Adapting social impact assessment to address a project's human rights impacts and risks

We address the weaknesses inherent in the social risk assessments undertaken for business, especially in the extractive industries. In contrast to the conventional approach that considers consequence to the company rather than to impacted communities, conformance with the United Nations Guiding Principles on Business and Human Rights requires that consequence to affected communities has precedence. In order for social risks to be properly assessed, we consider that: companies need to know and understand the human rights impacts of their activities; contemporary approaches to project impact and risk assessment need to be adapted to consider human rights; and environmental impact assessment (EIA) and social impact assessment (SIA) methods need to be adapted to give greater attention to impacts on human rights. Using an example from the mining, oil and gas sector, we provide a method that differentiates social risks from business risks, and we position impact assessment as an instrument that actively facilitates the improved identification, analysis and management of social risks. Practical adaptations to SIA activities and risk assessment processes are provided. Taking human rights impacts into account and using the dimensions of gravity, extent, vulnerability and remediability, we nominate criteria to assess the significance of negative social impacts.     

Challenges in meeting international standards in undertaking social impact assessment in Russia

Implementing good practice social impact assessment (SIA) that meets international standards in countries in transition is problematic. We reflect on the challenges faced when undertaking SIA in the Russian Federation. These challenges restrict meaningful SIA processes from being undertaken and limit public participation and the effective community engagement of project-affected local people. Based on the self-reflexive professional experience of two Russian-based social practitioners, and their discursive interactions with two leading academics in environmental and social impact assessment, as well as on in-depth interviews with prominent Russian and international experts, we identified the key challenges that prevent effective SIA from being implemented in Russia: a lack of understanding of the international standards; discrepancy in the determination of the social area of influence between the national requirements and international standards; difficulties in combining national and international impact assessment processes; and a tendency by companies to restrict stakeholder engagement to the minimum. We hope that by having an awareness of these limitations, improvements to SIA practice in Russia and elsewhere will be made.     

Social impact assessment and stakeholder engagement in the Russian Federation: Representativeness,deliberativeness and influence

We analyse two approaches to social impact assessment (SIA) – traditional SIA and participatory SIA – in the context of a large project in the Russian Federation. The key difference between these approaches is the level and depth of stakeholder engagement in the impact assessment process and project. Participatory SIA seeks to observe the three principles of participatory democracy: representativeness, deliberativeness and influence. We identify the requirements for stakeholder engagement in the Russian impact assessment process, and analyse implementation practice by reviewing the stakeholder engagement activities undertaken for the South Stream gas pipeline project, according to national requirements and international best practice (e.g. the International Finance Corporation Performance Standards). We conclude that the Russian process reflects traditional SIA. Its main weaknesses are poor stakeholder identification and planning of engagement activities. The Russian SIA/EIA process is not consistent with the principles of representativeness, deliberativeness and influence and does not enable people to adequately participate in or influence decision-making.     

Digital archives,big data and image-based culturomics for social impact assessment: Opportunities and challenges

Social impact assessment (SIA) is well-established but uses conventional approaches that have become less effective in recent decades, particularly in relation to declining survey response rates and a lack of youth engagement. Images from digital archives and social media sources are poised to advance the research and practice of SIA by transcending text-based methods with insights into changing landscapes, and human engagement with them. This viewpoint describes progress, challenges and cautions toward the development of such tools (defined as culturomics), using hydroelectricity cases to illustrate potential approaches. These tools build on foundational work in a range of disciplines, including the humanities and computer science. We describe necessary advances in machine learning, image digitization, and data aggregation and visualization techniques, as well as ways to ensure that such tools are carefully tested, applied and interpreted. Challenges include the automation, acquisition and management of datasets, and using these tools appropriately and equitably. Critically, culturomics of any kind must not be used as a replacement for engagement with people, but as complementary to inclusive stakeholder engagement.     

Incorporating supra-local social structure into social impact assessment using causal network analysis

This paper discusses the incorporation of supra-local social structure (SLSS) analysis into social impact assessment (SIA) practice in order to afford a deeper and more complex understanding of the social production of the impacts of planned interventions. We define SLSS as the total set of political, economic, socio-cultural and ideological driving forces and external structural phenomena shaping the social vulnerability of affected communities. We advocate causal network analysis for effectively incorporating SLSS into SIA and we take the conflict over the HydroAysén project in Chilean Patagonia as an empirical case study. While previous applications have interpreted planned interventions as the root cause of impacts, this paper analyses the dialectical interaction of four elements: the SLSS, the local community, the planned intervention and its impacts. This application revealed two fundamental issues. First, on a theoretical-conceptual level, it showed the capacity of SLSS to mould the causal pathways of a project's impacts on the affected community. Second, on an applied level, it enabled identification of the elements that should be addressed to facilitate social management of the project.     

