Hydropower Sustainability Assessment Protocol

Last updated
Hydropower Sustainability Assessment Protocol
Founded2007
Type Technical standard
Purpose Sustainability reporting
Region served
Worldwide
Governance
Hydropower Sustainability Assessment Council
Website www.hydrosustainability.org/assessment-protocol

The Hydropower Sustainability Assessment Protocol(HSAP) is a global framework for assessing the sustainability of hydropower projects. The Protocol defines good and best practice at each stage of the life-cycle of a hydropower project across twenty-four environmental, social, technical and economic topics. [1]

Contents

The Protocol was developed between 2007 and 2010 by a multi-stakeholder forum made up of representatives from industry, civil society, donors, developing country governments and financial institutions. [2] The final version was published in 2010 after a trial period in sixteen countries. The Protocol was updated in 2018 to include good and best practice in climate change resilience and mitigation. [3]

After the Protocol's launch, the governance entity of the Protocol approved the development of two additional tools derived from the HSAP, the Hydropower ESG Gap Analysis Tool (HESG Tool) to identify gaps against basic good practice and the Hydropower Sustainability Guidelines on Good International Industry Practice (HGIIP Guidelines), a reference document presenting definitions relating to good and best industry practice. [4] [5]

Application

Background

The construction of a dam, power plant and reservoir creates social and physical changes in the surrounding area. As a result, hydropower projects can have both a positive and a negative environmental and social impacts.

The sustainability of the hydropower sector was the subject of a report by the World Commission on Dams in 2000. [6] The HSAP was developed in response to the Commission's recommendations, as well as standards set out in the Equator Principles, World Bank Safeguard Policies, IFC Performance Standards and sustainability guidelines developed by the International Hydropower Association (IHA). [2]

Purpose

The Protocol is used by different hydropower stakeholders for different reasons:

Users

Crédit Agricole, Societe Generale, Standard Chartered, Citi, and UBS now refer to the Protocol in their sector guidance. [7] [8] [9] [10] [11]

The World Bank has analysed the value of the Protocol for use by their clients, concluding that it is a useful tool for guiding the development of sustainable hydropower in developing countries. [3]

The International Institute for Environment and Development has reviewed social and environmental safeguards for large dam projects, concluding that the Protocol currently offers the best available ‘measuring stick’ for the World Commission on Dams provisions. [12]

Process

A Protocol assessment takes place over a one-week period at the project site and provides a rapid sustainability check.

A Protocol assessment does not replace an environmental and social impact assessment (ESIA), which takes place over a much longer period of time as a mandatory regulatory requirement. A Protocol assessment will, amongst other things, check the scope and quality of the ESIA which has been done.

To ensure high quality, all commercial use of the Protocol is carried out by accredited assessors. These assessors have significant experience of the hydropower sector or relevant sustainability issues, and have passed a rigorous accreditation course. [13]

Scope

Tools

The Protocol can be used at any stage of hydropower development, from the early planning stages through to operation. Each project stage is assessed using a different tool:

Topics

The Protocol covers a range of topics that need to be understood to assess the overall sustainability of a hydropower project.

Social aspects

Environmental aspects

Business aspects

Technical aspects

  • Demonstrated need and strategic fit [35]
  • Siting and design [36]
  • Hydrological resource [37]
  • Asset reliability and efficiency [38]
  • Infrastructure safety [39]

The Protocol also includes ‘cross-cutting issues’ such as climate change, gender, and human rights, which feature in multiple topics.

Criteria

For each sustainability topic, performance is assessed against a range of criteria at two levels: basic good practice and proven best practice.

Table 2: Criteria requirement at different levels.

Criteria

Basic Good Practice

Proven Best Practice

Assessment

Adequate and effective assessment of the issues

The assessment takes a broad view of the issues.

No significant opportunities for improvement.

Management

Adequate and effective management plans and processes

Plans can anticipate and respond to new issues and opportunities.

No significant opportunities for improvement.

Stakeholder Engagement

Adequate and effective stakeholder engagement

Project is inclusive and participatory. Feedback is provided. Stakeholders involved in decision-making.

No significant opportunities for improvement.

Stakeholder Support

General support amongst directly affected stakeholder groups

Support of nearly all directly affected stakeholder groups.

In cases, formal agreements with consent of directly affected stakeholder groups.

Conformance and Compliance

No significant non-compliances and non-conformances

No non-compliances and non-conformances.

Outcomes

Impacts are avoided, minimised, and mitigated, with no significant gaps

Impacts are also compensated, and the project enhances pre-project conditions.

