- _ E N VIl R O N M E NT 20977 D E P A R T M E N T as P A P E RS- AEN.7 PAPER NO. 74 TOWARD ENVIRONMENTALLY AND SOCIALLY SUSTAINABLE DEVELOPMENT E"NVIRONMEN'TAL MANAGEMENT SERIES Social and Environmental Assessment to Promote Sustainability n Informal View from the World Bank Robert Goodland January 2000 Environmentally qnd Socially Sustainable Development The World Bank ESSD THE WORLD BANK ENVIRONMENT DEPARTMENT Social and Environmental Assessment to Promote Sustainability An InformalView from the World Bank January 2000 Papers in this series are not formal publications of the World Bank. They are circulated to encourage thought and discussion. The use and citation of this paper should take this into account. The views expressed are those of the authors and should not be attributed to the World Bank. Copies are available from the Environment Department, The World Bank, Room MC-5-126. Contents INTRODUCTION V ACKNOWLEDGMENTS vii ACRONYMS AND ABBREVIATIONS ix Chapter 1 A Potted History of EA in the World Bank 1 Chapter 2 A Potted History of SA in the World Bank 9 Chapter 3 Linkages Between SA and EA 17 Chapter 4 The Evolution from "Impact" Assessment to Assessment 19 Chapter 5 Capital, Sustainability, and Assessment 21 Chapter 6 Participation 25 Chapter 7 SEIEA Categorization 27 Chapter 8 Conclusion: Revamp SA and EA Policies 29 NoTEs 31 REFERENCES 33 Environmental Management Series iii Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank BOXES 1 The IMF and Environment 5 2 Countervailing Trends in the Bank: Strengthening or Weakening SA/EA Policies? 6 3 The Cultural Dimension of Development for Social Sustainability 13 4 Topics Focused on in Environmental and Social Assessment 14 5 Topics Not Always Focused on by EA and SA in the World Bank 15 6 Violence Hampers Social Sustainability 15 7 Social and Environmental Competition with Economics 17 8 Comparison of Human, Social, Economic, and Environmental Sustainability 22 9 Attempts to Redress the Asymmetry Between Economic Capital and Social Capital 23 10 The Depletion of Natural Capital to Boost Social and Human Capital 24 11 The Evolution of Public Participation: Warning, through Consultation and Participation to Partnership: The Hydro Case 26 iv Enviromnent Department Papers hntroduction This paper compares the history of EA and SA processes are examined to see the Environmental Assessment (EA) with that of extent to which they could promote Social Assessment (SA) in the World Bank, in sustainability, the maintenance of capital. This order to draw 'lessons learned' to improve means SA and EA can be used to prevent development. The main need-to shift attention inadvertent consumption of natural and social from the EA report to implementation on the capital. The factual and historical start of the ground-has been started recently (Goodland paper is followed by a brief but more theoretical and Mercier 1999), so this paper focuses on section on the substitutability between the four process. The history of SA and EA shows how main forms of capital and their relevance to scarce social and natural capital is being achieving the goal of sustainability by means of converted to abundant economic capital. The improved SA and EA. "I think the mistake the Bank has paid the highest price for was not recognizing the importance of environment." Lewis Preston President, World Bank Group 1991-1995 Environmental Management Series v Acknowledgments Sincere thanks to all friends and colleagues who El Serafy, Paul Francis, Susan Jacobs, Agi Kiss, commented on earlier drafts of this paper, Ayse Kudat, Ted Scudder, and Warren van especially Michael Cernea, Herman Daly, Salah Wicklin. Environmental Management Series vii Acronyms and Abbreviations EA Environmental assessment EIA Environmental impact assessment EPA U.S. Environmental Protection Agency FAO U.N. Food and Agriculture Organization ICOLD International Commission on Large Dams IDA International Development Association IMF International Monetary Fund NEAP National environmental action plan NGO Nongovernmental organization NRDC Natural Resources Development Council OD Operational directive OEA Office of Environmental Affairs OECD Organization for Economic Cooperation and Development OMS Operational manual statement OPN Operational policy note SAP Structural adjustment program SIA Social impact assessment US-AID U.S. Agency for International Development UNCED United Nations Commission on Environment and Development UNEP United Nations Environment Program UN United Nations WBG World Bank Group WDR World Development Report Recent Presidents of the World Bank Robert McNamara 1968-81 Alden Clausen 1981-86 Barber Conable 1986-91 Lewis Preston 1991-95 James Wolfensohn 1995-present Environmental Management Series lx A Potted History of EA in the World Bank The first observance of Earth Day on 22 April of health care, while leaving human health 1970 was noticed by World Bank President impacts of projects to the environmental office. McNamara. In his UN address later that year, he announced he had appointed an Shortly upon taking office, Lee supported a environmental adviser, James A. Lee, who review to specify what the social dimension of introduced "environment" to the World Bank development is or should be (Cochrane 1973). during a long and distinguished career, and Following Professor Glynn Cochrane's analysis, who retired in 1987. McNamara had been the Bank recruited sociologist Michael Cernea in sensitized to environmental issues, partly by 1974. Lee subsequently devolved all being publicly criticized inter alia by Princes resettlement issues associated with World Bank Bernhard and Philip. McNamara had been projects to Cemea, which became the Bank's influenced by drafts of the "Only One Earth" main social problem for the next couple of book by his friends Barbara Ward and Rene decades. Dubois (1972), and had arranged for a thorough Bank review of the Club of Rome's 1972 "Limits The 1970 U.S. National Environmental to Growth" (Meadows and others 1972) book, so Protection Act mandated EA for all federally he was aware of the importance some people funded projects, and this was later extended- attached to the environment. Lee helped after a lawsuit brought by NRDC and others- McNamara to exert environmental leadership at to USAID-assisted projects in developing the UN's first Conference on the Human countries. The Bank issued voluntary Environment, held in Stockholm in 1972, which environmental guidelines from 1975 on, but led to the creation of UNEP. these were unable to prevent environmental damage sufficiently. Also from about 1975 Lee was a public health specialist. He created onwards, the Office of Environmental Affairs the Bank's three pronged definition of financed consultants to do mini-EAs of around "environment" as: (a) public and occupational 10 days each, called "environmental health, (b) the naturally occurring environment, reconnaissance" in those days, of major and (c) the "social" dimension. So health and infrastructure projects contemplated by the social considerations were firmly included in Bank. But as OEA paid for these inputs, and as "environment" at the World Bank from the outsiders did them, influential project staff did earliest days. Indeed, the Office of not always internalize them, nor was Environmental Affairs became the Office of environmental reconnaissance adopted as a Environmental and Health Affairs in the late standard tool. When I joined the Bank in 1978, 1970s. Lee managed to upgrade the Health the lack of clarity over the role of EA was such Division into a freestanding Health Department that I was asked to assess environmentally in the mid-1980s, which emphasized provision Brazil's Polonoreste program and the Paraguay/ Environmental Management Series 1 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank Argentina Yacyreta hydroproject on my own in Serafian quasi-sustainability