Health impact assessment and health equity in sub-Saharan Africa: A scoping review

BackgroundNatural resource extraction projects can have positive but also negative effects on the health of affected communities, governed by demographic, economic, environmental, physical and social changes. Negative effects often prevail and these might widen existing health inequities. Health impact assessment (HIA) is a decision-support tool that aims at maximizing benefits and minimizing negative impacts on people's health. A core value of HIA is equity; yet, little is known about health equity in the frame of HIA, particularly in sub-Saharan Africa.MethodologyWe conducted a scoping review to determine whether and to what extent HIA in sub-Saharan Africa addresses health equity. We included peer-reviewed publications and guidelines pertaining to HIA, environmental impact assessment (EIA) and social impact assessment (SIA). Health equity was investigated by identifying (i) how health considerations were addressed and (ii) whether health was stratified by subgroups of the community.ResultsOut of 1′640 raw hits, we identified 62 articles (16 HIA, 36 EIA, one SIA and nine integrated assessments), 32 of which specifically addressed health. While 20 articles focused on a specific health topic, 12 articles used a more comprehensive approach to address health. In 15 articles there were specific subgroup analyses (e.g. mothers, children or marginalized groups) as a measure of health equity. Another 12 papers referred to the community in a more general way (e.g. affected). Without exception, health was an integral part of the nine included guidelines. HIA guidelines addressed health systematically through environmental health areas, risk assessment matrix or key performance indicators.ConclusionsWe found evidence that previously conducted HIA in sub-Saharan Africa and current guidelines address health equity. However, there is a need to stratify community subgroups more systematically in order to determine health differentials better. Future HIA should consider community heterogeneity in an effort to reduce health inequities by “leaving no one behind”, as suggested by the Sustainable Development Goals.     

System dynamic simulation: A new method in social impact assessment (SIA)

Many complex social questions are difficult to address adequately with conventional methods and techniques, due to the complicated dynamics, and hard to quantify social processes. Despite these difficulties researchers and practitioners have attempted to use conventional methods not only in evaluative modes but also in predictive modes to inform decision making. The effectiveness of SIAs would be increased if they were used to support the project design processes. This requires deliberate use of lessons from retrospective assessments to inform predictive assessments. Social simulations may be a useful tool for developing a predictive SIA method. There have been limited attempts to develop computer simulations that allow social impacts to be explored and understood before implementing development projects. In light of this argument, this paper aims to introduce system dynamic (SD) simulation as a new predictive SIA method in large development projects. We propose the potential value of the SD approach to simulate social impacts of development projects. We use data from the SIA of Gareh-Bygone floodwater spreading project to illustrate the potential of SD simulation in SIA. It was concluded that in comparison to traditional SIA methods SD simulation can integrate quantitative and qualitative inputs from different sources and methods and provides a more effective and dynamic assessment of social impacts for development projects. We recommend future research to investigate the full potential of SD in SIA in comparing different situations and scenarios.     

A research framework for studying social impacts: Application to the field of mining

Given the growing amount of attention shown to the social dimension of natural resources and mining governance, there is a need for more informed research-oriented approaches to studying social impacts. This article analyzes the features of Social Impact Assessment (SIA) studies from the academic research perspective and presents a framework for social impact research. By academic research, the article refers to studies on social impacts conducted purely for research purposes, not impact assessment processes.Research is always one aspect of the SIA process. At the same time, there is a lack of general methodological literature offering guidance on how assessing social impacts can contribute to social studies research. The guiding documents on SIA are largely intended for practical-level planning and management processes, which limits their applicability for academic purposes. The proposed framework draws both from traditional social science methods and existing scholarly and guiding literature on SIA. The research framework consists of four interlinked phases: 1) research preparations, 2) background studies (including proposed project, national and local context), 3) fieldwork, and 4) analysis. The framework is designed to direct attention to the relevant aspects of research methods, theory building, fieldwork implementation, and research choices for data analysis. Thus, the framework provides a flexible, but comprehensive, multi-level approach for examining social impacts, which can be adapted for a wide range of social-scientific mining research. The analysis and developed framework will help academic researchers better study the social impacts of mining and make better use of existing SIA studies in academic life.     

