The Hydropower Sustainability Assessment Protocol (HSAP) is a global framework for assessing the
sustainability
Specific definitions of sustainability are difficult to agree on and have varied in the literature and over time. The concept of sustainability can be used to guide decisions at the global, national, and individual levels (e.g. sustainable livi ...
of
hydropower
Hydropower (from el, ὕδωρ, "water"), also known as water power, is the use of falling or fast-running water to Electricity generation, produce electricity or to power machines. This is achieved by energy transformation, converting the Pot ...
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.
The Protocol was developed between 2007 and 2010 by a multi-stakeholder forum made up of representatives from industry,
civil society
Civil society can be understood as the "third sector" of society, distinct from government and business, and including the family and the private sphere.[developing country
A developing country is a sovereign state with a lesser developed industrial base and a lower Human Development Index (HDI) relative to other countries. However, this definition is not universally agreed upon. There is also no clear agreem ...]
governments and
financial institution
Financial institutions, sometimes called banking institutions, are business entities that provide services as intermediaries for different types of financial monetary transactions. Broadly speaking, there are three major types of financial inst ...
s.
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
In common usage, climate change describes global warming—the ongoing increase in global average temperature—and its effects on Earth's climate system. Climate change in a broader sense also includes previous long-term changes to E ...
resilience and
mitigation
Mitigation is the reduction of something harmful or the reduction of its harmful effects. It may refer to measures taken to reduce the harmful effects of hazards that remain ''in potentia'', or to manage harmful incidents that have already occur ...
.
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.
Application
Background
The construction of a
dam
A dam is a barrier that stops or restricts the flow of surface water or underground streams. Reservoirs created by dams not only suppress floods but also provide water for activities such as irrigation, human consumption, industrial use ...
, power plant and
reservoir
A reservoir (; from French ''réservoir'' ) is an enlarged lake behind a dam. Such a dam may be either artificial, built to store fresh water or it may be a natural formation.
Reservoirs can be created in a number of ways, including contro ...
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 The World Commission on Dams (WCD) existed between April 1997 and 2001, to research the environmental, social and economic impacts of the development of large dams globally. The self-styled WCD consisted of members of civil society, academia, the ...
in 2000. The HSAP was developed in response to the Commission's recommendations, as well as standards set out in the
Equator Principles
The Equator Principles is a risk management framework adopted by financial institutions, for determining, assessing and managing environmental and social risk in project finance. It is primarily intended to provide a minimum standard for due dili ...
,
World Bank
The World Bank is an international financial institution that provides loans and grants to the governments of low- and middle-income countries for the purpose of pursuing capital projects. The World Bank is the collective name for the Interna ...
Safeguard Policies,
IFC Performance Standards and sustainability guidelines developed by the
International Hydropower Association
The International Hydropower Association (IHA) is a non-profit, international organisation and membership association representing the global hydropower sector.
IHA has members in more than 80 countries, including over 100 corporate and affiliat ...
(IHA).
Purpose
The Protocol is used by different hydropower stakeholders for different reasons:
* Independent review of sustainability issues
* Guiding improvement of sustainability practice
* Comparison with international best practice
* Communication with stakeholders
* Facilitating access to finance
* Preparing clients to meet bank requirements
* Reducing investment risk
Users
Crédit Agricole,
Societe Generale,
Standard Chartered,
Citi
Citigroup Inc. or Citi (stylized as citi) is an American multinational investment bank and financial services corporation headquartered in New York City. The company was formed by the merger of banking giant #Citicorp, Citicorp and financial ...
, and
UBS
UBS Group AG is a multinational Investment banking, investment bank and financial services company founded and based in Switzerland. Co-headquartered in the cities of Zürich and Basel, it maintains a presence in all major financial centres ...
now refer to the Protocol in their sector guidance.
The
World Bank
The World Bank is an international financial institution that provides loans and grants to the governments of low- and middle-income countries for the purpose of pursuing capital projects. The World Bank is the collective name for the Interna ...
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.
The
International Institute for Environment and Development
International is an adjective (also used as a noun) meaning "between nations".
International may also refer to:
Music Albums
* ''International'' (Kevin Michael album), 2011
* ''International'' (New Order album), 2002
* ''International'' (The T ...