History

A multi-stakeholder forum developed the Protocol between 2008 and 2010. [2]

The following key group were represented: social and environmental NGOs, governments of developed and developing countries, financial institutions, development banks, and the hydropower industry.

The forum jointly reviewed, enhanced and built consensus on what a sustainable hydropower project should look like.

Policies taken into account included the World Commission on Dams’ Criteria and Guidelines, World Bank Safeguard Policies, IFC Performance Standards, and the Equator Principles.

A draft of the Protocol was released in 2009, which was trialled in 16 countries across six continents and subjected to further consultation involving 1,933 individual stakeholders from 28 countries.

The final version was produced in 2010. [40]

The diversity of the forum was important to ensure that the Protocol became globally applicable and universally accepted. Diversity also ensured that the multiple perspectives and stakeholder interests surrounding a hydropower project were incorporated into the document.

Governance

The Protocol is governed by a multi-stakeholder body, the Hydropower Sustainability Assessment Council (HSA Council). [41]

The mission of the Council is to ensure multi-stakeholder input and confidence in the Protocol's content and application.

All individuals and organisations engaged in hydropower are welcome and encouraged to join the Council. This approach to governance ensures that all stakeholder voices are heard in the shaping of the use of the Protocol and its future development.

The Council consists of a series of Chambers, each representing a different segment of hydropower stakeholders. Each chamber elects a chair and alternate chair for a two-year term. The chamber chairs come together regularly to form the decision-making Protocol Governance Committee. [42]

Related Research Articles

Governance is the process of making and enforcing decisions within an organization or society. It is the process of interactions through the laws, social norms, power or language as structured in communication of an organized society over a social system. It is done by the government of a state, by a market, or by a network. It is the process of choosing the right course among the actors involved in a collective problem that leads to the creation, reinforcement, or reproduction of acceptable conduct and social order". In lay terms, it could be described as the political processes that exist in and between formal institutions.

<span class="mw-page-title-main">Green building</span> Structures and processes of building structures that are more environmentally responsible

Green building refers to both a structure and the application of processes that are environmentally responsible and resource-efficient throughout a building's life-cycle: from planning to design, construction, operation, maintenance, renovation, and demolition. This requires close cooperation of the contractor, the architects, the engineers, and the client at all project stages. The Green Building practice expands and complements the classical building design concerns of economy, utility, durability, and comfort. Green building also refers to saving resources to the maximum extent, including energy saving, land saving, water saving, material saving, etc., during the whole life cycle of the building, protecting the environment and reducing pollution, providing people with healthy, comfortable and efficient use of space, and being in harmony with nature Buildings that live in harmony. Green building technology focuses on low consumption, high efficiency, economy, environmental protection, integration and optimization.’

The Clean Development Mechanism (CDM) is a United Nations-run carbon offset scheme allowing countries to fund greenhouse gas emissions-reducing projects in other countries and claim the saved emissions as part of their own efforts to meet international emissions targets. It is one of the three Flexible Mechanisms defined in the Kyoto Protocol. The CDM, defined in Article 12 of the Protocol, was intended to meet two objectives: (1) to assist non-Annex I countries achieve sustainable development and reduce their carbon footprints; and (2) to assist Annex I countries in achieving compliance with their emissions reduction commitments.

<span class="mw-page-title-main">Social impact assessment</span> Reviews infrastructure and development

Social impact assessment (SIA) is a methodology to review the social effects of infrastructure projects and other development interventions. Although SIA is usually applied to planned interventions, the same techniques can be used to evaluate the social impact of unplanned events, for example, disasters, demographic change, and epidemics. SIA is important in applied anthropology, as its main goal is to be able to deliver positive social outcomes and eliminate any possible negative or long term effects.

Sustainability reporting refers to the disclosure, whether voluntary, solicited, or required, of non-financial performance information to outsiders of the organization. Generally speaking, sustainability reporting deals with information concerning environmental, social, economic and governance issues in the broadest sense. These are the criteria gathered under the acronym ESG.

<span class="mw-page-title-main">Global Reporting Initiative</span> International standards organization

The Global Reporting Initiative is an international independent standards organization that helps businesses, governments, and other organizations understand and communicate their impacts on issues such as climate change, human rights, and corruption.

Environmental flows describe the quantity, timing, and quality of water flows required to sustain freshwater and estuarine ecosystems and the human livelihoods and well being that depend on these ecosystems. In the Indian context river flows required for cultural and spiritual needs assumes significance. Through implementation of environmental flows, water managers strive to achieve a flow regime, or pattern, that provides for human uses and maintains the essential processes required to support healthy river ecosystems. Environmental flows do not necessarily require restoring the natural, pristine flow patterns that would occur absent human development, use, and diversion but, instead, are intended to produce a broader set of values and benefits from rivers than from management focused strictly on water supply, energy, recreation, or flood control.

