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Introduction to the Hydropower
Sustainability Assessment Protocol
Wednesday 22 May
Introduction to the Hydropower Sustainability Assessment Protocol | 2© 2013, IHA
www.hydrosustainability.org
The Protocol
Governed by a
multi-stakeholder
Council and
1
2
3
4
5
A consistent, globally-
applicable
methodology
Terms and
Conditions
Introduction to the Hydropower Sustainability Assessment Protocol | 3© 2013, IHA
www.hydrosustainability.org
Protocol evolution
2009
World Commission
on Dams Final
Report
Initial Sustainability
Assessment Protocol
IHA Sustainability
Guidelines
Multi-stakeholder Forum refines
the Protocol Protocol
Training
2001 2002 2003 2004 2005 2006 2007 20082000 2010 2011 2012
Official Protocol launch
UNEP Dams and
Development
Project
Introduction to the Hydropower Sustainability Assessment Protocol | 4© 2013, IHA
Developing Countries
Dr Yu Xuezhong, Research Professor, China
Institute of Water Resources and
Hydropower Research, PR China
Mr Zhou Shichun, Senior Engineer, China
Hydropower Engineering Consulting Group
Co., PR China
Mr Israel Phiri, Manager PPI, Ministry of
Energy and Water Development, Zambia
Developed Countries
Mr Geir Hermansen, Senior Advisor,
Department of Energy, Norad, Norway
Prof Gudni A Johannesson, Director General,
National Energy Authority, Iceland
Ms Kirsten Nyman, Policy Advisor for
Sustainable Hydropower, GTZ, Germany
(observer)
Finance Sector - Economic
Aspects
Ms Courtney Lowrance, Vice President,
Environmental & Social Risk Management,
Citigroup Global Markets Inc, representing
the Equator Principles Financial Institutions
Group
Ms Daryl Fields, Senior Water Resources
Specialist, The World Bank (observer)
Hydropower Sector
Dr Refaat Abdel-Malek, President,
International Hydropower Association
Mr Andrew Scanlon, Representative,
International Hydropower Association
NGOs - Environmental Aspects
Mr David Harrison, Senior Advisor, Global
Freshwater Team, The Nature Conservancy
Dr Joerg Hartmann, WWF Dams Initiative
Leader,
World Wide Fund for Nature (WWF)
NGOs - Social Aspects
Mr Michael Simon, Lead, People, Infrastructure
& Environment Program, Oxfam
Dr Donal O’Leary, Senior Advisor, Transparency
International
Forum Chair: Mr André Abadie, Director,
Sustainable Finance Ltd.
Forum Coordinator: Dr Helen Locher,
Sustainability Forum Coordinator,
International Hydropower Association
Finance: governmentts of Germany, Iceland
and Norway
Hydropower Sustainability Assessment Forum
www.hydrosustainability.org
Introduction to the Hydropower Sustainability Assessment Protocol | 5© 2013, IHA
• “A valuable tool to measure and improve the
sustainability of hydropower projects” – WWF
• Results from a rigourous and informed multi-
stakeholder process including social and
environmental NGOs, commercial and
development banks, and developing and
developed country governments
• Policies taken into account include: World
Commission on Dams’ Criteria and Guidelines;
World Bank Safeguard Policies; IFC
Performance Standards; and Equator Principles
www.hydrosustainability.org
Informed multistakeholder development
Introduction to the Hydropower Sustainability Assessment Protocol | 6© 2013, IHA
Background document:
Four methodology documents for four stages of development:
Protocol documents
Early stage Preparation Implementation Operation
www.hydrosustainability.org
Introduction to the Hydropower Sustainability Assessment Protocol | 7© 2013, IHA
www.hydrosustainability.org
The four tools
Preparation: Investigations, planning and design, management plans and
commitment
Implementation: Construction, resettlement, environmental and other
management plans.