The community cost of consultation: Characterising the qualitative social impacts of a wind energy development that failed to proceed in Tasmania,Australia

Energy developments affect communities in a range of ways. Impacts on communities can be caused by changes to landscape amenity and access, disruptions to community cohesion, increased or decreased income streams, effects on property values, and population changes. These changes are ideally captured in the social impact assessment (SIA) process, where proponents outline in a formal statement the balance of benefits and burdens on local communities, and measures that will be taken to minimise negative outcomes for the community. In SIA practice there is a tendency toward quantitative socio-economic impacts, such as changes to demographics, income, and land values, with some qualitative assessment of amenity impacts. While the academic literature promotes inclusion of changes to the community itself, such as impacts on community cohesion and social capital, these qualitative changes are not consistently evident in SIA practice. Additionally, SIA practice assesses the impacts of the project, i.e. how the development of wind turbines or other energy infrastructure will affect the community. Because the consultation process around a proposed project typically commences prior to the characterisation and assessment of any associated social impacts and the finalisation of the SIA process, the potential impacts of this consultation are rarely, if ever, evaluated. Here, we examine a case study of an Australian wind energy project that did not proceed to implementation. Through this case study we are able to analyse the anticipatory impacts of the proposal; those stemming from the consultative process rather than the development of the project itself. We present these qualitative social changes, and outline the pathways through which the social changes manifest in two overarching social impacts: a divided community and future development capacity. We discuss the implications of this analysis in the context of good engagement practice and energy governance.     

Social Impact Management Plans: Innovation in corporate and public policy

Social Impact Assessment (SIA) has traditionally been practiced as a predictive study for the regulatory approval of major projects, however, in recent years the drivers and domain of focus for SIA have shifted. This paper details the emergence of Social Impact Management Plans (SIMPs) and undertakes an analysis of innovations in corporate and public policy that have put in place ongoing processes – assessment, management and monitoring – to better identify the nature and scope of the social impacts that might occur during implementation and to proactively respond to change across the lifecycle of developments. Four leading practice examples are analyzed. The International Finance Corporation (IFC) Performance Standards require the preparation of Environmental and Social Management Plans for all projects financed by the IFC identified as having significant environmental and social risks. Anglo American, a major resources company, has introduced a Socio-Economic Assessment Toolbox, which requires mine sites to undertake regular assessments and link these assessments with their internal management systems, monitoring activities and a Social Management Plan. In South Africa, Social and Labour Plans are submitted with an application for a mining or production right. In Queensland, Australia, Social Impact Management Plans were developed as part of an Environmental Impact Statement, which included assessment of social impacts. Collectively these initiatives, and others, are a practical realization of theoretical conceptions of SIA that include management and monitoring as core components of SIA. The paper concludes with an analysis of the implications for the practice of impact assessment including a summary of key criteria for the design and implementation of effective SIMPs.     

Four conceptual issues to consider in integrating social and environmental factors in risk and impact assessments

In the last twenty years, both the increase in academic production and the expansion of professional involvement in Environmental Impact Assessment (EIA) and Social Impact Assessment (SIA) have evidenced growing scientific and business interest in risk and impact analysis. However, this growth has not brought with it parallel progress in addressing the main shortcomings of EIA/SIA, i.e. insufficient integration of environmental and social factors into development project analyses and, in cases where the social aspects are considered, technical-methodological failings in their analysis and assessment. It is clear that these weaknesses carry with them substantial threats to the sustainability (social, environmental and economic) of projects which impact on the environment, and consequently to the local contexts where they are carried out and to the delicate balance of the global ecosystem. This paper argues that, in a sociological context of complexity and dynamism, four conceptual elements should underpin approaches to socio-environmental risk and impact assessment in development projects: a theoretical base in actor–network theory; an ethical grounding in values which are internationally recognized (though not always fulfilled in practice); a (new) epistemological-scientific base; and a methodological foundation in social participation.     

The social impact assessment model and the planning process

Social impact assessment developed along with environmental impact assessment during the early 1970s as a methodological tool with which to better understand the consequences of environmental alteration and as an input to environmental impact statements. The idea was that if adverse social, economic, and physical effects of development were known in advance, they could either be mediated or eliminated.For the most part, the assessment of biological and economic impacts has become a required input into every stage in the planning process. However, social changes are not always arrayed alongside economic, biological, and landuse changes in the matrix that leads to the final decision.The major difficulty in the application of SIA process has been in identifying and measuring the social impacts that occur with each project. Even if important social impacts were identified, few procedures have been developed for measuring their significance. When either social costs or benefits to local communities are arrayed against regional and national economic goals, social concerns generally finish a distant second. Social science research must establish that the effects on human populations alone are significant enough to alter the outcome of the decision process.     