of non-renewable my first months en post during two 10-day resources was added only later. The Bank was missions. Nowadays, EA scoping alone for a not ready for environmental sustainability at single Bank-assisted project would take several that time, so little happened until the Bank tried weeks by an EA team. to operationalize sustainability following the Brundtland Commission's (1987) urgings to The Clausen Presidency (1981-86) overlapped adopt sustainability as a major goal of with "the decade lost to development." The two development. global oil shocks of 1974 and 1979 and imprudent petrodollar recycling had Apart from near total lack of environmental exacerbated indebtedness and double-digit staff, the reason these injunctions failed inflation in OECD. President Clausen and Sr. adequately to prevent damage was that Bank Vice President Ernest Stern were not staff could not at that time stomach specifics on enthusiastic about the environment according to how to carry out their work. "We are all grown- Wade (1997). Development became a race to ups here, many of us have been colonial officers prevent default of overindebted developing experienced in administering thousands of countries, and to protect private U.S. banks. square miles of various colonies for many years, Non-project loans, such as structural we do not need restrictive details on how to get adjustment, grew from zero to over one third of the right thing done, we all know the common total Bank lending during this period. sense of what you have started to call "Environment" improved little during this lost environment"-was a widespread sentiment. decade. The environmental history of the World Bank In 1984, the Bank issued an overarching will have to analyze the preponderance of ex- environmental policy: "Environmental Aspects colonial staff from when the bank was created of Bank Work" (OMS 2.36), its first mandatory during decolonization, through their retirement environmental policy. The version finally which was essentially complete by the late adopted by the Bank was a series of worthy 1980s. Against this should be balanced the rise injunctions, although all had escape clauses. in influence of the Young Professionals from the These injunctions worked to a limited extent; mid-1970s. By the mid-1980s, many vice they fostered agreement on what was presidents were fast tracked YPs. The first YP legitimately "environment," which included with any serious claim for experience with project-induced social impacts, such as health environmental issues was engaged in the mid- and resettlement. They prevented some damage 1990s. Colonial staff were seasoned caused by projects, but did not reduce damage administrators, assertive and supremely to acceptable levels. This policy was the first confident. In other settings this would be attempt to inject the concept of environmental tantamount as paternalistic. YPs were sustainability into Bank work. The policy stated dominated by doctrinaire Chicago school that even the candidate list of projects from neoclassical economists. In those days such which the next project would be selected, must economists had no environment in their be sustainable. Sustainability was defined as curricula. Macroeconomics has no maintenance of natural capital: on the output environmental implications it was claimed; side as not exceeding the assimilative capacity microeconomics has some mainly unimportant of the environrment to recycle wastes. On the externalities, and one-pollution-had entered input side, it was defined as not exceeding economic curricula by the late 1970s. Even YPs regeneration rates when harvesting renewables. from developing countries had no experience in 2 Environment Department Papers A Potted History of EA in the World Bank their countries and even less with poverty so, the Bank did not budge (Wade, 1997). It took alleviation or environment. Colonial goals of a concerted threat by member governments and growth and export of raw materials prevailed, NGOs to vote against replenishment of IDA and were continued by neoclassical economists grant funds, and a change in World Bank and YPs into "aid" or developmentalism. In fact presidents for the Bank to strengthen its some historians claim a continuity between environmental capacity. imperialism, colonialism and paternalism as they evolved into "aid" and economic The Conable Presidency's (1986-91) development. The trickle down theory began reorganization of 1987 vastly increased strongly from the early 1970s in an attempt to environmental management capacity in the justify the emphasis on the export of raw Bank for the first time. The Bank admitted that materials, but it lingered on as structural EA specifics are indeed needed for Bank staff adjustment through the late-199Os. and project designers, and that environmental precautions are not something everyone can be With regard to EA, the 1984 policy stated (a) expected to design and implement effectively that environmental impacts should be reviewed by common sense alone. One category of during project design, and (b) the results should "environmental professionals" was added to the be reported in post hoc "Project Completion official list of Bank disciplines, rather than being Reports." The first provision (a) led to the lumped with "Technical Specialists-other." An gradual appearance of single, bland boilerplate Environmental Department was created paragraphs in project design documents. These centrally, containing three divisions, of which a later became one page annexes for high impact professional environmentalist, Jane Pratt, led projects. The second provision (b) led to post hoc one. An environmental division was created in copying of environmental criticism from the each geographical region of the Bank, although press into the Project Completion Reports. The later two divisions were consolidated to serve criticism was taken from the press because no two geographic regions each. Two of the four environmental staff had been invited to visit new regional environmental divisions were led such projects. While such post hoc reports had no respectively by a sociologist (Gloria Davis) and influence on the project itself, when too many an environmentalist (Robert Goodland). Each completion reports highlighted irrefutable regional environmental division decided on its environmental criticism, Bank staff began to own to include the social dimension as part of notice. Had we done more on the environment "environment." The Bank's social pioneer, during project design, they wondered, would Michael Cemea, remained in the Agriculture that have helped to prevent such criticism? Lack Department, but in 1990 moved to the Social of specific EA policies meant that each project Division of the Environment Department. officer could do as much or as little on environment during design as they felt like. The environmental divisions staffed up with three main disciplines, which became known as From 1984 to 1986, criticism of projects causing "brown" and "green" environmentalists, and much environmental damage increased, a long social scientists. Professional environmentalists series of U.S. congressional hearings warned the grew one order of magnitude from the half a Bank to improve its environmental capacity, dozen when Conable arrived, to nearly ten member governments and NGO pressures times that by the early 1990s. These specialized became more difficult for the Bank to ignore, respectively in pollution control, largely by and the United States voted against a project for chemical engineers, maintenance of natural the first time on environmental grounds. Even capital, such as biodiversity by ecologists, and Environmental Management Series 3 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank social issues by sociologists and anthropologists. by 1999. EA was kept out of macroeconomic, EA/SA was integrated from at