Operation: Facility operating on a sustainable basis, monitoring, compliance
and continuous improvement.
Introduction to the Hydropower Sustainability Assessment Protocol | 8© 2013, IHA
P I O
Communications 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.org
Protocol topics (1)
Introduction to the Hydropower Sustainability Assessment Protocol | 9© 2013, IHA
P I O
Project 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.org
Protocol topics (2)
Introduction to the Hydropower Sustainability Assessment Protocol | 10© 2013, IHA
Each topic scoring statement provides a
statement for up to six criteria:
• Assessment
• Management
• Stakeholder engagement
• Stakeholder support
• Conformance / compliance
• Outcomes
www.hydrosustainability.org
Protocol criteria
Introduction to the Hydropower Sustainability Assessment Protocol | 11© 2013, IHA
www.hydrosustainability.org
Topic structure (1)
11
Statements of Description
and Intent
Scoring Levels from 1-5
For each criteria
Level 3 - Statements of
Basic Good Practice
Level 5 - Statements of
Proven Best Practice
Introduction to the Hydropower Sustainability Assessment Protocol | 12© 2013, IHA
Topic Structure (2)
Assessment Guidance
Notes – definitions,
examples, etc
Examples of Potential
Interviewees & Evidence
www.hydrosustainability.org
Introduction to the Hydropower Sustainability Assessment Protocol | 13© 2013, IHA
• Evidence-based objective
assessment of a project’s
performance, prepared by an
accredited assessor
• A score of 1 to 5 for each topic
area, related to basic good
practice and proven best practice
• An assessment report according
to a standard format,
automatically saved in
Management Entity’s database
• Synthesis of performance of
complex facilities in a concise and
presentable report
• Easily-communicable, officially-
branded spider diagram of results
• Option to make results public
www.hydrosustainability.org
An Official Protocol Assessment Delivers
Introduction to the Hydropower Sustainability Assessment Protocol | 14© 2013, IHA
• Accredited by IHA (Management
Entity of the Council) to ensure
objective, comparable results
• Independent, and must follow
code of conduct
• Assessors will be required to
qualify from a training course,
and be regularly appraised
• Training course concerns
auditing best practice as well as
Protocol details
• Entry requirements based on
experience of environmental and
social auditing and assessment
• Lead Assessor ensures the
process enables a fair
assessment
• Lead Assessor fully responsible
for all judgements, scoring, and
delivery of the assessment
report to the required quality
• Team must be able to justify and
defend assessment and scores,
with reference to evidence and
the significance of gaps
www.hydrosustainability.org
Quality control using accredited assessors
Introduction to the Hydropower Sustainability Assessment Protocol | 15© 2013, IHA
• Level 3 describes basic good practice
• Projects in all contexts should be working toward basic
good practice .
• Its not a standard that must be achieved;
• Expectations on performance levels are defined by
users
• Level 5 describes proven best practice
• Goals that are not easy to reach.
• Proven to be attained in multiple country contexts, and
not only by large projects.
• 5s on all topics would be very difficult to reach,
because practical decisions need to be made on
priorities.
www.hydrosustainability.org
Producing a score: Basic Good and
Proven Best Practice
Introduction to the Hydropower Sustainability Assessment Protocol | 16© 2013, IHA
www.hydrosustainability.org
Flow diagram of scoring process
Assessment of topic against
Basic Good Practice
•Assessment
•Management
•Stakeholder engagement
•Stakeholder support
•Conformance / compliance
•Outcomes
Assessment of topic against
Proven Best Practice
How many
significant gaps
are there?
•Assessment
•Management
•Stakeholder engagement
•Stakeholder support
•Conformance / compliance
•Outcomes
Topic Scores 5
How many
significant gaps
are there?
Topic Scores 4
Topic Scores 3
Topic Scores 2
Topic Scores 1
Yes
No
Yes
No
Two or more gaps
One gap
Two or more gaps
One gap
No gaps
Does the
project meet
all criteria?
