IHA 2013 World Congress: IHA: Introduction to the Hydropower Sustainability Assessment Protocol

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IHA 2013 World Congress: IHA: Introduction to the Hydropower Sustainability Assessment Protocol

  1. 1. Introduction to the HydropowerSustainability Assessment ProtocolWednesday 22 May
  2. 2. Introduction to the Hydropower Sustainability Assessment Protocol | 2© 2013, IHAwww.hydrosustainability.orgThe ProtocolGoverned by amulti-stakeholderCouncil and12345A consistent, globally-applicablemethodologyTerms andConditions
  3. 3. Introduction to the Hydropower Sustainability Assessment Protocol | 3© 2013, IHAwww.hydrosustainability.orgProtocol evolution2009World Commissionon Dams FinalReportInitial SustainabilityAssessment ProtocolIHA SustainabilityGuidelinesMulti-stakeholder Forum refinesthe Protocol ProtocolTraining2001 2002 2003 2004 2005 2006 2007 20082000 2010 2011 2012Official Protocol launchUNEP Dams andDevelopmentProject
  4. 4. Introduction to the Hydropower Sustainability Assessment Protocol | 4© 2013, IHADeveloping CountriesDr Yu Xuezhong, Research Professor, ChinaInstitute of Water Resources andHydropower Research, PR ChinaMr Zhou Shichun, Senior Engineer, ChinaHydropower Engineering Consulting GroupCo., PR ChinaMr Israel Phiri, Manager PPI, Ministry ofEnergy and Water Development, ZambiaDeveloped CountriesMr Geir Hermansen, Senior Advisor,Department of Energy, Norad, NorwayProf Gudni A Johannesson, Director General,National Energy Authority, IcelandMs Kirsten Nyman, Policy Advisor forSustainable Hydropower, GTZ, Germany(observer)Finance Sector - EconomicAspectsMs Courtney Lowrance, Vice President,Environmental & Social Risk Management,Citigroup Global Markets Inc, representingthe Equator Principles Financial InstitutionsGroupMs Daryl Fields, Senior Water ResourcesSpecialist, The World Bank (observer)Hydropower SectorDr Refaat Abdel-Malek, President,International Hydropower AssociationMr Andrew Scanlon, Representative,International Hydropower AssociationNGOs - Environmental AspectsMr David Harrison, Senior Advisor, GlobalFreshwater Team, The Nature ConservancyDr Joerg Hartmann, WWF Dams InitiativeLeader,World Wide Fund for Nature (WWF)NGOs - Social AspectsMr Michael Simon, Lead, People, Infrastructure& Environment Program, OxfamDr Donal O’Leary, Senior Advisor, TransparencyInternationalForum Chair: Mr André Abadie, Director,Sustainable Finance Ltd.Forum Coordinator: Dr Helen Locher,Sustainability Forum Coordinator,International Hydropower AssociationFinance: governmentts of Germany, Icelandand NorwayHydropower Sustainability Assessment Forumwww.hydrosustainability.org
  5. 5. Introduction to the Hydropower Sustainability Assessment Protocol | 5© 2013, IHA• “A valuable tool to measure and improve thesustainability of hydropower projects” – WWF• Results from a rigourous and informed multi-stakeholder process including social andenvironmental NGOs, commercial anddevelopment banks, and developing anddeveloped country governments• Policies taken into account include: WorldCommission on Dams’ Criteria and Guidelines;World Bank Safeguard Policies; IFCPerformance Standards; and Equator Principleswww.hydrosustainability.orgInformed multistakeholder development
  6. 6. Introduction to the Hydropower Sustainability Assessment Protocol | 6© 2013, IHABackground document:Four methodology documents for four stages of development:Protocol documentsEarly stage Preparation Implementation Operationwww.hydrosustainability.org
  7. 7. Introduction to the Hydropower Sustainability Assessment Protocol | 7© 2013, IHAwww.hydrosustainability.orgThe four toolsPreparation: Investigations, planning and design, management plans andcommitmentImplementation: Construction, resettlement, environmental and othermanagement plans.Operation: Facility operating on a sustainable basis, monitoring, complianceand continuous improvement.
