The instruments shall reflect the needs according to each of the 7 dimensions of the project: o Education: - Support to improve access and attendance to early education (early pre-school and pre- school) - Support to reduce early school leaving by: programs of the priority zone type for education/afterschool - Second chance programs o Employment: - Support for access to and/or remaining on the labor market - Attending on the job apprenticeship programs - Attending internships for higher education graduates (including by providing financial support to employers) - Support measures to find jobs o Entrepreneurships and self-employment: - Granting support to individuals in the target group - Granting subsidies (micro-grants) for setting up new business - Development supply of (social healthcare/healthcare-social) services o Housing conditions improved o Legal assistance provisions in order to settle documents o Fighting against discrimination and fostering multiculturalism. 2. The instruments shall collect information in connection with the demand and supply of services/assistance for each of the 7 dimensions. 3. Interest indicators (information collected through the questionnaire/charts/interviews) shall be collected at the level of the entire population in that community, respectively at the level of Roma population in that community. This shall be achieved by including, in the questionnaires/guideline, an interview containing questions on the (declared) ethnicity of the respondent, in particular collecting data from charts both at the level of the entire population, and at the level of the Roma population. In addition, as the case may be, the instruments shall include questions addressing issues specific to the Roma population (for instance, fear regarding the manner in which respondents are treated or regarded by the representatives of institutions, humiliation or other concerns as regards physical safety, dignity, reputation, etc., which could determine certain Roma to access and not benefit from the services and resources provided as part of the project). 4. The instruments shall be conceived in such a way as to measure/identify both the needs and the issues obstacles currently existing or that could occur to prevent their satisfaction . In general, social phenomena have multiple causes, but our purpose is to identify the main causes. For instance, dropout from school may be caused by the long distance to the school and/or no transportation, costs (clothing, footwear, transportation, school supplies, etc.), discrimination, etc. Similarly, low This is a translation from Romanian Page 47 of 220 access by a community to healthcare services could be the result of causes such as long distance to the health center, bad roads, lack of means of transportation, high cost (as compared to revenues) for transport, linguistic barriers, short/inappropriate business hours of the center, etc. Furthermore, in certain cases, the respondents would rather point solely to the reasons more socially acceptable and less to those who are relatively less acceptable, but which could be more important. For instance, it is easier for the respondents to mention, among the reasons for low school attendance, the shortage of clothing or footwear than the parents’ refusal to let girls attend school or the fact that they are already unofficially married. 5. The data collected shall allow at least an approximate prioritization of the identified needs. The prioritization may be achieved directly by the respondents (including through a participative approach) and/or by the researcher, further to the analysis of integrated data at the level of the community. 6. The data collected shall reflect the (in)existence of segregation in terms of education, employment, social and healthcare services, legal assistance, housing (natural, manmade or symbolic borders). 4.1. Specificity of quantitative and qualitative data Beyond the common purpose of understanding social reality and the support for taking the best decision with regard to the community interventions, quantitative and qualitative data have a series of specific features that set them apart. A brief summary of these differences is given below, starting from the following dimensions: What research Quantitative data is collected in general within investigations or census using as the instruments are collection instrument of choice a questionnaire, meaning a series of questions in a used in collecting logical order and structured per topics. Most questions making up a questionnaire the two types of are closed-end, which means that in addition to the question, the respondent is data? provided with potential answers to that question, and the respondent need only choose one or several of the answers. The conditions in which the questionnaire is applied shall be, insofar as practicably possible, the same for all respondents. Quantitative data occur in relation to…: o A (statistical) population defined as space and time (or sub-populations) - sub-populations may be defined depending on various criteria (in the case of individuals, we refer to gender, age, education level, employment status, sources of revenues, etc.) and is described in numeric form (absolute and/or relative frequency = % - for example the number of unemployed) o Characteristics of statistical individuals making up a statistical (sub-)population - are expressed in numeric form, in the form of individual values, statistical distributions and/or synthetic measures (average, median, variance, etc.) - have a specific unit of measure (RON, ha, m2, etc.) is associated to theme e.g.: surface area of the house (m2), average net salary earnings/month (RON), average unemployment period (months), etc. Qualitative data is usually generated as part of individual interviews. They take discursive form. The instrument used in order to generate this type of data is This is a translation from Romanian Page 48 of 220 referred to as interview guideline. An interview may have different structure degrees (guiding the respondent’s discourse): o not structured: only the general instruction is given – question or topic proposed for discussion –, and the interviewer only intercedes where necessary, in order to obtain additional information, intercessions taking a form specific to the interview situation, o semi-structured: the interviewer informs the interviewee on the general instruction and several specific instructions and o structured: general and specific instructions, but also specific intercessions by the interviewer take a standardized form, as far as wording and sequence is concerned (such a guideline is relatively similar to a questionnaire with open- end questions – no potential answers). What may In direct reference to this type of projects, the main role of quantitative data quantitative data consists of estimating the number of potential beneficiaries, relevant features, their provide, what (spatial) localization, identification of needs and potential solutions/services does it helpwith? required in resolving such problems. What is the role Most often, the social reality is far more complex as compared to the researcher’s of qualitative initial level of knowledge. Even where the level of knowledge is high, there are data? Why is several social phenomena difficult to investigate through quantitative methods. The qualitative data main role of qualitative data is of providing a more complex overview on reality and necessary? of helping a more accurate interpretation to quantitative data. In the context of this project, qualitative data is paramount in identifying and analyzing the needs and potential solutions to tackle such needs. How are the two In order to process quantitative data, it needs to be fed into a data base. A data types of data base is a digital table where the rows contain the respondents, and the columns processed? How contain the questions of the questionnaire; the meeting points represent the are they used in answers given by the individuals taking the questionnaires. Such a data base may the context of be created in a specialized (SPSS, Stata, etc.) or general (Excel) software. project The qualitative data collected by means of interviews or other types of discussions preparation are usually recorded by audio means and then transcribed (not necessarily in full). financed under Fragments of these conversations may be used to justify the activities and choices structural of the project.50 In addition, qualitative data may be used to initiate other types of instruments? more extended qualitative or quantitative analyses in view of identifying the more general view of the target population on the problems and solutions pointed out in particular cases. 50Under the Call for Proposals for specific Objective 5.1, the choice of activities can be justified only based on a participative process and not though the utilization of qualitative data only. This is a translation from Romanian Page 49 of 220 4.2. Quantitative data in identifying needs The relevance and need for each of the activities and sub-activities forming part of this project shall be supported by (also) using quantitative data. The natural course is not starting from the activities one would wish to achieve and then seeking to justify why such activities (measures) are required, but the other way around, starting from the needs of the population to the activities that could help satisfy such needs. In order to identify and prioritize the needs, quantitative and qualitative data is required. This section, and also the corresponding annexes, presents several examples of instruments and indicators which could be adjusted and used in specific projects. For each indicator, the definition, calculation method and items necessary to obtain the information required for calculation are offered. Given that certain indicators may be calculated at various levels (individual, or aggregate: area, village, commune/town) the user of these instruments should pay attention to the selection of the suitable instrument (diagnosis chart of the community marginalized, chart of the village or commune / town, questionnaire at household level, validation questionnaire for inclusion in the target group in the project). 4.2.1. Types of useful instruments in the analysis of the marginalized community In the instances where the census sector is not overlapping on the marginalized area, validation of the marginalized area may only be achieved by collecting new data (by census or poll). Identification of needs, prioritization and validation may only be conducting by collecting new data (by census, poll, interviews, group meetings, etc.). Collecting new data has its advantages and disadvantages. They are listed below: Advantages: If the concerned marginalized area is only a part of a village, this allows the collection of data (indicators) at a territorial level (the marginalized community) for which such data is inexistent. It allows the collection of new data (indicators). It allows the collection of updated data (indicators). It allows the collection of data (indicators) at a decentralized level (not only per total population, but also at the level of sub-populations, for instance Roma). Disadvantages: It requires higher cost. It requires a longer time until the finalization of the analysis of the marginalized community. It requires access to more numerous and more experienced human resources in collecting survey data. It is necessary to involve individuals who know how to generate a questionnaire, to train survey operators (individuals to collect data), to generate a data base, to feed collected data in the data base and to analyze the data (at least in terms of frequency and associations). In order to collect new data, methods need to be selected, and respectively design data collection instruments. The annexes introduce a series of several such potential instruments. However, they only represent indicative instruments that can be adapted to the needs of each applicant/interested This is a translation from Romanian Page 50 of 220 person in carrying out an analysis of the marginalized community. Designing an instrument/set of instruments to be used for a certain project shall commence from the identification of issues/topics of interest and indicators necessary to measure such issues/topics. Depending on the specificity of marginalized community/areas, the list of indicators to be collected may be extended or reduced. Some of the indicators may be collected using multiple sources, however, for simplicity and efficiency, most frequently the indicators were introduced in the annex only once, in one of the instruments. Furthermore, some of the indicators may also be collected from sources other than census/new poll. Please find in the annex, examples of indicators listed for each size, generated by means of the information collected by a series of instruments, also described in the annex. The instruments included among the annexes are: o Minimal questionnaires at urban and rural household level, which contain only the necessary items for (i) the validation of the marginalized community, (ii) the identification of the project target group according to the Guide for Applicants for Objectives 4.1 and 4.2 and (iii) filling in the information at individual/household level from the compulsory Minimal sheet according to the Guide for Applicants for Objectives 4.1 and 4.2 (see Annexes 6 and 7). o Extended questionnaire at household level. An extended questionnaire contains the items required to (i) validate the marginalized community, (ii) supplement information at the level of individual/household in the compulsory Minimal Sheet according to the Guide for Applicants for Objectives 4.1 and 4.2, (iii) identify the target group and (iv) identify the requisite activities in the project (Annex 8). o Diagnosis chart of the marginalized community. The sheet template alternative to the one in the Guide for Applicants for Objectives 4.1 and 4.2 contains a series of information which may be filled in at the level of marginalized community. Most of the items may be collected from the representatives of local institutions (town hall, school/kindergarten, police, attending physician, etc.). It is important that the collected items be correlated with the indicators concerning the justification of eligible activities and with the data collected in the minimum summary chart of the community (see Annex 9). o Diagnosis chart of the village in which the marginalized community is located. The chart template contains solely the information which may be filled in at village level (and which is not collected in the questionnaire referring to the community or the administrative-territorial unit). The questionnaire items shall be correlated with the indicators concerning the justification of eligible activities (see Annex 11). o Diagnosis chart of the commune/town in which the marginalized community is located. The chart contains solely the information which may be filled in at commune level (and which is not collected in the questionnaire referring to the community or the village). The questionnaire items shall be correlated with the indicators concerning the justification of eligible activities (see Annex 12). o Validation chart for inclusion in the target group of the project. In order to identify the individuals forming part of the target group (its categories) at the level of each household in the marginalized area, it is useful to use the validation questionnaire for inclusion in the target group of the project - poverty and social exclusion, please see the annexes. By means of this questionnaire, the necessary data is collected to prove that the individuals selected as beneficiaries of the project form part of the target group (satisfy the general condition, in particular “risk of poverty and social exclusion”). In addition, the validation questionnaire connects the socio -demographic features of each of the selected persons to the features of activities and sub-activities. Last, but not least, it records the consent expressed by the head of the households in respect to the individuals in that household taking part to the activities and sub-activities of the project (see Annex 14). This is a translation from Romanian Page 51 of 220 o The indicators at the level of the community based on the household level questionnaire. The table contains all indicators that may be calculated at the level of the community, in reliance upon the extended questionnaire: (i) indicators for validating the marginalized community, (ii) indicators in the compulsory Minimal Sheet according to the Guide for Applicants for Objectives 4.1 and 4.2, (iii) indicators required to validate the inclusion of the household in the target group (persons facing the risk of poverty and social exclusion) and (iv) the other indicators justifying the need for interventions in various fields, as identified above (see Annex 10). o Useful indicators in assessing project impact. Even if monitoring and assessing the impact of the project is sometimes not a chapter which should be discussed and detailed in the project proposal, consideration given to this step in advance may be useful for several standpoints: helps to more clearly structure the goals and activities of the project, allows the more accurate identification of data to be collected (cross-section, but also longitudinal), casts a positive image in relation to the project as a whole, allows a swift project adjustment reaction to changes occurred in the community, as a result of its implementation, etc. The annex includes several examples of potential indicators in connection with Roma inclusion for each field (education, employment, etc.) (see Annex 15). This is a translation from Romanian Page 52 of 220 4.2.2. Indicative points to assess (i) identification of the target group and needs, (ii) methodology and outcome, and (iii) the marginalized community chart Identification and definition of the target group and corresponding needs Identification of the target group, its categories and needs corresponding to such categories is the core of a project of this type. The manner in which this is substantiated, data sources used, congruence between the needs addressed, activities proposed in the project and features of beneficiaries shall be a major criterion depending on which the project is assessed. Starting from the assessment criteria and sub- criteria specified in the Guidebook, the tables below describe a general level, but also provide examples, points (questions and answers) that should be taken into account in designing and substantiating this project. Identification and definition of the target group (its categories) and the corresponding needs ID Questions/conditions to Answer/necessary information, source and quality be satisfied 1 At the level of the The project identifies and defines at least two groups/social community, which are the categories facing the risk of poverty and social exclusion. groups at risk of poverty The target group (its categories) shall be defined depending on the and social exclusion? relevant major features, in relation to one of the 7 fields of (if applicable, which are intervention. the groups with the The existence of the target group (its categories) is supported by highest risk?) using statistical (census, survey) and/or qualitative (interviews) data in respect of the size and weight of groups. 2 Are needs and/or services For each of the risk groups under review, the necessary needs and/or necessary for these services are identified and analyzed, (also) taking into account the groups identified and information received from potential beneficiaries. analyzed? 3 Were needs prioritized? The needs identified are prioritized by (also) taking into account the preferences of potential beneficiaries, the recommendations of local leaders and experts, the local socio-economic context. 4 Do the proposed The measures (activities) proposed in connection with these groups measures contribute to are related to the needs of the group and/or necessary services for problem solving? the group, and (also) take into account the preferences of potential beneficiaries, the recommendations of local leaders and experts, the local socio-economic context. Defining the target group and its categories –general issues ID General remarks Examples This is a translation from Romanian Page 53 of 220 1 Each category of the target The category “young unemployed” forms part of the target group is considered for at group, but no sub-activity is assigned to it. OK least one sub-activity and No social category is assigned to the sub-activity “apprenticeship each sub-activity is program on the job”. OK dedicated to at least one of the categories 2 The number of potential Internships for higher education graduates, considering that there beneficiaries (in respect to a are no such persons in the community or the number of category of the target graduates existing in the community is not specified. OK group) is larger than the Advice and mentorship programs to decrease early leaving the number of beneficiaries secondary school in the case of 20 children in a marginalized specified in the project. community. It is OK if the number of children who have left the education system and the approximate dropout rate is specified. OK if no such information is provided (be they approximate). 3 Resources allocated for The allocated budget is insufficient / much too high as compared activities are suitable to … (estimates depending on the excess of average costs noticed for similar activities at the level of the reference county) - needs addressed and/or services supplied, - number of beneficiaries, - human and material resources involved. OK Defining the target group and its categories – employment measures ID Minimum criteria Examples 1 The target group Example 1. (including at the level of 75 young adults (18-34) unemployed and with no official qualification its categories, if more on the labor market (25 Roma). than one) is characterized by clearly identified The need for an official qualification on the labor market in order to find socio-demographic a job (in the context where, at the level of the community, the features. employment rate for working age people is of merely 30%). 2 The planned number of Example 2. beneficiaries is specified 25 people, irrespective of the age and gender, informally supplying for each of the categories various services at the level of the community/adjoining communities or of the target group (total, manufacturing various product/goods sold informally (5 Roma). respectively Roma) The need for counseling/consultancy services in order to draw up a 3 The needs to be business plan and implement it (in the context where the number of addressed at the level of business in the community/locality is very low, despite there being each category of the human and material resources). target group are specified Defining the target group and its categories – education ID Minimum criteria Examples This is a translation from Romanian Page 54 of 220 1 The target group (including at Example 1: 20 children (10-14 years of age) who dropped out of the level of its categories, if secondary school (10 Roma). The need for minimum official more than one) is education / Decrease the rate of drop out of secondary school (in the characterized by clearly context where dropout rate is 30%). identified socio-demographic Example 2: 20 students from families facing the risk of poverty and features. social exclusion (10 Roma). Preventing school dropout through 2 The envisaged number of integrated packages (transport, scholarship, hot meal and education beneficiaries is specified for materials) granted to students from families facing the risk of poverty each of the categories of the and social exclusion (in the context where 80% of the census target group (total, respondents state that the shortage of financial resources is the main respectively Roma). reason for low attendance). 3 The needs to be addressed at Example 3: 40 pre-school children (3-6) years of age attending the the level of each category of kindergarten where they are enrolled for less than two days / week the target group are specified. (20 Roma). Increasing attendance of early education –pre-school education. Defining the target group and its categories – Social/medical services ID Minimum criteria Examples 1 The target group (including Example 1: 50 elderly people (64+) (20 Roma) at the level of its categories, Access to basic medico-social services, and also assistance for if more than one) is personal hygiene, or putting on and taking off clothing items (in the characterized by clearly context where 80% of the elderly people who took part in the pool identified socio- stated that they have no one to help them with more difficult demographic features. activities on a daily basis). 2 The envisaged number of Example 2: 30 minor girls (14-18) (10 Roma). beneficiaries is specified for Access la reproduction healthcare and family planning services (in the each of the categories of the context where the number of minor girls giving birth at the level of target group (total, the community is of more than 20 per years, in accordance with the respectively Roma). estimates of informal leaders). 3 The needs to be addressed at the level of each category of the target group are specified. This is a translation from Romanian Page 55 of 220 Defining the target group and its categories – Housing ID Minimum criteria Examples 1 The target group (including at Example 1. the level of its categories, if 20 families with minimum 2 children (0-15 years of age) living in more than one) is characterized overcrowded houses (< 15.33 m2 / member). by clearly identified socio- demographic features. Ensuring the right to intimacy by building a new room (in the context where the census identified more than 50 families with 4 2 The envisaged number of or more people living together in a single room). beneficiaries is specified for each of the categories of the Example 2. target group (total, respectively 20 families with minimum 2 children (0-15 years of age) living in Roma). houses without indoor bathroom. 3 The needs to be addressed at Ensuring the right to intimacy and personal hygiene (in the the level of each category of the context where the same census identified 100 such families = target group are specified. 70% of the families in the community). Does the analysis at the level of the marginalized (Roma) community details the methodology and outcome of the analysis? ID Minimum criteria Examples 1 Indicating the data The project points to at least one source for the provided data and/or source collection method used. Potential sources: o National Institute of Statistics (NIS) o own research o statistics, documents, reports issued by local, county or national institutions Data collection methods: o survey / poll / census o interview/ focus-group o observation o analysis of documents 2 Description of the The project describes at least one of the instruments used: instrument used o questionnaire for data collection o interview guideline / focus-group o observation sheet o secondary data sheet o content analysis sheet (documents, images, etc.) o another instrument 3 Description of the For the purpose of quantitative research (survey/poll/census, etc.) the respondent following are detailed: selection method, o sampling method (how were the respondents selected?) people with whom o size of sample This is a translation from Romanian Page 56 of 220 meetings were For the purpose of qualitative research, the following are detailed: held to get o categories of respondents with whom meetings were held information o number of respondents in each category / list of respondents (redacted) 4 Description of For the quantitative research: results o provision of data in the form of (absolute and relative) frequency at the level of the community and decentralized, in relevant sub-populations: ethnicity (Roma), gender, etc. o comment data in relation to the features of the target group and/or measures proposed in the project. For the qualitative research: o provision of data in the form of discourse fragments, discourse summary, relevant imagines and documents, etc. o comment data in relation to the features of the target group and/or measures proposed in the project. Filling in the Minimal Synthetic Fiche of the community The Minimal Synthetic fiche contains a series of key-indicators at the level of the marginalized community. The fiche is a simplified version of the diagnosis chart of the marginalized community and shall be filled in depending on multiple sources (it is not mandatory to consider all of them): o gather information from the household (survey in households), o statistical data provided by the Census of the National Institute of Statistics (NIS) or own census, o data collected from the representatives of local institutions, formal and informal local leaders, representatives of the marginalized community, personal observation, o information in the community/village/locality fiche. In the case of some of the collected indicators, the sources may reflect a relatively different image. Depending on each case, it shall be verified whether there is an actual difference (errors may occur in the collection, input of data, conflicting definitions, different reference years, etc.). If there is a difference, any of the sources can be considered, depending on the needs of the project. Information on the filling in of the Minimal Synthetic fiche corresponding to the Applicant’s Guidelines may be found in Annex 1 “Pointers for filling in Appendix B: MINIMAL SYNTHETIC COMMUNITY FICHE”. This is a translation from Romanian Page 57 of 220 4.3. Qualitative data to identify the needs and validate the solutions with the community support Qualitative data is, in social sciences, one of the fundamental categories of data allowing, in addition to quantitative data, inferences or conclusions on certain social situations or contexts. While the quantitative data is essentially written (put down in writing in the questionnaires, data collection sheets, etc.), qualitative data is verbal (may also consist only of verbal assertions, if applicable recorded, made by certain people) or visual (observations on households or social premises, practices of the community etc.), and may afterwards be kept in writing or as images51. The specificity of qualitative methods as compared to quantitative ones may be described at least by means of the following issues: 1. While quantitative methods allow to obtain quantifiable data (in a standardized, numerical manner) on large groups of subjects, qualitative methods allow to record non-quantifiable personal information on people or small groups of people. 2. The number of people consider for this this research may be as high as thousands in the case of quantitative methods, but may not be higher than tens for qualitative methods. 3. The type of conclusions which may be reached relying on such data, their level of relevance: in the case of quantitative data, may be either statistical data collected as such (demographic data on the locality, the percentage of households facing a risk of poverty etc.), or statistically representative (in the case of questionnaires, for instance, to be performed at all times on a sample calculated depending on accurate criteria), while qualitative data shall be socially significant (to identify what is more important or different for various individuals or groups of individuals, the values and deep motivations thereof or current practices of which they may not be aware, etc.) 4. The level of competence and the type of skills necessary to obtain and analyze it. Although they may seem easier to apply, certain qualitative methods require a longer experience for research operators. 4.3.1. Why are qualitative methods also required? Let’s start from an example - a certain percentage of the population in a community aged 15-64 that is unemployed (for instance 30%), identified based on a survey, forms part of the category of measurable quantitative data. However, due to the fact that the researcher visits the locality, talks to the inhabitants about the reasons for which they are unemployed, observes the daily activity of a household, how they earn the bare necessities, and concludes (for instance) that the high unemployment rate may be explained by causes such as the fact that the families work on the “black market”, without documents, that they do not have employment opportunities in the vicinity of the community, that many families have early-pre- school, pre-school or school aged children and that the parents have no one to leave them with – because there is no nursery in the locality, they may not use baby sitter services for lack of resources, there are no sufficient places in the local kindergarten for all pre-school children, there is no one to take care of the children when they come back from school, etc.; the unemployed do not have the qualifications demanded on the local labor market etc., all of these are qualitative data which supplements, on a 51References in this respect, for example, Babbie, E. (2010). Social research practice. Iaşi, Polirom Publishing House; Krueger, Richard A. & Casey, Mary Anne. (2015). Focus Groups: A Practical Guide for Applied Research, 5th Edition. Sage Publications Inc.; Chelcea, Septimiu. (2001). Methodology of sociologic research. Quantitative and qualitative methods. Bucharest: Economică Publishing House. This is a translation from Romanian Page 58 of 220 necessary basis, the quantitative perspective on issues, needs and solutions within a community. Sometimes, the qualitative information can guide the measurement of these problems though a subsequent quantitative research (the qualitative data can guide the construction of relevant items through which the problems could be quantified within a quantitative research). The quantitative research step also necessarily brings a certain simplification of the social reality, the inclusion of social phenomena, complex in their manifestation and structure, into narrower categories, defined by means of certain labels or specific terminology. The questionnaire, as the key instrument in the collection of quantitative data uses pre-determined questions and phrases which may not be later changed during the data collection process, shall be read as such to the interviewee, and the latter’s answer shall be exactly written down/recorded. Thus, the respondent to a questionnaire is invited to take a personal stand in relation to certain pre-determined and fixed words, phrases, labels or wordings. However, the matter to be addressed here is that the same question, the same word or the same phrase may mean different things or may have different relevance for different types of respondents (see the below example). To put it briefly, qualitative methods are necessary because: a) they nuance and detail quantitative data, reaching a more suitable interpretation thereof; b) allow to find subjective or intimate information, even contradictory, which subjects do not wish or do not have the ability to express in the questionnaires; they allow, in the case of observation, to identify social practices and areas not taken into consideration or ignored by the community. 4.3.2. Types of methods In order to obtain qualitative data, the established method (technique) mostly used in social sciences is the interview. However, extremely relevant qualitative data may also be acquired by observing a certain social context of interest. Moreover, the case study is also a data collection and analysis strategy that could use qualitative data in the consistent relevant description of a certain social sector or context. Please find below a description of each of them. 4.3.2.1. Interview in social survey The interview used in social survey mainly consists of the organization of a discussion/interaction (interview) with individuals who are very familiar with or live in the social context (for instance, a marginalized community or area) where an assessment is intended to be performed, from which to collect data. This endeavor shall involve, on the one hand, the researcher/expert conducting the study, familiar with the stake of the research, the goals undertaken by the former, and who initiates and leads the conversation. On the other hand, the interviewees – who live, are familiar with or closely know the social context referred to in the research. The researcher aims to acquire relevant information in relation to the envisaged social context from those who know it best. In this endeavor, the researcher uses a research instrument – usually referred to as the interview grid – to contain a set of pre-determined questions aimed at guiding the conversation with the interviewees - please see the interview grid template attached in Annex 16. The interview shall take place according to certain essential rules that allow to obtain relevant data necessary in achieving the study goals. These rules are: o Data obtained is relevant and valuable insofar as it reflects honest, genuine opinions of the respondents. That is precisely why it is mandatory that the interviewees be reassured on the confidentiality of their answers, are informed from the very beginning that their answers shall not be made public in an individual manner so that their identity is not disclosed (it goes without saying that many respondents would otherwise censure their opinions, will not provide honest replies, in line with their own beliefs, but rather with the expectations of a certain audience on which they focus, with what is considered politically correct, etc.). This is a translation from Romanian Page 59 of 220 o Recording the interview allows to more easily and fully analyze the answers. That is why it is necessary to ask the respondents’ permission to record the meeting. In certain cases, answers may also be taken down during the meeting by an assistant researcher. o Influencing the respondents’ answers shall be avoided , no judgments of value shall be issued by the interviewer, likely to determine certain positions to be adopted by the respondent. The researcher has his own opinion or take on the topics discussed, there is no doubt about that, however, he shall refrain from stating his own opinion until after the end of the interview, and shall maintain a neutral attitude on the topics discussed. If, however, the researcher is expressly requested by the interviewee to express an opinion, his answer will avoid a clear-cut position, and will rather express an ambiguous opinion on the topic under review. o During the interview, the approached topics may also be outside those specified in the interview grid, the order of questions may be altered, the researcher is also free to touch on other topics deemed to be critical, which unexpectedly seem as important. It should further be clarified that there are two categories of interviews, with particular specificities: a) Individual interview, to be conducted with only one relevant individual or who is familiar with the social context and the topic under review. In social sciences, several characteristics of the interview have been indicated, however, largely used is the so-called “semi-structured interview” that is conceived in such a manner that the researcher is free to order the guiding questions as he deems appropriate and may develop, during the meeting with the interviewees, other topics than those included in the questions. The interview may take place by face to face meeting, however, telephone interviews are also documented in the relevant literature, where the conversation is held from a distance, by means of modern communication techniques. b) Group interview (focus-group), in which the conversation is carried simultaneously with several individuals (6-10 individuals), and the researcher shall be the one mediating the conversation. In this case, each participant may intercede in the conversation, spontaneously, however, keeping in line with certain interaction rules set forth by the moderator. Household interview may also be added to the above, conducted individually or in a group with all members of a household, preferably at their residence. The advantage consists in the possibility to also identify potential conflicting or dissenting opinions and expectations, in particular relating to gender or age, which rarely come up in individual interviews. An individual interview reflects the respondents’ position to certain relevant issues or features of the social context under review, later analyzed by the researcher. In the case of focus-group, qualitative data is obtained following, in addition to the individual interview, the dynamics of the group, the manifestation of social psychology mechanisms specific to small groups, negotiation and interaction, arguments and counter-arguments, etc. The focus-group may describe, unlike the individual interview, the emergence of certain beliefs, position taking, topics or issues of interest for the social context under review. In addition, in certain cases, the focus-group may stimulate a higher degree of honesty on the part of the interviewees. 4.3.2.2. Case study and observation in social sciences The case study is a research strategy performing a separate analysis of a certain social context, by taking into account certain issued deemed important/relevant for the purpose of the research. In this case, the researcher visits and spends a certain period of time in the social area under review, talks and interacts with key relevant persons, observes and monitors visible issues of the social area (such as the quality of This is a translation from Romanian Page 60 of 220 residential houses, streets in the locality, of the building where the school, healthcare facility, town hall etc. are located) and takes part in various events or actions specific for the social context subject to research, such as weddings, christenings, meetings of the community where decisions are made, clubs or social activities, sporting events, school activities, etc. Observation in social sciences is a method readily available to the research which suggests that the latter should directly follow the social area under review, take part in key activities conducted in the community subject to research, observe the social context in reliance upon goals or hypotheses, collect data and thus acquire a realistic and thorough understanding of the features of the community, implicitly the problems, as well as its needs. However, what is important, in an endeavor such as a case study or observation is that the researcher shall follow certain well-determined analysis landmarks, certain working hypotheses, start from certain assumptions referring to what could be found in a community, an area for intervention. In that respect, close familiarity of the researcher with the specialized literature, with the outcome of similar researches is a must. The instrument in charge of the methodological direction of the endeavor undertaken by a researcher on site, in liaising with the people and social area under review could consist of an observation chart. The template for such observation chart is given in Annex 16. 