Does the
project meet
all criteria?
BASIC GOOD PRACTICE
Introduction to the Hydropower Sustainability Assessment Protocol | 17© 2013, IHA
www.hydrosustainability.org
Scores depend on evidence
Interviews Documents Site Inspection
Introduction to the Hydropower Sustainability Assessment Protocol | 18© 2013, IHA
www.hydrosustainability.org
Sustainability profile
O-1 Communications
and Consultation O-2 Governance
O-19 Downstream
Flows
O-3 Environmental and Social Issues
Management
O-4 Hydrological
Resource
O-5 Asset
Reliability
O-6 Infrastructure
Safety
O-7 Financial Viability
O-13 Cultural
Heritage
O-18 Reservoir
Management
O-17 Water
Quality
O-16 Erosion and
Sedimentation
O-15 Biodiversity
O-14 Public
Health
1
4
2
3
5
O-12 Labor and Working Conditions
O-11 Indigenous Peoples
O-10 Resettlement
O-8 Project Benefits
Introduction to the Hydropower Sustainability Assessment Protocol | 19© 2013, IHA
IS
A series of assessment tools
applicable to all stages of hydropower
development in all global contexts
An evidence-based objective
assessment of a project’s
performance, prepared by an
accredited assessor
Recognized by NGOs
Developed and governed by a multi-
stakeholder, consensus-based
structure
IS NOT
Not a standard, or a pass/fail
mark. Each user decides what
scores they want to achieve.
Not a mechanism to provide a
‘sustainable hydropower’ or
‘certified’ stamp of approval
Not a replacement for national or local
regulatory requirements
Not a replacement for an ESIA
www.hydrosustainability.org
What the Protocol is and is not
Introduction to the Hydropower Sustainability Assessment Protocol | 20© 2013, IHA
• Established to ensure multi-
stakeholder input and
confidence in the Protocol
content and application
• Made up of seven
representative
chambers:
• Environmental NGOs
• Social/Rights-based NGOs
• Developed country governments
• Developing country governments
• Financial institutions
• Hydropower operators/developers
• Hydropower consultants/suppliers
www.hydrosustainability.org
Hydropower Sustainability Assessment Council
Introduction to the Hydropower Sustainability Assessment Protocol | 21© 2013, IHA
Chamber Chair Alternate
Environment or Conservation Organisations Jian-hua Meng David Harrison
Social Impacts, project affected communities Donal O’Leary Henry Chan
Development, public or commercial banks Emmanuel Boulet
Emerging and developing economy country
governments
Professor Shi Guoqing Erika Breyer
Advanced economy country governments Matthew Reddy John Dore
Hydropower operators or developers Karin Seelos Andrew Scanlon
Hydropower consultants, contractors or
equipment suppliers
Roger Gill Barbara Fischer-
Aupperle
www.hydrosustainability.org
Elected Governance Committee
Introduction to the Hydropower Sustainability Assessment Protocol | 22© 2013, IHA
• Become a
Sustainability Partner
• Join a chamber
www.hydrosustainability.org
Get involved
• Become an Accredited
Assessor
• Training and Protocol
Assessments
Introduction to the Hydropower Sustainability Assessment Protocol | 23© 2013, IHA
www.hydrosustainability.org
IHA Sustainability Partners
www.hydrosustainability.org
Introduction to the Hydropower Sustainability Assessment Protocol | 24© 2013, IHA
www.hydrosustainability.org
Statements of support
‘Open and transparent’
BMZ
‘A valuable tool’
The Nature Conservancy
‘Citi has been impressed by
the multistakeholder
collaboration’
Citi
‘We would like to
congratulate IHA’
Societe Generale
‘A practical guide for
performance management’
World Bank
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 assessments
www.hydrosustainability.org
www.hydrosustainability.org
Doug Smith, ds@hydropower.org
Visit www.hydrosustainability.org to continue
learning
Notice:
This material is subject to copyright. All rights are reserved, whether the whole or part of the material is
concerned, including the rights of translation, reprinting, re-use of illustrations, broadcasting and
reproduction. Accordingly, this document may not be reproduced, stored or transmitted, in any form or by
any means, without the prior written permission of the IHA Executive Director.