  8. 8. Introduction to the Hydropower Sustainability Assessment Protocol | 8© 2013, IHAP I OCommunications and Consultation   Governance   Demonstrated Need and Strategic Fit Siting and Design Environmental and Social Impact Assessment and Management /Environmental and Social Issues Management  Integrated Project Management   Hydrological Resource  Asset reliability and efficiency Infrastructure Safety   Financial Viability   Project Benefits   Economic Viability Procurement  www.hydrosustainability.orgProtocol topics (1)
  9. 9. Introduction to the Hydropower Sustainability Assessment Protocol | 9© 2013, IHAP I OProject Affected Communities and Livelihoods   Resettlement   Indigenous Peoples   Labour and Working Conditions   Cultural Heritage   Public Health   Biodiversity and Invasive Species   Erosion and Sedimentation   Water Quality   Waste, noise and air quality Reservoir Planning / Preparation and Filling / Management   Downstream Flow Regimes   www.hydrosustainability.orgProtocol topics (2)
  10. 10. Introduction to the Hydropower Sustainability Assessment Protocol | 10© 2013, IHAEach topic scoring statement provides astatement for up to six criteria:• Assessment• Management• Stakeholder engagement• Stakeholder support• Conformance / compliance• Outcomeswww.hydrosustainability.orgProtocol criteria
  11. 11. Introduction to the Hydropower Sustainability Assessment Protocol | 11© 2013, IHAwww.hydrosustainability.orgTopic structure (1)11Statements of Descriptionand IntentScoring Levels from 1-5For each criteriaLevel 3 - Statements ofBasic Good PracticeLevel 5 - Statements ofProven Best Practice
  12. 12. Introduction to the Hydropower Sustainability Assessment Protocol | 12© 2013, IHATopic Structure (2)Assessment GuidanceNotes – definitions,examples, etcExamples of PotentialInterviewees & Evidencewww.hydrosustainability.org
  13. 13. Introduction to the Hydropower Sustainability Assessment Protocol | 13© 2013, IHA• Evidence-based objectiveassessment of a project’sperformance, prepared by anaccredited assessor• A score of 1 to 5 for each topicarea, related to basic goodpractice and proven best practice• An assessment report accordingto a standard format,automatically saved inManagement Entity’s database• Synthesis of performance ofcomplex facilities in a concise andpresentable report• Easily-communicable, officially-branded spider diagram of results• Option to make results publicwww.hydrosustainability.orgAn Official Protocol Assessment Delivers
  14. 14. Introduction to the Hydropower Sustainability Assessment Protocol | 14© 2013, IHA• Accredited by IHA (ManagementEntity of the Council) to ensureobjective, comparable results• Independent, and must followcode of conduct• Assessors will be required toqualify from a training course,and be regularly appraised• Training course concernsauditing best practice as well asProtocol details• Entry requirements based onexperience of environmental andsocial auditing and assessment• Lead Assessor ensures theprocess enables a fairassessment• Lead Assessor fully responsiblefor all judgements, scoring, anddelivery of the assessmentreport to the required quality• Team must be able to justify anddefend assessment and scores,with reference to evidence andthe significance of gapswww.hydrosustainability.orgQuality control using accredited assessors
  15. 15. Introduction to the Hydropower Sustainability Assessment Protocol | 15© 2013, IHA• Level 3 describes basic good practice• Projects in all contexts should be working toward basicgood practice .• Its not a standard that must be achieved;• Expectations on performance levels are defined byusers• Level 5 describes proven best practice• Goals that are not easy to reach.• Proven to be attained in multiple country contexts, andnot only by large projects.• 5s on all topics would be very difficult to reach,because practical decisions need to be made onpriorities.www.hydrosustainability.orgProducing a score: Basic Good andProven Best Practice
  16. 16. Introduction to the Hydropower Sustainability Assessment Protocol | 16© 2013, IHAwww.hydrosustainability.orgFlow diagram of scoring processAssessment of topic againstBasic Good Practice•Assessment•Management•Stakeholder engagement•Stakeholder support•Conformance / compliance•OutcomesAssessment of topic againstProven Best PracticeHow manysignificant gapsare there?•Assessment•Management•Stakeholder engagement•Stakeholder support•Conformance / compliance•OutcomesTopic Scores 5How manysignificant gapsare there?Topic Scores 4Topic Scores 3Topic Scores 2Topic Scores 1YesNoYesNoTwo or more gapsOne gapTwo or more gapsOne gapNo gapsDoes theproject meetall criteria?Does theproject meetall criteria?BASIC GOOD PRACTICE