4.3.3. Target group envisaged in the research In social sciences, the interview and observation are data collection techniques that allow, further to an analysis, to identify problems, needs and the best intervention solutions in a specific social context. However, in order for this action to be successful, the researcher shall also address the research instruments used to the suitable people, to those who are more likely to provide the expected data. In other words, to appropriately choose the target group envisaged in the research. In principle, the conditions which an individual should fulfil in order to become the subject of a qualitative analysis study for a social context are as follows: o To have knowledge or information on the social context under review. This may derive from the life experience spent in that social context (as in the case of people living in a community, in a potential intervention area, etc.) or from practicing an activity focusing on that intervention community or area (for instance, a social assistant having managed cases in the community, a legal counsel with the town hall, familiar with the issuance procedure for identification documents, a local facilitator, un healthcare mediator, teaching personnel, doctor or police officer – these categories of individuals may perform relevant activities in the community, without living there). o Form part of groups of individuals presumably impacted by anticipated social concerns (for instance, individuals from vulnerable groups, Roma, individuals facing poverty, receiving social assistance, etc.) or who could contribute to the settlement thereof (for instance, the mayor or local counselors, local entrepreneurs, local exports in charge of social, legal matters, facilitators, the management of the local school, teaching personnel, etc.). Interviews shall be conducted with individuals from the target group, and the case study and sociological observation shall concern social areas where the individuals in the target group live or perform their work (home, school, local authority, local healthcare facility, etc.). Please find below, for your convenience, a non-exhaustive list of individuals who could become the target group of a study. List of individuals within the locality/community with whom it is recommended to discuss in order to acquire qualitative data: This is a translation from Romanian Page 61 of 220 1. Mayor/Deputy Mayor; 2. Local Roma Counselor (if any) or representative for Roma with the Town Hall/Local Council; 3. Local mediator or facilitator (education, healthcare, social etc.); 4. Roma leader in the locality (people vested or recognized by the Roma community in the locality as holding authority, whom the community trusts, who had various initiatives to improve the condition of Roma in the locality, etc.); 5. Entrepreneurs operating in the community; 6. Doctor and nurse working in the local healthcare facility (if applicable); 7. Social assistant or person within the local authority in charge of welfare; 8. Principal, teachers, school counselor or psychologist in the local school whose jurisdiction covers, even partially, the area where the marginalized community is located; 9. Teachers within the local kindergarten/ kindergartens; 10. Representative of the public order and security unit (police) operating in the locality; 11. Roma in the envisaged intervention community or area; 12. Welfare beneficiaries in the locality (minimum guaranteed income etc.); 13. Parents in the locality who have or recently had pre-school or school children; 14. Children/teenagers school dropouts and their parents. It should be mentioned that the interview grid used shall be adjusted for the interviewee or, in the case of a focus-group, for the interviewees, by asking them relevant questions and topics for discussion, which they know, on which they may have opinions. The abilities of the person conducting the interview or moderating a focus-group are extremely important. Where qualitative data is collected by interview or focus-group, the moderator (individual asking the questions in the guideline) shall have specialized training (sociology or socio-humanistic sciences), shall be familiar with the scientific rules for conducting an interview or focus-group and with the dynamic mechanisms for small groups (in the case of focus–group), have high empathic skills and, most of all, closely know the goals of the research and the specific context in which the qualitative data collection takes place, always relying on them during data collection. 4.4. Participative methods in identifying solutions 4.4.1. What are participative methods and what are they used for? Participative methods are used for the necessary consultation of the community, of the representatives of local authorities, unofficial leaders in relation to the needs/issues identified, the solutions selected, however, they are not qualitative data collection methods proper, in the sociologic meaning. In that respect, participative methods supplement and meet the key requirements necessary in performing the analysis substantiating the needs of a community, in particular: o Identification and validation requirements, whereby to prove that the target group falls under the category of marginalized communities, in accordance with the terms and criteria of the financing This is a translation from Romanian Page 62 of 220 program; please see the minimal sheet of the community (Annex B in the Guide for Applicants for Specific Objectives 4.1 and 4.2), acting as an eligibility filter; o Requirements for social knowledge, through various and optional methods for statistic and on site research, setting forth a detailed and through situation of the particulars of the envisaged community, the level, sectors and marginalization/discrimination factors existing at local level; o Requirements for community participation, whereby to ensure the information of the community on the outcome of the research, the forecasted solution and receive feedback from the members of the community (e.g. testing the realism of solutions). At the same time, community participation is also a method of empowerment (increasing the responsibility) and increasing the involvement of direct beneficiaries. On an ideal basis, it also contains information on who is deemed that should solve the issues/satisfy the needs of the target group. EXCERPT FROM THE GUIDE FOR APPLICANTS FOR SPECIFIC OBJECTIVES 4.1 AND 4.2 ” 1.3.1. Preliminary activity – Conducting the analysis at the level of the Roma marginalized community in order to substantiate the financing request ”The purpose of this activity is to validate the qualification of the community as marginalized and to provide specific and relevant data to substantiate the analysis into the needs and issues facing the population in the marginalized community, whose resolution is intended in the project.” (….) ”Data used in the analysis shall be: statistical data resulting from scientific research or administrative data of relevant entities (for instance: the National Institute of Statistics / County Statistics Directorates, Directorates for Welfare and Child Protection, Directorates for Public Health, Public Welfare Offices, Local Police, etc.) and/ or data acquired from the reference study, by means of on-site research activities.” (....) ”In order to perform this analysis, it is mandatory to organize on-site research activities at the level of marginalized communities including Roma population. Furthermore, the proposed solutions for the inclusion of persons at risk of poverty and social exclusion shall be made by involving local actors (including informal leaders, Roma and non-Roma), and in particular by involving the target group envisaged by the interventions financed under the project (people facing the risk of poverty and social exclusion). The involvement of people in the Roma marginalized community in the analysis could be proven by: for instance, attendance lists, the minutes of meetings, photos, agenda of meetings, materials presented therein etc. such documents to be necessarily attached to the document – preliminary analysis at the level of community. It is MANDATORY to perform the analysis at the level of the community envisaged in the project and to perform it before submission of the financing request, subject to consultation with the members of envisaged communities and local authorities, which shall form the baseline for the identification of priorities and measures to be included in the project.” – p. 10-11 In the calendar for drawing up an application/project proposed to be financed by EU funds, the step when qualitative/quantitative methods are used comes before the step when participative methods are employed. The chart below illustrates the logic sequence in which the qualitative, and participative methods, respectively, are used. It may easily be noticed that the use of quantitative/qualitative methods for data collection is previous to the use of participative methods. By means of the latter, the community is consulted and involved in the discussions concerning the needs and solutions identified, in supporting the intervention proposed in the project. This is a translation from Romanian Page 63 of 220 Figure 12. Activities needed to prepare the project in order to identify the community’s needs and the intervention solutions Qualitative Participative, (+quantitative) consultation methods are methods are used used A B C Analysis of literature Data collection and Consultation with the /documents, aggregation analysis directly from the community (stakeholders, and analysis of official data potential beneficiaries or local representatives) in on the locality / area/ stakeholders involved in respect of the needs, community where the the supply of public/private solutions identified project is intended to be services to the latter. The (prioritization, opportunity, implemented. identification of needs and any difficulties to solutions for intervention. implementation, risks, etc.) Activities performed with a view to preparing the project, before submitting it for assessment and determining whether financing should be granted The participative approach is, in substance: “A process whereby people, in particular disadvantaged, may exercise an influence on the formulation of policies, design of alternatives and variants, performance of investments, management and monitoring of interventions conducting in view of community development”. (The World Bank, Discussion Paper # 183: Participative Development and the World Bank, 1992, p. 2) Participative methods allow: o To supplement and examine the needs perceived by the members of the community; o To develop the ownership by the community in respect of the solutions proposed, facilitate their acceptance by the project beneficiaries; o To validate or not the estimated solutions depending on their social perception (also depending on the reasons, values, customs of the community, etc.) through: o The identification of potential difficulties for implementation, preventing risks associated to the enforcement of certain solutions; o The assessment of perceptive associations by the community with certain solutions proposed, drawing the hierarchy of the needs identified; This is a translation from Romanian Page 64 of 220 o Calibration of solutions, their adjustment to the specificity of the community, rules, values, symbolic universe. 4.4.2. Types of participative methods which may be used Pursuant to the “Handbook for improving the living conditions of Roma ”52, participative methods of consultation may be of the following type: 1. Feedback from the public, by requesting the stakeholders to provide written comments, in respect of the outcome of the analysis, the needs and solutions identified, by means of online media, telephone, letters, email, organization of face to face meetings; 2. Interviews in order to collect opinions concerning the outcome of the analysis; 3. Workshops, brainstorming, designing scenarios on the implementation of the project, etc.; 4. Meetings in the community or at the Town Hall; 5. E-discussions (on the internet, in various on-line networks, chat rooms, etc.); 6. Open communication with and by means of social assistants in the community. Throughout this endeavor, one key element shall be taken into account: “The main goal of the consultation process is to identify and clarify the interests at stake, for the final purpose of developing a well-documented strategy or a project with good chances to be supported and implemented by the envisaged target group of beneficiaries. Consultation of the community is effective in seeking information, advice and opinions from the community along the project preparation stage or where certain specific information concerning the project is necessary. Consultations should also be viewed as an opportunity to share available information with the stakeholders”53. Checklist of qualitative date/participation for the identification of needs and solutions Qualitative methods substantiating the project: o Individual interview o Focus-group (group interview) o Observation. Proofs attesting to the use of qualitative data to substantiate the project: o Attendance list for participants to the focus-group o List of interviewees o Use of quotes/transcripts of the interviews conducted in the analysis submitted o Relevant photos of the envisaged community. Participative methods used for community consultation during the substantiation of the project: o Feed-back from members of the community/stakeholders o Interviews relating to the outcome of the analysis o Workshops/brainstorming o Meetings in the community or at the Town Hall o E-discussions (on the internet, in diverse various on-line networks, chat rooms, etc.) 52 World Bank & European Commission, p. 146. 53 (Handbook for improving the living conditions of Roma”, p. 145, World Bank & European Commission). This is a translation from Romanian Page 65 of 220 o Communications with the social assistants in the community. Proofs relating to community consultation through participative methods: o Attendance list for participants in the consultation sessions o Photos from the consultation session o Expression of agreement/disagreement by the participants to the consultation sessions, as regards the needs/solutions identified. Case Studies regarding the use of participatory approaches Participation increases the ownership of projects by identifying the stakeholders’ prio rities and their ability to operate. However, the voices of marginalized communities to speak with a strong unified voice is unlikely. Additionally, participative methods might already be taking a backseat given the investments and attention needed to the quantitative and qualitative analytical phases. One example of good practice in community participation is the project initiated by the Cluj Metropolitan Area Association for Intercommunity Development focusing on the Pata Rât area where approximately 300 Roma families living in extreme poverty and deprivation on the edge of Cluj-Napoca, next to the dumping ground of the city. The project was implemented from 2014-2017 and was based on the experiences of the interventions implemented by the local UNDP team in Pata Rât in 2012-2014, which are recognized as good practice in this field by the Council of Europe and the European Commission. The innovative methodology of the project uses community coaching to ensure community participation, combining the “bottom-up” approach with the “top-down” one. The implementation of the project has been based on continuous consultation with the beneficiary communities. A second example of community participation occurred under a housing integration project in Pécs implemented between 2011-2015 which aimed to reduce housing segregation in 3 colonies at the northeastern edge of Pécs, on the one hand by improving the situation of those living in the relevant communities and on the other hand, by relocation of 35 families to an integrated environment. The Pécs example of housing integration offers useful experience to several cities where segregated communities had developed and in this instance was done by incorporating the UNDP "coaching" practice. The community was mobilized - apart from helping and gradually moving back, while passing on the relevant initiative to the community. Coaches kept in contact not only with the beneficiaries of developments but also those who are understandably concerned about changes brought about by the relevant development, e. g. moving disadvantaged families into the neighborhood. By personal or small-group contacts, the mistrust arising from the lack of information and the spread of misinformation and the resulting conflict can and should be prevented. This is a translation from Romanian Page 66 of 220 4.4.3. Assessment criteria for the use of participative approach to identify the needs and solutions “B. Analysis at the level of the community was performed by participative approach to identify the needs of the target group envisaged in the project, to identify solutions to solve problems at the level of the marginalized community” The analysis at the level of the intervention area envisaged in the project is mandatory and shall be performed before submitting the financing request, subject to consultation with the members of the envisaged communities and local authorities, which shall form the baseline for the identification of priorities and intervention measures included in the project. The solutions proposed with a view to include people facing the risk of poverty and social exclusion shall be fulfilled by involving local actors (including informal leaders, Roma and non-Roma), and respectively by involving the target group envisaged in the interventions financed under the project. Scoring criteria in identifying needs and solutions Solely the identification of needs/solely Identification of needs and the identification of solutions solutions Only local Target group and Only local Target group authorities/only local authorities authorities/only and local the target group the target group authorities Only 0 0 0 0 quantitative data Qualitative data 0 1 1 2 The applicant shall be marked: 0 points if (i) it used only quantitative data or (ii) it used qualitative data solely with a view to identifying the needs or solutions and solely in respect of one category of stakeholders (only local authorities or only the target group) 1 point if (i) it used qualitative data solely with a view to identifying the needs or solutions, but took into account all the significant population categories or (ii) it used qualitative data with a view to identifying both the needs, and the solutions, however without taking into account all the significant categories of population. 2 points if it used qualitative data with a view to identifying the needs and solutions, by involving all significant categories of population (both the target group and the local authorities). This is a translation from Romanian Page 67 of 220 Key aspects to consider by project applicants and evaluators carrying out analyses of marginalized communities Applicants The need of the community may be analyzed by using a combination of quantitative and qualitative data, and then validated through a participatory approach. Each of these types of data, quantitative or qualitative, is collected by using specific instruments such as the ones described in the annexes. The research should reflect the needs according to the 7 dimensions of the project: education, employment, entrepreneurship and self-employment, housing conditions, legal assistance provisions to settle documents, fighting against discrimination and fostering multiculturalism. The research should indicate the problems in terms of both the demand and supply of services/assistance for each of the 7 dimensions. Interest indicators should be collected at the level of the entire population in that community, respectively at the level of Roma population. The data collected shall allow at least an approximate prioritization of the identified needs. The data collected shall reflect the (in)existence of segregation in terms of education, employment, social and healthcare services, legal assistance, housing (natural, manmade or symbolic borders). Evaluators In order to understand whether the applicant identified the target groups and their needs, they need to find answers to the following questions in the application: (i) at the level of community, which are the groups at risk of poverty or social exclusion, (ii) were the needs and/or services necessary for these groups identified and analyzed?, (iii) were the needs prioritized?, and (iv) do the proposed measures contribute to problem solving? (See section 4.2.2.) To check whether the target group and its categories is well defined, the evaluators should check if: (i) each category of the target group is considered for at least one sub-activity and each sub-activity is dedicated to at least one of the categories, (ii) The number of potential beneficiaries (in respect to a category of the target group) is larger than the number of beneficiaries specified in the project, and (iii) the resources allocated for activities are suitable. (See section 4.2.2.) To check if the methodology is appropriate, the evaluators need to check if: the data sources were indicated, (ii) the instruments used for data collection were described, (iii) the respondent selection method and the people with whom meetings were held to get information were documented, (iv) the research results were described. (See section 4.2.2.) The applicant should fill in the Minimal Synthetic Fiche of the Community. (See section 4.2.2.) The participatory approach for identifying needs and solutions is mandatory. To assess its quality, the evaluator should understand if (i) the applicants used quantitative and/or qualitative approach to collect data, (ii) the needs and/or the solutions were identified through these methods, and (iii) the authorities and/or the target groups were involved in the needs and solutions identification. (See section 4.4.4.) This is a translation from Romanian Page 68 of 220 5. Segregation of marginalized communities The concern of segregation appeared on the public agenda upon Romania’s pre-accession to the European Union, a period when several legislative enactments have been adopted on the prevention and fighting against discrimination in any form. In that respect, Ordinance No 137 of 31 August 2000 (republished) on the prevention and penalty of all forms of discrimination 54 defines the concept of discrimination as “any difference, exclusion, restriction or preference, on reasons of race, nationality, ethnicity, language, religion, social categories, beliefs, gender, sexual orientation, age, disability, non- contagious chronic disease, HIV, inclusion into a disadvantaged category, and also any other criterion aimed at or resulting in the restriction, precluding the recognition, use or exercise, under equal conditions, of human rights and fundamental freedoms or of rights acknowledged by law, in the politic, economic, social and cultural sectors or in any other field of public life.” General Policy Recommendation No 7 of ECRI55 (European Commission Against Racism and Intolerance) defines direct and indirect racial discrimination as follows: o “direct racial discrimination” shall mean any differential treatment based on a ground such as race, color, language, religion, nationality or national or ethnic origin, which has no objective and reasonable justification. Differential treatment has no objective and reasonable justification if it does not pursue a legitimate aim or if there is not a reasonable relationship of proportionality between the means employed and the aim sought to be realized ”. o “indirect racial discrimination” shall mean cases where an apparently neutral factor such as a provision, criterion or practice cannot be as easily complied with by, or disadvantages, persons belonging to a group designated by a ground such as race, color, language, religion, nationality or national or ethnic origin, unless this factor has an objective and reasonable justification. This latter would be the case if it pursues a legitimate aim and if there is a reasonable relationship of proportionality between the means employed and the aim sought to be realized “. Pursuant to the Handbook for Improving the Living Conditions of Roma 56 desegregation “means to undo segregation. It is an action or process that ends the existing separation of two groups (for example, Roma and non-Roma). For example, if disadvantaged Roma are confined to live in an isolated neighborhood with limited interaction or communication with non-Roma, desegregation could mean making the Roma live among non-Roma neighbors or making Roma children study in the same school with non-Roma children. The former involves spatial desegregation while the latter involves desegregation of service provision. Spatial desegregation can take place at the neighborhood and household levels. The former aims to desegregate the entire neighborhood, while the latter aims to help families move into integrated neighborhoods on a household basis. The latter approach counters the growth of segregated neighborhoods.” 54 For further details on the anti-discrimination legislation, please see http://www.cncd.org.ro/legislatie/Legislatie- nationala/ORDONANTA-nr-137-din-31-august-2000-15/ 55 ECRI General Recommendation No 7 on national legislation to combat racism and racial discrimination, adopted on 13 December 2002, available at: http://www.coe.int/t/dghl/monitoring/ecri/activities/GPR/EN/Recommendation_N7/ecri03- 8%20recommendation%20nr%207.pdf 56 World Bank. 2014. Handbook for improving the living conditions of Roma. Washington, DC: World Bank Group. http://documents.worldbank.org/curated/en/426791468030548664/Handbook-for-improving-the-living-conditions- of-Roma This is a translation from Romanian Page 69 of 220 Emphasis shall be placed on the fact that there is a difference between the concept of desegregation and that of non-segregation. Thus, „Non-segregation means to avoid creation of new segregation or reinforcement of existing segregation. It is an approach to implementing an intervention without leading to increased concentration or further physical isolation of Roma. For example, basic services such as garbage collection can be extended to a segregated neighborhood on a non-segregation basis (without increasing the concentration of Roma or physically isolating them further )” 57. There is no clear definition in specialized literature or in the national or international legal documents on segregation in relation to Roma population. The main element which may be found in most document dealing with the topic of discrimination is that segregation is a severe form of discrimination. General Policy Recommendation No 7 of ECRI58 also contains a wording defining segregation as “the act by which a (natural or legal) person separates other persons on the basis of one of the enumerated grounds, without an objective and reasonable justification, in conformity with the proposed definition of discrimination. As a result, the voluntary act of separating oneself from other persons on the basis of one of the enumerated grounds does not constitute segregation ”. In that respect, for instance, setting up schools where teaching is in Hungarian, at the initiative of the local community, or segregation of a set of houses upon the initiative of their owners could never the construed as segregation, within the meaning of anti-discriminatory policies. Segregation “is closely connected with concentration, which means that there is statistical over- representation of a group and under-representation of another one or more groups in a certain area”59, which will lead to several “sectors” in which such concentration may occur – education, residential, employment, healthcare system and other public services. Recommended desegregation measures60 for education and potential non-segregation can be correlated to the different territorial settings such as: integrated (non-segregated) urban and suburban neighbourhoods with segregated school(s); large deprived and segregated urban and suburban neighbourhoods; small deprived and segregated urban and suburban neighbourhoods; small rural localities with segregated neighbourhoods; and segregated villages/settlements in deprived micro- regions. Education and housing are the two areas under which infrastructure measures (funded under ERDF) and ESF measures (with or without ERDF) can contribute to desegregation. Segregation in education Order No 1540 of 19 July 2007 prohibiting the segregation of Roma children in school and approving the methodology for preventing and removing segregation of Roma children in school61 states as follows: “Segregation is a severe form of discrimination. In the education system, except for schools/classes where all subjects are taught in Romani , segregation consists in the intentional or unintentional 57 World Bank. 2014. Handbook for improving the living conditions of Roma. Washington, DC: World Bank Group. http://documents.worldbank.org/curated/en/426791468030548664/Handbook-for-improving-the-living-conditions- of-Roma 58 Idem 59 Atlas of Marginalized Rural Areas and Local Human Development in Romania. Washington, D.C.: World Bank Group. http://documents.worldbank.org/curated/en/237481467118655863/Atlasul-zonelor-rurale-marginalizate-ş-I-al- dezvoltării-umane-locale-din-Romania 60 The Guidance for Member States on the use of European Structural and Investment Funds in tackling educational and spatial segregation, European Commission, EGESIF_15-0224-01, 11/11/2015 61 Order No 1540 of 19 July 2007 prohibiting the segregation of Roma children in school and approving the methodology for preventing and removing segregation of Roma children in school, issued by the Ministry of Education, Research and Youth, Official Gazette of Romania No 692 of 11 October 2007 This is a translation from Romanian Page 70 of 220 physical separation of Roma children from the other children in schools, classes, buildings and other facilities, so that the ratio between the number of Roma children to non-Roma children is disproportionately large, as compared to the percentage held by school-aged Roma children in the entire school population in that administrative-territorial unit.” There may be several forms of school segregation: o Intra-school: refers to the organization of separate classes for Roma. This form may also include intra-class segregation, which refers to a differentiated level of curriculum standard in the same class for Roma students. o Inter-school: may have three different sources: o Geographical or residential segregation among ethnic groups, so that a certain school will have a majority of students of a certain ethnicity; a rather frequent case is where, although there is a school in the neighborhood attended by all the children in the area, gradually there is a relocation of mainstream children to other schools, and the neighborhood school will only be left with a majority of Roma children; o Inappropriate or culturally subjective selection process leading to non-disabled children being allocated to schools for mentally disabled children; o Existence of private or religious confession institutions, where admission may only be made based on examination or school tuition, from which Roma children are excluded de facto because of their social disadvantage; o Individual, in the form of residence schools, this is also a frequent form of segregation, largely resulted from the enrolling of students depending on their residence. The peripheral location of the Roma community will result in the predominant enrolling of students from that community in a residence school which thus has a majority or in most cases exclusive attendance by students belonging to a certain ethnicity. Practices that could result in school segregation: Situation leading to school Remarks segregation Schooling of Roma children in Schools located inside or near a “compact” neighborhood of residentially segregated schools Roma and without any other school nearby, where all or a large percentage of students are Roma. Therefore, we are dealing with the so-called “de facto” segregation, where the possibility of mixed ethnicity attendance is quite low, as Roma children do not have any other educational alternative. Intentional guidance and referral of Although mixed kindergartens/schools are accessible, they Roma children to segregated are guided or referred to segregated kindergartens or kindergartens/schools inside or near schools. neighborhoods inhabited by Roma Grouping all children who did not attend All Roma students who did not attend kindergartens are kindergarten in the same class 0/I grouped in the same class, separated from other students. Intentional grouping, in a mixed school, Roma students are gathered in groups or classes separated of Roma students in from non-Roma children or Roma children have classes in groups/classes/buildings/other facilities buildings or facilities separated from non-Roma children, intended just for them. probably the most direct form of segregation. There may be This is a translation from Romanian Page 71 of 220 considerable pressure in that respect from the non-Roma parents and even from teaching personnel. Grouping in a single class all children Roma students are grouped in the same class based on the who were enrolled late for school ground that they were enrolled late, a case that is often met in the communities where there is no school mediator. Keeping as such classes of Roma when It is deemed beneficial for the students that they be kept in children are transferred from a the same structure as in the kindergarten, group, class or segregated kindergarten or school to a school from where they came. mixed school Segregation is not per se a fundamental concern, but the association of the segregation element with that of unequal access of children to high-quality education. Separation into kindergartens and schools/classes invariably leads to a lower quality of education than that provided in groups, classes or schools where there is ethnical majority of school population. Interest of teaching personnel for classes in segregated schools is low, and therefore school segregation is often accompanied by the presence of less trained and less motivated teaching personnel, whose connections with the local community is scarce. School segregation on criteria of ethnicity entails negative effects at all levels of the education system, both for Roma and non-Roma children, and for the teaching personnel, students’ parents, communities from where they originate and for the education system as a whole. The main desegregation measures which may be adopted by local authorities and by the school are as follows: 1. Preparation and implementation of school desegregation plans; 2. Preparing teachers for inclusive education and providing a positive multi-ethnicity environment, fostering diversity; 3. Monitoring school performance and providing additional support in mainstream classes for Roma and non-Roma children requiring assistance; 4. The assurance that, as long as children remain in segregated schools in their own community, the level of expenses, personnel relationships and standards among teaching personnel are directly comparable with those existing in schools from non-Roma communities; 5. Providing accessible and affordable transportation to pick up children from localities to mainstream schools without a significant Roma population; 6. Informing Roma communities on the quality of education in mixed schools and involving Roma parents in decisions concerning the education of children. Residential segregation Residential segregation of Roma communities results in a concentration of poverty, the perpetuation of marginalization reproduction mechanisms with school non-attendance, unemployment, no utilities (running water, electricity, heating, etc.), no easy access to public services, risk of rainfall and many others. Residential segregation also generates a consistent decrease of social relationships with other groups and stigma, and also the lack of successful, positive role models. Residential segregation of Roma communities may be: This is a translation from Romanian Page 72 of 220 o Unintentional – when, by their own initiative, the members of Roma communities form compact housing areas, separated from the other inhabitants, as a result of living circumstances varying as form and intensity. For instance, the Pata Rât community in Cluj Napoca (near the town landfill) appeared over the past 25 years, as a result of Roma losing their jobs after 1990, losing their social or company houses, accruing personal debt, but also because of the source of revenues, in particular the collection of recycling materials from the landfill. o Intentional – is usual the consequence of intervention by local authorities, through relocation and eviction. Using the same example, a part of the Pata Rât community in Cluj Napoca was relocated by eviction from a quasi-central area of the town. There is also another form of intentional residential segregation, specific rather to traditional Roma communities, who wish to have limited social exchanges with the neighboring population, who observe certain traditions and for which modern life of current society is a potential jeopardy for the status-quo of the community – for instance, communities of coppersmiths or Gabor. Residential segregation results in a degradation of housing quality, restriction of facilities, access ways, the creation of physical or mental barriers. Public services, from public lighting, to asphalt-covered roads, running water, gas, electricity, etc., are rarely present. The existence of identification and ownership documents is another issue, because the buildings/houses do not comply with the construction criteria for houses and may not be granted legal permits. And, even if there is an identification document in place, the chances for anyone labeled as originating from a Roma community to find a job decrease, because of the current prejudice and stereotypes concerning the Roma. Residential desegregation is a complex and time-consuming process, the removal of separation between the two communities requires a certain balanced access to resources, and thus involving the allocation of financial sources for public investments (access roads, facilities, etc.) able to significantly improve the quality of life, but also increased access to jobs, education, services, etc. Virtually, any desegregation measure shall aim at removing the causes having led to segregation, followed by non-segregation, namely consistent measures to avoid new cases of segregation. The desegregation includes key elements 62: (a) Increasing awareness and consultation – it is important for both Roma and non-Roma stakeholders who will be involved in the desegregation process to be informed about it before it begins. Knowing the objectives, processes, and expected impacts of desegregation will increase their understanding of and support for the intervention. Ignorance often generates concerns, uncertainty, and suspicion, which can fuel resistance to the process. Desegregation will not succeed if stakeholders do not understand its benefits, are disinterested in it, and fail to support it. Awareness raising and consultation are thus essential to keep stakeholders informed, provide feedback, contribute, and have ownership of the process. In addition, Roma families have different preferences regarding where and how they want to be resettled. While many Roma families prefer to live in mixed neighborhoods, there are also families that do not feel comfortable or ready to live next to non-Roma neighbors in the immediate future, partially out of fear of being mistreated by the latter. They usually prefer to integrate voluntarily at a pace at which they feel comfortable (such was the case in Project Brief 23, Italy). More detailed information and good practices on stakeholder consultation are discussed in Module 3 in Good Practice Note 1: Engaging Local 62 World Bank. 2014. Handbook for improving the living conditions of Roma. Washington, DC: World Bank Group. http://documents.worldbank.org/curated/en/426791468030548664/Handbook-for-improving-the-living-conditions- of-Roma This is a translation from Romanian Page 73 of 220 Communities. (b) Preserving supportive social networks - a resettled Roma family risks losing the positive social ties to other Roma families it enjoyed in its old neighborhood. Social networks often serve as a safety net in difficult times through mutual help and support. Many Roma families work with and mutually support extended families and friends; losing access to these relationships could increase their vulnerability to shocks such as loss of income or health problems. Therefore, it is important for desegregation measures to avoid disrupting such networks. Often times, enabling better access to mainstream social support services can at least partially replace such networks’ roles, but interventions should still include actions to create and restore positive social ties in the new community. Interventions should also consider the possibility that tensions might exist between various Roma groups; simply creating a blended community of different Roma and non-Roma residents might not work. (c) Enhancing cultural competency and combatting discrimination - decades of segregation may have hindered interaction and communication between Roma and non-Roma, making mutual understanding between the groups difficult. Different customs, perceptions, and circumstances may lead each group to behave differently, which could make it difficult for the other group to understand or accept. Such differences could lead to misunderstandings, mistrust, and mutual disapproval, fueling tensions and conflicts between different groups. These perceptions and attitudes could also result in discrimination. It is important to increase both groups’ capacity to understand and respect their differences through interaction, training, and awareness activities. In addition, when a Roma or a non-Roma is moved to a new neighborhood, they need to be familiarized with the new community’s rules and accepted codes of conduct. Activities that facilitate and promote interaction or cooperation between Roma and non-Roma can also play an instrumental role in fostering mutual understanding and respect between the two groups. Increasing the general appreciation for Roma cultures can also boost their self-esteem and empower them to take a more affirmative and active role in social and economic life. (d) Mediating conflicts and communication gaps - a mediation service should be provided to help resolve or ease conflicts or tensions that arise from groups’ differences in customs, codes of conduct, perceptions, and values (for example, between Roma and non-Roma, and between different Roma groups). Mediators and social workers can also serve as a bridge between disadvantaged Roma and public officials or service providers; they can improve their communication and enhance both the quality and uptake of social services. Roma health mediators are a good example throughout the region. (e) Restoring or improving income-generation activities - if desegregation requires resettling Roma from a segregated neighborhood to a non-segregated one, Roma families would be required to find new sources of income. Often, housing and other living costs are higher in non-segregated neighborhoods, and Roma will need to earn more than they did in their old neighborhood, where they likely relied on readily available resources in the neighborhood such as cultivable land, water (from a river or lake), the forest, or in extreme cases, landfills—none of these may be available in the new neighborhood. Moreover, the types of skills and knowledge they used to make a living in the segregated neighborhood might not be suited to the types of livelihood and income-generation opportunities in the new neighborhood. Assistance would be therefore required to help resettled Roma gain adequate skills to adapt to new livelihood options and employment opportunities. It could include vocational training, non- cognitive skills employment training, and job search assistance. (f) Improving connectivity - while spatial desegregation is generally associated with resettling segregated people into mixed neighborhoods, depending on the context of the community, segregation may be addressed by enhancing the segregated neighborhood’s connectivity to a broader community (improving public transportation and roads, removing physical barriers), increasing access to basic services via This is a translation from Romanian Page 74 of 220 neighborhood upgrading (for example, water, sewerage, and electricity) and thereby making the neighborhood an integral part of the wider community. Depending on the context of the community, tailored upgrading of services might be a more efficient and feasible solution to improving the connectivity and living conditions of disadvantaged Roma than resettling them to a different neighborhood. Tackling education and spatial segregation The Guidance for Member States on the use of European Structural and Investment Funds in tackling educational and spatial segregation63 takes into consideration the EU legislation and policy framework to assist the relevant public administration bodies of Member States, and in particular managing authorities, in effectively designing and implementing the investments to address the education and housing needs of marginalized communities, Roma and non-Roma, financed by the ESI Funds in the 2014-2020 period. Based on the EU Guidance64, a checklist for proposals recommends in developing the calls to take into consideration the following aspects: 1. Is the call for proposal in line with National Roma Integration Strategy and Country Specific Recommendations? 