least as early as policy and sectoral analyses. This meant EA the 1970 U.S. NEPA, and in the Bank from the could be applied only to already identified mid-1970s until the late 1990s when divergence investment projects. The Bank claimed that between EA and SA began. Environmental and there would be little or no social or social units began to separate in the regions and environmental impacts of SAPs. If there were in the "center." impacts, they would be minor, and in any event they would be too complicated to tease out and As soon as President Conable's 1987 assess. To do so would defeat the fast-design reorganization was complete, India's Narmada and fast-disbursing purpose of SAPs, the Bank dam controversy intensified, partly because felt. This was curious as most SAPs are similar; adequate EA/SA had not been undertaken. The they impose fiscal austerity, cutting U.S. Treasury, President Conable and others consumption, cutting budgets, increasing taxes, then requested Bank staff to draft an EA Policy, raising interest rates, devaluation, and borrowing the better parts of the U.S. NEPA.1 accelerating the drawdown of natural capital. Amid much resistance inside the Bank, a Removal of subsidies raised prices, especially watered-down, but mandatory version was those affecting the poor, causing bread-line adopted in 1989, 17 years after U.S. NEPA, but riots, kerosene riots and so on for decades. without stakeholder participation. Consultation and disclosure were not mandatory. The U.S. Ecuador's joint WB/IDB SAPs were assigned to Congress then passed the Pelosi amendment in the lowest EA Category, namely "C," because 1989, which encouraged the IDA and by SAPs, at that time, were thought not to create extension the Bank to publicize the EA 120 days any social or environmental impacts. These before Board presentation. External criticism SAPs may have partly been behind the major flared and became so difficult to refute that a civil unrest of 1994, prompting IDB's President stronger EA Policy, broadly meeting prevailing Iglesias to inform the cabinet that he "wanted international standards, was adopted in 1991, IDB to be part of the solution, not part of the with full stakeholder participation. If the problem" (Treakle 1998). More expensive borrowing country refused to make the EA cooking fuel accelerated deforestation for public, the Bank was obliged to withdraw. fuelwood. SAPs encourage exports, especially Tinmely and broad EA disclosure permitted of natural resources, so deforestation affected people or their advocates to comment intensified. Expenditures on social sectors such on drafts. This single provision vastly improved as health, nutrition and education decline, and EA quality. EA reports became the main unemployment rises. This was the first impact document available to civil society, hence, in a acknowledged by SAP designers. Following way, have become lightning rods for non- unemployment, malnutrition starts to rise, environmental criticism of development especially in vulnerable groups, such as the projects in general. Consultation and aged, children, the infirm and women. The information disclosure became mandatory over jobless are forced into short term survival a field broader than just EA by 1994. patterns such as cultivating steep slopes, cutting forest, and eating seed corn. Indonesia's 1998 The price paid to get the 1991 EA Policy draft trade liberalization caused more forest to be accepted was to remove the requirement burned for oil palm plantations. This, and the mandating EAs of non-project lending, such as extra dry 1997 and 1998 seasons, have been structural and sectoral adjustment operations, linked to the worst forest fires in history, which became 65 percent of total Bank lending irritating neighboring nations, increasing the 4 Environment Department Papers A Potted History of EA in the World Bank frequency of airplane and shipping crashes and F Box 1 releasing more greenhouse gas than all of Europe. The IMF and Environment The IMF is involved in the debate among It took WWF's Sustainability Team, led by neoclassical economists "What are the David Reed, and others a decade to get the environmental considerations in Bank to acknowledge the "devastating effects of macroeconomics." It is true that most macroeconomics texts exclude environment. In structural adjustment on the most vulnerable the minds of ecological economists, there is no sectors of the population" (Reed 1992, 1996; debate at all on this point; "Green Accounting," Beneria and Feldman 1992; Treakle 1998; Ghani for example, is all about environmental aspects 1999). Food riots erupted in many adjusting of macroeconomics (El Serafy 1989,1993, 1996; Daly 1996, 1999; Daly and Cobb 1994). Ecological countries, including Egypt. After such damage economnists insist on distinguishing between became clear, SAPs began to include specific what is accounted as selling capital (depletion) social safety nets. This was a major and what is actually earning Hicksian income improvement protecting vulnerable groups (sustainable by definition); IMF does not so potentially affected by the SAL. After nearly a distinguish. In the few years before he retired in decade (c 1991-198) of intnsifying1998, IMF's Ved Gandhi had included decade (c. 1991-1998) of intensifying environment in his work, as part of Vito Tanzi's environmental and social impacts and criticism, Fiscal Department (Gandhi 1998). As of January the Bank is now (1999) drafting requirements 1999, IMF's Tax Department has three IMF for the environmental assessment of SAPs, and officials who handle environment as part of is inte.nalizing the concept of environmental their duties. The policy review unit also has some environmental responsibilities. Following sustainability, which had been dropped the 1997-1998 Asian crisis, Sociologist Caroline following the 1992 WDR. Robb, author of "Can the Poor Influence Development? Participatory Poverty Assessments in IFC hired its first social scientist, Debra the Developing World" and formerly of the World Sequiera, in 1996. The IMF seems to be behind Bank, was hired full-time by IMF's Africa Department on 15 APril 1999. the WBG in this regard (Box 1). They hired their D first professional social analyst in 1999, so the Bretton Woods Institutions may both start EA/ because it was thought that the Bank's newly SA of adjustment lending soon. SA especially created (in 1993) Inspection Panel was more than seeks to ensure that the poor and the vulnerable enough. The IP was created as a result of are not harmed and preferably become pressure during IDA 10 negotiations of late 1992, beneficiaries of the SAP. Tranche releases and and as an aftermath of India's Narmada social impact monitoring became key tools in commission (Morse and Berger 1992). The IP such adjustment operations. forced an element of accountability into the Bank, but after only five years, in 1999, the Board Environmental compliance mechanisms were sought to reduce the powers of the IR. The phased out at around this time. Regional staff balance of quality assurance, almost entirely with became much more autonomous and no longer regional colleagues reviewing their own projects, had any need to refer to the center. Meanwhile, looks as if it may start to shift again. This was the the "center" or "anchor" was starved of budget, start of a resurgence in quality promotion by depended increasingly on the regions for money governments and by NGOs. For example, the acting as internal consultants which reduced U.S. Treasury, with all the technical resources of independence while fostering team work (for the U.S. Government behind it, increasingly which read loyalty). Clearance and review queried the Bank's EA categorizations, while no functions fell into desuetude. This was partly Bank unit was capable of doing so. Environmental Management Series 5 Social and Environmental Assessment to