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

  • 1. Introduction to the Hydropower Sustainability Assessment Protocol Wednesday 22 May
  • 2. Introduction to the Hydropower Sustainability Assessment Protocol | 2© 2013, IHA www.hydrosustainability.org The Protocol Governed by a multi-stakeholder Council and 1 2 3 4 5 A consistent, globally- applicable methodology Terms and Conditions
  • 3. Introduction to the Hydropower Sustainability Assessment Protocol | 3© 2013, IHA www.hydrosustainability.org Protocol evolution 2009 World Commission on Dams Final Report Initial Sustainability Assessment Protocol IHA Sustainability Guidelines Multi-stakeholder Forum refines the Protocol Protocol Training 2001 2002 2003 2004 2005 2006 2007 20082000 2010 2011 2012 Official Protocol launch UNEP Dams and Development Project
  • 4. Introduction to the Hydropower Sustainability Assessment Protocol | 4© 2013, IHA Developing Countries Dr Yu Xuezhong, Research Professor, China Institute of Water Resources and Hydropower Research, PR China Mr Zhou Shichun, Senior Engineer, China Hydropower Engineering Consulting Group Co., PR China Mr Israel Phiri, Manager PPI, Ministry of Energy and Water Development, Zambia Developed Countries Mr Geir Hermansen, Senior Advisor, Department of Energy, Norad, Norway Prof Gudni A Johannesson, Director General, National Energy Authority, Iceland Ms Kirsten Nyman, Policy Advisor for Sustainable Hydropower, GTZ, Germany (observer) Finance Sector - Economic Aspects Ms Courtney Lowrance, Vice President, Environmental & Social Risk Management, Citigroup Global Markets Inc, representing the Equator Principles Financial Institutions Group Ms Daryl Fields, Senior Water Resources Specialist, The World Bank (observer) Hydropower Sector Dr Refaat Abdel-Malek, President, International Hydropower Association Mr Andrew Scanlon, Representative, International Hydropower Association NGOs - Environmental Aspects Mr David Harrison, Senior Advisor, Global Freshwater Team, The Nature Conservancy Dr Joerg Hartmann, WWF Dams Initiative Leader, World Wide Fund for Nature (WWF) NGOs - Social Aspects Mr Michael Simon, Lead, People, Infrastructure & Environment Program, Oxfam Dr Donal O’Leary, Senior Advisor, Transparency International Forum Chair: Mr André Abadie, Director, Sustainable Finance Ltd. Forum Coordinator: Dr Helen Locher, Sustainability Forum Coordinator, International Hydropower Association Finance: governmentts of Germany, Iceland and Norway Hydropower Sustainability Assessment Forum www.hydrosustainability.org
  • 5. Introduction to the Hydropower Sustainability Assessment Protocol | 5© 2013, IHA • “A valuable tool to measure and improve the sustainability of hydropower projects” – WWF • Results from a rigourous and informed multi- stakeholder process including social and environmental NGOs, commercial and development banks, and developing and developed country governments • Policies taken into account include: World Commission on Dams’ Criteria and Guidelines; World Bank Safeguard Policies; IFC Performance Standards; and Equator Principles www.hydrosustainability.org Informed multistakeholder development
  • 6. Introduction to the Hydropower Sustainability Assessment Protocol | 6© 2013, IHA Background document: Four methodology documents for four stages of development: Protocol documents Early stage Preparation Implementation Operation www.hydrosustainability.org
  • 7. Introduction to the Hydropower Sustainability Assessment Protocol | 7© 2013, IHA www.hydrosustainability.org The four tools Preparation: Investigations, planning and design, management plans and commitment Implementation: Construction, resettlement, environmental and other management plans. Operation: Facility operating on a sustainable basis, monitoring, compliance and continuous improvement.