2. Will the call for proposal contribute to the output indicators of the relevant programmes? 3. Does the managing authority have a definition of segregation of marginalized groups in education and housing and pre-defined indicators to measure the segregation? 4. Does the call for proposal explicitly address the problem of segregation of marginalized groups? 5. Does the call for proposal explicitly exclude support for actions resulting in segregation of marginalized groups? 6. Does the call for proposal require demonstration of alignment of the actions with local and regional development strategy in place, which addresses social inclusion and desegregation of marginalized groups? 7. Does the call for proposal require justification of proposed non-segregation actions, which: a. demonstrates that desegregation of marginalized groups is not possible? b. the action leads to desegregation of marginalized groups in longer term? c. the action is complemented with desegregation activities related to marginalized groups? 8. Does the call for proposal include indicators to monitor desegregation effect of the actions specifically on marginalized groups? 9. Was the call for proposal consulted with representatives of marginalized groups or stakeholders having knowledge of the target groups’ needs (such as academia, NGOs, specialized think -tanks or possible beneficiaries working with the target groups)? 10. Does the call for proposal require delivery of supporting activities to ensure effective desegregation of marginalized groups? 63European Commission, EGESIF_15-0224-01, 11/11/2015 64The Guidance for Member States on the use of European Structural and Investment Funds in tackling educational and spatial segregation, European Commission, EGESIF_15-0224-01, 11/11/2015 This is a translation from Romanian Page 75 of 220 Criteria to identify segregation The Guide for Applicants for call 4.1 addresses the topic of segregation as follows: “Many of such marginalized areas may be segregated (separated from the rest of the community). The boundaries between the segregated community and the mainstream community may be natural boundaries (for instance, a river, a hill, etc.), manmade boundaries (for instance, a wall, a fence, etc.) or symbolic (for instance, the inhabitants of a certain street may consider themselves segregated, separated from the rest of the community, there is no social interaction between them and the neighbors).” Furthermore, Annex B Minimal Synthetic Sheet for the Community from the Guide for Applicants for Specific Objectives 4.1 and 4.2 identifies elements that should be taken into consideration in terms of school or residential segregation: The definition and issues detailed in Annex B shall be taken into account. Where there is spatial segregation, at least the following elements shall be described: distance to the nearest locality or to the locality providing services such as education, healthcare, jobs; the existence of physical or symbolic Spatial barriers; social distance – quality (cooperation, conflicts, indifference, etc.) and segregation quantity (most interactions of the members of the segregated group are also with members of the segregated groups or with members of the community between the segregated group and the mainstream community); concentration degree (percentage) of Roma or segregated vulnerable group in the envisaged territory and percentage of Roma in other areas/neighborhoods of the administrative-territorial unit. The definition and issues detailed in Annex B shall be taken into account. Where there is school segregation, please describe at least the following elements: percentage of Roma or percentage of members from another School segregated vulnerable group in the school/class, percentage of the same segregation segregated group in the envisaged community and percentage of the same group in other schools/classes servicing that community; distance to school, distance expressed as the time spent by the child in travelling to school (return route). It is also encouraged to describe other issues (quality of education, school endowments, etc.), depending on the specificity of each community. Thus, consideration shall be given to several indicators in connection with the segregation: Type of segregation Indicators Segregated school Percentage of Roma in the school as compared to the percentage of Roma in the school district Aggregation indicator – the difference between the percentage of children belonging to a certain ethnic/religious/vulnerable group in a school/building/class and the percentage of children belonging to the same vulnerable group in the school district/school/school year Time spent by students on the route to school and back home (return) Distance in km necessary for traveling to school (return) This is a translation from Romanian Page 76 of 220 Whether there are means of public or special transportation allocated for school transport Segregated class Percentage of Roma in the class, as compared to the percentage of Roma in that school year Segregated building Percentage of Roma in the building, as compared to the percentage of Roma in the school Residential Distance to the closest locality segregation Existence of physical or symbolic barriers Social distance o Quality (cooperation, conflict, indifference, etc.) o Quantity (most interactions of the members of the segregated group are also with members of the segregated groups or with members of the community between the segregated group and the mainstream community); Concentration degree (percentage) of Roma or segregated vulnerable group in the envisaged territory and percentage of Roma in other areas/neighborhoods of the administrative-territorial unit Distance to the town hall and welfare services Quality of access roads to welfare services Whether there are or not means of public transportation Distance to the closest point of healthcare services – healthcare facility, clinic, emergency room Access to emergency services in the community Whether there are or not commercial services – food and non-food products, distance to them Whether there are employment opportunities Whether there are means of transportation to employment opportunities Analysis of project proposals based on the non-segregation principle During the assessment of project proposals, elements relating to various forms of segregation shall be taken into account. Thus, as indicated by the Ministry of European Funds in Annex 4 – General considerations on the compliance with the principles of non-segregation and desegregation65 in the Annex to new call for projects Program “SCHOOL FOR EVERYONE” (OPHC, Specific goals 6.2, 6.3, 6.4, 6.6), shall comply with the European Commission principles on la non-segregation and desegregation: 1. “Non-segregation – structural and investment funds may not be used in order to create new segregated facilities/services, or to develop/maintain the already segregated ones. Investments in housing or education may not result in isolation or concentration of vulnerable groups in certain areas. 2. Desegregation –structural and investment funds may only be used in order to remove or significantly decrease segregation. Activities ought to concern the resettlement of inhabitants from segregated areas to non-segregated communities and relocation of children from segregated schools/classes.” 65Please see details at http://www.fonduri-ue.ro/apeluri/details/2/73/apeluri-pocu-4-6-6-2,6-3,6-4,6-6-program- %E2%80%9Dscoal%C4%83-pentru-to%C8%9Bi%E2%80%9D (1 February 2017) This is a translation from Romanian Page 77 of 220 Key aspects to consider by project applicants and evaluators carrying out analyses of marginalized communities Applicants The applicant should identify whether the community is segregated or not from the different areas (housing, education, employment etc.). The new activities of the project should not be used to create new segregated facilities/services or to develop/maintain the already segregated ones. In the case there is already segregation, a part of the structural and investment funds should be used in order to remove or significantly decrease segregation. Checklist for applicants Description YES NO Is there a plan for school desegregation or is such a plan intended to be prepared? Are the activities aimed at decreasing or removing the gap relating to the existence and quality of education services? Are the activities aimed at decreasing or removing the physical distance between the marginalized community and the rest of the community? Existing welfare services and services newly developed by means of the project are not addressed exclusively to people from the vulnerable group? Are there activities jointly performed by the members of the segregated vulnerable group and of the mainstream community, aimed at improving the relationship between the two communities? Evaluators The new activities of the project should not be used to create new segregated facilities/services or to develop/maintain the already segregated ones. This is a translation from Romanian Page 78 of 220 6. Identification of the ethnicity of the community members and potential fields of specific intervention Official data derived from Population and House Census 66 of 2011 reveals that the Roma population in Romania is growing. As it may be noticed from the table below, 3.2% of Romania’s population declare that they belong to the Roma ethnicity, on the rise from the 2002 Census, when the percentage was 2.5%. Various sociological research conducted in the past years attribute such growth both to the higher birthrate among the Roma, and to an increase in the number of people self-identifying as Roma in the official context of population census. Table 4. Evolution of Roma population compared to the Romanian and Hungarian one, as per the Census data Year Total population Roma Romanian Hungarian Roma (%) (mil.) (%) (%) 1930 14.28 242,656 77.9 10.0 1.7 1956 17.48 104,216 85.7 9.1 0.6 1966 19.1 64,197 87.7 8.5 0.3 1977 21.55 227,398 88.1 7.9 1.1 1992 22.81 401,087 89.5 7.1 1.8 2002 21.68 535,14 89.5 6.6 2.5 2011 20.25 619,000 88.6 6.5 3.2 The Population and Houses Census of 201167 collected data in connection with the ethnic-cultural features and, more specifically, respondents were asked “To which ethnicity does the person considers belonging to?”. The working alternatives of the census operator, to identify a Roma (code 1200 – Roma) were the following: 1201– Roma, 1202 – băieş, 1203 – boldean, 1204 – caştal, 1205 – tinker (căldărar), 1206 – cărămidar, 1207 - cocalar, 1208 - gabor, 1209 – horse dealers (geambaş), 1210 – lăieş, 1211 – fiddler (lăutar), 1212 - pletos, 1213 – rudar, 1214 – tinsmith (spoitor), 1215 – gypsy (ţigan), 1216 –gypsy silk trader (ţigan de mătase), 1217 – bear trader (ursar), 1218 – vătraş, 1219 – zavragiu. Here is a variety of names which were associated to the Roma ethnicity upon the performance of the Census. And speaking of diversity, an analysis may be made of each of these groups or tribes of Roma, leaving from their traditional characteristics, whether they speak Romani or not or a dialect, etc. In the current context, the traditional tribe does not seem to be very lively in the consciousness of a large number of the Roma population68 in Romania, that is why the researchers decided to focus in their study on the diversity of Roma communities. Thus, the diversity of these communities may be analyzed in light of elements such as: o Whether there are any characteristics of traditional life; o Self-identification as belonging to the Roma ethnicity in public and private contexts; o Hetero-identification from other populations with which they come into contact; 66Population and Houses Census, please see details at http://www.recensamantromania.ro/rezultate-2/ 67 For further details, please see http://www.recensamantromania.ro/instrumentar/ 68 Burtea, V. (2002). Rromii in sincronia si diacronia populaţiilor de contact. Bucharest: Lumina Lex, p. 52 This is a translation from Romanian Page 79 of 220 o Level of speaking Romani; o In the analysis of Roma populations, five ethnical levels can be identified for Roma69: Roma with all of the traditional characteristics and self-identifying as such in all circumstances (official, administrative and informal); o Roma with all of the traditional ethnical characteristics and who are also identified as Roma by the others when seeing their lifestyle, but not self-identified in official-administrative circumstances; o “Emancipated” Roma who changed their lifestyle towards the modern, who no longer reveal visible indications of the traditional lifestyle, self-identified among themselves as Roma, both in official context, and informally and identified by the others as Roma as a result of their own identification (Roma activists, culture figures, Roma business men, etc.); o “Emancipated” Roma, tending not to self-identify as Roma, or who sometimes do and sometimes don’t and whom the other may identify or not as Roma; o “Former Roma”, who integrated in the mainstream population up to the disappearance of distinctive traits, and who do not even identify themselves as Roma. Starting from this model, potential fields of social intervention may be identified according to the below table. It becomes obvious from this classification that emancipated Roma (category D – tending not to self- identify as Roma) and Roma integrated in mainstream population (category E) cannot truly be deemed as member of the Roma community, as they are no longer familiar with the specific problems of Roma communities. There is a quasi-general agreement of political leaders, researchers, international institutions that, in reality, there is a larger number of Roma people than as officially registered. A sociological study conducted by the World Bank estimates 70, in the minimum scenario, 730,174 Roma, and in the maximum one 968,275 Roma. Other estimates refer to more than one million Roma and even reach as far as more than two million Roma. The issues facing Roma communities in Romania today are rooted in the historical discrimination and social exclusion, in the traditional lifestyle and certain values of the community that no longer coordinate with the trends and standards of the current society. Sociological studies and official statistical data reveal that Roma is the population facing an extremely high risk of poverty and social exclusion. The vicious circle of poverty keeps Roma in situations of social exclusion, from the legal/democratic system, through employment and social security, up to family and community system 71. Consequences are as varied as may be, from no participation in the election process, difficult access to healthcare services and other welfare services, not being employed in the legal labor market, challenging housing conditions, hampered access to education, decrease of solidarity within the community, etc. 69 Zamfir, C., Zamfir, E. (coord) (1993). Ţiganii între ignorare şi îngrijorare. Bucharest: Alternative, p. 57 70 Sandu, D. (2005). Comunităţile de romi din România. O hartă a sărăciei comunitare prin sondajul PROROMI. Bucharest: World Bank, p. 68-70 71 Zamfir, C., Preda, M. (2002). Romii în Romania. Bucharest: Expert. Pag. 283-301 This is a translation from Romanian Page 80 of 220 Table 5. Possible interventions of specific intervention in Roma communities, according to their characteristics Roma category Existence Self- Hetero- Estimated need Potential fields for specific intervention of identificatio identificatio for specific traditional n as Roma n social features intervention A. Have all of the traditional characteristics YES YES YES High Preservation of the ethnic culture and identity Self-identify as such in all circumstances in every Upgrading of traditional trades (official, administrative and informal) context Entrepreneurship Understand, accept, apply current social rules Attend education Access to welfare services B. Reveal all of the traditional ethnical YES YES, only in YES Average Preservation of the ethnic culture and identity characteristics informal Attend education, second chance Are identified as Roma by the others when context Vocational training programs seeing their lifestyle Active employment, entrepreneurship Not self-identified in official-administrative programs circumstances Access to welfare services C. “Emancipated” Roma who no longer reveal NO NO YES/ NO Average Preserving cultural and ethnical identity visible indications of the traditional lifestyle. elements Self-identified among themselves as Roma, Carrying on affirmative measures in education both in official context, and informally Affirmative measures for employment, Identified by the others as Roma as a result of entrepreneurship their own identification (Roma activists, culture figures, Roma business men, etc.) D. “Emancipated” Roma, tending not to self- NO NO YES/ NO Low Promote cultural and ethnical identity elements identify as Roma, or who sometimes do and Active employment, entrepreneurship sometimes don’t and whom the other may programs identify or not as Roma; Access to welfare services E. “Former Roma”, who integrated in the NO NO NO Low Not necessary mainstream population up to the disappearance of distinctive traits. Do not even identify themselves as Roma. This is a translation from Romanian Page 81 of 220 Self-identification versus hetero-identification In light of the negative connotations associated to the Roma ethnicity, self-identification as Roma is a challenging matter, with many of the Roma avoiding potential labels and stigma associated to the word Roma. In the paper “Vino mai aproape. Incluziunea si excluziunea romilor in societatea românească de azi”72, the authors, quoting a reference study in the field 73, state the following in respect of hetero-identification of Roma interviewees: o “almost everyone identifying themselves as Roma is hetero-identified as Roma; o Individuals self-identified as Roma are fewer than the group hetero-identified as such: approximately 10% of the respondents in Romania who self-identified as non-Roma were still designated as Roma by the interviewers; o The external features of the individual impact the likelihood of their being hetero-identified as Roma: living in a settlement (perceived as) majority Roma / gypsy, low education level (primary school or less), number of persons in the household and low income increase the likelihood of being defined as Roma; o Living in an area populated by Roma increases that likelihood twelve-fold, lack of education approximately three-fold, whole poverty and crowdedness – each approximately 1.5 times.” Sociological research conducted in the past 20 years have revealed a certain evolution in the approach. Whereas, in the beginning, we can talk about a prevalence of researches where hetero-identification was the most used and considered acceptable method, later on researches became more sophisticated in their sampling methodology. This also occurred in the context of more and more Roma ethnic researchers or activists, who pointed to the collection of ethnically segregated data. The positive outcome is that all researchers in the past years mainly employed the identification model for Roma respondents by self-identification. There are certain working alternatives in which at first, in the first stage of sampling, hetero-identification is used, however, in the on-site data collection stage, only data from people who self-identify as Roma shall be used. Various methods are used in the first stage, from census data to data collection from the local public administration structures, local experts for Roma, health mediators, school mediators, county offices for Roma, etc. Another often seen practice is creating samples (non-representative at a national level for instance) of non-Roma population, who could provide interesting comparative data as to the differences between Roma and non-Roma at the level of local communities where they co-exist. In the sociological research endeavors, we may find various types of questions leading to data on the Roma ethnicity: Questions Remarks Do you belong to the Roma Affirmative answer or negative answer or no answer ethnicity? 72 Fleck, Gabor and Rughiniş, Cosima (Ed.) (2008). Vino mai aproape. Incluziunea si excluziunea romilor in societatea românească de azi. Bucharest: Human Dynamics. pp. 8-10. 73 Ahmed, Patricia, Feliciano, Cynthia and Jean Emigh, Rebecca (2001). Ethnic Classification in Eastern Europe. Available on 13 March 2004 on the website of the Center for Comparative Social Analyses: http://www.sscnet.ucla.edu/soc/groups/ccsa/past.htm 81 This is a translation from Romanian Page 82 of 220 To which ethnic group do you A list is provided of the ethnical groups or an ethnical self- belong? identification by the respondent is expected To which ethnicity do you Indicates primary, but also secondary ethnical affiliation. Such a consider that you belong, first question contributes to a decrease of stigma or negative of all? And second of all? stereotypes and encourages ethnic ownership To which Roma tribe do you A list is provided of the Roma tribes or an ethnical self-identification consider that you belong? by the respondent is expected as to the Roma tribe Thinking about the people Estimate the percentage of Roma population in the relevant area living in the area which you inhabit, what percentage do you believe are Roma? Thinking about the people Estimate the percentage of Roma population at the level of the living in the same locality as entire locality you, what percentage do you believe are Roma? Thinking about all people Estimate the percentage of Roma population at the level of the living in Romania, what entire country percentage do you believe are Roma? If a young man’s father is Appraisal of ethnicity depending on the different ethnicity of the Roma and mother is two parents, out of which one is Roma Romanian, what ethnicity is he? Calculating the number/percentage of Roma as required by the Guide for Applicants for specific objectives 4.1 and 4.2. As indicated in the program documents of MFE74, in the performance of community studies, preliminary analyses on the community, various data sources may be used. It is highly important to specify that the data provided in such community studies is the one to be used in order to support the intervention, so that, starting from the issues identified, to be able to find the best solutions to improve the condition of the community or communities. The percentage of Roma people may vary, depending on the source of the data, so that census data is no longer sufficient. At a local level, there may be statistical data deriving from previous scientific researches or data collected by structures of public administration or other structures and public institutions – the National Institute of Statistics / County Statistical Directorates, Directorates for Welfare and Child Protection, Directorates for Public Health, Welfare Services, Local Police, etc. In Annex B: Minimal Synthetic Fiche of the community, the following may be found: 74 Former Ministry of European Funds, until January 2017. 82 This is a translation from Romanian Page 83 of 220 It may be noticed that three data sources are indicated, in particular: 1. Census: o Total Roma and non-Roma population, as per the 2011 Census, with additional data regarding the number of adults and children; o In accordance with http://www.recensamantromania.ro/noutati/volumul-ii-populatia-stabila- rezidenta-structura-etnica-and-confesionala/, general Census data may rather easily be identified in various localities; the data that may be thus obtained tend to other details referring to the employment status, education level, use of mother tongue, religion, etc.; 2. Town Hall: the data provided by the Town Hall may be completely different, as regards the percentage of Roma population, however, the assessments made by the above-mentioned structure may be extremely relevant, in particular in the context of the migration process; at this level, data is most of the times provided by the local expert on Roma matters, health mediator or school mediator, where any such exist, or by the Public Welfare Services or for the protection of children’s rights, Police, etc.; 3. Roma leaders: Roma leaders are Romanian nationals of Roma ethnicity residing in the locality/area for intervention and exercising some form of authority over the population residing in the locality and who officially or non-officially represent them, in liaising with other social actors. In certain localities, we may also identify elected Roma local counselors, representative of the Roma Party or of other political or non-governmental organizations of Roma. On the other hand, we may refer to the data deriving from the reference study, by on-site research activities, and in that case the research activities are performed by the applicant, in reliance upon a questionnaire or other data collection methods. Depending on the size of target communities, the on-site research may take into consideration the population as a whole or a sample thereof. Quantitative data may be additional to other data acquired through qualitative methods. Seeking to draw a hierarchy of data sources, there may be: Self-/hetero- Data source Remarks identification National Institute of 1 Statistics/ County Auto-identification The only source of official data Directorates for Statistics 2 Directorates for Welfare Hetero-identification Partial data in general, as a result of 83 This is a translation from Romanian Page 84 of 220 and Child Protection professional actions in the responsibility area Partial data in general, as a result of Directorates for Public 3 Hetero-identification professional actions in the Health responsibility area Partial data in general, as a result of 4 Public Services for Welfare Hetero-identification professional actions in the responsibility area Partial data in general, as a result of 5 Police Hetero-identification professional actions in the responsibility area Relevant partial data, but non- 6 Town Hall Hetero-identification official, as this institution does not have official duties of data collection Self-identification and 7 Roma Leaders Non-official data Hetero-identification Self-identification and 8 Researches Research data Hetero-identification Self-identification and 9 Reference study Research data Hetero-identification It is useful for the applicant to use estimates as to the percentage of Roma people in the community from various sources - NIS census, estimates of leaders in the Roma community and estimates of the Town Hall. The principle in selecting the percentage actually used for the classification of the community relates to two criteria. It is advisable a) to remember the percentage relying on the most extensive methodological, scientific, explicit support and which b) involves, to the largest extent, self-identification, not hetero- identification in terms of ethnicity. Estimates of the belief or consideration type (“I know”, “we know or we believe” that there are that number of Roma) rather rely of a subjective assessment basis. 84 This is a translation from Romanian Page 85 of 220 Key aspects to consider by project applicants and evaluators carrying out analyses of marginalized communities The applicant should calculate, to the extent possible, the percentage of Roma people in Applicants the community from various sources: NIS census, leaders in the Roma community, Town and Hall authorities, new survey/census. In the end, the principle in choosing one of the data evaluators sources is that the percentage (i) relies on the most extensive methodological support, and (ii) involves, the largest extent, self-identification and not hetero-identification in terms of ethnicity. Evaluators See the section “Calculating the number/percentage of Roma as required by the Guide for Applicants for specific objectives 4.1. and 4.2” 85 This is a translation from Romanian Page 86 of 220 7. Impact assessment and project sustainability An impact evaluation assesses changes in the well-being of individuals, households, communities or firms that can be attributed to a particular project, program or policy. The central impact evaluation question is what would have happened to those receiving the intervention if they had not in fact received the program. Impact evaluation is aimed at providing feedback to help improve the design of programs and policies. In addition to providing for improved accountability, impact evaluations are a tool for dynamic learning, allowing policymakers to improve ongoing programs and ultimately better allocate funds across programs. Many institutions and project managers are reluctant to carry out impact evaluations because they are deemed to be expensive, time consuming, technically complex, and because the findings can be politically sensitive, particularly if they are negative. Many evaluations have also been criticized because the results come too late, do not answer the right questions, or were not carried out with sufficient analytical rigor. A further constraint is often the limited availability and quality of data. Yet with proper and early planning, the support of policy makers, and a relatively small investment compared to overall project cost, a rigorous evaluation can be very powerful in assessing the appropriateness and effectiveness of programs. Information generated by impact evaluations informs decisions on whether to expand, modify, or eliminate a particular policy or program and can be used in prioritizing public actions. In addition, impact evaluations contribute to improve the effectiveness of policies and programs. Impact evaluations demand a substantial amount of information, time and resources. Therefore, it is important to select carefully the interventions that will be evaluated and a set of four key questions can guide the decision of when to conduct an impact evaluation: (i) Is the policy or program considered to be of strategic relevance for poverty reduction?; (ii) Is the intervention testing an innovative approach to poverty reduction?; (iii) Is there sufficient evidence that this type of intervention works well in a number of different contexts?; (iv) When do we expect outcomes to show an effect? As a component of the monitoring and evaluation process, impact evaluations are an essential instrument to test the validity of specific approaches to development and poverty alleviation. Impact evaluations help those involved on a project to establish whether or not there is a causal link between an intervention and those outcomes that are of importance to the policymaker. The counterfactual analysis used by impact evaluations is a critical tool for assessing the effectiveness of development interventions. By providing critical feedback with respect to what works and what does not, impact evaluations can help to solidify a results-based project structure. In order to measure the impact of an intervention, a clear, well-designed evaluation strategy is necessary. Incorporating an impact evaluation into a development program requires a well-structured monitoring and evaluation plan. Every impact evaluation requires a specific methodological design, many of which are described on this site. Through conversations among project managers, government officials, and researchers, the appropriate methodology is chosen and incorporated into the monitoring and evaluation process. Impact evaluations fit into the chain of monitoring and evaluation process in several ways:  they help to assess the casual link between an intervention and an outcome of interest;  impact evaluations provide baseline evidence for the effectiveness of an intervention, which can be compared with other similar interventions; through this process, impact evaluations assist in establishing credible cost-effectiveness comparisons; 86 This is a translation from Romanian Page 87 of 220  impact evaluations can serve to build the knowledge base of what works in development. With and increasing demand for evidence of aid effectiveness, rigorous evaluations offer a method through which development successes can be highlighted. 7.1. Project sustainability, context and stake Often times, while implementing a project, the management team places the priority and even exclusive focus on the implementation process, the performance of activities in accordance with the project goals, fulfillment of project markers and strict compliance with bureaucratic and legal regulations. The rationale underlying this approach is quite comprehensible: the consequences of the failure to strictly observe formal rules undertaken in the project, upon granting financing, may result in the invalidation of certain expenses, engaged amounts, which amounts to a risk of financial deadlock and, implicitly, organizational bankruptcy. In other words, there is a sustainability problem for the implementing organization and, obviously, this substantially concerns the project management. However, together with the sustainability of the organization, there is also the matter of sustainability of the intervention enforced as part of the project. This takes, in substance, a stake higher than anything else, because sustainability is the key item revealing, in the end, whether the implemented projects were successful or not. The projects financed through structural instruments have a limitation of principle, with fundamental implications: they have, from the very beginning, a fixed lifetime, an average of maximum 3- 5 years. The key question to be asked is what happens to the activities organized as part of the project, after its completion? What happens to the beneficiaries of these projects? What happens to other potential beneficiaries of future generations, who will live in the project intervention area? What about other potential beneficiaries (vulnerable people) living in other areas, where no project was implemented providing support? Could the project contribute to the welfare of these beneficiaries, even after its completion? Providing answers to the questions above means, in fact, wondering on the sustainability of the effects entailed by the implemented project. Sustainability should refer, in fact, to the following matters: o Ways to carry on the support intervention granted during the performance of the project and after its completion, with autonomous/independent resources from those engaged by means of the project; o The extent to which the effects or impact of the project intervention take, in themselves, other desirable effects, likely to contribute to a long-term outcome, after completion of the project, in support of the project’s beneficiaries or other potential beneficiaries; o Ways whereby the intervention enforced by means of the project may be multiplied, replicated on a larger scale, by identifying the necessary resources. In this respect, each project is expected to take into consideration, to provide for mechanisms or an exit strategy for the interventions enforced in the project even after the completion thereof, if necessary by their multiplication or replication at a larger scale. A material prepared under the World Bank and the European Commission emphasized the potential elements of a diagnosis instrument in respect of the sustainability of a project75. The instrument contains key-questions, which could guide the assessment on the sustainability of a project towards certain issues, types of potential risks associated, risk mitigation methods, examples of best practices. We recommend 75 ”Handbook for improving the living conditions of Roma”.(2014) World Bank & European Commission. p. 136-143. 87 This is a translation from Romanian Page 88 of 220 this bibliographic source as an excellent means to analyze the sustainability of effects entailed by a certain project. The Handbook for improving the living conditions of Roma identifies the main risk types for the sustainability of a project the following: o Lack of awareness, among people of the target group and other categories outside of it (for instance, non-Roma population), project implementation and intervention features; o Reduced ability by the target population to pay for the services supplied in the project; o Inappropriate organizational capacity and lack of participation by the members of the community, of the target group; o High opportunity and trading costs (challenges in accessing the services proposed in the project, no time for or poor adjustment of the project activities to the daily/seasonal program of potential beneficiaries, degree of comfort experienced by the target population in accessing the services and facilities provided in the project, etc.) o Lack of civil documents (birth certificate, identification card, ownership documents) preventing access to project services and facilities; o Feelings of mistrust and grudge in intra-group relationships (between Roma and non-Roma, for instance), low acceptance of diversity. o Sustainability of a project’s effects substantially depends on the management of certain risks, such as the ones described above. It is also important to pursue the multiplying effect of a project, the extent to which the intervention practice proposed therein may be continued and replicated at a larger scale, in public policies, in the long term. However, this requires a project impact assessment, to identify the best practices and appropriately support them (through advocacy campaigns etc.). 7.2. Impact evaluation Assessing the impact entailed by projects/programs/interventions is often seen as a marginal activity in the economy of intervention implementation. This also happens because, in many financing guidelines, this activity is not eligible for financing. Nevertheless, the importance of assessing the impact of a project is overwhelming, as clearly proven by consistent bibliographical sources 76. To put it simply, “the impact evaluation reveals the changes at the level of individuals’ welfare which may be attributed to a certain project, program or policy”77. Where the changes brought about by the project/program/policy are as expected, positive, this becomes an argument for the intervention to be 76 ”Handbook for improving the living conditions of Roma”. (2014). World Bank & European Commission. p. 76-83; Peter H. Rossi, Mark W. Lipsey, Howard E. Freeman. (2004). Evaluation. A Systematic Approach. SEVENTH EDITION. SAGE Publications; Gertler, Paul J., Sebastian Martinez, Patrick Premand, Laura B. Rawlings, and Christel M. J. Vermeersch. (2011). Impact Evaluation in Practice. World Bank, Washington, DC. https://siteresources.worldbank.org/EXTHDOFFICE/Resources/5485726- 1295455628620/Impact_Evaluation_in_Practice.pdf (1 February 2017) 77 Gertler, Paul J., Sebastian Martinez, Patrick Premand, Laura B. Rawlings, and Christel M. J. Vermeersch. (2011). Impact Evaluation in Practice. World Bank, Washington, DC. https://siteresources.worldbank.org/EXTHDOFFICE/Resources/5485726- 1295455628620/Impact_Evaluation_in_Practice.pdf - p. 4 88 This is a translation from Romanian Page 89 of 220 replicated at a larger scale, in relation to a much larger group of beneficiaries, even to become a public policy, undertaken and developed by the government, dedicated to all those requiring such support. Where the intervention did not have the expected results, a lesson is learned of how not to approach a certain target group, to look for a type of alternative intervention, more efficient and more effective. The importance of impact evaluation in relation to an intervention becomes, therefore, obvious. It may lead to a multiplication of the number of beneficiaries in a certain target group, and implicitly to the resolution of social concerns, at a larger scale. At this point, a very significant distinction is to be made. Impact assessment is different from other types of assessments, familiar to those who have analyzed or implemented projects, such as, for instance, descriptive evaluation or normative evaluation78. Descriptive evaluation only describes what has happened before, during and after the completion of a project, reflecting the implementation process; normative evaluation compares the expected results against the actual results; on the other hand, impact evaluation “examines the causal relationship between an intervention and the measured results. In other words, impact evaluation intends to answer one question: what is the impact (or causal effect) of a project in an outcome of interest?”79 Impact evaluation brings added knowledge, is a research endeavor, undertaken in accordance with scientific practices, in order to have validity. Therefore, this process involves the use of solid arguments, based on a well-structured methodology (and documented in the relevant literature). Furthermore, it is obvious that such an endeavor requires extensive expertise and rather consistent resources – and thus, there are many cases in which the interventions performed are not accompanied by impact evaluation, losing the opportunity to identify the ”best practice” or, why not, the ”bad practice”. Impact evaluation may not occur without the collection of data/information from the social reality, from the context where the intervention is to take place. Additionally, the collection of such data shall be performed in observance of a certain methodology. These are the key elements defining the impact evaluation methodology: 1. Who is the data collected from? 2. What data is collected? 