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 The World Commission on Dams (WCD) existed between April 1997 and 2001, to research the environmental, social and economic impacts of the development of large dams globally. The self-styled WCD consisted of members of civil society, academia, the ...
provisions.
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.
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:
* The early stage tool, a screening tool for potential hydropower projects
* The preparation tool, which covers planning and design, management plans and commitments.
* The implementation tool, used through the construction phase.
* The operation tool, used on working projects.
Topics
The Protocol covers a range of topics that need to be understood to assess the overall sustainability of a hydropower project.
Social aspects
*Communications and consultation
*Project benefits
*Project affected communities and livelihoods
*Resettlement
*
Indigenous peoples
Indigenous peoples are culturally distinct ethnic groups whose members are directly descended from the earliest known inhabitants of a particular geographic region and, to some extent, maintain the language and culture of those original people ...
*Labour and working conditions
*Public health
*Cultural heritage
Environmental aspects
*Environmental and social issues management
*
Biodiversity
Biodiversity or biological diversity is the variety and variability of life on Earth. Biodiversity is a measure of variation at the genetic (''genetic variability''), species (''species diversity''), and ecosystem (''ecosystem diversity'') l ...
and invasive species
*Climate change mitigation and resilience
*
Erosion
Erosion is the action of surface processes (such as water flow or wind) that removes soil, rock, or dissolved material from one location on the Earth's crust, and then transports it to another location where it is deposited. Erosion is distin ...
and
sedimentation
Sedimentation is the deposition of sediments. It takes place when particles in suspension settle out of the fluid in which they are entrained and come to rest against a barrier. This is due to their motion through the fluid in response to the ...
*Water quality
*Waste, noise and air quality
*
Reservoir
A reservoir (; from French ''réservoir'' ) is an enlarged lake behind a dam. Such a dam may be either artificial, built to store fresh water or it may be a natural formation.
Reservoirs can be created in a number of ways, including contro ...
planning / preparation and filling / management
*Downstream flow regimes
Business aspects
*
Governance
Governance is the process of interactions through the laws, social norm, norms, power (social and political), power or language of an organized society over a social system (family, tribe, formal organization, formal or informal organization, a ...
*
Procurement
Procurement is the method of discovering and agreeing to terms and purchasing goods, Service (economics), services, or other works from an external source, often with the use of a tendering or competitive bidding process. When a government agenc ...
*Integrated project management
*Financial viability
*Economic viability
Technical aspects
*Demonstrated need and strategic fit
*Siting and design
*Hydrological resource
*Asset reliability and efficiency
*Infrastructure safety
The Protocol also includes ‘cross-cutting issues’ such as
climate change
In common usage, climate change describes global warming—the ongoing increase in global average temperature—and its effects on Earth's climate system. Climate change in a broader sense also includes previous long-term changes to E ...
,
gender
Gender is the range of characteristics pertaining to femininity and masculinity and differentiating between them. Depending on the context, this may include sex-based social structures (i.e. gender roles) and gender identity. Most cultures u ...
, and
human rights
Human rights are Morality, moral principles or Social norm, normsJames Nickel, with assistance from Thomas Pogge, M.B.E. Smith, and Leif Wenar, 13 December 2013, Stanford Encyclopedia of PhilosophyHuman Rights Retrieved 14 August 2014 for ce ...
, 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.
History
A multi-stakeholder forum developed the Protocol between 2008 and 2010.
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 The World Commission on Dams (WCD) existed between April 1997 and 2001, to research the environmental, social and economic impacts of the development of large dams globally. The self-styled WCD consisted of members of civil society, academia, the ...
’ Criteria and Guidelines, World Bank Safeguard Policies, IFC Performance Standards, and the
Equator Principles
The Equator Principles is a risk management framework adopted by financial institutions, for determining, assessing and managing environmental and social risk in project finance. It is primarily intended to provide a minimum standard for due dili ...
.
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.
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).
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.
References
{{Reflist
Environmental design
Sustainability metrics and indices
Environmental law
Hydroelectricity
Sustainable design
Technology assessment
Environmental impact assessment
Environmental social science concepts