An environmental audit is a type of evaluation intended to identify environmental compliance and management system implementation gaps, along with related corrective actions. In this way they perform an analogous (similar) function to financial audits. There are generally two different types of environmental audits: compliance audits and management systems audits. Compliance audits tend to be the primary type in the US or within US-based multinationals.

Soil policy in Victoria refers to guidelines and regulations implemented by the state government of Victoria, Australia, to manage and protect the soil resources within its jurisdiction. One example of a comprehensive soil plan is the North Central Victoria Soil Health Action Plan. These guidelines promote sustainable land management practices that help conserve soil quality, prevent soil degradation, and ensure long-term productivity of agricultural and natural ecosystems.

<span class="mw-page-title-main">Sustainability accounting</span>

Sustainability accounting was originated about 20 years ago and is considered a subcategory of financial accounting that focuses on the disclosure of non-financial information about a firm's performance to external stakeholders, such as capital holders, creditors, and other authorities. Sustainability accounting represents the activities that have a direct impact on society, environment, and economic performance of an organisation. Sustainability accounting in managerial accounting contrasts with financial accounting in that managerial accounting is used for internal decision making and the creation of new policies that will have an effect on the organisation's performance at economic, ecological, and social level. Sustainability accounting is often used to generate value creation within an organisation.

The water resources management system in Uruguay has been influenced by the general sense of water as an abundant resource in the country. Average annual rainfall is 1,182 mm, representing a contribution of 210 km3 annually throughout its territory. In 2002, the per capita renewable water resources was 41,065 cubic meters, way above the world average 8,467 m3 in 2006. Uruguay also shares one of the largest groundwater reserves in the world, the Guarani Aquifer, with Brazil, Argentina, Paraguay. The Guarani aquifer covers 1,200,000 square kilometers and has a storage capacity of 40,000 km3.

The International Hydropower Association (IHA) is a non-profit, international organisation and membership association representing the global hydropower sector.

Environmental governance (EG) consist of a system of laws, norms, rules, policies and practices that dictate how the board members of an environment related regulatory body should manage and oversee the affairs of any environment related regulatory body which is responsible for ensuring sustainability (sustainable development) and manage all human activities—political, social and economic. Environmental governance includes government, business and civil society, and emphasizes whole system management. To capture this diverse range of elements, environmental governance often employs alternative systems of governance, for example watershed-based management.

Environmental, social, and corporate governance (ESG), also known as environmental, social, and governance, is a set of aspects considered when investing in companies, that recommends taking environmental issues, social issues and corporate governance issues into account.

<span class="mw-page-title-main">Committee on Sustainability Assessment</span>

The Committee on Sustainability Assessment (COSA) is a global consortium of development institutions that work collaboratively to advance sustainability learning with systematic and science-based measurement. COSA applies a pragmatic and collective approach for using scientific methods to develop indicators, tools, and technologies to measure the distinct social, environmental, and economic impacts and are applied in performance monitoring, evaluation, return on investment (ROI) calculation, and impact assessment. COSA has a public mission to open its scientific methods and metrics up to widespread use.

<span class="mw-page-title-main">Hydropower in the Mekong River Basin</span>

The estimated hydropower potential of the lower Mekong Basin is 30,000 MW, while that of the upper Mekong Basin is 28,930 MW. In the lower Mekong, more than 3,235 MW has been realized via facilities built largely over the past ten years, while projects under construction will represent an additional 3,209 MW. An additional 134 projects are planned for the lower Mekong, which will maximize the river's hydropower generating capacity. The single most significant impact—both now and in the future—on the use of water and its management in the Mekong Region is hydropower.

<span class="mw-page-title-main">United Nations Environment Programme Finance Initiative</span>

The United Nations Environment Programme Finance Initiative is a partnership between the United Nations Environment Program (UNEP) and the global financial sector to catalyse action across the financial system to align economies with sustainable development. As the UN partner for the finance sector, they convene financial institutions on a voluntary basis to work together with them, and each other, to find practical solutions to overcome the many sustainability challenges facing the world today. UNEP FI does this by providing practical guidance and tools which support institutions in the finance sector to find ways to reshape their businesses and commit to targets for limiting greenhouse gas emissions, protecting nature, promoting a circular economy and supporting financial inclusion to address inequality. The solutions developed effectively form a blueprint for others in the finance sector to tackle similar challenges and evolve their businesses along a sustainable pathway. The creation and adoption of such a blueprint also informs policy makers concerned with sustainability issues about what would constitute appropriate regulation for the finance sector at large. Founded in 1992, UNEP FI was the first organisation to pioneer engagement with the finance sector around sustainability. The Finance Initiative was responsible for incubating the Principles for Responsible Investment and for the development and implementation of UNEP FI’s Principles for Responsible Banking and Principles for Sustainable Insurance as well as the UN-convened net-zero alliances. Today, UNEP FI provides sustainability leadership to more than 400 financial institutions, with assets of well over $80 trillion headquartered around the world.