Promote Sustainability -An Informal View from the World Bank The other IDA 10 landmark was a rule to started in March 1997, so their environmental disseminate more classes of information that staff declined, at least through 1999, whereas hitherto had not been released. The 1993 the social side received an extra $3 million and Disclosure Policy (15.01) had improved expanded. The Social Department waxed and transparency; the Bank could no longer claim the Environment Department waned. Although confidentiality as a reason not to disseminate environmental compliance and staff were information publicly. Yet, from 1993 onwards, weakened during this decade, the Bank set up a extant environmental and social policies were to new, powerful and well-endowed Quality be "converted" which meant "reformatted," Assurance Group in 1997, which seeks to foster "edited," and "clarified." compliance Bank-wide, including with environment. In addition, the Bank was setting Environmental and social policy "conversion" up a "Safeguard Policy Compliance Unit" as of was undertaken during this second decade 1999. largely of lost environmental leadership (Box 2). This has led to the social and environmental The pivotal entry point for Bank-assisted policies having less weight, according to the support to each country, the Country Assistance World Bank (1998), than other policies. For Strategy, remained confidential even to example, the IP found on the Yacyreta unauthorized Bank staff. EA at the country level hydroproject that the civil and mechanical was resisted by the Bank until after the works were 99.8 percent complete, whereas the delegates for the IDA 9 replenishment had social and environmental components were instructed the Bank to require IDA member only 30 percent complete. The Environment governments to prepare NEAPs. This was Department was largely excluded from formalized in 1992 (OD 4.02), and later President Wolfensohn's generous $250 million extended for all borrowers. Sectoral EAs also three-year "Strategic Compact" financing which are slowly increasing, although not yet required. 6 Environrment Department Papers A Potted History of EA in the World Bank Box2 Countervailing Trends in the Bank: Strengthening or Weakening SA/EA Policies? This sensitive but crucial point lacks consensus. The causes leading to environmental and social policy 'conversion' are unclear; there are countervailing tendencies in the World Bank. The 1991-93 Wapenhans 'Implementation,' 'Getting Results,' and 'Next Steps' Reports were commissioned by President Lewis Preston to rebalance Bank work away from fixation on project preparation and more towards improving implementation. Wapenhans had urged the Bank to distinguish, in its operational instructions, between mandatory policy requirements, for which it could be held accountable, and voluntary best practice. This recommendation led in 1993 to the new format of Operational Policies OPs), Bank Procedures (BPs), and Good Practices (GPs). The Inspection Panel, created in September 1993, was perceived as fostering accountability to the legalistic letter of Bank policies. While this was not at all so, and was never its intent, all policy instructions were 'converted' to the new format to differentiate the mandatory from the voluntary. WDR 1992, the UNCED Rio Conference, and all independent scorecards then and five years thereafter, agreed that environmental quality in developing countries is bad and worsening, with exceptions of course. The Bank had rejected the findings of the Morse Commission on India's Narmada, and the government cancelled the loan for the almost quarter-built project early in 1993. Thus there was a strong case at that time for strengthening, rather than for weakening, environmental policies. Environmental policies were strengthening up to 1992 (such as EA Policy); "conversion" of policies began in c.1993-94, and some conversions are still ongoing as of 1999. Some Bank managers claimed social and environmental policies caused Bank lending costs to escalate thus driving business to sources of finance with less stringent policies (for instance, IFC reduced its commitment to Chile's Biobio dam which was taken up by the Dresdner Bank). These managers thus implied that the Bank should reduce its social and environmental safeguards as they were too costly. The confidential 1996- 97 Cost Effectiveness Review of Peat Marwick Accountants looked at ways to bridle internal administrative costs (allegedly environmental and social costs accounted for up to 25 percent of total project preparation costs), which may have been greater than the social and environmental impact costs of projects in dients countries. Thus, Peat Marwick inferred that the administrative costs of the Bank's social and environmental requirements may have been excessive. Of course, they are far less than the costs of environmental impacts arising from ill-designed projects. Later the Peat Marwick report led to President Wolfensohn's Strategic Compact of 1997. The Board is on record as asking why environmental and social policies appeared to them as being gutted. Some policy points were indeed usefully clarified, but some mandatory policies were dropped, others were 'Inspection Panel-Proofed,' others were weakened in minor ways, and much mandatory became voluntary. For example, two important energy policies (Power Sector Policy and Energy Efficiency Policy) were downgraded from mandatory to 'good practice.' Now, years later, they may be upgraded. The policy on the environmental and social impacts of dams and reservoirs was relegated to a Best Practice annex (B of 4.01) with no discussion. This did not help the big dams controversy, which is still raging. The policy on Involuntary Resettlement is mired in controversy as of late 1999, and it is too early to predict what version may finally be adopted. The umbrella environmental policy (Environmental Assessment) was weakened, although some of its clauses were later reinstated by the Board. The current pesticides policy (OP 4.09) is clearly weaker than the one it replaced, as are the 'Standard Bidding Documents' for biocide purchase, which omits IPM. The whole process became so vexed that what was claimed to be merely 'editing, clarification and reformatting' has taken more than six years, and is still not complete (for example, Involuntary Resettlement, and Indigenous Peoples). Environmental Management Series 7 A Potted History of SA L in the World Bank The history of the entrance of social concerns common during McNamara's emphasis on rural into the World Bank has yet to be written. development. Thayer Scudder was the first consultant social scientist who worked at the Bank. President Cemea drafted and persuaded the Bank to McNamara had started to emphasize rural adopt its first policy on a social impact of development for the first time in the World development, namely "Ir;voluntary Bank in the late 1960s. Tapped by John C. de Resettlement" in 1980.2 This is still the biggest Wilde, then Director of the Bank's Economic social issue in the WBG, and attracts the most Staff, Scudder joined a team in 1964 which controversy of all impacts of development produced the two-volume "Experiences with projects. Following two decades of striving, Agricultural Development in Tropical Africa" in involuntary resettlement shows signs of 1967 (de Wilde and others 1967). Scudder improving. Planning has improved and the continued as a leader on integrating the number of resettlement plans is increasing. Post sociological dimension into economic hoc reviews of resettlement (for example, World development, especially involuntary Bank 1994, 1998) show that while it is difficult resettlement and riverbasin management (for to identify projects where involuntary rural example, Scudder 1994; 1997a,b; 1999). resettlement has improved oustees incomes Anthropologist Neville Dyson-Hudson also promptly