3. When is the data collected, at what time? 4. How is the data collected? Who is the data collected from? Data is collected, first and foremost, from the project beneficiaries, but this is not enough. For an appropriate implementation of impact evaluation, data also needs to be collected from non-beneficiaries of the intervention, people who receive no support through the project. In the specific wording of the impact evaluation methodology, the group of beneficiaries shall consist of the experimental group (meaning the group comprising the recipients of a certain intervention), and the group of non- beneficiaries shall be the control group (used in order to compare/report on the dynamics of the experimental group). People making up the control group shall, however, be selected further to a specific random procedure. Impact evaluation answers the question: what would have happened to the experimental group if the intervention/project had not taken place? This answer may be reached, in fact, by comparing the evolution of the group in which the intervention takes place (experimental group) 78 ”Handbook for improving the living conditions of Roma”. (2014) World Bank & European Commission. p. 82; 79 Idem. 89 This is a translation from Romanian Page 90 of 220 against the evolution of a group of people who follow a natural evolution, not benefiting from the intervention (control group). Nevertheless, in order for the results of this comparison to be valid, people in the two groups (experimental and control) need to be similar in terms of socio-demographic profile. What data is collected? In order to be able to appropriately draw comparisons between the experimental and the control group, it is necessary to collect, above all, specific socio-demographic data that is relevant, in accordance with previous evidence, the results of intervention (for instance, in respect of an intervention in the education field, it is necessary to collect data such as level of parents’ education, poverty risk for the family, financial ability by the family to appropriately support the educational process, cultural capital of the family, etc.). Another data category that bears high importance allows to characterize the results/effects at the level of beneficiaries. For instance, in the case of an intervention at the level of students, academic performance shall be measured by means of an identical test and under the same conditions both to the experimental and to the control group. As regards a program in the healthcare field, the measured results may consist of health condition, prevalence of certain healthy behaviors, existence of certain diseases/disorders (such as obesity etc.). Other data may also be collected, such as opinions of beneficiaries, their family on certain relevant key issues. There are, in the specific literature, several categories of established, tested, validated indicators, which may be trustworthy in describing the status of a certain group at a certain point in time. For instance, a manual published under the aegis of the World Bank and European Commission proposes a set of indicators which could be used in order to characterize the condition of Roma depending on key parameters, such as education, employment, health, housing80. For instance, at the level of education, such an indicator specified in the above-mentioned source is “% of Roma children who drop out of preschool/primary/secondary/vocational school in project areas (as a result of project interventions)”. In the Annexes there is an indicative list of indicators proposed for the evaluation of project activities (Annex 15: Indicators useful in evaluating project activities). When is the data collected, at what time? In order for the results of the impact evaluation to be valid, data shall be collected from both groups (experimental and control) both before the intervention, and after its completion. It is advisable to further collect data at an interim time, in particular when the duration of the intervention is longer. The evolution forming the object of comparison between the two specified groups (experimental and control) refers to the changes occurred between time t0 – before the intervention – and time tf – after the intervention was completed (and, where necessary, at an interim time ti). How is the data collected? Data is collected by using quantitative research instruments, settled in socio-humanistic sciences. Questionnaires are such an instrument. The factual situation whose change is aimed by the results may be measured through standardized tests (knowledge, medical etc.). It is also worth mentioning that the analysis of data collected for the purpose of impact evaluation in relation to the project requires extensive expertise and statistical skills, including the use of statistical analysis software. Furthermore, in order for the best practices identified to be multiplied, the results of the 80 Idem, p. 76-83. 90 This is a translation from Romanian Page 91 of 220 impact evaluation need to be supported, published, subject to public debate and attention to the factors outlining, or deciding, the enactment of public policies. Key aspects to consider by project applicants and evaluators carrying out analyses of marginalized communities Applicants The applicant should think carefully from the outset not only about the way the activities should be delivered during the project implementation, but also about their sustainability after the project closes. Examples of questions to be asked: what happens to the activities delivered and infrastructure developed during the project, what happens to the beneficiaries of the project, what happens to other potential beneficiaries of future generations? The project should focus not only on carrying out activities but also on having a real impact on the communities. Ideally, the applicant should also consider measuring the impact on the community during the project implementation. Evaluators The evaluators should assess whether the applicant made a realistic justification of the sustainability of the project after its closure. 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(2010) “Incluziunea socială la nivel local in Romania”, in Toth, A., Dărăşteanu, C., Tarnovschi, D. Autorităţile locale faţă in faţă cu fondurile europene, Soros Foundation, Romania, pp. 48-66. Stănculescu, M. S. (coord.), Marin, M., Branişte, S. (2010) Calitatea vieţii si gradul de satisfacţie privind locuirea in cartierul Cetate, municipiul Alba Iulia. Final report , financed by The Intercommunity Association for Development Alba Iulia, project ”Link between urban regeneration, space planning – NODUS WG6”, Operational Program for Territorial Cooperation URBACT. Available at: www.albaiulia- aida.ro/nodus/NODUS%20WG6%20-%20Studiu%20Sociologic%20(Raport%20Final%20 Stănculescu M.S., Marin, M. (2011) “Using triangulation in targeting social interventions for at-risk- children”, in Review of Research and Social Intervention , vol. 33/2011/June, pp. 131-140. Stănculescu M.S., Marin, M. (2012) Helping the invisible children Evaluation Report, UNICEF Report. Available at: http://www.unicef.org/romania/Raport_HIC_engleza.pdf Stănculescu M.S., Teșliuc, E., Grigoraș, V., Pop, V. (coord.) (2016) Romania: Children in the child protection system, The World Bank, Bucharest. Available at: http://www.unicef.ro/wp- content/uploads/Copiii_din_sistemul_de_protectie_a_copilului.pdf Swinkels, R., Stănculescu, M.S., Anton, S., Koo, B., Man, T., Moldovan, C. (2014) The Atlas of Marginalized Urban Areas in Romania. The World Bank, Bucharest. Available at: http://backend.elard.eu/uploads/wb- project-in-ro/atlas_24april_en.pdf Tarnovschi, D. (coord.) (2012) Roma Condition in Romania, 2011. Between social inclusion and migration. Country report in the project “EU INCLUSIVE – transfer of data and experiences concerning the integration of Roma on the labor market between Romania, Bulgaria, Italia and Spain” POSDRU/98/6.4/S/63841, implemented by Soros Foundation Romania. Available at: http://www.soros.ro/ro/publicatii.php# Teșliuc, E., Grigoraș, V., Stănculescu, M.S. (coord.) (2015a) Atlas of Marginalized Rural Areas and Local Human Development in Romania. The World Bank, Bucharest. Available at: http://www.mmuncii.ro/j33/images/Documente/Minister/F6_Atlas_Rural_RO_23Mar2016.pdf Teșliuc, E., Grigoraș, V., Stănculescu, M.S. (coord.) (2015b). Background Study for the National Strategy on Social Inclusion and Poverty Reduction 2015-2020. The World Bank. Bucharest. Available at: http://www.mmuncii.ro/j33/images/Documente/Familie/2016/SF_BancaMondiala_RO_web.pdf The World Bank and European Comission. ”Handbook for improving the living conditions of Roma”.(2014).; http://documents.worldbank.org/curated/en/426791468030548664/pdf/923950WP0P14390C00Handbook 0complete.pdf (1.02.2017) The World Bank (1992). Discussion Paper # 183: Participative Development and the World Bank 94 This is a translation from Romanian Page 95 of 220 The World Bank (2013) Poor Urban Areas and Disadvantaged Communities: Qualitative Assessment. The Second Interim Report. Project co-financed from the European Fund for Regional Development, through the Operational Program Regional 2007-2013. Treiman, D. J. (2014). Quantitative data analysis: Doing social research to test ideas: John Wiley & Sons. Voicu, B., Voicu, M. (2004) Knowledge Divide in Romania Series, Papers No.1-6, Report of The World Bank, Bucharest. Zamfir, E., Zamfir, C. (coord.) (1993) Ţiganii între ignorare si îngrijorare. Alternative Publishing House, Bucharest. Zamfir, C., Preda, M. (coord.) (2002) Romii in Romania. Expert Publishing House, Bucharest. 95 This is a translation from Romanian Page 96 of 220 Annexes 96 This is a translation from Romanian Page 97 of 220 Annex 1: Pointers for filling in “Appendix B: Minimal synthetic community sheet” General Aspects 1. The sheet needs to be filled in for each of the targeted communities / areas, with data regarding the community / field of intervention targeted under the project. This is clear from the very title of the sheet - what is aimed is the community, not the commune (village). If data pertaining to the area of intervention cannot be identified using the official statistical data, scientific research data or data acquired through own field research, then data / assessments obtained from the Territorial Administrative Unit are accepted, from which the area intervention has been extracted. The data provided by the Territorial Administrative Unit have some relevance in describing the area of intervention incorporated to it, but the Territorial Administrative Unit has no responsibility in collecting data, neither do they have the infrastructure or know-how specific to a scientific data collection process. 2. Source of data: a) official data. According to the Guide for Applicants for Specific Objectives 4.1 and 4.2, page 11, it is accepted to use the administrative data of the relevant entities ( for instance: The National Institute for Statistics / County Statistics Departments; Social and Child Protection Departments; Public Health Departments; Public Social Services; Local Police, etc.), with the list being merely exemplifying. The Administrative Territorial Unit/ Town Hall is not among the sources of official data explicitly listed as accepted, but we can admit that it is a possible, relevant source. b) data of scientific research. The guide does not define the expression "scientific research", but it does entail a specific method, a research approach that follows the habitual practice of a certain discipline. Examples include a published study; an article published in a scientific magazine; the report of a research project. c) data obtained from reference research through field research activities. This describes research activities carried out by the applicant, by their own initiative. Details on how to organise the reference research are included in presentations given by quantitative data experts. ”The data used in the analysis must be: statistical data resulting from scientific research, or administrative data of the relevant entities (for example: The National Institute for Statistics / County Statistics Departments; the Social and Child Protection Departments; the Public Health Departments; the Public Social Services; the Local Police etc.) and/or data obtained from the reference research through field research activities.” (p.11, Guide for Applicants, Specific Requirements) Observation: the guide does not tackle on a prioritisation of the data depending on the source, therefore the applicant may present data from whatever source they deem appropriate, even if he has several sources available, presenting different values. 3. Filling in Appendix B is compulsory, according to the provisions on page 10 in the Guide. It is not specified explicitly that all the fields of Appendix B have to be filled in. According to the Guide - see below - Appendix B is deemed as filled in if it includes a summary of the minimum quantifiable elements based on which the community evaluation will be developed. Filling in Appendix B: The minimal synthetic community chart - which includes a summary of the minimum quantifiable elements based on which the community evaluation will be developed.p.10 97 This is a translation from Romanian Page 98 of 220 Filling in Appendix B: Demographics. a) Determining the area of intervention. This is where the area of intervention will be described, by mentioning the streets and marks (i.e. lake; bridge; railway; national road, etc.) that enclose it. The names used can be the official ones and/of the popular ones / used by the locals (ex. ... uphill, ... at the mill, etc.). Enclose the map of the settlement, on which the area of intervention can be identified. b) Inventory of households with street names. Specify the streets - with their official name - inside the area of intervention and the number of households within the area of intervention. Presenting the source of the data (number of households) is not required in this context, but this is considered in the provisions of the Guide (p. 11). Determine the area of intervention (and enclose the 1. DEMOGRAPHICS map) (description) Inventory of households with (description of households) street name Name of street No. households Population. a) Total population acc. Census 2011, breakdown per ethnic groups. Keep in mind that many settlements will have a number of people about whom the information regarding their ethnic group was not possible to obtain. b) Total population according to Town Hall estimations. c) Total population according to Roma leaders. Roma leaders are Romanian citizens of the Roma ethnic group, residing in the settlement/area of intervention, who exert some form of authority over the population residing in the settlement, who represent them formally or informally in relation to other stakeholders. Total population NON-ROMA ROMA TOTAL NON-ROMA+ROMA according to census Adults Children Total non- Adults Children Total Adults Children Total non- Roma Roma Roma+Roma 2. POPULATION Total population NON-ROMA ROMA TOTAL NON-ROMA+ROMA according to town hall evaluation Adults Children Total non- Adults Children Total Adults Children Total Roma Roma Roma+non- Roma Total population NON-ROMA ROMA TOTAL NON-ROMA+ROMA according to Roma leaders Adults Children Total non- Adults Children Total Adults Children Total Roma Roma Roma+non- Roma 98 This is a translation from Romanian Page 99 of 220 Observation: The data presented are with respect to the area of intervention, not to the entire Territorial Administrative Unit (when the two are different). If however, distinct data cannot be obtained for the area of intervention, data for the overall Territorial Administrative Unit that the area of intervention belongs to are useful too. The key thing: the data are not only presented because the Guide requires so, but in order to be used in the process of validating and substantiating the intervention, to show that the needs and the solutions selected relied on actual data. Census data can be different from the data provided by the town hall or the local leaders. Education. Three categories of information are envisaged here: a) Data regarding the school population and infrastructure in the area of intervention / settlement (no. of pupils; dropout rates; no. of schools; no. of kindergartens). Ideally consider the school/s and the kindergarten/s that serve the greatest number of pupils / preschool children in the area of intervention / settlement. Comments can be added in this section, and relevant aspects can be described narratively. Mentioning the definition of school dropout as understood by the beneficiary when specifying the rate of this phenomenon would be a plus. If there are several schools / kindergartens serving the area of intervention, it is useful to insert comments on the distance to cover, the number of children attending each of these units, etc. b) Children who do not attend any form of education, although they are of school age. Considering the dynamics of migration, the errors in recording and keeping track of people, etc., it is possible that these data are less accurate. Substantiated estimates can be used as well (for instance, starting from the size of the cohorts, considering certain migration rates, etc.) c) Distance to the nearest high school in relation to the area of intervention Even in the urban environment, certain areas on the outskirts can be at considerable distance from the nearest high school. It is also the place to indicate the name of the high school, its educational profile, etc. Educational mediator Total pupils Dropout No. schools No. rates kindergartens Children who do not attend 3 EDUCATION any form of education Distance to the nearest high school Employment. a. Data regarding employment: rates of unemployed population; number of employed; unemployment rates. According to the NIS (the TEMPO database),” The rate of employment of labour resources is the ratio, expressed in percents, between the civilian employed population and the labour resources ”. Official data per settlement from public organisations can be presented (such as data from the County Employment Agency), or data resulting from own calculations of the team that develops the project. 99 This is a translation from Romanian Page 100 of 220 Rate of employment of labour resources = civilian employed population / the labour resources * 100 b. Traditional crafts / independent professions / farming. This chapter will include descriptions of any: - traditional trades practised in the area of intervention - usually these are associated to traditional groups / branches of Roma - blacksmiths, fiddlers; brick makers; spoon makers, etc. - independent professions. According to some definitions currently in use, independent professions are associated to ”medical professions; lawyers; notary; financial auditors; tax consultants; chartered accountants; certified accountants; real estate investment consultant; architect, or other regulated professions, carried out freelance, subject to the terms of the law .”81 These types of professions will not be frequent in the target communities, but some professions might appear in the description, such as: trucking; collecting recyclable materials; constructions, etc. - farming - or those who work in the field of farming, for instance by practising subsistence farming, seasonal or day labourers. c. Other forms of economic resources in the area - identify the main local investments, production facilities, commercial facilities, natural resources, tourism etc. that can become potential employers for the local population. Non-employment rate No. of Unemployment employees rates Traditional crafts Freelance professions Farming 4 EMPLOYMENT (description) (description) (description) Are there any other forms of economic resources available in the area (description) Health. a) Prophylaxis. Mention especially the infrastructure that can contribute in prophylaxis. You could describe where the nearest medical dispensary is, or the nearest hospitals to the area of intervention; any public or private medical practices, dental practices, etc; the existence or absence of a community nurse. b) Prevention. Especially mention specialised human resources than can contribute to prevention, including whether there is an integrated community centre available. 81 http://www.conta-conta.ro/legislatie/ghiduri_2014/ghid_profesii_libere_2014.pdf (14.09.2016), p. 3. 100 This is a translation from Romanian Page 101 of 220 Prophylaxis No. of medical Community units nurse Prevention Community nurses and HEALTH healthcare mediators, 5 school nurse and school doctor Integrated community centres Papers. a) Marital status papers Use official data obtained from the Territorial Administrative Unit or other sources, or estimations according to the reference research regarding the prevalence / number of people with no marital status papers. Where case may be, distinction should be considered between the birth not being recorded and the birth certificate being absent, since these two situations generate different subsequent legal approaches (late registration of birth). b) People who have papers on the home they live in. Similarly, specify an estimated number of people who own papers on the home they live in. Marital status documents People with no People with no birth certificate ID papers 6 PAPERS People who have papers on the space they live in NB. The estimated number of people (their relevant characteristic) who do not have documents / papers is needed to justify proposed measures of intervention in this case under the project. Additional data regarding the various contexts of ownership or rental documents are needed (ex. existing sales contract; buildings on private or publicly owned land, etc.) Housing. a) Housing Context. Describe the existence or absence of electricity, water, sewers and city gas supplies and the degree to which households are connected to these grids, respectively data to characterise the housing conditions; housing density; electricity; access to running water; bathroom inside; heating system; amenities that facilitate educational activities (for instance a study room, a desk for the child, etc.) You can also describe the legal status of the home. b) Branches of Roma. Describe the branches of Roma existing in the area of intervention / settlement (boiler makers; bear leaders; sedentary; wood workers, etc.); mention the existence of any communities of traditional Roma, what trades/habits do they have, etc. One exemplifying resource can be found here: http://www.natgeo.ro/locuri-si-oameni/comunitati/9165-neamuri-tiganesti (14.09.2016) Description of the housing context (housing conditions; 7 HOUSING utilities; legal status) 101 This is a translation from Romanian Page 102 of 220 Branches of Roma (description) Culture. a) The prevalence of Roma population in the area of intervention, defined by their keeping of traditions and their degree of integration / assimilation. Integrated Roma will still keep some traditional elements, customs, Romani language, and they will use for survival an array of trades or skills resulting from traditional trades, while assimilated Roma have lost these traditional elements and no longer speak Romani language. Of course, in this case, these proportions can only be estimative. b) Early marriage. Specify whether there are any (and how many) early "marriages" (couples that have not turned the legal age for marriage, but who live together as a couple, in a household), and if any children have resulted from such relationships. Another information that is useful too is information regarding marriages, legal or not, with legal implications for the extended family. c) Specify the number of people in the area of intervention / settlement that are still speaking Romani, currently or occasionally. Proportion of traditional integrated assimilated Roma Roma Roma 8 CULTURE Are there any early marriages? Is Romani language spoken? Other local resources. Specify other local resources useful/needed for ensuring decent standards of living, carrying out economic or cultural activities. For each category, mention whether, and how many units of each category are in place in the settlement. - "Cultural house" - especially relevant for the rural areas, respectively for access to various cultural events, family events, etc. - Post office - Current postal services available in the community - Pharmacy - pharmacies available in the area ensure access to basic pharmaceutical products, but is also a sign of the area's economic relevance - Church - the type of church, the pertaining religious denomination Non-Protestant denominations managed to attract an increasing number of Roma people by strengthening the feeling of community. - Shops - number and diversity of shops/ - Social venues - formal (park; playgrounds for children; areas equipped with urban furniture) and informal meeting places - Market place - food market or general goods market; flea market, etc. Cultural house Post office 9 OTHER LOCAL RESOURCES Pharmacy 102 This is a translation from Romanian Page 103 of 220 Church Shops Venues for socializing Market Social tensions and dynamics a) Complaints / intimations from the citizens Specify if there are any such complaints / intimations, maybe the subject of the most frequent ones as well. b) Territorial segregation - provide explanations according to the specifications in the appendix. c) School segregation - provide explanations according to the specifications in the appendix. d) Sources of tension. Specify whether there have been or there is any estimated risk of intra/extra- community tension/conflict (inside the community/settlement, in relation to other communities). e) Mixed families. Specify the number/prevalence of mixed marriages in the area of intervention / settlement; the ethnic groups involved, maybe the legal status of such marriages. Complaints / intimations of citizens to the town hall in the past two years Territorial segregation Keep in mind the definition and aspects presented in the appendix. If there is territorial segregation, describe at least the following elements: distance to the nearest settlement or to the settlement where services such as education; healthcare, jobs are available; presence of physical 10 TENSIONS AND or symbolic barriers; social distance – quality (co-operation; conflicts; indifference, etc.) and quantity (most interactions of the members of the SOCIAL segregated group are with other members of the segregated group, or with members of the community between the segregated group and the DYNAMICS majority community); level of concentration (percent) of Roma or of the vulnerable group segregated in the targeted territory, and percent or Roma in other areas/neighbourhoods of the territorial-administrative unit. School segregation Keep in mind the definition and aspects presented in the appendix. If there is segregation in school, describe at least the following elements: percent of Roma or percent of the members of some other vulnerable group segregated in the school/classroom; percent of the same segregated group in the targeted community, and percent of the same group in other schools/classrooms that serve the respective community; distance to the school, distance expressed in time that the child spends to travel to school (both ways). You are encouraged to describe other aspects as well (quality of education; equipment in the school, etc.), depending on the specific elements in each community. Main sources of tension Inside the community Outside the community Mixed families (Roma / non- Roma) 103 This is a translation from Romanian Page 104 of 220 Annex 2: Calculation of sample volume in excel What is the size of population in the area the sample is extracted from (N) 500 Do you want the limit of error (error margin) to be 3%, 5% or other percent up to 10%. Write down in cell C8 the number desired, without the % sign. 3 Calculation of sample for confidence level 95% 340 Calculation of sample for confidence level 99% 394 How to work: In the shadowed cells, replace the figures corresponding to the situation for the survey you are planning. The current numbers serve as an example for an excluded community of 500 people and 3% error margin. The sample needed in such a case would be 340 people for 95% confidence level and 394 for 99% confidence level. For details on calculation http://www.academia.edu/20430059/Statistica_in_stiintele_sociale._Probleme_teoretic e_si_aplicatii_pentru_invatamantul_universitar_1992 104 This is a translation from Romanian Page 105 of 220 Annex 3: Guide for the “random route” type of selection in building samples Steps for the “random route” type of selection 82: 1. The starting point can initially be indicated through an address from the locality (city hall, church, school, etc.) or through an area from the locality. It is preferable for the starting location not to be a central institution in the locality, because in this way the possibility to select more households from the central area is increased,regardless of the route algorithm followed afterwards. The rest of the instructions refer to the situation in which the starting point is represented by a particular polling area in the locality83, randomly selected. 2. Within the polling area from where the sub-sample should be selected, the start is from the lowest identifiable number of the street with the first name in alphabetical order. 3. The route on the street is done on the same side on which the lowest identifiable number is found, from 4 to 4 buildings in the direction of larger numbers, considering every block staircase as a building. 3.1 The buildings that do not contain any dwellings will not be numbered. At the end of the street, the road will be continued on the first street to the left, within the same area. 3.2 If the lowest identifiable number on the street is 1, the first address will be at number 1 and the second, after numbering four living buildings on the same side of the street and so forth, except for the buildings that do not contain any dwelling. 4. If the selection must be done within a block staircase, then the below table with random numbers shall be used. 8.1 The operator will observe from the staircase which are the minimum and maximum numbers of apartments from the staircase. 8.2 From the table, the column that has the letter or number indicated in the table will be selected, or the closest to what can be found in the table. On the respective column, while moving from up to down, the first apartment that has an identical number to the one in the reference column shall be selected. If the respective column doesn’t have such a number, then the apartment with the number closest to the one in the table shall be selected. 8.3 If, for example, the staircase is A or one (I) and the staircase has apartments from 1 to 20, apartment 6 will be selected because this is the first number from the interval 1 to 20 that apears in the visual movement on column A: 117, 86, 54, 37, 77,135, 49, 6. 8.4 If the staircase has apartments from 200 to 230, apartment 190 will be selected. 8.5 If an apartment from staircase H has to be selected, and the staircase has apartments 150 to 170, apartment 161 will be selected, the first on column H, moving from up to down, in the interval 150-170. 8.6 If the polling area is very small and selecting two apartments from the block staircase is imposed, then the same rule will be applied: the column from the table that has the letter or number indicated in the table or the closest to what exists in the table. On the respective column, when going from up to down, the first two apartments that have an identical number to the one in the reference column are selected. If, for example, staircase G and apartments are between 80 and 100, apartments 89 and 98 will be selected. 82 Source: Dumitru Sandu, 2008. Ghid pentru selecția de tip “drum aleator” în construirea eșantioanelor, https://sites.google.com/site/dumitrusandu/Ghidpentruselectiadrumaleator2.pdf 83 Or similarly with the polling area, can be the census section or another standard territorial unit, of small dimensions (such as a street from the locality). 105 This is a translation from Romanian Page 106 of 220 Tables with random numbers for selecting the apartment from the block staircase: Block staircase identified through letter or roman number Row A /I B /II C /III D/IV E /V F /VI G /VII H /VIII I/IX J/X 1 117 157 56 135 85 187 2 197 2 100 2 86 52 127 194 121 130 117 101 65 105 3 54 34 37 174 93 68 89 98 86 63 4 37 104 21 112 177 98 126 133 57 13 5 77 63 143 197 91 52 23 63 22 177 6 135 186 59 122 20 47 32 64 1 184 7 49 150 176 113 6 35 173 74 124 90 8 6 47 197 19 59 6 197 180 16 149 9 138 17 153 180 95 126 8 161 191 117 10 147 140 87 185 48 125 31 49 49 105 11 93 23 68 13 102 55 32 137 64 175 12 29 14 24 199 57 80 187 150 144 39 13 101 148 89 175 40 179 60 198 123 147 14 54 143 59 90 20 171 98 102 93 106 15 27 12 162 27 14 73 177 168 30 190 16 197 56 64 183 176 2 197 29 58 112 17 11 106 155 36 153 43 135 134 159 186 18 85 120 69 161 61 110 50 195 46 193 19 190 17 197 114 82 182 9 69 15 170 20 190 140 91 196 157 43 90 77 153 67 21 177 146 130 183 106 189 137 183 35 36 22 107 53 51 54 22 35 146 167 7 189 23 185 153 142 11 194 4 79 166 118 161 24 70 170 142 56 192 123 36 103 27 28 25 66 36 131 99 134 30 78 177 8 18 5. If at certain addresses the interviews can’t be carried out (nobody lives there anymore, the persons can’t be found after returning three times in two different days, at different times, etc.) the road is continued from four to four stops. 5.1 If the last address from the voting area is reached following the previously specified process and the necessary number of questionnaires is not filled in for the voting area, the process is restarted from the street which is last alphabetically from the district, from the lowest identifiable number, with the same road from four to four buildings. 5.2 The numbering will go over buildings without dwellings and buildings that were reached in the previous selection. 6. If no one is home at the address where the interview should have been taken, after two visits, the selection will be continued as if a person had replied at the address. The questionnaires deficit will be covered according to rule 5. 7. Within the household, the person who celebrates her birthday in the closest date to the interview date. If this person is not at home, the operator establishes the date of returning and comes back to 106 This is a translation from Romanian Page 107 of 220 the address at least three times, in two different days, at different hours, until the operator finds the subject. 8. The questionnaire code is registered on a separate table (each operator receives an interval of numbers to codify the filled in questionnaires), the address of the interviewed person for the control and also the address where the interview could not be operated. Polling area no._____________, Operator___________________________________ No. Street No. Dwelling/ block-staircase Phone number, if Filled-in Reason for not Date and were the questionnaire was it was filled in in questionnaire filling in, number hour when filled in or should have been the code of visits the visit took filled in questionnaire place (Source: Dumitru Sandu, 2008. Ghid pentru selecția de tip “drum aleator” în construirea eșantioanelor, https://sites.google.com/site/dumitrusandu/Ghidpentruselectiadrumaleator2.pdf) 107 This is a translation from Romanian Page 108 of 220 Annex 4: Contextualisation of Excluded Rural Communities The village and the commune, and the micro-region are the main layers of spatial contextualization of marginal communities in the rural environment. As a result of the absence of public data, a negative model has been perpetuated, of analyzing rural territorial micro-units only, or mainly in relation to the communes. The model found in the Atlas of Excluded Rural Areas, which contains an entire section dedicated to the human development of villages and the link between exclusion of census sectors and the villages' poverty / development is worth pursuing. The tables below support the idea that exclusion at the level of census sectors strongly depends on the characteristics of the village. The villages with no excluded communities are prevailingly commune-centre villages, with a low prevalence of Roma (below 10%), with a local human development index (LHDI) average or above the national average. Villages with only one excluded community are mainly poor or medium-poorly developed in terms of LHDIvillage. Villages with two excluded communities are mainly peripheral within the commune, with over 10% Roma population and medium development level per LHDI village. Appendix Table 1: Villages with excluded communities per location, prevalence of Roma, and human development Villages with more than 50 inhabitants Total villages With no With one With 2+ % N excluded excluded excluded Type of village communities community communities Village position Peripheral 83 10 7 100 2741 in the Central 87 10 3 100 9133 commune Prevalence of Below 10% Roma 89 11 0 100 11315 Roma in the Over 10% Roma 59 3 38 100 1051 village, 2011 Human Poor 61 34 5 100 1352 development Medium-poorly developed 84 12 3 100 3958 index per Medium developed 86 7 8 100 2180 village (LHDI Medium-super developed 97 1 2 100 3192 village) Developed 99 0 1 100 477 2011 Total villages 86 10 4 100 11159 Source of primary data: NSI LHDIvillage - values presented in the section "Atlasul dezvoltarii umane locale" in vol. E.Tesliuc, V.Grigoras, M. Stanculescu (co-ord.), Atlasul Zonelor Rurale și al Dezvoltarii Umane Locale din Romania. The World Bank, Romania. Calculations for LHDIvillage - D.Sandu According to analysis results in table 2, excluded communities in rural environments have a significantly higher probability of being located in villages that are: o Big in terms of demographics o Peripheral within the commune o Far away from cities o Far away from European roads o With high prevalence of Roma in the population. o In terms of development region, located especially in: NORTH-EAST, SOUTH-EAST, CENTRE o Especially located at the periphery of the county, irrespective of the region. 108 This is a translation from Romanian Page 109 of 220 The village development level (LHDI) has a decisive influence upon the probability of the village having excluded communities (EC) on its territory: one third of the villages with EC are poor, and 40% of the villages with EC are located in medium-poorly developed villages. Appendix Table 2: Predictors of an excluded community in the village Predictors of villages that were having excluded Model 1 Model 2 communities in 2011 B Sig. B Sig. village population (ln) .322 .000 1.171 .000 peripheral village* .175 .041 .102 .288 village close to European road* -.557 .000 .024 .822 distance to the nearest city with over 30 thousand .354 .000 -.090 .173 population (ln) prevalence of Roma in the village .090 .000 .632 .000 SE region* 1.139 .000 .712 .000 NE region* 1.834 .000 1.112 .000 Centre region* .508 .000 1.767 .000 NW region -.068 .620 .782 .000 West region -.815 .000 .810 .000 Bucharest-Ilfov region -1.767 .014 .279 .677 South-West region .214 .117 .135 .367 village at the periphery of the county .144 .026 .043 .544 human development index - village -.150 .000 Constanta -6.266 .000 -3.765 .000 % correct prediction 87.0 89 R2 Nagelkerke 0.235 .438 N 10684 10684 Source of primary data: NSI LHDIvillage - values presented in the section "Atlasul dezvoltarii umane locale" in vol. E.Tesliuc, V.Grigoras, M. Stanculescu (co-ord.), Atlasul Zonelor Rurale și al Dezvoltarii Umane Locale din Romania. The World Bank, Romania. Calculations for LHDIvillage - D.Sandu 109 This is a translation from Romanian Page 110 of 220 Annex 5: Indicators for Justifying Eligible Activities Interventions in the field of education “Activity 1. Support with a view to improving access and participation in education: early education (pre-preschool and preschool level); elementary and primary education, including second chance to education - and to limit school dropout) by granting certain integrated packages (integrated packages might include, for instance. costs with transport and meals for children in the target group; educational resources; access to medical and social services; measures to prevent and reduce early drop-out through educational services tailored to the needs of the people in the target group; accompanying measures (for instance, clothing and footwear; incentives linked to required attendance), tailored to the needs and specific characteristics of the community, etc.) With a view to supporting and stimulating improved quality of the teaching act in schools serving to children in the communities targeted under the project, integrated packages could be granted for teachers teaching in schools located in excluded areas, based on their performance in attracting the children from the target group into the education system (for instance, to: increase daily attendance and school participation; improve performance at school; organise stimulating extra-curricular activities for the children in the target group; education for parents, etc.). (Guide for Applicants for Objectives 4.1. and 4.2.) 1.1. Support to improve access and participation in early education - pre-preschool education „Sub-activity 1.1. Support to improve access and participation in early education - pre-preschool education under which actions can be funded that aim both at improving access and participation in pre-preschool education, including by ensuring/developing local services and using learning resources for children in pre-preschool education, especially for children belonging to the Roma minority and disabled children; providing information and counselling services for parents; programs on parenting, including accompanying measures and measures to provide financial support, etc.”(Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of children 0-2 y.o. not enrolled in Household % of children 0-2 y.o. not enrolled in nursery Roma/non-Roma nursery / Total number of children 0-2 y.o. questionnaire / D12 Number of children 0-2 y.o. who do not % of children 0-2 y.o. who do not attend nursery Household attend nursery daily / Total number of Roma/non-Roma daily questionnaire / D13 children 0-2 y.o. Number of instances when a specific reason % of each of the reasons why 0-2 year-olds are why the child is not enrolled in nursery is Household Roma/non-Roma not enrolled in nursery mentioned / Number of 0-2 y.o. children not questionnaire / D14 enrolled in nursery Number of instances when a specific reason % of each of the reasons why 0-2 year-olds do why the child does not attend nursery daily is Household Roma/non-Roma not attend nursery daily mentioned / Number of 0-2 y.o. children who questionnaire / D14 do not attend nursery daily 110 This is a translation from Romanian Page 111 of 220 Number of children (0-2 y.o.) suffering from % children (0-2 y.o.) suffering from disability, Household disability, chronic disease or other conditions chronic disease or other conditions that limit Roma/non-Roma questionnaire / D3 and that limit their daily activities / Number of their daily activities D7 children (0-2 y.o.) Number of parents with children (0-2 y.o.) Household % of parents with children (0-2 y.o.) who are who are currently not enrolled in nursery / Roma/non-Roma questionnaire / D3 and currently not enrolled in the nursery Total number of parents with children (0-2 D12 y.o.) Number of parents with children (0-2 y.o.) Household % of parents with children (0-2 y.o.) who who currently do not attend nursery / Total Roma/non-Roma questionnaire / D3 and currently do not attend the nursery number of parents with children (0-2 y.o.) D13 1.2. Support to improve access and participation in early education - preschool education „Sub-activity 1.2. Support to improve access and participation in early education - preschool education under which actions can be funded that aim at improving access and participation in preschool education, including by ensuring/developing and using local services and learning resources for children in preschool education, especially for children belonging to the Roma minority and disabled children; providing information and advice services for parents; programs on parenting, including accompanying measures and measures to provide financial support, etc.”(Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of children 3-6 y.o. not enrolled in % of children 3-6 y.o. not enrolled in Household kindergarten / Total number of children 3-6 Roma/non-Roma kindergarten questionnaire / D12 y.o. Number of children 3-6 y.o. who do not % of children 3-6 y.o. who do not attend Household attend kindergarten daily / Total number of Roma/non-Roma kindergarten daily questionnaire / D13 children 3-6 y.o. Number of instances when a specific reason % of each of the reasons why 3-6 year-olds are why the child is not enrolled in kindergarten Household Roma/non-Roma not enrolled in kindergarten is mentioned / Number of 3-6 y.o. children questionnaire / D14 not enrolled in kindergarten Number of instances when a specific reason why the child does not attend kindergarten % of each of the reasons why 3-6 year-olds do Household daily is mentioned / Number of 3-6 y.o. Roma/non-Roma not attend kindergarten daily questionnaire / D14 children who do not attend kindergarten daily % children (3-6 y.o.) suffering from disability, Number of children (3-6 y.o.) suffering from Roma/non-Roma Household 111 This is a translation from Romanian Page 112 of 220 chronic disease or other conditions that limit disability, chronic disease or other conditions questionnaire / D3 and their daily activities that limit their daily activities / Number of D7 children (3-6 y.o.) Number of parents with children (3-6 y.o.) Household % of parents with children (3-6 y.o.) who are who are currently not enrolled in Roma/non-Roma questionnaire / D3 and currently not enrolled in kindergarten kindergarten / Total number of parents with D12 children (3-6 y.o.) Number of parents with children (3-6 y.o.) Household % of parents with children (3-6 y.o.) who who currently do not attend kindergarten Roma/non-Roma questionnaire / D3 and currently do not attend kindergarten daily daily / Total number of parents with children D13 (3-6 y.o.) 1.3. Support to reduce school dropout through: education priority zone / school after school type programs „Sub-activity 1.3. Support to reduce school dropout through: priority education zone / school after school type programs, under which funding can be provided for actions aimed at reducing school dropout, including through information, advice and mentoring services for the pupils at risk of dropping out, as well as for their parents; programs promoting extra-curricular activities focusing on acquiring key skills; measures aimed at school desegregation; actions that stimulate self-esteem; inter-cultural education; individually tailored support programs and curricular adaptation; developing new learning resources and materials, etc; delivering specific programs that promote basic hygiene rules, developed and adapted for Roma children/youth and for children/young people most affected by poverty and in precarious health and living conditions, etc.” (Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of children 7-11 y.o. who are not % of children 7-11 y.o. who are not enrolled in Household enrolled in elementary school / Total number Roma/non-Roma elementary school questionnaire / D12 of children 7-11 y.o. Number of children 7-11 y.o. who do not % of children 7-11 y.o. who do not attend school Household attend school daily / Total number of children Roma/non-Roma daily questionnaire / D13 7-11 y.o. Number of instances when a specific reason % of each of the reasons why 7-11 year-olds are why the child is not enrolled in elementary Household Roma/non-Roma not enrolled in elementary school school is mentioned / Number of 7-11 y.o. questionnaire / D14 children not enrolled in elementary school Number of instances when a specific reason % of each of the reasons why 7-11 year-olds do why the child does not attend elementary Household Roma/non-Roma not attend elementary school daily school daily is mentioned / Number of 7-11 questionnaire / D14 y.o. children who do not attend elementary 112 This is a translation from Romanian Page 113 of 220 school daily Number of children 12-15 y.o. who are not % of children 12-15 y.o. who are not enrolled in Household enrolled in primary school / Total number of Roma/non-Roma primary school questionnaire / D12 children 12-15 y.o. Number of children 12-15 y.o. who do not % of children 12-15 y.o. who do not attend Household attend school daily / Total number of children Roma/non-Roma school daily questionnaire / D13 12-15 y.o. Number of instances when a specific reason % of each of the reasons why 12-15 year-olds are why the child is not enrolled in primary Household Roma/non-Roma not enrolled in primary school school is mentioned / Number of 12-15 y.o. questionnaire / D14 children not enrolled in primary school Number of instances when a specific reason why the child does not attend primary school % of each of the reasons why 12-15 year-olds do Household daily is mentioned / Number of 12-15 y.o. Roma/non-Roma not attend primary school daily questionnaire / D14 children who do not attend primary school daily Number of children 15-16 y.o. who are not % of children 15-16 y.o. who are not enrolled in I Household enrolled in I stage secondary school / Total Roma/non-Roma stage secondary school questionnaire / D12 number of children 15-16 y.o. Number of children 15-16 y.o. who do not % of children 15-16 y.o. who do not attend I Household attend I stage secondary school daily / Total Roma/non-Roma stage secondary school daily questionnaire / D13 number of children 15-16 y.o. Number of circumstances when a specific reason why the child is not enrolled in I stage % of each of the reasons why 15-16 year-olds are Household secondary school is mentioned / Number of Roma/non-Roma not enrolled in I stage secondary school questionnaire / D14 15-16 y.o. children not enrolled in I stage secondary school Number of circumstances when a specific reason why the child is not enrolled in I stage % of each of the reasons why 15-16 year-olds do Household secondary school is mentioned / Number of Roma/non-Roma not attend I stage secondary school daily questionnaire / D14 15-16 y.o. children who do not attend I stage secondary school daily % of children 15-18 y.o. who are not enrolled in Number of children 15-18 y.o. who are not Household Roma/non-Roma high school enrolled in high school / Total number of questionnaire / D12 113 This is a translation from Romanian Page 114 of 220 children 15-18 y.o. Number of children 15-18 y.o. who do not % of children 15-18 y.o. who do not attend high Household attend high school daily / Total number of Roma/non-Roma school daily questionnaire / D13 children 15-18 y.o. Number of instances when a specific reason % of each of the reasons why 15-18 year-olds are why the child is not enrolled in high school is Household Roma/non-Roma not enrolled in high school mentioned / Number of 15-18 y.o. children questionnaire / D14 not enrolled in high school Number of instances when a specific reason % of each of the reasons why 15-18 year-olds do why the child does not attend high school Household Roma/non-Roma not attend high school daily daily is mentioned / Number of 15-18 y.o. questionnaire / D14 children who do not attend high school daily Number of children 15-18 y.o. who are not % of children 15-18 y.o. who are not enrolled in enrolled in vocational, complementary / Household Roma/non-Roma vocational, complementary / apprentice school apprentice school / Total number of children questionnaire / D12 15-18 y.o. Number of children 15-18 y.o. who do not % of children 15-18 y.o. who do not attend attend vocational, complementary / Household vocational, complementary / apprentice school Roma/non-Roma apprentice school daily / Total number of questionnaire / D13 daily children 15-18 y.o. Number of instances when a specific reason why the child is not enrolled in vocational, % of each of the reasons why 15-18 year-olds are complementary / apprentice school is Household not enrolled in vocational, complementary / Roma/non-Roma mentioned / Number of 15-18 y.o. children questionnaire / D14 apprentice school not enrolled in vocational, complementary / apprentice school Number of instances when a specific reason why the child does not attend vocational, % of each of the reasons why 15-18 year-olds do complementary / apprentice school daily is Household not attend vocational, complementary / Roma/non-Roma mentioned / Number of 15-18 y.o. children questionnaire / D14 apprentice school daily who do not attend vocational, complementary / apprentice school daily % children (7-18 y.o.) suffering from disability, Number of children (7-18 y.o.) suffering from Household Roma/non-Roma chronic disease or other conditions that limit disability, chronic disease or other conditions questionnaire / D3 and 114 This is a translation from Romanian Page 115 of 220 their daily activities that limit their daily activities / Number of D7 children (7-18 y.o.) Number of parents with children (7-11 y.o.) Household % of parents with children (7-11 y.o.) who are who are currently not enrolled in elementary Roma/non-Roma questionnaire / D3 and currently not enrolled in elementary education education / Total number of parents with D12 children (7-11 y.o.) Number of parents with children (7-11 y.o.) Household % of parents with children (7-11 y.o.) who who currently do not attend school daily / Roma/non-Roma questionnaire / D3 and currently do not attend school daily Total number of parents with children (7-11 D13 y.o.) Number of parents with children (12-18 y.o.) % of parents with children (12-18 y.o.) who are Household who currently do not attend any type of currently not enrolled in any type of formal Roma/non-Roma questionnaire / D3 and formal education / Total number of parents education D12 with children (12-18 y.o.) Number of parents with children (12-18 y.o.) Household % of parents with children (12-18 y.o.) who who currently do not attend school daily / Roma/non-Roma questionnaire / D3 and currently do not attend school daily Total number of parents with children (12-18 D13 y.o.) 1.4. "Second chance" type programs „Sub-activity 1.4. Second chance type programs - Support for implementation of integrated programs aimed at youth who have dropped out of school and adults who have not completed compulsory education; advice and parenting programs for the members of families of children and adults outside the educational system; awareness-building actions and campaigns aimed at increasing retention within the initial education system and building understanding regarding the benefits that education brings about in relation to employment opportunities; delivery of "Second Chance" type programs; other actions aimed at increasing the number of people coming back into the education and training system.” (Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of children (10-14 y.o.) who currently Household % of children (10-14 y.o.) who are currently not do not attend any type of formal education / Roma/non-Roma questionnaire / D3 and enrolled in any type of formal education Total number of children (10-14 y.o.) D12 Number of parents with children (10-14 y.o.) % of parents with children (10-14 y.o.) who are Household who currently do not attend any type of currently not enrolled in any type of formal Roma/non-Roma questionnaire / D3 and formal education / Total number of parents education D12 with children (10-14 y.o.) % of children (15-17 y.o.) who are currently not Number of children (15-17 y.o.) who currently Roma/non-Roma Household 115 This is a translation from Romanian Page 116 of 220 enrolled in any type of formal education do not attend any type of formal education / questionnaire / D3 and Total number of children (15-17 y.o.) D12 Number of parents with children (15-17 y.o.) % of parents with children (15-17 y.o.) who are Household who currently do not attend any type of currently not enrolled in any type of formal Roma/non-Roma questionnaire / D3 and formal education / Total number of parents education D12 with children (15-17 y.o.) Number of adults (18+ y.o.) who did not Household % adults (18+ y.o.) who did not graduate at lest I graduate at least I stage secondary school / Roma/non-Roma questionnaire / D3 and stage secondary school Total number of adults (18+ y.o.) D12 Interventions in the field of employment Supporting access and/or continuity on the labour market „For activity 2, depending on the results of the evaluation conducted in the community and on the employment needs of people in the target group – people (unemployed, idle) from the excluded community at risk of poverty and social exclusion , - the proposed projects might include the following sub-activities:  Sub-activity 2.1 Participating in apprentice-at-work programs (including through financial support granted to employers)  „Sub-activity 2.2. Participating in internship programs for higher education graduates (including through financial support granted to employers)  „Sub-activity 2.3. Measures to support job finding (for instance career information and advice; placement on the labour market; vocational training; subsidies to employers for employing people belonging to these categories; evaluation of the skills acquired in non-formal and informal systems, etc.)”(Guide for Applicants for Objectives 4.1. and 4.2.) 2.1 Participation in apprentice-at-work programs „Apprenticeship is vocational training deployed at work, under an apprenticeship contract, and it is organised according to the provisions of Law no. 279/2005 on apprenticeship at work, as reissued. Apprenticeship at work is arranged for the qualifications stipulated in the valid legislation and for the occupations included in the Classification of Occupations in Romania, for which there are vocational training standards, respectively occupational standards in place. Apprenticeship lasts between 1 to 3 years, depending on the level of qualification required by the occupation for which the scheme is arranged. Employers who wish to arrange apprenticeship activities at work according to the fields of activity have the obligation to report to the Employment Agency at county/local level (AJOFM/AMOFM), regarding the vacancies for which such activities are arranged. For the vocational training of the apprentice, the employer has the obligation to comply with the provisions of Government Ordinance no. 129/2000 on vocational training for adults, as subsequently amended and complemented, and the training activity shall result in qualification certificates that are recognised at national level. The evaluation and certification of apprentice-at-work vocational training takes place as per the legal provisions in force in the field of vocational training. 116 This is a translation from Romanian Page 117 of 220 In case the apprenticeship contract ends before graduation of the apprenticeship training84, the employer has the obligation to pay back the full amount of the financial incentives received for carrying out the apprenticeship contract.” (Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of people 14+ y.o. looking for a job / Household % people 14+ y.o. looking for a job Roma/non-Roma Total number of people 14+ y.o. questionnaire / D10 Number of people 14+ y.o. with no Household % people 14+ y.o. with no qualification qualification / Total number of people 14+ Roma/non-Roma questionnaire / D15 y.o. % people 14+ y.o. who state that they have Number of people 14+ y.o. who have a Household acquired a certain formal qualification (for each certain qualification / Total number of people Roma/non-Roma questionnaire / D16 qualification) 14+ y.o. Number of people 14+ y.o. stating that they % people 14+ y.o. stating that they have no skills Household have no skills for any trade / Total number of Roma/non-Roma for any trade questionnaire / D17 people 14+ y.o. Number of people 14+ y.o. stating that they % people 14+ y.o. stating that they are familiar Household are familiar with certain trades / crafts / Total Roma/non-Roma with certain trades / crafts (for each trade / craft) questionnaire / D17 number of people 14+ y.o. % people 14+ y.o. who currently have a job, Household % people 14+ y.o. who currently have a job, but but not under a written contract / Total Roma/non-Roma questionnaire / D8 and not under a written contract number of people 14+ y.o. D9 2.2. Participating in internship programs for higher education graduates (including through financial support granted to employers) „Internships for higher education graduates are arranged by the employer on the grounds of an internship contract signed between the employer and the intern, for a duration of 6 months, an appendix to the individual labour contract, as per the provisions of Law no. 335/2013 on carrying out internships for higher education graduates, as subsequently amended and complemented. The internship takes place according to a schedule of activities approved by the employer, proposed by the head of the department where the intern works. At the end of the internship, the employer has the obligation to assess the intern's attainments and issue the certificate / record stating the period when the intern has worked under the internship contract; the qualification, and the practical skills acquired. The certificate is proof of experience and length acquired in service or speciality, as case may be. In case the internship contract ends prior to the date stipulated in the contract 85, the employer has the obligation to pay back the full amount of the financial incentives received for carrying out the internship contract." (Guide for Applicants for Objectives 4.1. and 4.2.). 84 As per art. 18 of Law no. 279/2005 regarding apprenticeship at work, reissued 117 This is a translation from Romanian Page 118 of 220 Name of indicator Definition Breakdown level Instrument/variables Number of higher education graduates who Household % higher education graduates who are currently are currently not employed / Total number of Roma/non-Roma questionnaire / D8 and not employed higher education graduates D11 Number of higher education graduates who Household % higher education graduates who are currently are currently looking for a job / Total number Roma/non-Roma questionnaire / D10 looking for a job of higher education graduates and D11 % higher education graduates with low % higher education graduates with low Household employment within the past 12 months employment within the past 12 months (worked Roma/non-Roma questionnaire / DX and (worked for less than 6 months) / Total for less than 6 months) D11 number of higher education graduates % higher education graduates who currently Household % higher education graduates who currently have a job, but not under a written contract / Roma/non-Roma questionnaire / D8, D9 have a job, but not under a written contract Total number of higher education graduates and D11 2.3. Measures to support job finding "(for instance career information and advice; placement on the labour market; vocational training; subsidies to employers for employing people belonging to this category; assessment of the skills acquired in non-formal and informal systems, etc.) Vocational training must be delivered by vocational training providers authorised according to the provisions of Government Ordinance no. 129/2000 regarding vocational training for adults, as subsequently amended and complemented, and shall result in qualification or graduation certificates recognised at national level. Vocational training should be arranged through initiation, skilling, re-skilling, improvement, specialisation training programs. The employers can arrange vocational training programs themselves only if they are authorised as vocational training providers under Government Ordinance no. 129/2000 regarding vocational training for adults, as subsequently amended and complemented. According to appendix 2 of Government Decision no. 918/2013 regarding the National Framework of Qualifications, as subsequently amended and complemented, people who have graduated elementary education (4 grades) may attend initiation training programs, as defined in Government Ordinance no. 129/2000, as subsequently amended and complemented regarding vocational training for adults, organised by authorised vocational training providers, which result in graduation certificates recognised at national level. Employers who enjoy such subsidies have the obligation to keep the newly-created job staffed for 6 more months after the end of the period that they received the subsidies for (according to the legal provisions in force). 85 As per art 331 of Law no. 335/2013 on carrying out internship for higher education graduates, as subsequently amended and complemented 118 This is a translation from Romanian Page 119 of 220 Temporary staff contracting activities carried out by legal entities on the grounds of a temporary worker authorisation do not fall under the scope of specialised employment-stimulating services.” (Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of people 14+ y.o. looking for a job / Household % people 14+ y.o. looking for a job Roma/non-Roma Total number of people 14+ y.o. questionnaire / D10 Number of people 14+ y.o. with no Household % people 14+ y.o. with no qualification qualification / Total number of people 14+ Roma/non-Roma questionnaire / D15 y.o. % people 14+ y.o. who state that they have Number of people 14+ y.o. who have Household acquired a certain formal qualification (for each acquired a certain qualification / Total Roma/non-Roma questionnaire / D16 qualification) number of people 14+ y.o. Number of people 14+ y.o. stating that they % people 14+ y.o. stating that they have no skills Household have no skills for any trade / Total number of Roma/non-Roma for any trade questionnaire / D17 people 14+ y.o. Number of people 14+ y.o. stating that they % people 14+ y.o. stating that they are familiar Household are familiar with certain trades / crafts / Total Roma/non-Roma with certain trades / crafts (for each trade / craft) questionnaire / D17 number of people 14+ y.o. % people 14+ y.o. who currently have a job, Household % people 14+ y.o. who currently have a job, but but not under a written contract / Total Roma/non-Roma questionnaire / D8 and not under a written contract number of people 14+ y.o. D9 Supporting entrepreneurship within the community, including independent employment 3.1. Support for people in the target group „Sub-activity 3.1. Support for people in the target group (people at risk of poverty and social exclusion) to set up businesses, in the form of customized support services, for instance counselling / consulting / mentoring / entrepreneurial training; assistance in developing a business plan, etc; analysing and selecting viable business plans; support in establishing the company, etc. The business plans will be submitted to a selection committee for approval, based on a set of criteria established by the beneficiary of the grant, within a transparent, non-discriminatory process. The committee that will select the business ideas will have to include an odd number of members, recommended to include representatives of: o The business environment; o The employment organisations in the project's field of implementation." (Guide for Applicants for Objectives 4.1. and 4.2.). 119 This is a translation from Romanian Page 120 of 220 Name of indicator Definition Breakdown level Instrument/variables Number of people 14+ y.o. who currently % people 14+ y.o. who currently own businesses Household own businesses or work on their own / Total Roma/non-Roma or work on their own questionnaire / D18 number of people 14+ y.o. Number of people 14+ y.o. who are qualified Household % people 14+ y.o. who are qualified Roma/non-Roma / Total number of people 14+ y.o. questionnaire / D15 % people 14+ y.o. who state that they have Number of people 14+ y.o. who have Household acquired a certain formal qualification (for each acquired a certain qualification / Total Roma/non-Roma questionnaire / D16 qualification) number of people 14+ y.o. Number of people 14+ y.o. stating that they % people 14+ y.o. stating that they are familiar Household are familiar with at least one trade / Total Roma/non-Roma with at least one trade questionnaire / D17 number of people 14+ y.o. Number of people 14+ y.o. stating that they % people 14+ y.o. stating that they are familiar Household are familiar with certain trades / crafts / Total Roma/non-Roma with certain trades / crafts (for each trade / craft) questionnaire / D17 number of people 14+ y.o. 3.2. Granting of subsidies (micro-grants) for setting up new businesses „Sub-activity 3.2. Granting of subsidies (micro-grants) for setting up new businesses, including support after the business is set up. The subsidy (micro-grant) will be conditioned by the creation of the business (the costs pertaining to setting up the company will be covered under the project – Sub-activity 3.1.). The maximum subsidy for an approved business plan is 25.000 Euro/ business plan / company. For the subsidy granted, the business supported must hire at least 1 person. The businesses established must operate for at least 12 months during the project implementation period, and ensure a sustainability period of at least 6 months. The sustainability period implies that the business continues to operate, including that it must maintain the job staffed, and can be accounted during the project implementation period or after the implementation is completed." (Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of people 14+ y.o. who currently % people 14+ y.o. who currently own businesses Household own businesses or work on their own / Total Roma/non-Roma or work on their own questionnaire / D18 number of people 14+ y.o. Number of people 14+ y.o. who are qualified Household % people 14+ y.o. who are qualified Roma/non-Roma / Total number of people 14+ y.o. questionnaire / D15 % people 14+ y.o. who state that they have Number of people 14+ y.o. who have Household acquired a certain formal qualification (for each acquired a certain qualification / Total Roma/non-Roma questionnaire / D16 qualification) number of people 14+ y.o. % people 14+ y.o. stating that they are familiar Number of people 14+ y.o. stating that they Roma/non-Roma Household 120 This is a translation from Romanian Page 121 of 220 with at least one trade are familiar with at least one trade / Total questionnaire / D17 number of people 14+ y.o. Number of people 14+ y.o. stating that they % people 14+ y.o. stating that they are familiar Household are familiar with certain trades / crafts / Total Roma/non-Roma with certain trades / crafts (for each trade / craft) questionnaire / D17 number of people 14+ y.o. Interventions in the field of service development/delivery (social/medical/medical-social services) „Activity 4. Support development/delivery of social services/services, including within the integrated community centres (medical-social). What is envisaged here is delivery of integrated services for children, youth, adults/parents, etc. (for instance active employment measures; vocational training; education; social-professional insertion measures; services - social/medical, /medical-social, psychological counselling, etc.) preferably through the integrated community centres / one-stop-shops /by involving specialists from the territorial network of the Public Employment Service or the public social services network, collaborating under protocols with the territorial network of the Public Employment Service; Innovative approaches in providing such services will be favoured, such as:  social services to be delivered by promoting use of community-sourced labour (including through apprenticeship schemes);  services to be delivered by mobile multi-functional teams;  experimenting with new types of contract-based relationships between local authorities and/or private social service providers and community-based partners;  bundled social services meant to prevent separation of children from families;  bundled medical-social services/ bundled community medical services for people at risk of poverty and social exclusion, including Roma population, carried out by the community nurse, the health mediator and the social worker, with a view to lowering child mortality rates; preventing under-age pregnancy; increasing the number of people from communities with Roma population who are enrolled with a family doctor and/ or benefiting from various healthcare programs (TB, diabetes, cardiovascular disease, infectious disease, etc.); prevention and/or monitoring of autism incidence; mental health issues in children and adults; diminishing maternal mortality rates; increasing the number of beneficiaries of reproductive health / family planning services and programs. NB The grant will be conditioned by the partnership taking responsibility for ensuring sustainability of the services developed (social/ medical/ medical-social) etc. after completion of the ESF support"(Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables % people suffering from chronic disability or % people suffering from chronic disability or Household other conditions that limit their daily activities Roma/non-Roma other conditions that limit their daily activities questionnaire / D7 / Total number of people Number of people not enrolled with a family Household % people not enrolled with a family doctor Roma/non-Roma doctor / Total number of people questionnaire / D18 Number of women not enrolled with a family Household % women not enrolled with a family doctor Roma/non-Roma doctor / Total number of people questionnaire / D18 % young women (19-30 y.o.) not enrolled with a Number of young women (19-30 y.o.) who Roma/non-Roma Household 121 This is a translation from Romanian Page 122 of 220 family doctor are not enrolled with a family doctor / Total questionnaire / D18 number of young women (19-30 y.o.) Number of children 0-1 y.o. who are not % children 0-1 y.o. not enrolled with a family Household enrolled with a family doctor / Total number Roma/non-Roma doctor questionnaire / D18 of children 0-1 y.o. Number of children 2-6 y.o. who are not % children 2-6 y.o. not enrolled with a family Household enrolled with a family doctor / Total number Roma/non-Roma doctor questionnaire / D18 of children 2-6 y.o. Number of children 7-18 y.o. who are not % children 7-18 y.o. not enrolled with a family Household enrolled with a family doctor / Total number Roma/non-Roma doctor questionnaire / D18 of children 7-18 y.o. Number of people not seen by the family % people not seen by the family doctor / any Household doctor / any other doctor within the past 12 Roma/non-Roma other doctor within the past 12 months questionnaire / D18 months / Total number of people Number of women not seen by the family % women not seen by the family doctor / any Household doctor / any other doctor within the past 12 Roma/non-Roma other doctor within the past 12 months questionnaire / D18 months / Total number of women Number of young women (19-30 y.o.) not % young women (19-30 y.o.) not seen by the seen by the family doctor / any other doctor Household family doctor / any other doctor within the past Roma/non-Roma within the past 12 months / Total number of questionnaire / D18 12 months young women (19-30 y.o.) Number of children 0-1 y.o. not seen by the % children 0-1 y.o. not seen by the family doctor family doctor / any other doctor within the Household Roma/non-Roma / any other doctor within the past month past month / Total number of children 0-1 questionnaire / D18 y.o. Number of children 2-6 y.o. not seen by the % children 2-6 y.o. not seen by the family doctor family doctor / any other doctor within the Household Roma/non-Roma / any other doctor within the past 6 months past month / Total number of children 2-6 questionnaire / D18 y.o. Number of children 7-18 y.o. not seen by the % children 7-18 y.o. not seen by the family family doctor / any other doctor within the Household doctor / any other doctor within the past 12 Roma/non-Roma past 12 months / Total number of children 7- questionnaire / D18 months 18 y.o. % people suffering from TB Number of people suffering from TB / Total Roma/non-Roma Household 122 This is a translation from Romanian Page 123 of 220 number of people questionnaire / D19 Number of people suffering from diabetes / Household % of people suffering from diabetes Roma/non-Roma Total number of people questionnaire / D19 Number of people suffering from % of people suffering from cardiovascular Household cardiovascular disease / Total number of Roma/non-Roma disease questionnaire / D19 people Number of people suffering from infectious Household % of people suffering from infectious disease Roma/non-Roma disease / Total number of people questionnaire / D19 Number of people suffering from mental Household % of people suffering from mental health issues Roma/non-Roma health issues / Total number of people questionnaire / D19 Number of women married traditionally / Household % of women married traditionally Roma/non-Roma Total number of women questionnaire / D21 Number of women divorced / Total number Household % of women divorced Roma/non-Roma of women questionnaire / D21 Number of women separated / Total number Household % of women separated Roma/non-Roma of women questionnaire / D21 Number of women in co-habitation / Total Household % women in co-habitation Roma/non-Roma number of women questionnaire / D21 Number of women who got married / into % of women who got married / into co- Household co-habitation at 30-39 y.o. / Total number of Roma/non-Roma habitation at 30-39 y.o. questionnaire / D23 women 30-39 y.o. Number of women who got married / into % of women who got married / into co- Household co-habitation at 25-29 y.o. / Total number of Roma/non-Roma habitation at 25-29 y.o. questionnaire / D23 women 25-29 y.o. Number of women who got married / into % of women who got married / into co- Household co-habitation at 18-24 y.o. / Total number of Roma/non-Roma habitation at 18-24 y.o. questionnaire / D23 women 18-24 y.o. Number of women who got married / into % of women who got married / into co- Household co-habitation at 14-17 y.o. / Total number of Roma/non-Roma habitation at 14-17 y.o. questionnaire / D23 women 14-17 y.o. Number of women who have / had children / Household % of women who have / had children Roma/non-Roma Total number of women questionnaire / D23 Number of women 30-39 y.o. who have / had Household % of women 30-39 y.o. who have / had children Roma/non-Roma children / Total number of women 30-39 y.o. questionnaire / D23 123 This is a translation from Romanian Page 124 of 220 Number of women 25-29 y.o. who have / had Household % of women 25-29 y.o. who have / had children Roma/non-Roma children / Total number of women 25-29 y.o. questionnaire / D23 Number of women 18-24 y.o. who have / had Household % of women 18-24 y.o. who have / had children Roma/non-Roma children / Total number of women 18-24 y.o. questionnaire / D23 Number of women 14-17 y.o. who have / had Household % of women 14-17 y.o. who have / had children Roma/non-Roma children / Total number of women 14-17 y.o. questionnaire / D23 Number of households that include % households that include exclusively old people Household exclusively old people (60+ y.o.) / Total Roma/non-Roma (60+ y.o.) questionnaire / D3 number of households Interventions to improve housing conditions „Activity 5. Activities to improve housing conditions for people in the target group (for instance repair works; structural consolidation works; thermal insulation and heating; room extensions; improving hygiene of the housing space and connected venues; connections to utility supply networks - city gas; water; electricity, etc.) in order to reduce the dangers that precarious housing conditions raise to the safety of the families, and to facilitate health improvement and increased learning and employment capacity in people from the target group." (Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of households living in homes made % of households living in homes made of Household of improper materials (half-timber, clay and Roma/non-Roma improper materials (half-timber, clay and straws) questionnaire / L1 straws) / Total number of households Number of households with no connection to % of households not connected to the electric Household the electric power grid / Total number of Roma/non-Roma power grid questionnaire / L2 households Number of households living in homes with % of households living in homes with no or Household no or inadequate heating sources / Total Roma/non-Roma inadequate heating sources questionnaire / L3 number of households Number of households living in homes with % of households living in homes with no source Household no source of water inside / Total number of Roma/non-Roma of water inside questionnaire / L5 households Number of households living in homes with % of households living in homes with no Household no bathroom inside / Total number of Roma/non-Roma bathroom inside questionnaire / L7 households 124 This is a translation from Romanian Page 125 of 220 Number of households living in one-room Household % of households living in one-room homes Roma/non-Roma homes / Total number of households questionnaire / L8 Number of households with 3+ members % of households with 3+ members living in one- Household living in one-room homes / Total number of Roma/non-Roma room homes questionnaire / L8 households Number of households living in homes with % of households living in homes with less than Household less than 15.3 m2 useful living surface per Roma/non-Roma 15.3 m2 useful living surface per member questionnaire / L9 member / Total number of households Interventions in the field of legal assistance with papers „Activity 6. Legal assistance activities with papers (if applicable). This activity will include support in delivering legal assistance with ID papers, property ownership documents, marital documents, papers for acquiring rights to social entitlements (social benefits / social services).” (Guide for Applicants, page XXX) Name of indicator Definition Breakdown level Instrument/variables Number of people with no birth certificates / Household % of people with no birth certificates Roma/non-Roma Total number of people questionnaire / D4 Number of people with no ID card / Total Household % of people with no ID card Roma/non-Roma number of people questionnaire / D4 Number of households with no home % of households with no ownership documents Household ownership documents / Total number of Roma/non-Roma for their home questionnaire / L10 households Interventions to combat discrimination and promote cultural plurality „Activity 7. Information and awareness-building campaigns / specific actions in the field of combating discrimination, and active involvement and volunteering activities for community members in solving the challenges that the community faces / Facilitation and mediation in identifying and strengthening partnerships to solve the challenges that the community faces through a participative approach. Information campaigns are encouraged in the case of segregated communities or segregated services (such as educational services), aiming at preparing the process of desegregation and integration of the excluded group within the society (especially those aiming at school desegregation and housing) ” (Guide for Applicants for Objectives 4.1. and 4.2.). Name of indicator Definition Breakdown level Instrument/variables Number of persons stating that they talk to Household % persons stating that they talk to other parents other parents / Total number of people with Roma/non-Roma questionnaire / DM1 children in kindergarten / school 125 This is a translation from Romanian Page 126 of 220 Number of persons stating that they enjoy % of people stating that they enjoy attending attending parent-teacher meetings / Total Household Roma/non-Roma parent-teacher meetings number of people with children in questionnaire / DM2 kindergarten / school Number of persons stating that they are % of people stating that they are comfortable comfortable talking to the children's Household talking to the children's kindergarten / school kindergarten / school teachers / Total Roma/non-Roma questionnaire / DM3 teachers number of people with children in kindergarten / school Number of people stating that they are % of people stating that they are comfortable Household comfortable talking to representatives of the Roma/non-Roma talking to representatives of the town hall questionnaire / DM4 town hall / Total number of respondents Number of people stating that they felt % of people stating that they felt discriminated in Household discriminated in the past year / Total number Roma/non-Roma the past year questionnaire / DM6 of respondents Number of people stating that they have a % of people stating that they have a (very) good (very) good relationship with Romanian / Household relationship with Romanian / Roma / Hungarian Roma / Hungarian neighbours / Total number Roma/non-Roma questionnaire / DM7 neighbours of respondents who have Romanian / Roma / Hungarian neighbours % of people stating that they have a (very) % of people stating that they have a (very) good good relationship with other Romanian / Household relationship with other Romanian / Roma / Roma/non-Roma Roma / Hungarian inhabitants / Total number questionnaire / DM7 Hungarian inhabitants of respondents Number of people stating that they talk to % of people stating that they talk to their their Romanian / Roma / Hungarian Household Romanian / Roma / Hungarian neighbours on a neighbours on a daily basis / Total number of Roma/non-Roma questionnaire / DM8 daily basis respondents who have Romanian / Roma / Hungarian neighbours % of people stating that they talk to other % of people stating that they talk to other Household Romanian / Roma / Hungarian inhabitants on a Romanian / Roma / Hungarian inhabitants on Roma/non-Roma questionnaire / DM8 weekly basis a weekly basis / Total number of respondents % of people stating that they help each other Number of people stating that they help each Household Roma/non-Roma with Romanian / Roma / Hungarian neighbours other with their Romanian / Roma / questionnaire / DM9 126 This is a translation from Romanian Page 127 of 220 on a weekly basis Hungarian neighbours on a weekly basis / Total number of respondents who have Romanian / Roma / Hungarian neighbours Number of people stating that they help each % of people stating that they help each other other with other Romanian / Roma / Household with other Romanian / Roma / Hungarian Roma/non-Roma Hungarian inhabitants on a weekly basis / questionnaire / DM9 inhabitants on a weekly basis Total number of respondents 127 This is a translation from Romanian Page 128 of 220 Annex 6: Minimal Questionnaire for Rural Households The minimal questionnaire only includes the items needed for (i) validating the excluded community according to Table 1, (ii) filling in the individual/household information in the Minimal Chart, and (iii) identifying the target group. Minimal questionnaire for rural households Good morning / day / evening! My name is [...] and I represent [XXX]. [XXX] together with the Town Hall are carrying out a survey regarding the needs of the families in [NAME OF THE PLACE]. I would like to talk to a person who would be in best position to provide information about this household. Your name will not be mentioned in any report. The discussion will not take longer than 5 minutes. I1.County: _________________________ I2. Commune: _______________________________ I3. Village: _____________________________________ I4. Name of excluded community (informal name of the community / name as used by the locals): ______________________________________________ I5. Household address (street and number): ______________________________________________________________________________________________ I6. Any other specific information that could help in identifying the household: ______________________________________________________________ ________________________________________________________________________________________________________________________________ Visits V1. Visit 1 V2. Visit 2 V3. Visit 3 V4. Visit 4 Visit result codes: 1. Day / Month …..../…... …..../…... …..../…... …..../…... 