SHARE IT: Co-designing a sustainability impact assessment framework for urban food sharing initiatives

Urban food systems must undergo a significant transformation if they are to avoid impeding the achievement of UN Sustainable Development Goals. One reconfiguration with claimed sustainability benefits is ICT-mediated food sharing – an umbrella term used to refer to technologically-augmented collective or collaborative practices around growing, cooking, eating and redistributing food – which some argue improves environmental efficiencies by reducing waste, providing opportunities to make or save money, building social networks and generally enhancing well-being. However, most sustainability claims for food sharing have not been evidenced by systematically collected and presented data. In this paper we document our response to this mismatch between claims and evidence through the development of the SHARECITY sustainability Impact assessment Toolkit (SHARE IT); a novel Sustainability Impact Assessment (SIA) framework which has been co-designed with food sharing initiatives to better indicate the impact of food-sharing initiatives in urban food systems. We demonstrate that while several SIA frameworks have been developed to evaluate food systems at the urban scale, they contain few measures that specifically account for impacts of the sharing that initiatives undertake. The main body of the paper focuses on the co-design process undertaken with food sharing initiatives based in Dublin and London. Attention is paid to how two core goals were achieved: 1) the identification of a coherent SIA framework containing appropriate indicators for the activities of food sharing initiatives; and 2) the development of an open access online toolkit for in order to make SIA reporting accessible for food sharing initiatives. In conclusion, the co-design process revealed a number of technical and conceptual challenges, but it also stimulated creative responses to these challenges.     

Health impact assessment in multinationals: A case study of the Royal Dutch/Shell Group

Health impact assessment is part of the risk management process of multinational corporations/companies. Sexually transmitted infections, including HIV/AIDS, and the “paradox of plenty” are used as examples of the challenges they face. The “business case” for impact assessment is explained. The policies, procedures, standards, and activities used by Shell to manage such risks are described. An approach to capacity building and competency development is presented that applies to both company staff and external contractors.     

Risk management and integrated assessment

Integrated Assessment (IA) is the pursuit of a research program generated by the limitations of traditional forms of risk management. This claim can be justified by the following argument. Over the last decades, analysts and practitioners have brought to maturity a large array of tools for risk management. Most of them rely on combining judgments of utility with judgments of probability. This is the approach of the Rational Actor Paradigm (RAP). With many environmental problems, however, RAP‐based tools have run into considerable practical and theoretical difficulties. In response to these difficulties, a series of alternative approaches to practical risk management and to the theoretical understanding of risk have been elaborated. They try to embed the rational choices of individual actors studied by RAP into a broader framework of social rationality. This task can be approached by distinguishing situations where an actor holds unambiguous judgments of preference and probability from situations characterized by ambivalent judgments. RAP can handle the former, but not the latter. Problems whose management requires a combination of widely differing scientific disciplines are especially likely to involve ambivalent judgments of probability. The study of such problems constitutes the research program of integrated assessment. It involves three main tasks: developing IA models which can represent ambivalent expectations and evaluations, developing IA models which use such representations to study non‐marginal changes of social systems, and developing procedures of participatory IA which enable researchers to engage in an iterative exchange with various stakeholders. This revised version was published online in August 2006 with corrections to the Cover Date.     

Integrating community perceptions and cultural diversity in social impact assessment in Nigeria

The Environmental Impact Assessment (EIA) Act of 1992 aimed to make the environment a central theme in development in Nigeria. Nevertheless, the extent of engagement with local cultures in the Nigerian EIA process is not statutorily guaranteed. While most EIAs in Nigeria have been for oil and gas projects in the Niger Delta, and have focused strongly on the biophysical environment, socio-economic and cultural aspects have remained marginal. The palpable neglect of community perceptions and cultural diversity in social impact assessment (SIA) in this region prone to conflict has tended to alienate the people in the decision-making process. Thus, despite claims to compliance with regulatory requirements for EIAs, and numerous purported sustainable development initiatives by international oil companies (IOCs), the region continues to face multiple sustainability challenges. This paper situates local perceptions and cultural diversity in participatory development and canvasses the integration of community perceptions and cultural diversity into SIA in the Niger Delta region. It is argued that doing this would be critical to ensuring acceptance and success of development actions within the context of local culture while also contributing to sustainable development policy in the region.     