after their move, the number of consulted for the Bank on livestock projects in successes is increasing. However, project the 1960s. budgets for involuntary resettlement remain chronically underfunded; financing is denied, In the early 1970s, Glynn Cochrane "...worked and implementation is distorted (Cemea 1999 at-though not for-the World Bank" (Francis pers.comm.) and Jacobs 1999; see Cochrane 1973). On his own initiative, Cochrane spent several months Part of the controversy is that Bank policy in the institution reviewing the portfolio, and perhaps aims too low. "Displaced persons should identifying the potential roles for social be assisted in their efforts to improve their scientist. Following Cochrane's 1973 report, the livelihoods and standards of living or at least to Bank's first sociologist was hired in 1974, restore them, in real terms, to pre-displacement Michael Cernea, who after a long and levels or to levels prevailing prior to beginning of distinguished career, retired in 1996. By far the project implementation, whichever is higher" Draft main social impact caused by Bank projects was OP 4.12, April 1999 I(c) (emphasis added). that on people displaced by infrastructure Cernea (1999) is clearer on the target: "The projects, such as big irrigation and hydro dams, primary goal of any involuntary resettlement process frontier land settlement, and transmigration of is to prevent impoverishment and to improve the whole communities, which had become livelihoods of resettlers." Making oustees 'no Environmental Management Series 9 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank worse off' at some, often long, time after their originated from the environmental office.4 This move is impoverishment. Income restoration policy was initiated because the Bank wanted to immediately after relocation has rarely been finance a highway ("Brazil: Seventh Highway achieved and is stagnation at best. It cannot be Project: BR 364") straight through the Amazon construed as development. Restoration of jungle in Brazil and had scarcely heard of livelihoods to pre-displacement levels after vulnerable ethnic minorities, much less how several years ago seems retrogressive. Indeed, they are more likely to be harmed than helped Scudder argues that policies emphasizing mere by conventional development projects. This restoration can be expected to leave a majority series of projects dating from 1981, later known of project affected people worse off.3 In my as the Northwest region or Polonoroeste opinion, oustees must be made immediately program and Planafloro, is still fraught with and clearly better off after their move, at least in controversy, and a complaint was filed with the the crass materialistic sense of better land, Inspection Panel in 1995. The ethnic minority improved housing, homegardens, paths, rural policy was adopted too late to be mandatory in electrification, schooling, piped water and Polonoroeste, but was followed to such great sanitation, clinics, training, jobs and so forth. effect in the next relevant project, Carajas Iron Potential losers need to be compensated so that Ore and Rail, that by 1983 the Bank was they are better off. financing creation and protection of more than half of all Brazil's Amerindian reservations! The two elements of SA are clear; first do no Since that pioneering start in the early 1980s, the harm ('prevent impoverishment'), second vulnerable ethnic minority policy has been improve livelihoods or alleviate poverty. increasingly followed in Bank projects, and Maintaining social capital (defined in Box 8), or similar policies have been adopted by other at least not depleting it, needs more attention development agencies. Now entire loans are than hitherto. The policy of the international big specifically targeted to support-and primarily dams lobby (ICOLD 1997) is developmental developed by indigenous peoples themselves- rather than stagnational: oustees shall be better such as the 1998 loan to support the indigenous off promptly after their move. The World Bank's peoples of Ecuador. view, as of this writing, is that if one cannot even restore livelihoods, why aim higher and The two major social policies, Involuntary try to make oustees better off? This is Resettlement (1980), and Vulnerable Ethnic controversial. Most of the Bank's 'problem Minorities (1982) mandated mitigation of these projects' are so-called precisely because they two severe social impacts stemming from many have massive and unsuccessful resettlement. development projects. From the early 1980s India's coal projects and many irrigation and until the 1990s, Bank social scientists tried to hydroelectricity dams just have been unable to foster compliance with these two social policies, make oustees 'as well off' after their move. The and promoted social inputs into sectoral policies Bank is now subject to the criticism that poverty such as those of slum improvement and urban trickles down from ill-designed projects: renewal, irrigation, and forestry. New disclosure reparations are being bruited against polices stopped prohibiting discussions with inadequate project designers. Designers NGOs, and soon thereafter actually started to responsible for flawed projects may be held foster cooperation with civil society (Cemea accountable when they fail-is the proposal. 1988; policy 1989). Bank policy documents themselves ceased to be confidential and were The next social policy adopted by the Bank in shared with the borrowers who had to comply 1982-on vulnerable ethnic minorities- with them. A huge success was achieved in the 10 Enviromnent Department Papers A Potted History of SA in the World Bank early 1990s when the Bank decided that all as squatters within the house of EA." "In the resident missions would have their own, absence of a carrot (incremental funding) or a usually local, Bank-NGO officers.5 Grass roots stick (a social policy), cost-cutting and time- NGOs often know far more about projects than saving demands will force Bank and Borrower Bank staff, and more than project proponents teams to cease to do SA altogether and will frequently know. That single device, involving revert back to the fragmented approach to only the local NGO officer, greatly improved project those social mitigation issues on which there is quality. clear policy (Jacobs 1998). Policies seeking to redress gender imbalance 'Social assessment' has been more recently (Goodland 1995), and promoting 'participation' defined ambitiously by Cemea and Kudat (1994) were adopted. But "the general (1997) as deciphering an unfamiliar social map requirement for social appraisal in project of a country, in order to understand "the design took a back seat" (Francis and Jacobs structure of these societies, their cultures, the 1999). "Compliance with the policy on wishes of their populations." This could be sociological appraisal of projects was far from considered a subset of 'national social analysis', general and the institutional mechanisms for akin to the series of IDA-mandated National absorbing them in practice were insufficient." Environmental Action Plans (NEAPs; vide infra) "Social appraisal requirements disappeared in and similar national diagnoses, which, despite 1994 without explanation" as part of the general the name, first identify national environmental 'conversion' of the portfolio of social and priorities, and second, seek to address them. environmental policies.6 Brief guidelines for Bank critics, led by the U.S. govemment, sought "Social Assessment" were published in 1995 as to strengthen SA and EA by mandating its use a voluntary Dissemination Note. Detailed in an overall country-level context. This IDA guidelines for social assessment are under condition led to a new policy on NEAPs. They preparation as a CD-ROM. were to have been grass roots up processes to foster national consensus on environmental In view of this