1. Non-contact (nobody home / doesn't open the door / other) 2. Hour / 2. Refuse 3. Meeting agreed 4. Questionnaire filled in partially .….h…..min .….h…..min .….h…..min .….h…..min Minutes 3. Result …… …… …… …… 5. Questionnaire completed 6. Other ___________________________ The questionnaire applies to all households (in case there are more than one) living in the home selected! SU. What is the total useful surface of this home? ………………… GO. How many households are there living in this home?………………… 128 This is a translation from Romanian Page 129 of 220 Further on, I will ask you some questions about each individual household. Let's start with the Hh. 1 Hh. 2 Hh. 3 Total first household. 1. How many people are there in the [first / 2-nd / 3-rd] household? 1.1. Out of all the people in this household, how many suffer from disability, chronic disease or any other conditions that limit their daily activities? 1.2. Out of all the people in this household, how many have turned 17 years of age at most? 1.3. Out of all the people in this household, how many have turned 13 years of age at most? 1.4. Out of all the people in this household, how many have turned 7 years of age at most? 1.5. Out of all the people in this household, how many are aged between 15 and 64? 1.5.1. Out of people aged 15-64, how many have graduated at least 8 school grades (secondary school)? 1.5.2. Out of people aged 15-64, how many are not employed formally (that is, do not fall in one of the following categories: employed under a labour contract; official independent worker, with or without employees; business owner or administrator; PFA (authorised freelancer), AF (family association), individual company; freelancer), neither are attending any form of education? 1.6. Out of all the people in this household, how many are Roma? 2. Does this household have any ownership papers for the home? 1. Yes 2. No 3. Is this household connected to the electricity grid? 1. Yes 2. No 4. Is there running water in this household (from a tap, inside the home)?1. Yes 2. No 5. What is the language used most frequently in this household? 1. Romanian 2. Romani 3. Hungarian 4. German 5. Other 6. Within the past 12 months, did it happen to you to miss the due date for the following expenses because of financial difficulties experienced? 1. YES, once 2. YES, several times 3. NO Hh. 1 Hh. 2 Hh. 3 Total 4. Not applicable a. rent 129 This is a translation from Romanian Page 130 of 220 b. utility bills (water, city gas, heating, etc.) c. electricity d. mortgage on the main home e. phone subscription f. other expenses 7. Can your household afford the following expenses, to the extent it would so desire? 1. Yes 2. No a. adequate heating of the home b. paying for a week of vacation away from home c. eating at least one meal with meat or fish once in two days 8. Which of the following goods does your household use? 1. Yes 2. NO, because I don't want it 3. NO, other reason a. color tv b. washing machine c. car d. telephone (landline or mobile) 9. Could your household cover a contingent expense of 450 lei out of its own resources, without asking for financial support from other people, households or institutions? 1. Yes 2. No 10. In your household, do you buy all the food that you eat, or do you produce/receive part of it? IF PRODUCED/RECEIVED FOOD: If you had to buy the food that you produce in the house or receive, how much should you pay for it in a normal month? (RON) 11. I would like to ask you about the incomes that any of the members in your household (RON) (RON) (RON) (RON acquire, irrespective of the source. last month, has anyone in your household received [ …]? ) IFYES: What was the net amount you received? [IF A CERTAIN TYPE OF INCOME WAS NOT RECEIVED, INSERT 0] 130 This is a translation from Romanian Page 131 of 220 a. Any type of pension (social; age-based; invalidity; early retirement; survivor benefits, etc.) b. Child allowance c. Minimum income guaranteed d. Other type of social assistance allowances e. Salaries, occasional work f. Other income INTERVIEWER, thank you for your work! Please read the sentence below and then sign. I hereby state that the respondent was selected and the questionnaire applied according to the instructions received. Interviewer name: ……………………………………………….………………… Signature: …………………………………………………… Date: …………………………. 131 This is a translation from Romanian Page 132 of 220 Annex 7: Minimal Questionnaire for Urban Households The minimal questionnaire only includes the items needed for (i) validating the excluded community according to Table 1, (ii) filling in the individual/household information in the Minimal Chart, and (iii) identifying the target group. Minimal questionnaire for urban households Good morning / day / evening! My name is [...] and I represent [XXX]. [XXX] together with the Town Hall are carrying out a survey regarding the needs of the families in [NAME OF THE PLACE]. I would like to talk to a person who would be in best position to provide information about this household. Your name will not be mentioned in any report. The discussion will not take longer than 5 minutes. I1.County: _________________________ I2. City: _______________________________ I3. Neighbourhood: ____________________________________ I4. Name of excluded community (informal name of the community / name as used by the locals): ______________________________________________ I5. Household address (street and number): ______________________________________________________________________________________________ I6. Any other specific information that could help in identifying the household: ______________________________________________________________ ________________________________________________________________________________________________________________________________ Visits V1. Visit 1 V2. Visit 2 V3. Visit 3 V4. Visit 4 Visit result codes: 1. Day / Month …..../…... …..../…... …..../…... …..../…... 1. Non-contact (nobody home / doesn't open the door / other) 2. Hour / 2. Refuse 3. Meeting agreed 4. Questionnaire filled in partially .….h…..min .….h…..min .….h…..min .….h…..min Minutes 3. Result …… …… …… …… 5. Questionnaire completed 6. Other ___________________________ The questionnaire applies to all households (in case there are more than one) living in the home selected! SU. What is the total useful surface of this home? ………………… GO. How many households are there living in this home?………………… 132 This is a translation from Romanian Page 133 of 220 Further on, I will ask you some questions about each individual household. Let's start with the first Hh. 1 Hh. 2 Hh. 3 Total household. 1. How many people are there in the [first / 2-nd / 3-rd] household? 1.1. Out of all the people in this household, how many suffer from disability, chronic disease or any other conditions that limit their daily activities? 1.2. Out of all the people in this household, how many have turned 17 years of age at most? 1.3. Out of all the people in this household, how many have turned 13 years of age at most? 1.4. Out of all the people in this household, how many have turned 7 years of age at most? 1.5. Out of all the people in this household, how many are aged between 15 and 64? 1.5.1. Out of people aged 15-64, how many have graduated at least 8 school grades (primary school)? 1.1.2. Out of people aged 15-64, how many are not employed formally (that is, do not fall in one of the following categories: employed under a labour contract; official independent worker, with or without employees; business owner or administrator; PFA (authorised freelancer), AF (family association), individual company; freelancer), neither are attending any form of education? 1.6. Out of all the people in this household, how many are Roma? 2. Does this household have any ownership papers for the home? 1. Yes 2. No 3. Is this household connected to the electricity grid? 1. Yes 2. No 4. Is there running water in this household (from the tap, inside the house)? 1. Yes 2. No 5. What is the language used most frequently in this household? 1. Romanian 2. Romani 3. Hungarian 4. German 5. Other 6. Within the past 12 months, did it happen to you to miss the due date for the following expenses Hh. 1 Hh. 2 Hh. 3 Total because of financial difficulties experienced? 1. YES, once 2. YES, several times 3. NO 4. Not applicable a. Rent b. utility bills (water, city gas, heating, etc.) c. electricity 133 This is a translation from Romanian Page 134 of 220 d. mortgage on the main home e. phone subscription f. other expenses 7. Can your household afford the following expenses, to the extent it would so desire? 1. Yes 2. No a. adequate heating of the home b. paying for a week of vacation away from home c. eating at least one meal with meat or fish once in two days 8. Which of the following goods does your household use? 1. Yes 2. NO, because I don't want it 3. NO, other reason a. color tv b. washing machine c. car d. telephone (landline or mobile) 9. Could your household cover a contingent expense of 450 lei out of its own resources, without asking for financial support from other people, households or institutions? 1. Yes 2. No 10. In your household, do you buy all the food that you eat, or do you produce/receive part of it? IF PRODUCED/RECEIVED FOOD: If you had to buy the food that you produce in the house or receive, how much should you pay for it in a normal month? (RON) 11. I would like to ask you about the incomes that any of the members in your household acquire, (RON) (RON) (RON) (RON) irrespective of the source. last month, has anyone in your household received [ …]? IFYES: What was the amount received “in your hand”? [IF A CERTAIN TYPE OF INCOME WAS NOT RECEIVED, INSERT 0] a. Any type of pension (social; age-based; invalidity; early retirement; survivor benefits, etc.) b. Child allowance c. Minimum income guaranteed 134 This is a translation from Romanian Page 135 of 220 d. Other type of social assistance allowances e. Salaries, occasional work f. Other income INTERVIEWER, thank you for your work! Please read the sentence below and then sign. I hereby state that the respondent was selected and the questionnaire applied according to the instructions received. Interviewer name: ……………………………………………….………………… Signature: …………………………………………………… Date: …………………………. 135 This is a translation from Romanian Page 136 of 220 Annex 8: Extended Questionnaire for Households The extended questionnaire includes the items needed for (i) validating the excluded community according to Table 1, (ii) filling in the individual/household information in the Minimal Chart, (iii) identifying the target group, and (iv) identifying the activities needed within the project. Household questionnaire Good morning / day / evening! My name is [...] and I represent [XXX]. [XXX] together with the Town Hall are carrying out a survey regarding the needs of the families in [NAME OF THE PLACE]. I would like to talk to a person who would be in best position to provide information about this household. Your name will not be mentioned in any report. The discussion will not take longer than 10 minutes. I1.County: _________________________ I2. Commune: _______________________________ I3. Village: _____________________________________ I4. Name of excluded community (informal name of the community / name as used by the locals): ______________________________________________ I5. Household address (street and number): ______________________________________________________________________________________________ I6. Any other specific information that could help in identifying the household: ______________________________________________________________ Visits V1. Visit 1 V2. Visit 2 V3. Visit 3 V4. Visit 4 Visit result codes: 1. Day / Month …..../…... …..../…... …..../…... …..../…... 1. Non-contact (nobody home / doesn't open the door / other) 2. Hour / Minutes .….h…..min .….h…..min .….h…..min .….h…..min 2. Refuse 3. Meeting agreed 4. Questionnaire filled in partially 3. Result …… …… …… …… 5. Questionnaire completed 6. Other ___________________________ INTERVIEWER, thank you for your work! Please read the sentence below and then sign. I hereby state that the respondent was selected and the questionnaire applied according to the instructions received. Interviewer name: ……………………………………………….………………… Signature: …………………………………………………… Date: …………………………. START FILLING IN QUESTIONNAIRE! D0. For the beginning, please tell me the first name of the people who belong to this household. Please, start with the head of the household, then the other adults, and the children in the end. So, in total, there are... [FILL IN THE NUMBER OF PEOPLE] people in your household. 136 This is a translation from Romanian Page 137 of 220 Demographics [fill in for each member of the household; the head of the household, as mentioned by the respondent should be on the first row; if DK/NA insert 99] ID D0. Name D1. D2. D3. Age D4. Does D5. D6. What is D7. [name] suffers D8. Last IF 1-7 at D8: IF 18-59 y.o.: Type Gen [full he/she Ethnic the from any disability, month, what D9. Is the work that [name] DX. How of der years] have an group language chronic disease or was [name]'s carries out performed under many of the pers. ID card / he/she other conditions main activity? a written (labour) contract, past 12 birth speaks and that limit his/her [read the list] or is there a verbal months did certificate understand daily activities? agreement? [name] ? s best? work*? 1=certificat e 1=M 1=written contract Name Code Years 2=id card Code Code 1=YES 2=NO Code 0.-12. 2=F 2=verbal agreement 3=both 4=none 1 2 3 4 5 6 7 8 9 10 11 12 * employed, business owner, independent worker, member of farming association or other type (code 1-7 at D8) D1. Type of person D5. Ethnic D6. D8. Last month, what was [name]'s main activity? [read 1. Respondent group Language the list] 8. Unemployed, no occupation (has not worked, but has been looking for employment 2. Head of household 1. Romanian 1. Romanian 1. Wage earner / Employed within the past month) 3. Both 2. Roma 2. Romani 2. Business owner (has at least one employee) 9. Stayed at home (has not worked, neither has been looking for employment within the 4. Other 3. 3. Hungarian 3. Independent worker in farming past month) Hungarian 4. German 4. Independent worker in other fields 10. Retired 4. German 5. Other 5. Member of a family farming association 11. Student 5. Other 6. Member of a farming company, legal entity 12. Pupil 7. Member of a co-operative, other than farming 13. Pre-school 14. Other (disabled person; dependant, etc.) Demographics CONTINUATION [ATTENTION, FILL IN THE DATA IN THE LINE RELEVANT TO THE PERSON INDICATED BY THE ID] 137 This is a translation from Romanian Page 138 of 220 ID D0. Name IF 14+ y.o. D11. What is D12. Currently, is IF 1-9 at D12: IF 0 at D12 / 0-4 at D13: IF 14+ y.o. IF YES at D15: D10. Currently, is the last type [name] enrolled at D13. On an ordinary D14. What are the main two D15. Has D16. What qualifications [name] looking for of school that the nursery / week, how many days reasons why the child is not [name] ever did he/she acquire as a a(nother) job? [name] kindergarten / school does [name] attend enrolled / does not attend attended any result of the training? graduated? / highschool / nursery / kindergarten / daily? skilling [insert in legible writing] [don't read out university? school / highschool / [don't read out the list; insert training? the list; code [don't read out the list; other form of education? the code of the main reason] in] code in] Name 1=YES 2=NO Code Code Days/weeks 0.-5. Code 1 Code 2 1=YES 2=NO Text 1 2 3 4 5 6 7 8 9 10 11 12 D11. What is the last type of school that [name] D14. Main two reasons [don't read out the list] graduated? [read out the list] 0. There is no nursery / kindergarten / school nearby 13. There is someone available to babysit the child at D12. Currently, is [name] enrolled at the nursery / 1. There are not sufficient places available for children in kindergarten home kindergarten / school / highschool / university? / school 14. The child must be with his family 0. no type of school graduated / not enrolled 3. The conditions are not good at the nursery / kindergarten / school 15. The child doesn't understand the language spoken 1. nursery 4. There is no qualified teaching staff at the nursery / kindergarten / in the nursery / kindergarten / school 2. kindergarten school 16. The child has a disease / disability 3. elementary school (grades I-IV) 5. I don't like the teachers, I don't trust them 17. The child is too young 4. primary school (grades V- VIII) 6. Some children at the nursery / kindergarten / in school behave 18. Other reasons. Which? 5. I grade secondary school badly towards our child 6. vocational, complementary / apprentice school 7. The mother / father / someone else doesn't agree ................................................................................................ 7. high school 8. The child doesn't want to go 8. post-secondary speciality school / technical foreman school 9. We have no (money for) notebooks, pencils, paint, etc. ................................................................................................. 9. higher education (BA, MA, PhD) 10. We have no (money for) clothing / footwear 11. We have no money for transport 12. There is no one available to take the child to the nursery / kindergarten / school 138 This is a translation from Romanian Page 139 of 220 Demographics CONTINUATION [ATTENTION, FILL IN THE DATA IN THE LINE RELEVANT TO THE PERSON INDICATED BY THE ID] ID D0. Name IF 14+ y.o. D18. Is D19. When is the D20. Does D21. IF 1-6 at D21: D23. What age D24. D17. What kind of work / trades he/she last time that he/she Marita D22. What age did he/she Relationshi can [name] do, irrespective of enrolled he/she was seen suffer l did he/she have the first p with the whether he/she has been through with a by a doctor / the from...? status marry / go into child? [0 if head of any education / training? [insert in family family doctor? cohabitation (1 he/she has/had household legible writing] doctor? time)? no children] Text 1=YES Code Code Age in years Age in years Code Name Code Code 2=NO 1 2 1 1 2 3 4 5 6 7 8 9 10 11 12 D19. When is the last time that D20. Does he/she suffer D21. Marital status D24. Relationship with the head of household he/she was seen by a doctor / from...? 1. Married - traditionally 01 Head of household 02 Husband/Wife the family doctor? 1. TB 2. Married - formally, in church / town hall 03 Partner/Female partner 04 Son/Daughter 0. never 2. Diabetes 3. Divorced 05 Son-in-law/Daughter-in-law 06 1. last month 3. Cardiovascular disease 4. Separated Grandson/Granddaughter from son/daughter 2. last 6 months 4. Infectious disease 5. Widowed / the partner he/she cohabited with 07 Father/Mother 08 Grandfather/Grandmother 3. last year 5. Mental health issues has passed away 09 Brother/Sister 4. last two years 6. etc. 6. Cohabitation / lives with someone without 10 Brother/sister-in-law from brother/sister 5. more than two years ago 9. Other conditions being married 11 Nephew/niece from brother/sister 0. No condition 7. Never married 12 Father-in-law/Mother-in-law 13 Other relative 14 Unrelated person LI. What is the language that you use most frequently in your household? 1. Romanian 2. Romani 3. Hungarian 4. German 5. Other Which? ___________________ 9. DK/NA 139 This is a translation from Romanian Page 140 of 220 Housing and utilities L1. What is your home made of, mainly? 1. concrete 2. stone, bricks, gas-formed concrete, prefabricated bricks 3. wood 4. half-timber, clay and straws 5. other, which? __________________ L2. What is the main source of lighting in your home? 1. electricity 2. lamp oil 3. other, which?__________________ 4. there is no source of lighting / only natural light L3. What is the main source of heating in your home? 1. from the public thermal grid 2. own heating system / own heating plant 3. methane gas oven/radiators 4. wood/coal/oil/cob stove 5. other; which?__________________ 6. there is no source of heating / only natural heating L4. What do you use for cooking, mainly? 1. electricity 2. methane gas 3. gas flask 4. wood/coal/oil/cobs 5. other; which?__________________ 6. nothing L5. The watter supply in your home is...? 1. in the house, connected to the public grid 2. in the house, own installation 3. outside the house / building, but in the yard, from the public grid 4. outside the house / building, but in the yard, own installation - well 5. outside the yard, from the well 6. outside the yard, from the spring/pump 7. water is taken straightly from the river 8. other; which?__________________ 9. no water supply L6. Does your home have a sewer system? 140 This is a translation from Romanian Page 141 of 220 1. yes, connected to the public grid 2. yes, own grid 3. no L7. Do you have a bathroom? 1. yes, the bathroom is inside yes, the bathroom is outside no bathroom L8. How many rooms does your home have? Do not include the kitchen, the corridor, the bathroom or the rooms you rent out to someone else or are used by another household. |__|__| rooms [IF PART OF A ROOM IS USED AS A KITCHEN, YOU WILL INCLUDE IT AS A ROOM] L9. Approximately how many square meters does your home have? / what is the useful surface of your home? |__|__|__| m2 L10. You or some other member of the family have any papers showing that you are the owners of this home? 1. yes, we have ownership papers 2. no, we have no ownership papers 3. we pay rent Revenue and goods V1. You or anyone else in your household own ...? YES NO DK/NA YES NO DK/NA a. Washing machine 1 2 9 e. Computer 1 2 9 b. colour TV 1 2 9 f. 30 or more books 1 2 9 c. Telephone (mobile / 1 2 9 1 2 9 landline) g. Bicycle d. Car 1 2 9 h. Motorcycle 1 2 9 V2. Do you or anyone else in your household own ...? YES NO DK/NA YES NO DK/NA a. Horses 1 2 9 d. Sheep and goats 1 2 9 b. Donkeys and mules 1 2 9 e. Pigs 1 2 9 Cattle (cows, bulls, oxen, 1 2 9 f. Birds 1 2 9 141 This is a translation from Romanian Page 142 of 220 etc.) V3. Do you or anyone in your household possesses any land, with or without papers? [IF NOT INSERT 0] out of which, No. Total land in possession, with Name land owned under a property title (including sales row or without papers contract, certificate) Farming surface - ha - 1 |__|__|__|,|__| |__|__|__|,|__| (one decimal place) 2 Lots (how many) |__|__| |__|__| V4. Within the past 12 months, did it happen to you to 1. YES, 2. YES, several 3. 4. Not miss the due date for the following expenses because once times NO applicable of financial difficulties experienced? a. rent 1 2 3 4 b. utility bills (water, city gas, heating, etc.) 1 2 3 4 c. electricity 1 2 3 4 d. mortgage on the main home 1 2 3 4 e. phone subscription 1 2 3 4 f. other expenses 1 2 3 4 V5. Can your household afford the following expenses, to the extent it would so 1. YES 2. NO desire? a. adequate heating of the home 1 2 b. paying for a week of vacation away from home 1 2 c. eating at least one meal with meat or fish once in two days 1 2 V6. Could your household cover a contingent expense of 450 lei out of its own resources, without asking for financial support from other people, households or institutions? 1. Yes 2. No V7. In your household, do you buy all the food that you eat, or do you produce/receive part of it? IF PRODUCED/RECEIVED FOOD: If you had to buy the food that you produce in the house or receive, how much should you pay for it in a normal month? |__|__|__|__|RON 9. DK/NA 142 This is a translation from Romanian Page 143 of 220 V8. I would like to ask you about the incomes that any of the members in your household acquire, irrespective of the source. last month, has anyone in your household received [ …]? IF YES: What was the net amount received? [IF A CERTAIN TYPE OF INCOME WAS NOT RECEIVED, INSERT 0] a. Any type of pension (social; age-based; invalidity; early retirement; |__|__|__|__|RON 9. DK/NA survivor benefits, etc.) b. Child allowance |__|__|__|__|RON 9. DK/NA c. Minimum income guaranteed |__|__|__|__|RON 9. DK/NA d. Other type of social assistance allowances |__|__|__|__|RON 9. DK/NA e. Salaries, occasional work |__|__|__|__|RON 9. DK/NA f. Other income |__|__|__|__|RON 9. DK/NA Discrimination, cultural plurality IF ANY CHILDREN GOING TO KINDERGARTEN / SCHOOL DM1. Do you usually talk, meaning more than just saying hello, to other parents in kindergarten / school? 1. Yes 2. No 9. NA DM1yes. Do you feel comfortable when talking to other parents? 1. Yes 2. No 9. NA DM2. Do you like attending parent-teacher meetings? 1. Yes 2. No 9. NA DM2no. Why not? …………………………………………………………………………….................................. ………………………………………………………………………………………………………………………….... DM3. Do you feel comfortable when talking to your children's kindergarten / school teachers? 1. Yes 2. No 9. NA DM2no. Why not? ………………………………………………………………………………………..................... ……………………………………………………………………………………………………………… .………...... FOR ALL RESPONDENTS DM4. Do you feel comfortable when you talk to representatives of the Town Hall? 1. Yes 2. No 9. NA DM4no. Why not? ………………………………………………………………………………………..................... …………………………………………………………………………………………………………………………… 143 This is a translation from Romanian Page 144 of 220 DM5. Have you or anyone in your family ever felt discriminated? 1. Yes 2. No 9. NA DM5yes. Please describe the most frequently seen situations. …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………… DM6. Last year, have you or anyone in your family ever feel discriminated? 1. Yes 2. No 9. NA DM6yes. Please describe the most frequently seen situations. …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… …………………………………………………………………………………………………………………………………………… ………………………………………………………………………....... DM7. In general, how do you get DM7. DM8. DM9. along with...? 1. very good 1. daily 1. daily DM8. How frequently do you talk 2. good 7. none 2. weekly 7. none 2. weekly 7. none with …? 3. bad 9. NA 3. monthly 9. NA 3. monthly 9. NA DM9. How frequently do you help 4. very bad 4. less frequently 4. less frequently each other, with …? a. your Roma neighbours 1 2 3 4 7 9 1 2 3 4 7 9 1 2 3 4 7 9 b. your Roma neighbours 1 2 3 4 7 9 1 2 3 4 7 9 1 2 3 4 7 9 c. your Hungarian neighbours 1 2 3 4 7 9 1 2 3 4 7 9 1 2 3 4 7 9 d. Romanian inhabitants in the area 1 2 3 4 7 9 1 2 3 4 7 9 1 2 3 4 7 9 e. Roma inhabitants in the area 1 2 3 4 7 9 1 2 3 4 7 9 1 2 3 4 7 9 f. Hungarian inhabitants in the area 1 2 3 4 7 9 1 2 3 4 7 9 1 2 3 4 7 9 Needs, services, solutions N1. In your opinion, what are the key services missing in the village / area where you live? [DO NOT READ OUT THE LIST; INSERT CODES.] 144 This is a translation from Romanian Page 145 of 220 Which is the first one? Service 1|___|___| If others: ……………………………………………………......…….…… And the second one? Service 2|___|___| If others: ……………………………………………………..………………… And the third one? Service 3|___|___| If others: ……………………………………………………..………………… 1.Schools 8.Consulting in farming 15.Sanitation 2.Kindergartens 9.Skilling training/employment 16.Electricity 3.Nurseries 10.Loans/finance (banks) 17.Safe sources of water 4.Medical services/polyclinics 11.Transport 18.Pharmacies 5.Roads/restored roads 12.Security (safety) 19.Support for elders 6.Water distribution 13.Public lighting 20.Other 7.Sanitation services 14.Telephones N2. What other services would you or anyone in your household need? [DO NOT READ OUT THE LIST; INSERT CODES.] Which is the first one? Service 1|___|___| If others: …………………………………………………………………..…… And the second one? Service 2|___|___| If others: …………………………………………………………………..…… And the third one? Service 3|___|___| If others: …………………………………………………………………..…... N3. What are the biggest challenges that the children in your household face? First mention? Need 1 ....………………………………………..………………………………….....………. Second mention? Need 2 ....………………………………………..………………………………….....………. Third mention? Need 3 ....………………………………………..………………………………….....………. N4. What are the biggest challenges that the elders in your household face? First mention? Need 1 ....………………………………………..………………………………….....………. Second mention? Need 2 ....………………………………………..………………………………….....………. Third mention? Need 3 ....………………………………………..………………………………….....………. N5. What are the biggest challenges that the adults in your household face? First mention? Need 1 ....………………………………………..………………………………….....………. Second mention? Need 2 ....………………………………………..………………………………….....………. Third mention? Need 3 ....………………………………………..………………………………….....………. N6. What would be the LOWEST net salary, that is, money "in your hand", that you would accept a job for? 0. I do not wish a job |__|__|__|__| RON Thank you! 145 This is a translation from Romanian Page 146 of 220 Annex 9: Excluded Community Diagnosis Sheet The Excluded Community Diagnosis Sheet template only includes the information that can be filled in at excluded community level (including based on the information collected through the household questionnaire). The items are correlated with indicators regarding justification of the eligible activities. Excluded Community Diagnosis Sheet (fill in for each excluded area targeted under the project) Name of settlement.................................................................. County..................................... (fill in with the data of the person who fills in the questionnaire) Name and surname ..................................................................................................................................................... Position......................................................... Institution ............................................................ Telephone ......................................................... E-mail ................................................................... Date of filling in |__|__| |__|__| 2016 DD MM 2016 1. Introduction Brief presentation of the project and the research team. 2. The excluded areas Q1. Are there any excluded areas (with poor, poorly educated population; with low access to employment, infrastructure; poor housing conditions, etc.) in the identified settlement? (fill in the number of excluded areas; the number of areas filled in 1. Yes Q1Yes. How many such areas are there? at Q1 will be identical to the number of areas presented at Q2) |___| 2. No Q2. Excluded areas identified from the data The table below lists the excluded areas identified based on the census data and other statistic indicators. For each area, please identify its geographical localisation using the census sector, and tell us whether it is excluded or not. Area Name of Geographical Census Total Roma Area validated by code village / town localisation sector population population the local in the area in the area authorities 146 This is a translation from Romanian Page 147 of 220 Area Name of Geographical Census Total Roma Area validated by code village / town localisation sector population population the local in the area in the area authorities 1 1. Yes 2. No 2 1. Yes 2. No 3 1. Yes 2. No .... 1. Yes 2. No Excluded Area Sheet (fill in for each excluded area identified in the table at Q2) Criterion Reference Criteria Key indicators Identified value (%) met value (Yes/No) Human Proportion of people aged 15- Calculate the percent of >22% capital 64 who have graduated 8 people aged 15 -64 who school grades (secondary graduated 8 school grades school) at the most (secondary school) at most out of the total population in the census sector / identified area Proportion of people who Calculate the percent of >8% suffer from disabilities, chronic people who suffer from disease or other conditions disabilities, chronic disease that limit their daily activities or other conditions that limit their daily activities out of the total population in the identified area Proportion of children and Calculate the percent of >20.5% youth (0-17 y.o.) out of the children and youth (0-17 total population y.o.) out of the total population in the identified area Employment The proportion of people Calculate the percent of >22.5% of the aged 16-64 who are not people aged 16-64 who are labour force employed on the formal not employed on the labour market (employed formal labour market and under a labour contract, or do not attend any form of official independent worker, education, out of the total with or without employees; population in the census business owner or sector / the identified area administrator; PFA (authorised 147 This is a translation from Romanian Page 148 of 220 freelancer), AF (family association), individual company; freelance professions), neither are attending any form of education Housing Proportion of overcrowded Calculate the percent of >54% homes (< 15.33 m2 per overcrowded homes out of person) the total homes existing in the identified area Housing uncertainty: Calculate the percent of >12% proportion of homes that are homes that are not owned not owned privately privately out of the total homes existing in the identified area In relation to the minimal thresholds in Table 1, the community is validated as excluded if it meets simultaneously the following three conditions: (1) low level of human capital; (2) low level of employment in the formal sector; (3) precarious housing conditions, where: (1) an area / community has low human capital when any two of the three corresponding indicators in table 1 register values below the pertaining minimum threshold. (2) an area / community has low level of workforce employment in the formal sector when the corresponding indicator in table 1 registers values above 22.5% (the minimum threshold). (3) an area / community has precarious housing conditions when at least one of the indicators in table 1 have values above the pertaining minimal threshold. 148 This is a translation from Romanian Page 149 of 220 (4) Name of settlement.................................................................. County..................................... Excluded communities - Excluded area sheet – Excluded area |___| (marked on the map and in table Q3 in the Commune Sheet with code |___|) (An Excluded Area Sheet will be filled in for each area.) Excluded area population Number of households according to … NON-ROMA ROMA TOTAL NON-ROMA + ROMA NIS census OWN census town hall estimates Roma leaders Population according to NIS census NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. Population according to … 1. own census 2. own survey NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. Population according to town hall estimations NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. 149 This is a translation from Romanian Page 150 of 220 Population according to Roma leaders NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A. Local authority representatives A1. Name of area or name recognised locally A2. Name of village /s / town that the area belongs to A3. Description of the excluded area A4. Localisation of Name of streets or reference marks that delimit it Number of households the excluded area (don't forget to enclose the map of the area) A5. Type of area 1. Roma community (irrespective of the ethnic group What is the % of Roma out of the total population in stated in the census) the excluded area? ……% 2. other type, namely … A6. History of the area What year has this excluded area come into existence? 1. Before 1990 2. After 1990, approximately year |___|___|___|___| A7. How did the community come about and how did it get into the present situation? 150 This is a translation from Romanian Page 151 of 220 .................................................................................................................................................................................................... .................................................................................................................................................................................................... A8. What are the biggest challenges that the children in this area face? Problem / Need 1 …….…..…………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..…………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..…………………………………………………………………………………....... ........................................................................................................................................................................ A9. What are the biggest challenges that the elders in this area face? Problem / Need 1 …….…..…………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..…………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..…………………………………………………………………………………....... ........................................................................................................................................................................ A10. What are the biggest challenges that the adults in this area face? Problem / Need 1 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..………………………………………………………………………………....... ...................................................................................................................................................................... .. A11. The area where the community is located is: 1. within built-up areas, in the centre of the village/town 2. within built-up areas, on the outskirts of the village/town 3. outside built-up areas For those who answered code 2 / 3 at previous question A12. Approximately, what is the distance from the excluded area to ...? a. the town hall |___|___| . |___|___| km or |___|___|___| min. walk 151 This is a translation from Romanian Page 152 of 220 b. school |___|___| . |___|___| km or |___|___|___| min. walk c. dispensary |___|___| . |___|___| km or |___|___|___| min. walk d. the nearest food shop |___|___| . |___|___|km or |___|___|___| min. walk e. the nearest hospital |___|___| . |___|___|km A13. What is the road connecting the area to the village / town made of? 1. Dirt 3. Asphalt 5. Mixed, over 50% gravel 2. Gravel 4. Mixed, over 50% dirt 6. Mixed, over 50% asphalt A14. And what types of roads can be seen most frequently in the area? 1. dirt 2. gravel 3. asphalt A15. Geographic barriers Are there any geographical obstacles (natural physical obstacles / man-made or other types) that hinder the inhabitants of the excluded area to get to the centre of the commune by taking the shortest road / which separates the area from the rest of the community? 1. Yes 2. No What are these barriers? (river, railways, fence, ravine, hill, valley, forest, waste dump, water purification plant, etc.) ............................................................................................................................................................................. ............................................................................................................................................................................. A16. Is there any functional ... telephony network? What is the approximate prevalence of those who use this telephone service? 1. Landline 2. No 1. Yes Prevalence of households …………… 2. Mobile 2. No 1. Yes Prevalence of inhabitants …………… Education A17. Educational units 1. Is there a kindergarten in the excluded community? 1. Yes 2. No Regarding this kindergarten, how would you evaluate ...? Very Good Bad Very 152 This is a translation from Romanian Page 153 of 220 good bad a. the condition of the building and classrooms 1 2 3 4 b. the equipment / teaching resources available 1 2 3 4 c. the training of the teachers 1 2 3 4 If none: ..….. km What is the distance to the nearest kindergarten? Is there any public transportation available to this kindergarten? 1. Yes 2. No 2. Is there an elementary school in the excluded community? 1. Yes 2. No Regarding this school, how would you evaluate ...? Very Very Good Bad good bad a. the condition of the building and classrooms 1 2 3 4 b. the equipment / teaching resources available 1 2 3 4 c. the training of the teachers 1 2 3 4 If none: ..….. km What is the distance to the nearest elementary school? Is there any public transportation available to this elementary school? 1. Yes 2. No 3. Is there a primary school in the excluded community? 1. Yes 2. No Regarding this school, how would you evaluate ...? Very Very Good Bad good bad a. the condition of the building and classrooms 1 2 3 4 b. the equipment / teaching resources available 1 2 3 4 c. the training of the teachers 1 2 3 4 If none: ..….. km What is the distance to the nearest primary school? Is there any public transportation available to this primary school? 1. Yes 2. No 4. Is there a high school in the excluded community? 1. Yes 2. No Regarding this high school, how would you evaluate ...? Very Very Good Bad good bad a. the condition of the building and classrooms 1 2 3 4 b. the equipment / teaching resources available 1 2 3 4 c. the training of the teachers 1 2 3 4 153 This is a translation from Romanian Page 154 of 220 If none: ..….. km What is the distance to the nearest high school? Is there any public transportation available to this high school? 1. Yes 2. No 5. Is there an educational mediator in the community? 1. Yes 2. No A18. Number of children ... NON- ROMA TOTAL ROMA 1. 0-2 y.o. 2. 3-6 y.o. 3. 3-6 y.o. enrolled in kindergarten 4. 3-6 y.o. who attend kindergarten almost daily 5. 7-11 y.o. 6. 7-11 y.o. enrolled in elementary school 7. 7-11 y.o. who attend elementary school almost daily 8. 12-15 y.o. 9. 12-15 y.o. enrolled in primary school 10. 12-15 y.o. who attend primary school almost daily 11. 16-19 y.o. 12. 16-19 y.o. enrolled in high school / vocational school 13. 16-19 y.o. who attend high school / vocational school almost daily A19. Regarding education, what are the main challenges that the children in this community are facing? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A20. What are the main challenges that the teachers in this community / vicinity are facing? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… 154 This is a translation from Romanian Page 155 of 220 ……………………………………………………………………………………………………………………………… A21. Number of people ... NON- ROMA TOTAL ROMA 1. Who attend higher education at the present time 2. Higher education graduates Employment and livelihoods/sources of income A22. Number of people who are ... NON- ROMA TOTAL ROMA 1. Employed (with or without a labour contract / records) 2. Business owners 3. Independent workers 4. Farmers 5. Pensioners 6. Unemployed 7. Stay-at-home 8. Temporarily away to work abroad A23. What do people in the area do? What are their main sources of income / livelihoods? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A24. Number of people employed / who have a job ... NON- ROMA TOTAL ROMA 9. Formally (under labour contract / records) 10. Informally (no labour contract / records) 11. In the field of farming 155 This is a translation from Romanian Page 156 of 220 Describe:* 12. In the field of crafts Describe:* 13. In the field of independent professions (plumber; bricklayer, etc.) Describe:* 14. In other fields Describe:* * list the sources of incomes for the three fields, indicate the prevailing crafts / occupations; social- demographic characteristics of the people who have these occupations. A25. What kind of economic resources are there in the area (type, amount, relevance etc.)? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A26. What kind of businesses / employers are there in the area (field of business; existing employees / vacancies, etc.)? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A27. What other businesses could be developed in the area (field of business; employees, etc.)? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… 156 This is a translation from Romanian Page 157 of 220 A28. Social benefits granted to the population in the excluded area (files processed for payment) 1. Number of beneficiaries of Minimum Income Guaranteed |___|___|___| 2. Number of beneficiaries of support allowances and family allowances |___|___|___| 3. Number of beneficiaries of allowances for heating |___|___|___| 4. Number of benefit files for people with special needs, including disabled |___|___|___| 5. Number of child protection files |___|___|___| A29. Do the inhabitants of the excluded area move frequently, or are they rather steady? Describe the situation. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… Health A30. What are the most important health-related challenges that the inhabitants of the excluded area are facing? Describe the situation. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A31. Are there any... in the excluded area / vicinity? How many days in a week are they open? And how many hours in a day, usually? Are there any? Days/weeks 1.-7. Hours/Day (1-24) 1. family doctor 1. Yes 2. No 2. community nurse 1. Yes 2. No 3. healthcare mediator 1. Yes 2. No 4. school doctor 1. Yes 2. No 5. school nurse 1. Yes 2. No 6. integrated community centre 1. Yes 2. No 7. medical dispensary 1. Yes 2. No 8. hospital 1. Yes 2. No A32. Estimated number of people enrolled with a family doctor NON-ROMA ROMA TOTAL NON-ROMA + ROMA 157 This is a translation from Romanian Page 158 of 220 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A33. Estimated number of people suffering from TB NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A34. Estimated number of people suffering from hepatitis NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A35. Estimated number of people suffering from cardiovascular disease NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A36. Estimated number of people suffering from infectious disease NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A37. Estimated number of people suffering from a physical disability NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A38. Estimated number of people suffering from mental health issues 158 This is a translation from Romanian Page 159 of 220 NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A39. Estimated number of children ... y.o. immunised NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-2 y.o. 3-6 y.o. 0-2 y.o. 3-6 y.o. 0-2 y.o. 3-6 y.o. Papers A40. Estimated number of people with no ID papers (Personal Identification Number, CNP) NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. Housing A41. The area is mostly... 1. block housing 3. clay and straws/ half- 5. other situation, namely timber homes 2. brick / 4. improvised housing concrete-made (cardboard, iron sheet, etc.) homes Total number of homes in the area |___|___|___| Out of which: privately owned |___|___|___| owned by the town hall |___|___|___| empty homes and |___|___|___| rented to residents in the area 159 This is a translation from Romanian Page 160 of 220 If there are any homes owned by the town hall and rented to the population, Within the past 5 years, have there been any cases of families evicted from homes? If Yes: For what reason? ................................................................................................................. ................................................................................................................. A42. What is the form of land ownership most frequently seen in the excluded community? 1. own property or owned by a relative 4. in concession from the town hall 7. occupied with no legal papers 2. rented from the town hall 5. in concession from a person 3. rented from a person / company 6. in concession from a private company A43. What is the condition of the homes in the area? 1. they might fall down at any time 3. solid, but neglected 2. deteriorated, would need consolidation 4. solid and clean A44. Are the homes overcrowded in the area? 1. Yes 2. No A45. Estimated number of households with no ownership documents for the home/land |___|___|___| If any: Describe: Why are there no ownership documents? What solutions are there? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A46. Number of households with … |___|___| ... running water inside from the public grid 9999. NO public grid in the area |___|___| ... running water inside the home from own system |___|___| ... running water outside the home from the public grid |___|___| ... running water outside the home from own system A47. Number of households connected to … |___|___| public sewer grid 9999. NO public grid in the area |___|___| own sewer system 160 This is a translation from Romanian Page 161 of 220 If own system: Describe the most frequently seen own systems ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A48. Number of homes with own bathroom inside the home |___|___| A49. Number of homes connected to the electricity grid |___|___| If there are any homes not connected: What are the reasons why they are not connected? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A50. Number of homes connected to the city gas network |___|___| If there are any homes not connected: What are the reasons why they are not connected? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A51. Is there public lighting in the area? 1. Yes 2. No A52. Does the area have access to garbage collection and transport services? 1. Yes 2. No If No: What are the reasons why there is no access? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A53. Is the area exposed to floods? 1. Yes 2. No If Yes: Have there been any floods or water breakthroughs in the past 5 years? 1. Yes 2. No If Yes: Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… 161 This is a translation from Romanian Page 162 of 220 A54. Is the community situated near a waste dump / waste storage facility? 1. Yes 2. No If Yes: Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A55. Does litter and other type of waste accumulate around the households? 1. Yes 2. No If Yes: Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A56. Is the community located in an area exposed to landslides / any other environmental risks? 1.Yes 2.No If Yes: Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A57. What are the main problems in the area? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A58. Within the past 5 years, have the authorities addressed any of these issues to find a solution? 1. Yes 2. No If Yes: How, exactly? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A59. How about any other government or non-government organisation? 1. Yes 2. No If Yes, how exactly? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… 162 This is a translation from Romanian Page 163 of 220 ……………………………………………………………………………………………………………………………… Culture traditional integrated assimilated A60. Number of people of the Roma ethnic group who are ... A61. Are there any early marriages? 1. Yes 2. No If Yes: Describe (how many couples; do they have any children, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A62. Is Romani language spoken? 1. Yes 2. No If Yes: Describe (number of people / households that speak Romani, everyday or occasional use). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A63. What branches of Roma are there in the excluded area? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A64. What habits, customs, rules do Roma people in this area have? Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… Other local resources A65. Which of the following are available in the excluded area / vicinity? Are Describe the situation (number; business hours; functionality; goods; there quality; distance, etc.), the problems, the possible solutions any? 1. "Cultural house" 1. Yes 163 This is a translation from Romanian Page 164 of 220 2. No 1. Yes 2. Post office 2. No 1. Yes 3. Bank office 2. No 1. Yes 4. Pharmacy 2. No 1. Yes 5. Church 2. No 1. Yes 6. Shops 2. No 7. Social areas, 1. Yes playgrounds 2. No 1. Yes 8. Food market 2. No 1. Yes 9. Clothes market 2. No 1. Yes 10. Flea market 2. No 1. Yes 11. Bus stop 2. No 12. Railway station / Train 1. Yes stop 2. No 13. Non-government 1. Yes organisation (NGO_ 2. No Tensions and social dynamics A66. In the past two years, have the inhabitants of this area filed any complaints / intimations with the town hall? What were the main issues announced and what happened as a result of these complaints? Describe (what was the complaint about; who filed it; who proposed what solutions; results; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A67. What are the main sources of tension within this excluded area? Describe (source; groups involved; their size; solutions, etc.). ……………………………………………………………………………………………………………………………… 164 This is a translation from Romanian Page 165 of 220 ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A68. What are the main sources of tension between the inhabitants of the excluded area and the other inhabitants in the settlement? Describe (source; groups involved; their size; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A69. Are there any mixed families in the excluded area (Roma people living together with non- Roma)? What would be the prevalence of these mixed families; what ethnic groups are involved; are the relations legalised, etc.? Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A70. How do the locals in the commune relate to the residents of this area? Do they behave in the same way they do with the inhabitants of other areas? Do they avoid them? Are they suspicious of them? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A71. Are Roma children who attend kindergarten part of...? Describe the situation. 1. groups that include Roma children and children from other ethnic groups 2. groups that include only Roma children ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A72. Is there any formal or informal leader in the community? 1. Yes 2. No If Yes: Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… 165 This is a translation from Romanian Page 166 of 220 A73. Are there any issues related to crime and public order in the area? 1. Yes 2. No If Yes: What type of crimes are prevailing (theft; quarrels; scandals; drinking; fights; domestic violence, etc.)? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B. Representatives of the excluded community Discussion with the inhabitants of the excluded area regarding the following topics: Alternatively, the questions for local institutions representatives can be repeated from module A B1. History of the area When did this area come into existence, who lives here (young people; elders; children), for how long do they live here... B2. What are the biggest challenges that the children in this area face? Problem / Need 1 …….…..………………………………………………………………………………. ........................................................................................................................................................................ Problem / Need 2 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ B3. What are the biggest challenges that the elders in this area face? Problem / Need 1 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..………………………………………………………………………………....... ....................................................................................................................................................................... 166 This is a translation from Romanian Page 167 of 220 B4. What are the biggest challenges that the adults in this area are facing? Problem / Need 1 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ B5. Housing Form of ownership on the home / land Condition of homes Housing conditions, overcrowding etc. B6. Infrastructure (streets; water; sewers; electricity) Streets Water Sewers Electricity 167 This is a translation from Romanian Page 168 of 220 B7. Employment and generating incomes Formal sources of living Informal sources of living Pensions or other social welfare allowances Why can't they find work? Culture traditional integrated assimilated B8. Number of people of the Roma ethnic group who are ... B9. Are there any early marriages? 1. Yes 2. No If Yes: Describe (how many couples; do they have any children, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B10. Is Romani language spoken? 1. Yes 2. No If Yes: Describe (number of people / households that speak Romani, on everyday or occasional basis). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B11. What branches of Roma are there in the excluded area? ……………………………………………………………………………………………………………………………… 168 This is a translation from Romanian Page 169 of 220 ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B12. What habits, customs, rules do Roma people in this area have? Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B13. Access to public services Are there Describe the situation (number; business hours; functionality; goods; any? quality; distance, etc.), the problems, the possible solutions 1. Yes 2. 1. "Cultural house" No 1. Yes 2. 2. Post office No 1. Yes 2. 3. Bank office No 1. Yes 2. 4. Pharmacy No 1. Yes 2. 5. Church No 1. Yes 2. 6. Shops No 7. Socialising areas, 1. Yes 2. playgrounds No 1. Yes 2. 8. Food market No 1. Yes 2. 9. Clothes market No 1. Yes 2. 10. Flea market No 1. Yes 2. 11. Bus stop No 12. Railway station / 1. Yes 2. Train stop No 13. Non-government 1. Yes 2. organisation (NGO) No 169 This is a translation from Romanian Page 170 of 220 Tensions and social dynamics B14. In the past two years, have the inhabitants of this area filed any complaints / intimations with the town hall? What were the main issues announced and what happened as a result of these complaints? Describe (what was the complaint about; who filed it; who proposed what solutions; results; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B15. What are the main sources of tension within this excluded area? Describe (source; groups involved; their size; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B16. What are the main sources of tension between the inhabitants of the excluded area and the other inhabitants in the settlement? Describe (source; groups involved; their size; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B17. Are there any mixed families in the excluded area (Roma people living together with non- Roma)? What would be the prevalence of these mixed families; what ethnic groups are involved; are the relationships legalised, etc.? Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B18. How do the locals in the commune relate to the residents of this area? Do they behave in the same way they do with the inhabitants of other areas? Do they avoid them? Are they suspicious of them? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… 170 This is a translation from Romanian Page 171 of 220 B19. Are Roma children who attend kindergarten part of...? Describe the situation. 1. groups that include Roma children and children from other ethnic groups 2. groups that include only Roma children ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B20. Is there any formal or informal leader in the community? 1. Yes 2. No If Yes: Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… B21. Are there any issues related to crime and public order in the area? 1. Yes 2. No If Yes: What type of crimes are prevailing (theft; quarrels; scandals; drinking; fights; domestic violence, etc.)? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… C. Observation Sheet Take a general photo of the excluded area and some photos to illustrate specifically the data collected in relation to various fields. Based on direct field observation, fill in the table below, whether there are any ... in the excluded area? a. broken fences 1. Yes 2. No b. poor quality roofs 1. Yes 2. No c. many deteriorated homes 1. Yes 2. No d. a lot of children on the street 1. Yes 2. No e. children with no clothes 1. Yes 2. No f. litter/ mess 1. Yes 2. No g. blankets / carpets on the fences 1. Yes 2. No h. roads mostly made of dirt 1. Yes 2. No h. roads mostly paved 1. Yes 2. No h. roads mostly asphalt 1. Yes 2. No 171 This is a translation from Romanian Page 172 of 220 Annex 10: Community indicators based on the household questionnaire The table includes all the indicators that can be calculated for the community based on the extended questionnaire: (i) indicators in Table 1, (ii) indicators in the Minimal Sheet, and (iii) the other indicators that justify the need for intervention in various fields, as identified earlier. Community indicators based on the household questionnaire The table includes all the indicators that can be calculated for the community based on the extended questionnaire: (i) indicators in Table 1, (ii) indicators in the Minimal Sheet, and (iii) the other indicators that justify the need for intervention in various fields, as identified earlier. Number of Indicators... question in the questionnaire Indicators in table 1 Proportion of people aged 15-64 who have graduated 8 school grades (secondary D3 crossed with school) at the most D11 (+ D5 for ethnic group) Proportion of people who suffer from disabilities, chronic disease or other D7 (+ crossed with conditions that limit their daily activities D5 for ethnic group) Proportion of children and youth (0-17 y.o.) out of the total population D3 (+ crossed with D5 for ethnic group) The proportion of people aged 16-64 who are not employed on the formal labour market (employed under a labour contract, or official independent worker, with or D3 crossed with D9 without employees; business owner or administrator; PFA (authorised freelancer), (+ D5 for ethnic AF (family association), individual company; freelance independent professions), group) neither are attending any form of education Proportion of overcrowded homes (< 15.33 m2 per person) L9 divided by D0 Housing uncertainty: proportion of households that do not own their homes L10 Indicators in the minimal sheet Total population according to census D0 … out of which Roma D0 crossed with D5 D0 crossed with D5 … out of which Roma children (0-17) and D3 D0 crossed with D5 … out of which Roma adults (18+) and D3 172 This is a translation from Romanian Page 173 of 220 … out of which non-Roma D0 crossed with D5 D0 crossed with D5 … out of which non-Roma children (0-17) and D3 D0 crossed with D5 … out of which non-Roma adults (18+) and D3 … out of which children (0-17) D0 crossed with D3 … out of which adults (18+) D0 crossed with D3 D3 crossed with Children who do not attend any form of education D12 / D13 D8 crossed with Non-employment rate D12 and D3 Number of employed D8 Unemployment rate D8 People with no birth certificates D4 People with no ID papers D4 People who have papers on the home they live in L10 Description of the housing context (housing conditions; utilities; legal status) L1-L10 Prevalence of families enrolled with a family doctor L11 Romani language spoken D6, LI Pointing indicators that justify inclusion in the target group (people at risk of poverty and exclusion) D3 - no. of adults, children V7 - own Poverty threshold = 60% of the available average income, equivalent consumption V8 - monetary revenues Severe material deprivation (at least 4 out of the 9 deprivation elements)  Cannot afford to pay rent, instalments on loans or utility bills  Cannot afford to maintain the home heated properly  Cannot respond to contingencies with their own resources V1a-d, V4a-d, V5,  Cannot afford to eat meat or proteins once every two days V6  Cannot afford to go on yearly one-week vacations away from home  Cannot afford a colour tv  Cannot afford a washer 173 This is a translation from Romanian Page 174 of 220  Cannot afford a car  Cannot afford a telephone People who live in households with extremely low intensity of labour (0-59 y.o. living in households where adults - 18-59 y.o. - have worked at less than D3 crossed with DX 20% of their full potential last year) Pointing indicators justifying the need for interventions in various fields Services necessary for the household, but not available in the village / area N2 Main challenges that the children in the household are facing N3 Main challenges that the elders in the household are facing N4 Main challenges that the adults in the household are facing N5 174 This is a translation from Romanian Page 175 of 220 Annex 11: Diagnosis sheet for the village where the excluded community is located The sheet template only includes the information that can be filled in for the village (and which is not collected through the community or the Territorial Administrative Unit questionnaire). The items are correlated with the indicators regarding justification of the eligible activities. Settlement (village) sheet For the source of data insert: 1. NIS census 4. Own survey 7. Estimates of staff / school data / nursery data 2. Own census 5. Other survey 8. Estimates of doctors / hospital dispensary data 3. Survey of a research institute 6. Estimates of mayor, civil 9. Other source servant / town hall data Demographics Id Indicator Indicator Year of Source value reference of data 1. No. of households 2. No. of residents 3. No. of women 4. No. of men 5. No. of 0-2 y.o. 6. No. of 3-6 y.o. 7. No. of 0-14 y.o. 8. No. of 15-64 y.o. 9. No. of 65+ y.o. 10. No. with elementary school education 11. No. with primary school education 12. No. with high school education 13. No. with higher education 14. Breakdown per ethnic groups (No.): 15. Romanians 16. Roma 175 This is a translation from Romanian Page 176 of 220 17. Hungarians 18. other ethnic groups (which?____________________________) 19. Breakdown per religious denominations (No.): 20. Orthodox 21. Catholic 22. Protestant/Neo-Protestant 23. other denominations (which?____________________________) 24. No. births 25. No. deaths 26. No. of deaths children < 1 y.o. 27. No. divorces 28. No. marriages 29. No. of under-age pregnancies 30. No. of abandoned children 31. No. of children in institutions 32. No. of children in single-parent families 33. No. of children in families receiving the Minimum Income Guaranteed 34. No. of children with special health issues, children with special needs Infrastructure Id Indicator Indicator Year of Source value reference of data 35. National road (km in the settlement) 36. Total asphalt roads (km in the settlement) 37. Total paved roads (km in the settlement) 38. Total dirt roads (km in the settlement) 39. Distance from the commune centre / town centre (km) 40. Distance to the nearest city (km) 41. Access to railway 1. Yes 2. No 42. Landline telephony available 1. Yes 2. No 43. Mobile telephony available 1. Yes 2. No 44. No. of homes connected to the water grid (0 if none) 176 This is a translation from Romanian Page 177 of 220 45. No. of homes connected to the sewer grid (0 if none) 46. No. of homes connected to the electricity grid (0 if none) 47. No. of homes connected to the city gas grid (0 if none) 48. No. of abandoned buildings or construction sites Economic activities Id Indicator Indicator Year of Source value reference of data 49. No. of economic units (farming and non-farming) 50. No. of non-farming economic units 51. Main fields of business - 1 ……………………………………………………………. 52. Main fields of business - 2 ……………………………………………………………. 53. Main fields of business - 3 ……………………………………………………………. 54. Main fields of business - 4 ……………………………………………………………. 55. No. of farming economic units 56. Main types of business - 1 ……………………………………………………………. 57. Main types of business - 2 ……………………………………………………………. 58. Main types of business - 3 ……………………………………………………………. 59. Main types of business - 4 ……………………………………………………………. 60. Total farming land surface 61. out of which cultivable land 62. out of which pastures 63. out of which hay lands NGOs Id Indicator Indicator Year of Source value reference of data 64. Number of active NGOs 65. Main fields and activities - 1 ……………………………………………………………. 66. Main fields and activities - 2 ……………………………………………………………. 67. Main fields and activities - 3 ……………………………………………………………. 177 This is a translation from Romanian Page 178 of 220 68. Main fields and activities - 4 ……………………………………………………………. Employment structure Id Indicator Indicator Year of Source value reference of data 69. Number of wage earners 70. Number of business owners 71. Number of independent workers 72. Number of daily labourers 73. Number of unemployed on benefits 74. Number of people employed in farming 75. Number of pensioners 76. Number of housewives 77. Number of commuters 78. Number of people temporarily away to work abroad Social welfare Id Indicator Indicator Year of Source value reference of data 79. No. of applications for Minimum Income Guaranteed 80. No. of approved Minimum Income Guaranteed files 81. Number of social homes 82. Number of assisted - welfare canteen 83. Number of assisted - allowances 84. Number of assisted - allowances for people with special needs, including disabled people 85. Number of child protection files Education Id Indicator Indicator Year of Source value reference of data 86. Distance to the nearest kindergarten (0 if available in the settlement) 178 This is a translation from Romanian Page 179 of 220 87. Distance to the nearest elementary school (0 if available in the settlement) 88. Distance to the nearest primary school (0 if available in the settlement) 89. Distance to the nearest vocational school (0 if available in the settlement) 90. Distance to the nearest high school (0 if available in the settlement) 91. Distance to the nearest post-secondary school (0 if available in the settlement) 92. Distance to the nearest university (0 if available in the settlement) 93. Number of kindergarten groups 94. Number of elementary school class groups 95. Number of primary school class groups 96. Number of vocational school class groups 97. Number of high school class groups 98. Number of post-secondary school class groups 99. Number of children enrolled in kindergarten 100. Number of children enrolled in elementary school 101. Number of children enrolled in primary school 102. Number of children enrolled in vocational school 103. Number of children enrolled in high school 104. Number of children enrolled in post-secondary school 105. Number of children who attend kindergarten daily or almost daily 106. Number of children who attend elementary school daily or almost daily 107. Number of children who attend primary school daily or almost daily 108. Number of children who attend vocational school daily or almost daily 109. Number of children who attend high school daily or almost daily 110. Number of children who attend post-secondary school daily or almost daily 111. Number of children who dropped out of elementary school 112. Number of children who dropped out of primary school 113. Number of children who dropped out of vocational school 114. Number of children who dropped out of high school 115. Number of children who dropped out of post-secondary school 116. Number of qualified teaching staff - kindergarten 179 This is a translation from Romanian Page 180 of 220 117. Number of unqualified teaching staff - kindergarten 118. Number of qualified teaching staff - elementary school 119. Number of unqualified teaching staff - elementary school 120. Number of qualified teaching staff - primary school 121. Number of unqualified teaching staff - primary school 122. Number of qualified teaching staff - vocational school 123. Number of unqualified teaching staff - vocational school 124. Number of qualified teaching staff - high school 125. Number of unqualified teaching staff - high school 126. Number of qualified teaching staff - post-secondary school 127. Number of unqualified teaching staff - post-secondary school Health Id Indicator Indicator Year of Source value reference of data 128. No. of family doctors 129. No. of nurses 130. No. of doctors 131. No. of people enrolled with a family doctor 132. No. of children 0-2 y.o. enrolled with a family doctor 133. No. of children 3-6 y.o. enrolled with a family doctor 134. No. of children below 0-2 of age immunised (compulsory schedule) 135. No. of children below 3-6 of age immunised (compulsory schedule) 136. No. of sick people - TB 137. No. of diseased - hepatitis 138. No. of diseased - cardiovascular disease 139. No. of diseased - infectious disease 140. No. of diseased - physical disability 141. No. of diseased - mental health issues 142. Distance to the nearest family doctor (km) (0 if available in the settlement) 143. Distance to the nearest medical practice (km) (0 if available in the settlement) 180 This is a translation from Romanian Page 181 of 220 144. Distance to the nearest polyclinic (km) (0 if available in the settlement) 145. Distance to the nearest hospital (km) (0 if available in the settlement) 146. Distance to the nearest pharmacy (km) (0 if available in the settlement) 181 This is a translation from Romanian Page 182 of 220 Annex 12: Diagnosis sheet for the commune/town where the excluded community is located The sheet only includes the information that can be filled in for the commune (and which is not collected through the community or the village questionnaire). The questionnaire items need to be correlated with the indicators regarding justification of the eligible activities. Settlement (commune/town) sheet For the source of data insert: 1. NIS census 4. Own survey 7. Estimates of staff / school data / nursery data 2. Own census 5. Other survey 8. Estimates of doctors / hospital dispensary data 3. Survey of a research institute 6. Estimates of mayor, civil 9. Other source servant / town hall data Demographics Id Indicator Indicator Year of Source value reference of data 1. No. of households 2. No. of residents 3. No. of women 4. No. of men 5. No. of 0-2 y.o. 6. No. of 3-6 y.o. 7. No. of 0-14 y.o. 8. No. of 15-64 y.o. 9. No. of 65+ y.o. 10. No. with elementary school education 11. No. with primary school education 12. No. with high school education 13. No. with higher education 14. Breakdown per ethnic groups (No.): 15. Romanians 182 This is a translation from Romanian Page 183 of 220 16. Roma 17. Hungarians 18. other ethnic groups (which?____________________________) 19. Breakdown per religious denominations (No.): 20. Orthodox 21. Catholic 22. Protestant/Neo-Protestant 23. other denominations (which?____________________________) 24. No. births 25. No. deaths 26. No. of deaths children < 1 y.o. 27. No. divorces 28. No. marriages 29. No. of under-age pregnancies 30. No. of abandoned children 31. No. of children in institutions 32. No. of children in single-parent families 33. No. of children in families receiving the Minimum Income Guaranteed 34. No. of children with special health issues, children with special needs Infrastructure Id Indicator Indicator Year of Source value reference of data 35. National road (km in the settlement) 36. Total asphalt roads (km in the settlement) 37. Total paved roads (km in the settlement) 38. Total dirt roads (km in the settlement) 39. Distance from the commune centre / town centre (km) 40. Distance to the nearest city (km) 41. Access to railway 1. Yes 2. No 42. Landline telephony available 1. Yes 2. No 43. Mobile telephony available 1. Yes 2. No 183 This is a translation from Romanian Page 184 of 220 44. No. of homes connected to the water grid (0 if none) 45. No. of homes connected to the sewer grid (0 if none) 46. No. of homes connected to the electricity grid (0 if none) 47. No. of homes connected to the city gas grid (0 if none) 48. No. of abandoned buildings or construction sites Economic activities Id Indicator Indicator Year of Source value reference of data 49. No. of economic units (farming and non-farming) 50. No. of non-farming economic units 51. Main fields of business - 1 ……………………………………………………… 52. Main fields of business - 2 ……………………………………………………………. 53. Main fields of business - 3 ……………………………………………………………. 54. Main fields of business - 4 ……………………………………………………………. 55. No. of farming economic units 56. Main types of business - 1 ……………………………………………………………. 57. Main types of business - 2 ……………………………………………………………. 58. Main types of business - 3 ……………………………………………………………. 59. Main types of business - 4 ……………………………………………………………. 60. Total farming land surface 61. out of which cultivable land 62. out of which pastures 63. out of which hay lands NGOs Id Indicator Indicator Year of Source value reference of data 64. Number of active NGOs 65. Main fields and activities - 1 …………………………………………………………… 66. Main fields and activities - 2 …………………………………………………………… 67. Main fields and activities - 3 …………………………………………………………… 68. Main fields and activities - 4 …………………………………………………………… 184 This is a translation from Romanian Page 185 of 220 Employment structure Id Indicator Indicator Year of Source value reference of data 69. Number of wage earners 70. Number of business owners 71. Number of independent workers 72. Number of daily labourers 73. Number of unemployed on benefits 74. Number of people employed in farming 75. Number of pensioners 76. Number of housewives 77. Number of commuters 78. Number of people temporarily away to work abroad Social welfare Id Indicator Indicator Year of Source value reference of data 79. No. of applications for Minimum Income Guaranteed 80. No. of approved Minimum Income Guaranteed files 81. Number of social homes 82. Number of assisted - welfare canteen 83. Number of assisted - allowances for home heating 84. Number of assisted - allowances for people with special needs, including disabled people 85. Number of child protection files Education Id Indicator Indicator Year of Source value reference of data 86. Distance to the nearest kindergarten (0 if available in the settlement) 87. Distance to the nearest elementary school (0 if available in the settlement) 88. Distance to the nearest primary school (0 if available in the settlement) 185 This is a translation from Romanian Page 186 of 220 89. Distance to the nearest vocational school (0 if available in the settlement) 90. Distance to the nearest high school (0 if available in the settlement) 91. Distance to the nearest post-secondary school (0 if available in the settlement) 92. Distance to the nearest university (0 if available in the settlement) 93. Number of kindergarten groups 94. Number of elementary school class groups 95. Number of primary school class groups 96. Number of vocational school class groups 97. Number of high school class groups 98. Number of post-secondary school class groups 99. Number of children enrolled in kindergarten 100. Number of children enrolled in elementary school 101. Number of children enrolled in primary school 102. Number of children enrolled in vocational school 103. Number of children enrolled in high school 104. Number of children enrolled in post-secondary school 105. Number of children who attend kindergarten daily or almost daily 106. Number of children who attend elementary school daily or almost daily 107. Number of children who attend primary school daily or almost daily 108. Number of children who attend vocational school daily or almost daily 109. Number of children who attend high school daily or almost daily 110. Number of children who attend post-secondary school daily or almost daily 111. Number of children who dropped out of elementary school 112. Number of children who dropped out of primary school 113. Number of children who dropped out of vocational school 114. Number of children who dropped out of high school 115. Number of children who dropped out of post-secondary school 116. Number of qualified teaching staff - kindergarten 117. Number of unqualified teaching staff - kindergarten 186 This is a translation from Romanian Page 187 of 220 118. Number of qualified teaching staff - elementary school 119. Number of unqualified teaching staff - elementary school 120. Number of qualified teaching staff - primary school 121. Number of unqualified teaching staff - primary school 122. Number of qualified teaching staff - vocational school 123. Number of unqualified teaching staff - vocational school 124. Number of qualified teaching staff - high school 125. Number of unqualified teaching staff - high school 126. Number of qualified teaching staff - post-secondary school 127. Number of unqualified teaching staff - post-secondary school Health Id Indicator Indicator Year of Source value reference of data 128. No. of family doctors 129. No. of nurses 130. No. of doctors 131. No. of people enrolled with a family doctor 132. No. of children 0-2 y.o. enrolled with a family doctor 133. No. of children 3-6 y.o. enrolled with a family doctor 134. No. of children below 0-2 of age immunised (compulsory schedule) 135. No. of children below 3-6 of age immunised (compulsory schedule) 136. No. of diseased - TB 137. No. of diseased - hepatitis 138. No. of diseased - cardiovascular disease 139. No. of diseased - infectious disease 140. No. of diseased - physical disability 141. No. of diseased - mental health issues 142. Distance to the nearest family doctor (km) (0 if available in the settlement) 143. Distance to the nearest medical practice (km) (0 if available in the settlement) 144. Distance to the nearest polyclinic (km) (0 if available in the settlement) 187 This is a translation from Romanian Page 188 of 220 145. Distance to the nearest hospital (km) (0 if available in the settlement) 146. Distance to the nearest pharmacy (km) (0 if available in the settlement) 188 This is a translation from Romanian Page 189 of 220 Annex 13: Minimal synthetic sheet for the excluded community The minimal synthetic sheet for the excluded community is a tool that might be requested to be filled in by the applicants at a minimum level. This sheet might replace Appendix B in this call. Minimal synthetic diagnosis sheet for the excluded community (fill in for each excluded area targeted under the project) Name of settlement.................................................................. County..................................... Excluded communities - Minimal synthetic sheet for excluded area – Excluded area |___| (marked on the map and in table Q3 in the Commune Sheet with code |___|) (An Excluded Area Sheet will be filled in for each area.) Excluded area population P1. Number of households according to … TOTAL NON-ROMA + NON-ROMA ROMA ROMA 1. NIS census 2. OWN census 3. town hall estimates 4. Roma leaders P2. Population according to NIS census NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. 189 This is a translation from Romanian Page 190 of 220 P3. Population according to … 1. own census 2. own survey NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. P4. Population according to town hall estimations NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. P5. Population according to Roma leaders NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. A1. Name of area or name recognised locally A2. Name of village /s / town that the area belongs to A3. Description of the excluded area A4. Localisation of the excluded Name of streets or land marks that Number of households area (don't forget to enclose delimit it the map of the area) A5. Type of area 190 This is a translation from Romanian Page 191 of 220 1. Roma community (irrespective of the ethnic What is the % of Roma out of the total population in group stated in the census) the excluded area? ……% 2. other type, namely … A6. History of the area What year has this excluded area come into existence? 1. Before 1990 2. After 1990, approximately year |___|___|___|___| How did the community come about and how did it get into the present situation? ............................................................................................................................................................................. ............................................................................................................................................................................. A7. What are the biggest challenges that the children in this area are facing? Problem / Need 1 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ A8. What are the biggest challenges that the elders in this area are facing? Problem / Need 1 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ A9. What are the biggest challenges that the adults in this area are facing? 191 This is a translation from Romanian Page 192 of 220 Problem / Need 1 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 2 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ Problem / Need 3 …….…..………………………………………………………………………………....... ........................................................................................................................................................................ A10. Geographic barriers Are there any geographical obstacles (natural physical obstacles / man-made or other types) that hinder the inhabitants of the excluded area to get to the centre of the commune by taking the shortest road / that separate the area from the rest of the community? 1. Yes 2. No What are these barriers? (river, railways, fence, ravine, hill, valley, forest, waste dump, water purification plant, etc.) ............................................................................................................................................................................. ............................................................................................................................................................................. Education A11. Educational units 1. Is there a kindergarten in the excluded community? 1. Yes 2. No If none: ..….. km What is the distance to the nearest kindergarten? Is there any public transportation available to this kindergarten? 1. Yes 2. No 2. Is there an elementary school in the excluded community? 1. Yes 2. No 192 This is a translation from Romanian Page 193 of 220 If none: ..….. km What is the distance to the nearest elementary school? Is there any public transportation available to this elementary 1. Yes 2. No school? 3. Is there a primary school in the excluded community? 1. Yes 2. No If none: ..….. km What is the distance to the nearest primary school? Is there any public transportation available to this primary school? 1. Yes 2. No 4. Is there a high school in the excluded community? 1. Yes 2. No If none: ..….. km What is the distance to the nearest high school? Is there any public transportation available to this high school? 1. Yes 2. No 5. Is there an educational mediator in the community? 1. Yes 2. No A12. Number of children ... NON- ROMA TOTAL ROMA 14. 0-2 y.o. 15. 3-6 y.o. 16. 3-6 y.o. enrolled in kindergarten 17. 