  • 8. Introduction to the Hydropower Sustainability Assessment Protocol | 8© 2013, IHA P I O Communications 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.org Protocol topics (1)
  • 9. Introduction to the Hydropower Sustainability Assessment Protocol | 9© 2013, IHA P I O Project 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.org Protocol topics (2)
  • 10. Introduction to the Hydropower Sustainability Assessment Protocol | 10© 2013, IHA Each topic scoring statement provides a statement for up to six criteria: • Assessment • Management • Stakeholder engagement • Stakeholder support • Conformance / compliance • Outcomes www.hydrosustainability.org Protocol criteria
  • 11. Introduction to the Hydropower Sustainability Assessment Protocol | 11© 2013, IHA www.hydrosustainability.org Topic structure (1) 11 Statements of Description and Intent Scoring Levels from 1-5 For each criteria Level 3 - Statements of Basic Good Practice Level 5 - Statements of Proven Best Practice
  • 12. Introduction to the Hydropower Sustainability Assessment Protocol | 12© 2013, IHA Topic Structure (2) Assessment Guidance Notes – definitions, examples, etc Examples of Potential Interviewees & Evidence www.hydrosustainability.org
  • 13. Introduction to the Hydropower Sustainability Assessment Protocol | 13© 2013, IHA • Evidence-based objective assessment of a project’s performance, prepared by an accredited assessor • A score of 1 to 5 for each topic area, related to basic good practice and proven best practice • An assessment report according to a standard format, automatically saved in Management Entity’s database • Synthesis of performance of complex facilities in a concise and presentable report • Easily-communicable, officially- branded spider diagram of results • Option to make results public www.hydrosustainability.org An Official Protocol Assessment Delivers
  • 14. Introduction to the Hydropower Sustainability Assessment Protocol | 14© 2013, IHA • Accredited by IHA (Management Entity of the Council) to ensure objective, comparable results • Independent, and must follow code of conduct • Assessors will be required to qualify from a training course, and be regularly appraised • Training course concerns auditing best practice as well as Protocol details • Entry requirements based on experience of environmental and social auditing and assessment • Lead Assessor ensures the process enables a fair assessment • Lead Assessor fully responsible for all judgements, scoring, and delivery of the assessment report to the required quality • Team must be able to justify and defend assessment and scores, with reference to evidence and the significance of gaps www.hydrosustainability.org Quality control using accredited assessors
  • 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 basic good practice . • Its not a standard that must be achieved; • Expectations on performance levels are defined by users • Level 5 describes proven best practice • Goals that are not easy to reach. • Proven to be attained in multiple country contexts, and not only by large projects. • 5s on all topics would be very difficult to reach, because practical decisions need to be made on priorities. www.hydrosustainability.org Producing a score: Basic Good and Proven Best Practice
  • 16. Introduction to the Hydropower Sustainability Assessment Protocol | 16© 2013, IHA www.hydrosustainability.org Flow diagram of scoring process Assessment of topic against Basic Good Practice •Assessment •Management •Stakeholder engagement •Stakeholder support •Conformance / compliance •Outcomes Assessment of topic against Proven Best Practice How many significant gaps are there? •Assessment •Management •Stakeholder engagement •Stakeholder support •Conformance / compliance •Outcomes Topic Scores 5 How many significant gaps are there? Topic Scores 4 Topic Scores 3 Topic Scores 2 Topic Scores 1 Yes No Yes No Two or more gaps One gap Two or more gaps One gap No gaps Does the project meet all criteria? Does the project meet all criteria? BASIC GOOD PRACTICE