impasse, Cernea proposed and priorities. This was to have been fed into the Wolfensohn agreed to the formation of a Social Bank's lending program for that country. Development Task Force in 1996. This aimed at integrating social analysis into operational SA looks beyond project-induced impacts, and work, and led to major improvements, which towards development effectiveness of projects. are not detailed here. The main result was to SA seeks to ensure that positive social elevate the social division from inside the development outputs are achieved. Although Environment Department to a full and the general boundaries of what qualifies as SA freestanding Social Development Family and are generally agreed upon, agreement on Department led by its own Director, Gloria specifics is still lacking among practitioners Davis, in the Bank 1978-2000, armed with a Uacobs 1998). EA remains more impact-oriented generous budget, and new staff positions. than SA, but is moving toward achieving a net Production of excellent SA publications improvement of the environment with the boomed. While institutionalizing social project, beyond mere mitigation of known assessment became a key goal of the new impacts. department, neither a policy on SA or on SIA had been adopted by the Bank as of 1999. The Bank's 1984 guidelines7 required what is "Some SA practitioners are content for referred to as 'social appraisal.' This is defined components of social policy to continue to live as "...the sociocultural and demographic Environmental Management Series 11 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank characteristics of populations likely to be coal-thermal electricity generating plant) and is adversely affected by a proposed project, the more independent of the environment into social organization of productive activities in which the sulfur gases are released. Humans the project area, the cultural acceptability of have similar tolerances for inhaling sulfur project design, its compatibility with intended dioxide, irrespective of their social beneficiaries, and the social strategy for project characteristics. Social analysis does not focus implementation... " Therefore, the terms 'social only on the prediction of adverse impacts and assessment,' 'social analysis,' and 'social their mitigation to the extent EA still does. That appraisal' overlap and are partly focused on is why SIA has become rare in the terminology identification of national, social characteristics, of social analysis. Social analysis takes the or those of the affected people, and national broader approach of understanding the social social priorities, and by implication their fabric, diagnosing the social map, and assessing fulfillment. These three terms also contain the the willingness of stakeholders to participate in sense of identification of the potentially adverse the proposed project. Sectoral social social impacts of project design, but are not assessments are clearer; they address the whole confined only to impact mitigation. SA tends to sector, ranking all potential projects according to be more at the individual project level; social their social acceptabilities, well before a single analysis is more macro or even national in project is identified. Only the best project from scope. the sectoral ranking is then later taken up and designed. After social contexts, social Second, 'Social Impact Assessment' (SIA) is a properties, social constraints and risks, Cemea narrower concept, and is falling into desuetude. and Kudat (1997) include in the definition of SIA used to be the identification, prevention, Sectoral Social Assessment, "the social impacts minimization, and mitigation of potentially of sectoral changes" when they helped to design adverse impacts of a proposed project on an analysis of the entire coal sector in Russia. human society, carried out as part of project design, as is EIA. Now, SA is becoming The main topics comprising the sociological extended as a tool to monitor social dimension of economic development, development impacts of projects during as shown by the recent textbooks on the implementation. SA as a monitoring tool allows subject,8 include poverty alleviation, social adaptation or restructuring to ensure that welfare, social justice, equity, vulnerable groups, intended social development impacts are gender balance (1994 policy), human and social indeed achieved. This contrasts with EA which sustainability (Box 8), culture (Box 3), education, rarely, if ever, leads to project restructuring or resettlement, unemployment, land tenure, even adaptation of the project after common property and open access resources, construction. Clearly, effective SA can be abolition of slavery, debt peonage, ILO achieved only after knowing as much as conventions, slum upgrading (Box 4). That is an possible about the sociocultural characteristics important and broad agenda. of the country, or at least of the project area. Box 4 lists the main topics of concern to social The reason for overlap of these terms is that and environmental analysis of development in social dimensions are often specific to the general. On the social side, as of about six years society surrounding a project. Environmental ago, SA embraced three categories; first, impacts impacts are biophysical and are often less site (for example, on unacculturated jungle dwellers specific. SOX air pollution, for example, arises or aboriginals); second, goals (for example, from specific sources (for example, a high-sulfur poverty alleviation); and third, processes (for 12 Environment Department Papers A Potted History of SA in the World Bank Box 3 The Cultural Dimension of Development for Social Sustainability Culture is becoming recognized as relevant for sustainable development, and is an element in social and human capital (Sen 1999, Warren and others 1995), although still disputed by many. Culture can be learned, such as the value of more education which modifies behavior. The common human attributes of emulation, imitation and admiration lead to culture change. By using their power of 'choice' and 'voice,' people can help control their own environments and the development affecting them. In addition, culture fosters the demand for cultural property services (Goodland and Webb 1987; OMS Cultural Property), which is a big attraction in the world's biggest industry, namely tourism, although much of tourism is not based on culture. Culture has to be maintained, nurtured and protected-or it disappears. This applies to all culture, not only to archeological, historic and spiritually important sites. For example, local music is easily outcompeted by Hollywood muzak; local cuisine is outcompeted by western junk-food; local languages are outcompeted by American, local dress is outcompeted by jeans and BB caps. In many countries, the most widely viewed movies are all from Hollywood; India is one of the few exceptions. Cultural adaptation to changing circumstances is essential. But without vigilance, culture is lost and this impoverishes. The cargo cults and consumer oligoculture are examples. Imperial-style takeover of indigenous culture by a dominant one devastates local economies, promotes ethnic tensions and can lead to xenophobia. Local cultures contain many coping mechanisms which are destroyed when traditional culture is out-competed. example, participation, stakeholder analysis). While many capital cities in the developing On the environmental side, the topics are world are polluted (for example, Mexico City, mainly 'impacts' that need to be identified, Bangkok), most of the other cities are not. prevented or mitigated; of course, EA was originally termed 'environmental impact However, the Bank focuses most social attention assessment'. EA has some process components, on a small subset of these. Most Bank social such as participation and implementation of the scientists focus