3-6 y.o. who attend kindergarten almost daily 193 This is a translation from Romanian Page 194 of 220 18. 7-11 y.o. 19. 7-11 y.o. enrolled in elementary school 20. 7-11 y.o. who attend elementary school almost daily 21. 12-15 y.o. 22. 12-15 y.o. enrolled in primary school 23. 12-15 y.o. who attend primary school almost daily 24. 16-19 y.o. 25. 16-19 y.o. enrolled in high school / vocational school 26. 16-19 y.o. who attend high school / vocational school almost daily A13. Regarding education, what are the main challenges that the children in this community are facing? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A14. What are the main challenges that the teachers in this community / vicinity are facing? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… Employment and livelihoods/sources of income A15. Number of people employed / who have a job ... NON- ROMA TOTAL ROMA 15. Formally (under labour contract / records) 16. Informally (no labour contract / records) 17. In the field of farming Describe:* 18. In the field of crafts 194 This is a translation from Romanian Page 195 of 220 Describe:* 19. In the field of freelance professions (plumber; bricklayer, etc.) Describe:* 20. In other fields Describe:* * list the sources of incomes for the three fields, indicate the prevailing crafts / occupations; social- demographic characteristics s of the people who have these occupations. A16. Social benefits granted to the population in the excluded area (files processed for payment) 6. Number of beneficiaries of Minimum Income Guaranteed |___|___|___| 7. Number of beneficiaries of support allowances and family allowances |___|___|___| 8. Number of beneficiaries of allowances for heating |___|___|___| 9. Number of benefit files for people with special needs, including disabled |___|___|___| 10. Number of child protection files |___|___|___| Health A17. What are the most important health-related challenges that the inhabitants of the excluded area are facing? Describe the situation. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A18. Are there any... in the excluded area / vicinity? How many days in a week are they open? And how many hours in a day, usually? Are there any? 9. family doctor 1. Yes 2. No 10. community nurse 1. Yes 2. No 11. healthcare mediator 1. Yes 2. No 195 This is a translation from Romanian Page 196 of 220 12. school doctor 1. Yes 2. No 13. school nurse 1. Yes 2. No 14. integrated community centre 1. Yes 2. No 15. medical dispensary 1. Yes 2. No 16. hospital 1. Yes 2. No Papers A19. Estimated number of people with no ID papers (Personal Identification Number, CNP) NON-ROMA ROMA TOTAL NON-ROMA + ROMA 0-14 15-64 65+ 0-14 15-64 65+ 0-14 15-64 65+ total total total y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. y.o. Housing A20. The area is mostly... 1. block housing 3. clay and straws/ half- 5. other situation, namely timber homes 2. brick / 4. improvised housing concrete-made (cardboard, iron sheet, etc.) homes Total number of homes in the area |___|___|___| Out of which: privately owned |___|___|___| owned by the town hall |___|___|___| empty homes and |___|___|___| rented to residents in the area If there are any homes owned by the town hall and rented to the population, Within the past 5 years, have there been any cases of families evicted from homes? If Yes: For what reason? 196 This is a translation from Romanian Page 197 of 220 ................................................................................................................. ................................................................................................................. A21. What is the form of land ownership most frequently seen in the excluded community? 1. own property or owned by a relative 4. in concession from the town hall 7. occupied with no legal papers 2. rented from the town hall 5. in concession from a person 3. rented from a person / company 6. in concession from a private company A22. What is the condition of the homes in the area? 1. they might fall down at any time 3. solid, but neglected 2. deteriorated, would need consolidation 4. solid and clean A23. Are the homes overcrowded in the area? 1. Yes 2. No A24. Estimated number of households with no ownership documents for the home/land |___|___|___| If any: Describe: Why are there no ownership documents? What solutions are there? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A25. Number of households with … |___|___| ... running water inside from the public grid 9999. NO public grid in the area |___|___| ... running water inside the home from own system |___|___| ... running water outside the home from the public grid |___|___| ... running water outside the home from own system A26. Number of households connected to … |___|___| public sewer grid 9999. NO public grid in the area |___|___| own sewer system A27. Number of homes with own bathroom inside the home |___|___| A28. Number of homes connected to the electricity grid |___|___| 197 This is a translation from Romanian Page 198 of 220 A29. Number of homes connected to the city gas network |___|___| If there are any homes not connected: What are the reasons why they are not connected? A30. Is there public lighting in the area? 1. Yes 2. No A31. Does the area have access to garbage collection and transport services? 1. Yes 2. No A32. Is the area exposed to floods? 1. Yes 2. No If Yes: Have there been any floods or water breakthroughs in the past 5 years? 1. Yes 2. No A33. Is the community situated near a waste dump / waste storage facility? 1. Yes 2. No A34. Does litter and other type of waste accumulate around the households? 1. Yes 2. No A35. Is the community located in an area exposed to landslides / any other environmental risks? 1.Yes 2.No Culture traditional integrated assimilated A36. Number of people of the Roma ethnic group who are ... A37. Are there any early marriages? 1. Yes 2. No If Yes: Describe (how many couples; do they have any children, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A38. Is Romani language spoken? 1. Yes 2. No If Yes: Describe (number of people / households that speak Romani, on a daily or occasional basis). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A39. What branches of Roma are there in the excluded area? ……………………………………………………………………………………………………………………………… 198 This is a translation from Romanian Page 199 of 220 ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A40. What habits, customs, rules do Roma people in this area have? Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… Other local resources A41. Which of the following are available in the excluded area / vicinity? Are Describe the situation (number; business hours; functionality; goods; there quality; distance, etc.), the problems, the possible solutions any? 1. Yes 14. "Cultural house" 2. No 1. Yes 15. Post office 2. No 1. Yes 16. Bank office 2. No 1. Yes 17. Pharmacy 2. No 1. Yes 18. Church 2. No 1. Yes 19. Shops 2. No 20. Social areas, 1. Yes playgrounds 2. No 1. Yes 21. Food market 2. No 1. Yes 22. Clothes market 2. No 1. Yes 23. Flea market 2. No 1. Yes 24. Bus stop 2. No 25. Railway station / 1. Yes Train stop 2. No 26. Non-government 1. Yes organisation (NGO) 2. No 199 This is a translation from Romanian Page 200 of 220 Tensions and social dynamics A42. In the past two years, have the inhabitants of this area filed any complaints / intimations with the town hall? What were the main issues announced and what happened as a result of these complaints? Describe (what was the complaint about; who filed it; who proposed what solutions; results; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A43. What are the main sources of tension within this excluded area? Describe (source; groups involved; their size; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A44. What are the main sources of tension between the inhabitants of the excluded area and the other inhabitants in the settlement? Describe (source; groups involved; their size; solutions, etc.). ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A45. Are there any mixed families in the excluded area (Roma people living together with non- Roma)? What would be the prevalence of these mixed families; what ethnic groups are involved; are the relations legalised, etc.? Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A46. How do the locals in the commune relate to the residents of this area? Do they behave in the same way they do with the inhabitants of other areas? Do they avoid them? Are they suspicious of them? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A47. Are Roma children who attend kindergarten part of...? Describe the situation. 200 This is a translation from Romanian Page 201 of 220 1. groups that include Roma children and children from other ethnic groups 2. groups that include only Roma children ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A48. Is there any formal or informal leader in the community? 1. Yes 2. No If Yes: Describe. ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… A49. Are there any issues related to crime and public order in the area? 1. Yes 2. No If Yes: What type of crimes are prevailing (theft; quarrels; scandals; drinking; fights; domestic violence, etc.)? ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… ……………………………………………………………………………………………………………………………… 201 This is a translation from Romanian Page 202 of 220 Annex 14: Questionnaire to validate inclusion in the project target group (suffering poverty and social exclusion) The sheet identifies whether the members of a certain household belong to the target group, and then how many of them participate in various project activities. Questionnaire to validate inclusion in the project target group (suffering poverty and social exclusion) I1.County: _______________________ I2. Town / Commune: _______________________________ I3. Neighbourhood / Village: ______________________________ I4. Name of excluded community (informal name of the community / name as used by the locals): ______________________________________________ I5. Household address (street and number): ______________________________________________________________________________________________ I6. Any other specific information that could help in identifying the household: ______________________________________________________________ Indicators that justify inclusion in the target group (people at risk of poverty and exclusion) No. of No. of No. of Total net income of the Average income / Poverty threshold at Poverty threshold (below 60% of the available adults children adults household in the past 12 adult equivalent national level (RON) average income, equivalent) (18+) (0-17) equivalent months (RON) (RON)  Cannot afford to pay rent, instalments on loans or utility bills  Cannot afford to maintain the home heated properly  Cannot respond to contingencies with their own resources Severe material deprivation (requirement met if at least 4 out of the 9 deprivation elements  Cannot afford to eat meat or proteins once every two days are met)  Cannot afford to go on yearly one-week vacations away from home  Cannot afford a colour tv  Cannot afford a washer 202 This is a translation from Romanian Page 203 of 220  Cannot afford a car  Cannot afford a telephone No. of Labour intensity people Total number of months worked in Average number of months People who live in households with extremely (requirement met if 18-59 the past 12 months of the pers. worked in the past 12 months of low intensity of labour (0-59 y.o. living in (c)/12<0.2) y.o. 18-59 y.o. the pers. 18-59 y.o. households where adults - 18-59 y.o. - have worked at less than 20% of their full potential (b) (c)=b/a in the previous year) (d)=(c)/12 (a) The following table should be filled in for each social category (sub-group) of the big target group (people in poverty and social exclusion). In the lines, list the project activities and sub-activities pertaining to that category. The column title will contain the name of the members of the household, and the corresponding lines will contain the demographics for each person that participates in at least one activity. In the inner cells (crossing between activities and persons) insert YES for people who participate in that activity or NO if they don't participate. DEFINE SOCIAL CATEGORY 1 (SUB-GROUP OF TARGET Pers. 1 Pers. 2 Pers. 3 Pers. 4 Pers. 5 Pers. 6 Pers. 7 Pers. 8 GROUP):...............………………………………………………………… ............... ............... ............... ............... ............... ............... ............... ............... ………………………………………………………………………… …………….. …………….. …………….. …………….. …………….. …………….. …………….. …………….. Gender Age Last form of education graduated Employment status …* Activity 1 Sub-activity 1.1. Sub-activity 1.2. Sub-activity 1.3. 203 This is a translation from Romanian Page 204 of 220 … Activity 2 Sub-activity 2.1. Sub-activity 2.2. Sub-activity 2.3. … Activity 3 Sub-activity 3.1. Sub-activity 3.2. Sub-activity 3.3. … * list all the relevant characteristics that justify inclusion in the target group that corresponds to the activities that a person attends DEFINE SOCIAL CATEGORY 2 (SUB-GROUP OF TARGET Pers. 1 Pers. 2 Pers. 3 Pers. 4 Pers. 5 Pers. 6 Pers. 7 Pers. 8 GROUP):...............………………………………………………………… ............... ............... ............... ............... ............... ............... ............... ............... ………………………………………………………………………… …………….. …………….. …………….. …………….. …………….. …………….. …………….. …………….. Gender Age Last form of education graduated Employment status …* Activity 1 Sub-activity 1.1. 204 This is a translation from Romanian Page 205 of 220 Sub-activity 1.2. Sub-activity 1.3. … Activity 2 Sub-activity 2.1. Sub-activity 2.2. Sub-activity 2.3. … Activity 3 Sub-activity 3.1. Sub-activity 3.2. Sub-activity 3.3. … * list all the relevant characteristics that justify inclusion in the target group thar correspond to the activities that a person attends Declaration signed by the head of the household: Undersigned ……………………………………….., hereby declare that all the information mentioned above is correct and I agree that the respective persons attend the respective activities. Signature: …………………………………………… Date: ………………………………… 205 This is a translation from Romanian Page 206 of 220 Annex 15: Indicators useful in evaluating project activities Domain Indicator Type Education Number of Roma pupils enrolled in schools / integrated class groups. Outcome Prevalence of Roma children enrolled in schools / class groups for children Outcome with special needs. Prevalence of Roma children who drop out of kindergarten / elementary Outcome school / primary school / vocational school. Prevalence of Roma children who graduate primary school / vocational Outcome school. Number of Roma pupils who attend kindergarten. Outcome Number of kindergarten classrooms built or refurbished (located in areas Output with Roma population). Number of Roma children / families that receive educational support. Output Number of Roma children / families that receive additional educational Output support. Average of school evaluations for children in the project area (per total Outcome children, respectively per Roma children). Number of Roma parents who get involved in the activities carried out at Output school. Number of teachers who took additional training (to work with Output disadvantaged children). Number of teachers who had additional training on cultural skills. Output Number of Roma adults who had vocational training. Output Employment Number of Roma adults who received training or support for obtaining Output of the labour their first job. force Number of Roma adults who have obtained a certificate or permit. Output Number of Roma adults who received technical support for setting up a Output business or freelance activity. Number of Roma adults who have access to loans. Outcome Number of new businesses created by Roma adults. Outcome Number of Roma adults who receive services from an employment office. Outcome Number of Roma adults employed in the public sector. Outcome Prevalence of Roma adults stating that they have been discriminated on Outcome the labour market. Health Number of medical staff serving Roma communities who received training Output 206 This is a translation from Romanian Page 207 of 220 on cultural skills. Number of Roma assisted by healthcare mediators. Outcome Number of hygiene spaces built, refurbished and/or equipped in the areas Output with Roma population. Number of Roma who have obtained ID papers. Outcome Number of Roma who have access to the minimum bundled healthcare, Outcome nutrition and reproduction services. Number (or increased prevalence) of pregnant Roma women in prenatal Outcome care. Number (or increased prevalence) of births assisted by specialised medical Outcome staff. Number of pregnant / lactating Roma women, Roma teenagers, and/or Outcome Roma children aged up to 5 y.o. who have received nutrition services. Number of immunised Roma children. Outcome Number of Roma reached by an awareness-building campaign. Output Number of Roma who have basic knowledge regarding a healthy lifestyle. Outcome Housing Number of Roma families living in social housing. Output Number of camping places for nomadic Roma. Outcome Number of Roma that use the camping places. Outcome Number of Roma benefiting from the newly created infrastructure (water, Outcome city gas, electricity). Number of Roma who have acquired access to better sources of water. Outcome Number of Roma who have acquired access to better sanitation. Outcome Number of Roma who acquired access to roads usable in any season Outcome within a range of 500 m. Number of Roma who have acquired access to garbage collection services. Outcome Number of Roma who have acquired access to electricity as a result to the Outcome household being connected. Number of Roma who acquired rights of usage or ownership over certain Outcome goods. Number of lots of land for which usage or ownership rights have been Outcome registered (in relation to the Roma population). Number of hectares of land for which usage or ownership rights have Outcome been registered (in relation to the Roma population). Other Prevalence of Roma in the total number of the project's direct Output indicators beneficiaries. 207 This is a translation from Romanian Page 208 of 220 Number of vulnerable, excluded persons who are aware of the Outcome investments carried out under the project. Number and prevalence of the Roma population that participates in the Outcome consulting and decision-making process in the community. Prevalence of Roma in local management structures and local decision- Output making committees. Number and prevalence of the Roma population that participates in the Outcome consulting and decision-making process in the community. Envisaged number of Roma beneficiaries who have knowledge of the Outcome project and the investments carried out under it. Number of complaints of the Roma beneficiaries regarding distribution of Outcome the project benefits. Number of sub-projects or investments to benefit the Roma population Output for which there is agreement at local level and which are planned to be implemented after completion of the project. Number and prevalence of Roma beneficiaries who state that the Outcome investments carried out under the project reflect their needs. Number of Roma beneficiaries who have dropped out of the project. Outcome 208 This is a translation from Romanian Page 209 of 220 Annex 16: Qualitative Research Instruments Interview Guide (individual or focus group) Guidelines86 TARGET GROUP (describe the interview or focus group attendants, respectively the categories / criteria based on which the attendants who answered in the interview/focus group were selected ): SETTLEMENT (where were the interview/focus group attendants selected): PERIOD (when the research is carried out; mention the period for the entire research, which could last several days / weeks etc.): Moderator introduction, general topics of discussion, description of technical details, introduction of attendants - 10 min. Hello. My name is... and I am................... Thank you for having accepted our invitation to attend this meeting and discuss about important issues in your settlement/ community. Before we start, we will ask you to express your point of view in a straightforward manner, with no preconceived ideas. Let me tell you that there are no wrong or right opinions, good or bad answers; what we are interested in is your frank opinion regarding the aspects we are going to tackle; your answers are very important for us, so that we can get a true image of what people like you believe of these things. The discussion will take about one hour, one hour and a half. I will also ask for your permission to record our discussion, as it would be easier for us later on to remember all the details and generate the final report. At the same time, I assure you that everything we will discuss here will remain strictly confidential and will be used exclusively for our research, and that the respondents will be kept anonymous. (After getting permission to record) Now let's introduce ourselves. Introduction of respondents; name or surname / age, occupation, educational background. 86 The questions in this interview guide are merely guidelines; every researcher/expert carrying out the research will be free to add other questions or to adapt the ones provided in this template. Although this template proposes questions both for individual and for group interviews / focus groups, we have to specify that the two types of research approaches do have certain specific features that the researcher needs to take into account and which will reflect as such in the research instrument used within the survey. Moreover, we will mention that the interview guide will also reflect, on one hand, the hypotheses / theoretical grounds that will substantiate the research and, on the other hand, the characteristics of the target group envisaged (questions will be adapted depending on the person interviewed, for instance representatives of local authorities or people belonging to the vulnerable groups). 209 This is a translation from Romanian Page 210 of 220 General / introductory questions 1. How happy are you in general with the standards of living in your settlement/community? Do you believe these will improve over the next years, or - on the contrary - they will get worse? Why do you think that? 2. What are the main challenges that your settlement/community is facing? What would be needed in your settlement/community, to make your life better? Why? Are you aware of the situation of the Roma in the settlement? What can you tell us about this? 3. Who do you think could help most in solving the issues mentioned here? 4. If you were the mayor, what would be the first three things/issues that you would plan to solve? Labour market; opportunities for employment 5. In general, could you say that it is easy for people in your settlement/community to find a job? Are there many people in the settlement/ community who would like to work, but have no job? How do you believe this situation can be explained? 6. Where could people in your settlement/community find work? Do people commute to other settlements too? What people is it more difficult to get a job for? What are the big employers in the area? 7. Is there a possibility to get a job abroad, are people interested to immigrate abroad for work? Why? 8. What are the main occupations of people in the settlement/ your community, what do most of them do? 9. Are there any local businesses, small local businesses in the settlement/community or nearby (5-10 km)? What field of activity, what line of business are they in / what do they do / what do they manufacture / sell? What is your perception of the owners of these businesses, the people who manage the businesses? 10. Are there any investors from outside the settlement, factories with bigger production? If yes, what do they manufacture? Is this kind of investors a solution to increase the employment rate in the settlement? Why do you believe that? 11. FOR THE RURAL ENVIRONMENT OR SMALL URBAN SETTLEMENTS, SIMILAR TO RURAL. How important is the farming activity in your settlement/community? Are there many people involved in farming, in your settlement? About how many, of the total population? Do you think that farming work can supply for the needs of your household? Why? 12. What do you believe could be done in your settlement, so that people can find jobs easier? What kind of initiatives, who should be responsible, what kind of actions, etc.? Justify your answer. Education in the settlement 13. How do you feel about the learning conditions at the school in your settlement/community/neighbourhood? Is there enough room; are the classrooms heated in winter; are there enough teaching resources available (laboratories, sports halls, etc.)? Are there enough teachers, are they sufficiently trained? What else? What could be done to fix these problems? 210 This is a translation from Romanian Page 211 of 220 14. Is there a nursery/kindergarten in the settlement/nearby the community/the neighbourhood where you live? Can it provide education for all the children in the settlement/community/neighbourhood? Is it easy for the children in the settlement/community/neighbourhood to continue their education into high school? Do all children in the settlement/community/neighbourhood attend these? Why? Could anything be done to improve the current situation? 15. Are there any problems with children's travelling to school? Are there any children who cannot travel to school in certain periods of the year (in winter, fall, when it snows or rains a lot)? Why? Are there any children who travel too long distances from home to school? What could be done to fix these problems? 16. Are there many children of poor, needy families in the school, as far as you are aware of? What are the challenges that these children face in school? What could be done to fix the situation? 17. Are there any children of school age, but who have stopped going to school, who have dropped out of school? Could you say that such cases are numerous, or rather scarce? Why are there such children, are there any specific categories of children who would drop out of school to a greater extent? What could be done to reduce school dropout among these children? 18. What is the relationship between the town hall and the school management? How would you describe the parents' relationship with the school? Is there an association of parents in the school/s that you are aware of in the settlement? Could anything be done to improve these aspects? 19. In your opinion, what could be done with a view to acquiring better learning conditions in the schools in the settlement/community/neighbourhood, especially for children coming from vulnerable environments (poor; Roma; single parent families; no parents at home, etc.)? What is missing for these things to come about? Access to healthcare services 20. Is there a medical dispensary, a pharmacy in your settlement/community/neighbourhood? How often can a doctor be found at the medical practice that is nearest to the Roma community? Is the doctor from the settlement? And is there any dentist practice? Are there any problems in delivering these medical services to the people? 21. How far is the nearest hospital to your settlement/community/neighbourhood? Does it happen that the ambulance takes too long to get here in cases of medical emergency? For instance in winter, do people have access to medical services? What could be done to solve this problem? 22. Are there certain categories of inhabitants for which access to quality medical services is more difficult? What are these categories and why? What could be done to solve such problems? 23. In your opinion, what could be done for the inhabitants to have access to better services, so that their medical problems can be addressed easier? Infrastructure in the settlement/housing 24. How do you feel about the roads in the settlement, about their quality? Are they good enough, everywhere in the commune? 25. Are there certain communities/areas of the settlement, where access on the road is more difficult usually or on certain times of the year (winter, fall, etc.)? Why? What could be done? 211 This is a translation from Romanian Page 212 of 220 26. Are there any flows of water/rivers that cross in the area and where more bridges would be needed? What kind of bridges (for people, for machine tools/cars, etc.)? Any other problems? 27. Is it easy to get from one neighbourhood to another nearby one, or in nearby settlements or towns? How do you get there if you are to use public transportation? Is there a railway station in the settlement? Regular bus/micro-bus fares? 28. How are people's homes, do they provide a minimum standard of comfort and safety? Are there any people who have no adequate housing to ensure heating in the winter or shelter in rainy weather? How do people heat their homes? Are there any households where people who live there have no ownership documents for the house? Why does that happen? 29. Are there any homes/households with no electricity, no utilities (sewers, city gas, access to running water)? What is the extent, and where are they located in the commune? How could this problem be solved? 30. What could be done in your settlement, so that people get better housing conditions? What is missing for these things to be done? 31. What could be done in order to have better transport/travelling conditions? What is missing for this to come about? Other problems In addition to what we discussed, are there any other issues that you think should be solved in the settlement/community/neighbourhood? How could these be solved, in your opinion, who are the persons responsible for this? Closing 5 min We are reaching the end of our meeting... ( discussion brief). If there is anything you would like to add about the things we already discussed etc. Time assigned for the focus group session 1h 30 min. 212 This is a translation from Romanian Page 213 of 220 Observation sheet template for community/envisaged area of intervention Guidelines Settlement / neighbourhood / area where the observation takes place........................................... Specify the space observed (school; kindergarten; medical dispensary; households of vulnerable persons; town hall; cultural centre; park, etc.) ....................................................................................................................................................................................................................... .................................................... Period covered by observation.......................................................................... Team carrying out the observation (expert/s) 1................................ 2................................. 3................................. Aspects to look at (the aspects mentioned below are merely non-exhaustive guidelines): A. Description of the environment observed o Description of the services provided/functions or uses of the space observed (educational services; medical services; cultural services; used for living in the case of households, etc.); access to these venues; quality o Description of the purpose envisaged by the services provided; reference quality standards; how is the quality of services determined; the quality of housing, etc. o Description of the space, the existing facilities (access into the school, into the medical dispensary, into the classrooms; equipment; how are class groups organised / school segregation; how is the delivery of medical services organised depending on disease, ethnic group, gender, type of medical intervention etc.) in terms of adequacy to their purpose, quality etc. o Other relevant aspects regarding the environment observed Relevant documents to look at (to the extent to which it is possible): internal operating regulations; class books; patients registry book; land survey plans for the home; social worker reports, etc. 213 This is a translation from Romanian Page 214 of 220 B. Description of actors, main stakeholders, role and status of actors o School headteachers / teachers / medical staff/ co-ordinators/town hall employees/family members o Auxiliary staff in the units/structures observed and other people attending the venue - ambulance people; guards; cleaning staff; family, etc.) o Beneficiaries of the services: children; parents; patients and their families; relatives; neighbours, etc. o Description of the services delivered and the activities carried out in the space observed o What is the role of the actors/persons who are active in the social venue observed? o What is the role of the auxiliary staff? o What is the role of the beneficiaries? o What is the status of each of the categories mentioned? o Other actors? Relevant documents to look at (to the extent to which it is possible): o Staff organisational chart o Family investigations o Job description of the actors o Operating regulations of the department/hospital o Other documents used - admission sheet, operational procedures, etc. Attention! Consider both the formal level (for instance, what is mentioned in the job description or in other written regulations) and the 'informal' level (what goes by itself that the actors have to do, without those things being explicitly mentioned in writing, in a set of regulations or documents). 214 This is a translation from Romanian Page 215 of 220 C. Description of the specific relationships between actors o What is the scope of authority of each of the actors mentioned? o What responsibilities does each of the categories of actors mentioned have? o What type of orders can each of the actors give? o Evaluate affinities between actors (friendship; cold relationships; rejection; not getting along; hatred, etc.) o Describe personal relationships (friendship; relatives; marriage; colleagues, etc.) o Typology of beneficiaries (vulnerable pupils; patients with difficulties in accessing social services, etc.) Relevant documents to look at (to the extent to which it is possible): job description. Additional methods used: discussions with the actors; conversations, etc. D. Description of the operating procedures; how everyday activities are carried out; behaviours in the social venues under observation o Stages of approaching beneficiaries: pupils (enrolling; school schedule; schedule of classes; how school classes are deployed; doing homework; school management; parent-teacher meetings, etc.); patients (consultation; admission; treatment, etc.) etc o Routine of school activities, medical activities; routine in the households under observation, etc. o Description of the sanctions, incentives that stimulate the behaviour of the actors; behavioural routines; daily routines; working hours; duration of work; economic participation of adults; employment, etc. o Description of behaviours on specific moments (doing homework; serving meals; maths/Romanian language classes; consultation, etc.) 215 This is a translation from Romanian Page 216 of 220 216 This is a translation from Romanian Page 217 of 220 E. Other relevant observations / inserted specifically due to their relevance o The map with comments = write down on a map that was photocopied or sketched by the operators, representing spatial discrimination; public and socialising venues; areas with serious problems, etc. o Description of a specific intervention observed (medical consultation with a patient; pupils' clothing; food during school classes; relationships between pupils; a parent-teacher meeting and the topics tackled upon; discussion in the household, etc.) o Other local resources and their role (local associations; cultural associations; informal groups, etc.) o Demographic description of the settlement (by ethnic group; age; birth rates; immigration/re- migration, etc.) o Local infrastructure that restricts access to the public services (the quality of the roads; bridges; distance, etc.) o Access to the labour market, employment among the population o Role of the church; religious participation of the inhabitants (source of social cohesion, of social capital in some cases) o Distance to other spaces relevant to the economic activity of the population, health, education etc. (distance to the nearest economically developed town; to the nearest hospital; to the nearest high school), type of transportation available (train; road, etc.) o Holidays specific to the place; traditions; customs, etc. 217 This is a translation from Romanian Page 218 of 220 Annex 17: Community mobilization guideline Why and when is it necessary to use a community-based approach?  Mobilization of the community is particularly necessary when the intervention involves a reconfiguration or adjustment of the values that characterizes a certain community, touches or questions a certain moral ethos developed at community level, etc.  The support intervention at the level of a community implies, in most cases, certain changes in the values to which the community is committed to, in the norms and principles embraced by the members of a community.  The success of an intervention depends on the degree of dissemination of the initiative within the targeted community (being familiar with the motivation and content of the intervention, the conditions of its implementation, the opportunities that such an intervention may offer, its consequences and expected results, etc.).  It is important not only to know the proposed intervention, but also to obtain community acceptance or support thereof. The stages of community mobilization can be as follows: Getting familiar with the The purpose of this approach is to properly understand the needs of the community, collecting community, the factors that underpin the existence of the identified data on the context in problems, the way to address/ resolve them in an efficient and effective which the intervention is manner. going to take place. The methods to be used in this approach can be as follows: desktop analysis of available data on the community (i.e. official statistics, administrative data of Territorial Administrative Units-TAUs), focus group, sociological interviews, sociological observation, surveys, participatory discussions. It is essential in this approach to notice, collect data and information and to understand the mechanisms that generate the current (desirable or undesirable) situation. The role of the researcher is vital in this approach, but at this stage it is advisable to include also the community facilitator (i.e. the community member who will coordinate the community mobilization process). Identifying those key The purpose of this step is to seek/ identify those key actors on which the actors (i.e. groups, state of play depends, and who can contribute to a desirable change individuals, entities) that through the intervention foreseen at local level. can play a key role in the In this respect, research data already collected will be used and more in- mobilization process. depth discussions with community members, workshops or brainstorming sessions will be initiated. Key actors can be both community members (i.e. leaders, influential people, entrepreneurs, etc.) as well as organizations (local authorities, local organizations providing community service and utilities, the church, etc.). Vulnerable members of the target group on which the intervention is focusing on are themselves key actors in this endeavour. The research methods that can be used at this stage: SWOT analysis, stakeholder analysis, PEST analysis (political, economic, social and technological), social networking analysis (SNA). It is essential at this stage to 218 This is a translation from Romanian Page 219 of 220 "scan" the target community from the point of view of the resources that may be involved in the process of carrying out a supporting intervention. The role of both the researcher and community facilitator becomes of relatively equal importance at this stage. Setting-up initiative The purposes of this stage are to try to connect all relevant community groups, bringing to the stakeholders to the stakes and objectives of the pre-configured support community attention the intervention, the agenda of the needs identified, and to the values, norms issues covered, the and principles promoted. needs identified, The methods used in this approach are eminently participatory i.e. building decision- brainstorming, workshops, meetings, event creation. It is paramount in this making and participation approach to gain community’ support and help for the proposed networks, strengthening intervention solutions through various structures organized/ created the adherence to certain together with and by the community members. The main role at this stage is community principles, held by the community facilitator along with the project team. values and objectives Action and involvement, The aim of this step is to develop community commitment to promote engaging in action to supportive intervention, to get active participation by and support of achieve the intended community members. community goal We may use the participatory methods abovementioned, including actions to promote the intervention to which community members can participate. The community facilitator continues to play a key role, but community members and representatives of the community play themselves an important role at this stage. Implementation of the The purpose of this step is to stimulate both participation by the community project and actions and support granted to the implementation. needed to ensure the In this respect, community representatives can be trained, and empowered sustainability of the to assume certain activities related to the intervention, even its full intervention management. Only in this way the prerequisites for the sustainability of the intervention are ensured. The key role at this stage is played by the management team and project experts who will train community members in the key sustainability issues (i.e. community development, communication, legislation, etc.); an important role is also played by the community facilitator. Monitoring and The purpose of this step is to highlight the results of the intervention, the evaluation of the results role played by the community through its participation in the process. of community Besides monitoring the project's outcome indicators, it is appropriate to use mobilization. sociological research methods to objectively assess the impact of the project, the profound changes the intervention generates at the community level. The specialist’s expertise (i.e. social scientists) is required at this stage. The crucial role lies here with the researcher who is preparing the impact assessment design, collecting data, and interpreting and disseminating them together with the community facilitator. Follow up and The aim of this last stage is to foster the continuation of the intervention and multiplication/replication eventually multiply/replicate it in other relevant contexts. 219 This is a translation from Romanian Page 220 of 220 of the initiative In the light of the results/outcomes of the impact assessment of the project, strong arguments can be put forward to continue the intervention, to allocate new resources, to replicate the intervention into new, more widespread contexts that raise similar problems. The community development model tested can be thus improved and streamlined. The role of the researcher, public policies and communication specialists, the media and other institutional representatives is essential at this stage. 220