Climate impact on social systems: the risk assessment approach

A novel approach to the problem of estimating climate impact on social systems is suggested. This approach is based on a risk concept, where the notion of critical events is introduced and the probability of such events is estimated. The estimation considers both the inherent stochasticity of climatic processes and the artificial stochasticity of climate predictions due to scientific uncertainties. The method is worked out in some detail for the regional problem of crop production and the risks associated with global climate change, and illustrated by a case study (Kursk region of the FSU). In order to get local climatic characteristics (weather), a so-called statistical weather generator is used. One interesting finding is that the 3% risk level remains constant up to 1.0–1.1°C rise of mean seasonal temperature, if the variance does not change. On the other hand, the risk grows rapidly with increasing variance (even if the mean temperature rises very slowly). The risk approach is able to separate two problems: (i) assessment of global change impact, and (ii) decision making. The main task for the scientific community is to provide the politicians with different options; the choice of admissible (from the social point of view) critical events and the corresponding risk levels is the business of decision makers.     

Use of significance thresholds to integrate cumulative effects into project-level socio-economic impact assessment in Canada

A longstanding critique of project-level environmental assessment is that it is weak at addressing cumulative effects, and because of this many argue that cumulative effects are best managed at a regional scale. However, in the absence of regional management it is important that project-level assessment supports cumulative effects management as best as possible. In this paper we present case study socio-economic impact assessments of liquefied natural gas development on Aboriginal groups on Canada's west coast. The case studies use an analytical structure modified from typical Canadian practice including unambiguous and non-arbitrary significance thresholds grounded in stakeholder values to focus baselines, impact assessment, and significance determination on cumulative effects. This approach is found to be more capable of informing decision-makers on cumulative effects as well as more rigorous and transparent than typical assessments. Much of this approach is not conceptually new, but at least in western Canada such an approach is not typically used or meaningfully implemented by practitioners. As such, the case studies serve to illustrate how practice can bolster project-level assessment.     

Application of data envelopment analysis in environmental impact assessment of a coal washing plant: A new sustainable approach

The main problem of traditional methods of environmental impact assessment (EIA) is that in most of the existing algorithms and methods, such as Leopold, Folchi and RIAM, the main attention is to the destructive effects of the proposed plan, and the advantages of the industrial project are less noticeable. This has led to a permanent challenge between environmental organizations and industrial stakeholders. Data envelopment analysis (DEA) is a new approach of assessing the industrial units. Besides, it considers the positive economic and social impacts of the project and provides a comprehensive assessment of the industrial unit. With this approach, the environmental impacts of an industrial unit have been considered as “inputs” and its positive economic and social impacts considered as the “outputs” of the DEA models. Therefore, the problem of impact assessment changes into a DEA model. In the present study, the Alborz Sharghi Coal washing plant in northern Iran has been considered as a case study for implementing the DEA-EIA approach, and 19 plant activities and 11 environmental components have been used to evaluate the environmental effects of the plant. To solve the EIA problem, two commonly used DEA approaches, called CRS (constant returns to scale) and VRS (variable returns to scale), have been used. The DEA results identified the critical environmental components of the plant that should be considered seriously. Also, drawing the “potential improvement” diagram in the DEA method is an effective tool for determining the high risk activities of the factory and applying them in development plans. Besides, using the VRS model with maximize-output approach showed that some of the plant activities had the most differences with optimal mode and these components should be considered in future development plans. Finally, it can be concluded that, assessing the environmental impacts of the mineral industries with VRS maximize-output approach, is closer to the concept of sustainable development and cost-benefit analysis.     

Risk assessment of water pollutants

The sources of toxic xenobiotics and different factors such as ecological diversity, differences in comparative anatomy, physiology and biochemistry, food chain variation, interrelationship within species and life span, etc., are considered during risk assessment of pollutants, and their impact on aquatic ecotoxicology is identified. A fugacity and multimedia compartment model is suggested, based on toxicodynamic (toxicity of the chemical) and toxicokinetic (metabolism of the chemical) considerations to predict and screen the behaviour of pollutants quantitatively in the aquatic environment. The significance of the risk analysis approach in anticipatory actions and regulation of pollution levels is discussed.