on the three big issues: First, mitigation, and these need to be emphasized involuntary resettlement (1980 policy); second, much more in the future. vulnerable ethnic minorities (1982 policy); and third, more recently, social inclusion in the As EA started in industrial countries, pollution broad sense. Projects making oustees and ethnic became almost synonymous with environment. minorities worse off are pathologies of The typically Western concept of environment development. Although development seeks as pollution and little else unfortunately persists above all to benefit people, oustees and ethnic today. WDR 1992 tended to reinforce that view, minorities are rarely better off after a project and in mid-1999 the sole keynote speech at the and were usually worse off, until recently. Social Bank's enviros retreat urged us to give up on inclusion and participation are fostered by forests, biodiversity and extinctions, and focus analysis of institutional capacity, of instead on sanitation and air pollution. Seeking beneficiaries, and of other stakeholders (1994 a balance between these two points of view was 'World Bank and Participation;' 1996 absent. This would be a cruel hoax for Participation Sourcebook). Participation was developing countries. It is misleading for made mandatory by the EA policy, which development because natural resources (forests, required that civil society be consulted in a fish, minerals) are the source of most meaningful fashion at least twice during project developing country wealth. Whereas pollution design. These two consultations are at the EA is reversible, loss of much natural capital is not. scoping stage, and when the EA draft is Environmental Management Series 13 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank complete. Participation was amplified by the distant staff. As of mid-1999, the major 1991 official EA Sourcebook, but is now led by departments of agriculture, energy, transport the social side. and population sectors did not have a single. environmentalist. Similarly for SA; the 'social' Poverty alleviation, provision of health services, sectors (education, health, nutrition, and employment, and education are focussed on in poverty alleviation) are largely dealt with by the Bank mainly by non-sociologists (Box 5). staff other than social scientists and SA That is the grand irony of SA and EA; they colleagues, formerly without adequate almost exclude some of the most important participation. The exception is Caroline Robb's elements. The two topics central to (1999) finding that the poor can and should environmental sustainability are population and influence poverty alleviation programs. The energy; both are dealt with in the Bank by result of the divergence between social and Box 4 Topics Focused on in Environmental and Social Assessment Environmental Assessment Social Assessment Biophysical Impacts: Human & Social Impacts: Maintenance of Natural Capital Maintenance of Human and Social Capital Pollution of air Involuntary Resettlement Vulnerable Ethnic Minorities; Pollution of water Indigenous Populations Vulnerable social groups in general Participation; Pollution of soil Community Cohesion; Stakeholder analysis, Equity Noise Pollution Violence: Post-conflict reconstruction and war torn societies (Box 6) Extinction of species; Biodiversity Culture, Cultural Property, Cultural Heritage Human Health/Communicable and Degenerative Slavery; Debt Peonage; Diseases/Epidemiology Child Labor, Prison Labor Greenhouse Gas; Climate Change Poverty Alleviation Deforestation Gender Impacts Habitat Loss Land Tenure; (for example, old growth forest, especially Open access resources; Comnmon Property tropical, mangroves & coral reefs) Desertification 14 Environment Department Papers A Potted History of SA in the World Bank Box 5 Topics Not Always Focused on by EA and SA in the World Bank Environmental Assessment Social Assessment Population Population Energy Human Capital, Education Transport9 Employment, Poverty Alleviation Agriculture, Nutrition Health, Nutrition Box 6 Violence Hampers Social Sustainability Violence is the newest topic in Bank social concems, having set up a Post-Conflict Unit in 1997, after the International Torture Convention was adopted. Violence is an exceptionally important constraint on social sustainability, and has strong and direct links with environmental sustainability. Of course, the environmental impact of war is the most critical. Violence undermines environmental progress as well as reverses human and social sustainability. Education promotes tolerance, reduces violence, and avoids the waste of repeating mistakes of others. 'Voice and choice'-democracy and freedom-are effective in preventing famines and other social disasters. To the extent peace and trust are the opposites of violence, trust reduces transaction costs and promotes cooperation, so can be economically beneficial. Neighboring farmers may share a combine harvester, for example. environmental staff from the mid-1990s is joined the poverty staff. But that is not at all mixed in this regard. At least one group, in common. Africa, the social staff left environment and Environmental Management Series 15 3 Linkages Between SA and EA There is usually a clear division of labor between SA and EA. Some issues overlap, such Box 7El as human disease exacerbated by a project. But Social and Environmental even then SA deals with the social aspects of the Competition with Economics disease, while EA looks at the biophysical aspects, such as vector breeding habitat. SA of Environmental roads addresses the social aspects of AIDS. and Social Economic Some topics need to be coordinated, such as the More qualitative Quantitative fish protein resources of affected communities. Optional Mandatory Ecodevelopment and natural resource management projects tend to require integrated Matters of degree Precise SA/EA. Reservoirs need both EA and SA, and it is preferable to integrate them. The poor m Slow evolution Proximal project goals cities also suffer disproportionately from Much attention Monitoring built environmental damage such as unsafe water to design into whole and sanitation, food spoiled from lack of process refrigeration, toxic gas from inappropriate fuels and inadequate ventilation, city air pollution So attention Many werful, from industry and vehicles. In addition, as the t rindmeltr impacts of climate change are intensifying, the poor suffer most from weather extremes and Little or no attention Traditional, disease. to operation or establishment, decommissioning respectable Now that SA and EA have recently become I separate stand-alone tools, we should foster joint or parallel work. Both have common project becomes an unambiguous plus. stakeholders, and institutional needs However, a barely average EA team may assessment is almost fully overlapped. cosmeticize the project so it just clears the Participation involves almost exactly the same appraisal hurdle. Contrast the Chad Cameroon stakeholders in EA and SA. The benefits of oil pipeline project which finances two new retaining SA/EA links and cooperation are National Parks as offsets (totalling almost one clear. The linkages between newly separated EA million hectares and starting with $3 million), and SA is a topic meriting more attention. with the China Westem Region project, which has major impacts, but was reconfirmed as an A great EA team will substantially improve an EA Category 'B' following the intemational identified project so that impacts are designed criticism in 1999, and has few net positive out, mitigated or offset so that the overall environmental offsets. Environmental Management Series 17 AnThe Evolution from "Impact" 4+ Assessment to Assessment There are two distinct social and environmental inherent weakness of impact assessment is that needs. First, what are the main social and it is applied to an already identified project. environmental dimensions of economic SIA/EIA cannot influence what projects are development, especially as applied to an taken up; they can only seek to improve unfamiliar country? Second, what are the whatever project was previously selected. SIA/ potentially negative social and environmental EIA rarely modify the design of projects more impacts of a specific proposed project? These than marginally. The scope for improvement is two questions are here addressed in turn. The not so much in improving project design; it is social and environmental dimensions of the selection of projects themselves, such as in development have long pedigrees; they are sectoral SA and EA (Goodland and Tillman contrasted in Box 4. 