  17. 17. Introduction to the Hydropower Sustainability Assessment Protocol | 17© 2013, IHAwww.hydrosustainability.orgScores depend on evidenceInterviews Documents Site Inspection
  18. 18. Introduction to the Hydropower Sustainability Assessment Protocol | 18© 2013, IHAwww.hydrosustainability.orgSustainability profileO-1 Communicationsand Consultation O-2 GovernanceO-19 DownstreamFlowsO-3 Environmental and Social IssuesManagementO-4 HydrologicalResourceO-5 AssetReliabilityO-6 InfrastructureSafetyO-7 Financial ViabilityO-13 CulturalHeritageO-18 ReservoirManagementO-17 WaterQualityO-16 Erosion andSedimentationO-15 BiodiversityO-14 PublicHealth14235O-12 Labor and Working ConditionsO-11 Indigenous PeoplesO-10 ResettlementO-8 Project Benefits
  19. 19. Introduction to the Hydropower Sustainability Assessment Protocol | 19© 2013, IHAISA series of assessment toolsapplicable to all stages of hydropowerdevelopment in all global contextsAn evidence-based objectiveassessment of a project’sperformance, prepared by anaccredited assessorRecognized by NGOsDeveloped and governed by a multi-stakeholder, consensus-basedstructureIS NOTNot a standard, or a pass/failmark. Each user decides whatscores they want to achieve.Not a mechanism to provide a‘sustainable hydropower’ or‘certified’ stamp of approvalNot a replacement for national or localregulatory requirementsNot a replacement for an ESIAwww.hydrosustainability.orgWhat the Protocol is and is not
  20. 20. Introduction to the Hydropower Sustainability Assessment Protocol | 20© 2013, IHA• Established to ensure multi-stakeholder input andconfidence in the Protocolcontent and application• Made up of sevenrepresentativechambers:• Environmental NGOs• Social/Rights-based NGOs• Developed country governments• Developing country governments• Financial institutions• Hydropower operators/developers• Hydropower consultants/supplierswww.hydrosustainability.orgHydropower Sustainability Assessment Council
  21. 21. Introduction to the Hydropower Sustainability Assessment Protocol | 21© 2013, IHAChamber Chair AlternateEnvironment or Conservation Organisations Jian-hua Meng David HarrisonSocial Impacts, project affected communities Donal O’Leary Henry ChanDevelopment, public or commercial banks Emmanuel BouletEmerging and developing economy countrygovernmentsProfessor Shi Guoqing Erika BreyerAdvanced economy country governments Matthew Reddy John DoreHydropower operators or developers Karin Seelos Andrew ScanlonHydropower consultants, contractors orequipment suppliersRoger Gill Barbara Fischer-Aupperlewww.hydrosustainability.orgElected Governance Committee
  22. 22. Introduction to the Hydropower Sustainability Assessment Protocol | 22© 2013, IHA• Become aSustainability Partner• Join a chamberwww.hydrosustainability.orgGet involved• Become an AccreditedAssessor• Training and ProtocolAssessments
  23. 23. Introduction to the Hydropower Sustainability Assessment Protocol | 23© 2013, IHAwww.hydrosustainability.orgIHA Sustainability Partnerswww.hydrosustainability.org
  24. 24. Introduction to the Hydropower Sustainability Assessment Protocol | 24© 2013, IHAwww.hydrosustainability.orgStatements of support‘Open and transparent’BMZ‘A valuable tool’The Nature Conservancy‘Citi has been impressed bythe multistakeholdercollaboration’Citi‘We would like tocongratulate IHA’Societe Generale‘A practical guide forperformance management’World Bank
  25. 25. Introduction to the Hydropower Sustainability Assessment Protocol | 25© 2013, IHA• Protocol documents: background and four stages• Charter, and Terms and Conditions• FAQs and news• Database of published Protocol assessmentswww.hydrosustainability.orgwww.hydrosustainability.org
  26. 26. Doug Smith, ds@hydropower.orgVisit www.hydrosustainability.org to continuelearningNotice:This material is subject to copyright. All rights are reserved, whether the whole or part of the material isconcerned, including the rights of translation, reprinting, re-use of illustrations, broadcasting andreproduction. Accordingly, this document may not be reproduced, stored or transmitted, in any form or byany means, without the prior written permission of the IHA Executive Director.

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