Governance of hydropower in Scandinavia, and the implementation of hydropower projects, is controlled by self-organising networks, with an open decision making process. Scandinavia is one of the largest producers of hydropower in the world.

Strategic environmental assessment (SEA) is a systematic decision support process, aiming to ensure that environmental and possibly other sustainability aspects are considered effectively in policy, plan and program making. In this context, following Fischer (2007) SEA may be seen as:

<span class="mw-page-title-main">Nam Ou river cascade dams</span>

The Nam Ou cascade hydropower project is a series of seven hydroelectric dams along the Nam Ou river which are located in the provinces of Phongsaly and Luang Prabang in northern Laos. The project is managed by the Power Construction Corporation of China (PowerChina) and the Lao government. The project is the series of dams include seven levels of reservoirs in an attempt to mitigate ecological deterioration. The construction of the hydropower project is being completed in two phases. Phase I of the dams, including Nam Ou 2, Nam Ou 5, and Nam Ou 6 began operating on May 12, 2016. Phase II of the dams, including Nam Ou 1, 3, 4, and 7 is expected to be completed in 2020.

References

  1. "Hydropower Sustainability - Home". www.hydrosustainability.org. Retrieved 20 September 2019.
  2. 1 2 3 "Assessment Protocol (HSAP)". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  3. 1 2 "The Protocol for World Bank clients". documents.worldbank.org. World Bank. Retrieved 20 September 2019.
  4. "ESG Gap Analysis Tool". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  5. "Sustainability Guidelines". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  6. Brown, Paul; correspondent, environment (2000-11-17). "The unacceptable cost of big dams". The Guardian. ISSN   0261-3077 . Retrieved 2019-09-20.
  7. "Archived copy" (PDF). Archived from the original (PDF) on 2016-03-03. Retrieved 2015-09-29.{{cite web}}: CS1 maint: archived copy as title (link)
  8. "Archived copy" (PDF). Archived from the original (PDF) on 2017-07-21. Retrieved 2022-02-07.{{cite web}}: CS1 maint: archived copy as title (link)
  9. https://www.sc.com/en/resources/global-en/pdf/sustainabilty/Dams_and_Hydropower_Position_Statement.pdf [ bare URL PDF ]
  10. http://www.citigroup.com/citi/environment/data/1160840_Sector_Brief_HydroPower.pdf [ bare URL PDF ]
  11. https://www.ubs.com/content/dam/ubs/global/about_ubs/corporate_responsibility/UBS-ESR-framework.pdf [ bare URL PDF ]
  12. "A review of social and environmental safeguards for large dam projects". pubs.iied.org. Retrieved 2015-10-01.
  13. "Hydropower Sustainability - Accredited Assessors". www.hydrosustainability.org. Retrieved 2015-10-01.
  14. "Communication and Consultation". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  15. "Project Benefits". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  16. "Project Affected Communities". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  17. "Resettlement". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  18. "Indigenous Peoples". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  19. "Labour And Working Conditions". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  20. "Public Health". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  21. "Cultural Heritage". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  22. "Environmental and Social Issues". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  23. "Biodiversity and Invasive Species". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  24. "Climate Change". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  25. "Erosion and Sedimentation". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  26. "Water Quality". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  27. "Waste, Noise and Air Quality". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  28. "Reservoir Management". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  29. "Downstream Flow Regimes". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  30. "Project Governance". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  31. "Procurement". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  32. "Integrated Project Management". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  33. "Financial Viability". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  34. "Economic Viability". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  35. "Demonstrated Need and Strategic Fit". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  36. "Siting and Design". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  37. "Hydrological Resource Management". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  38. "Asset Reliability and Efficiency". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  39. "Infrastructure Safety". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  40. "Hydropower Sustainability Full Document" (PDF). www.hydrosustainability.org. Retrieved 2015-09-30.
  41. "Governance Council". Hydropower Sustainability Tools. Retrieved 2019-09-20.
  42. "Governance Committee". Hydropower Sustainability Tools. Retrieved 2019-09-20.