  • 17. Introduction to the Hydropower Sustainability Assessment Protocol | 17© 2013, IHA www.hydrosustainability.org Scores depend on evidence Interviews Documents Site Inspection
  • 18. Introduction to the Hydropower Sustainability Assessment Protocol | 18© 2013, IHA www.hydrosustainability.org Sustainability profile O-1 Communications and Consultation O-2 Governance O-19 Downstream Flows O-3 Environmental and Social Issues Management O-4 Hydrological Resource O-5 Asset Reliability O-6 Infrastructure Safety O-7 Financial Viability O-13 Cultural Heritage O-18 Reservoir Management O-17 Water Quality O-16 Erosion and Sedimentation O-15 Biodiversity O-14 Public Health 1 4 2 3 5 O-12 Labor and Working Conditions O-11 Indigenous Peoples O-10 Resettlement O-8 Project Benefits
  • 19. Introduction to the Hydropower Sustainability Assessment Protocol | 19© 2013, IHA IS A series of assessment tools applicable to all stages of hydropower development in all global contexts An evidence-based objective assessment of a project’s performance, prepared by an accredited assessor Recognized by NGOs Developed and governed by a multi- stakeholder, consensus-based structure IS NOT Not a standard, or a pass/fail mark. Each user decides what scores they want to achieve. Not a mechanism to provide a ‘sustainable hydropower’ or ‘certified’ stamp of approval Not a replacement for national or local regulatory requirements Not a replacement for an ESIA www.hydrosustainability.org What the Protocol is and is not
  • 20. Introduction to the Hydropower Sustainability Assessment Protocol | 20© 2013, IHA • Established to ensure multi- stakeholder input and confidence in the Protocol content and application • Made up of seven representative chambers: • Environmental NGOs • Social/Rights-based NGOs • Developed country governments • Developing country governments • Financial institutions • Hydropower operators/developers • Hydropower consultants/suppliers www.hydrosustainability.org Hydropower Sustainability Assessment Council
  • 21. Introduction to the Hydropower Sustainability Assessment Protocol | 21© 2013, IHA Chamber Chair Alternate Environment or Conservation Organisations Jian-hua Meng David Harrison Social Impacts, project affected communities Donal O’Leary Henry Chan Development, public or commercial banks Emmanuel Boulet Emerging and developing economy country governments Professor Shi Guoqing Erika Breyer Advanced economy country governments Matthew Reddy John Dore Hydropower operators or developers Karin Seelos Andrew Scanlon Hydropower consultants, contractors or equipment suppliers Roger Gill Barbara Fischer- Aupperle www.hydrosustainability.org Elected Governance Committee
  • 22. Introduction to the Hydropower Sustainability Assessment Protocol | 22© 2013, IHA • Become a Sustainability Partner • Join a chamber www.hydrosustainability.org Get involved • Become an Accredited Assessor • Training and Protocol Assessments
  • 23. Introduction to the Hydropower Sustainability Assessment Protocol | 23© 2013, IHA www.hydrosustainability.org IHA Sustainability Partners www.hydrosustainability.org
  • 24. Introduction to the Hydropower Sustainability Assessment Protocol | 24© 2013, IHA www.hydrosustainability.org Statements of support ‘Open and transparent’ BMZ ‘A valuable tool’ The Nature Conservancy ‘Citi has been impressed by the multistakeholder collaboration’ Citi ‘We would like to congratulate IHA’ Societe Generale ‘A practical guide for performance management’ World Bank
  • 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 assessments www.hydrosustainability.org www.hydrosustainability.org
  • 26. Doug Smith, ds@hydropower.org Visit www.hydrosustainability.org to continue learning Notice: This material is subject to copyright. All rights are reserved, whether the whole or part of the material is concerned, including the rights of translation, reprinting, re-use of illustrations, broadcasting and reproduction. Accordingly, this document may not be reproduced, stored or transmitted, in any form or by any means, without the prior written permission of the IHA Executive Director.