1996). From before 1970 to c.1992, EA was shorthand SIA/ElA phased out of emphasis on for EIA plus SIA. In the last few years, SA is identification of adverse impacts at about the coming into its own in the World Bank. This is same time-in the early 1980s. They became SA warmly welcomed by EA colleagues. SA now is and EA because they wanted to move beyond adopting its own procedures, guidelines, the mere 'do no harm' mode, and into a more manuals, training, staff and administrative proactive and broader mode of improving units, and so forth, as of 1998-99. However, the society and the environment more generally so fundamental links between the two bear that there would be a net improvement. EA is attention. Big parts of the two sides are clear: still narrower than SA. All projects involve SIA addresses resettlement (impacts on oustees people; some projects do not influence the and host populations), ethnic minorities, environment except in trivial ways. cultural heritage and participation; EIA Privatization of the national telephone system, addresses pollution and depletion of natural for example, normally has trivial environmental capital, or the source and sink constraints to impacts but could cause major social ones. EIA/ sustainability. SIA can be successful in predicting adverse impacts of a specific project and designing out EIA and SIA focused on potentially adverse the impact, or mitigating it. But that is not impacts of development on communities and on enough. There will always be many small, the environment. This was a very useful step in undetected impacts. Now bold environmental improving the effectiveness of development. offsets are becoming the norm. Similarly with But it is inherently weak in two ways. First, it institutional capacity strengthening: All SA/EA aims low, namely to avoid doing harm. While professionals know it is more important than this is essential, and still not always fully identification of impacts, but we are vague on achieved, it is clearly insufficient. The second how much is enough. Environmental Management Series 19 Capital, Sustainability, 5) and Assessment What can we learn from the history of SA and sense because natural capital was abundant and EA (above) with regard to promoting manufactured capital was scarce. There were no sustainability and preventing the inadvertent source constraints and few sink constraints. harm to social and environmental capital? Despite their chequered history environmental When natural capital was abundant and other and social assessments (EA and SA) are among forms of capital were scarce, it was logical to the main means of avoiding inadvertent deplete natural capital to build up the type of consumption of capital, and for promoting capital in shortest supply. Timber was limited sustainability in economic development at by shortage of saws and sawmills; fish catches present.10 Capital consumption means we were limited by shortages of boats and nets. become worse off. Decapitalization is rife and Now that halcyon era has ended. The limiting intensifying. SA and EA are the World Bank's factor is no longer manufactured capital; natural main instruments for incorporating social and capital has become scarce. Extinctions and environmental analysis into the design and depletions now limit fish, not lack of boats and implementation of economic development nets. As most natural capital cannot be projects in developing countries. SA/EA are substituted for, this paper does not explore the tools for understanding how peoples, society financing of human and social sustainability by and the environment interact and are affected depleting natural capital. by development interventions. Specifically, SA/ EA identify potential decapitalization in time But the switch from abundant natural capital to for it to be avoided. scarce natural capital was so sudden and so recent that not all of society has realized it yet. Sustainability means maintaining capital We now see that much more investment is constant or undiminished; disinvestment needed in human, social and natural capital; undermines sustainability. Decapitalization is a much less in economic capital. As part of their clear sign of lack of sustainability. But there are goals of improving development and reducing four forms of capital: human, social, economic impacts, SA and EA seek to shift current and environmental (Box 8), with limited emphasis on economic capital, and to invest substitutability. We have to learn to gauge more in the neglected forms of capital, which of the four forms of capital is limiting specifically human, social and natural capital and invest in that. Economic or manufactured (Box 8). capital was by far the scarcest capital for all of human history until less than half a century ago. As a practical matter, the means to prevent It made sense to invest in the factor in the human and social capital from declining shortest supply. Depletion of Europe's forest will differ from the means to prevent natural and coal to fuel the Industrial Revolution made capital (=environment) from declining (Fig. 8). Environmental Management Series 21 Social and Environmental Assessment to Promote Sustainabiity - An Informal View from the World Bank Box 8 Comparison of Human, Social, Economic, and Environmental Sustainability Human Sustainability Social Sustainability Economic Sustainability Environmental Sustainability Human sustainability means Social sustainability means Capital, better, economic capi- Although ES is needed by hu- maintaining human capital. Hu- maintaining social capital. So- tal, should be maintained. The mans and originated because of man capital is a private good of cial Capital is investments and widely accepted definition of social concerns, ES itself seeks individuals, rather than be- services that create the basic economic sustainability is to improve human welfare by tween individuals or societies. framework for society It lowers "maintenance of capital," or protecting natural capital (NC). The health, education, skills, the cost of working together keeping capital intact. Thus As contrasted with economic knowledge, leadership and ac- and facilitates cooperation: trust Hicks's definition of income- capital, NC consists of water, cess to services constitute hu- lowers transaction costs. Only "the amount one can consume land, air, minerals and ecosys- man capital. Investments in systematic community partici- during a period and still be as tem services, hence much is con- education, health, and nutrition pation and strong civil society, well off at the end of the pe- verted to manufactured or eco- of individuals have become ac- including government can riod"-can define economic nomic capital. Environment ceptd a par ofeconmicde-achieve this. Cohesion of com- cepted as part of economic de- mmunity for mutual benefit, con- sustainability, as it devolves on includes the sources of raw ma- velopment. nectedness between groups of consuming value-added (inter- terials used for human needs, As human lifespan is relatively people, reciprocity, tolerance, est), rather than capital. and ensuring that sink capaci- short and finite (unlike institu- compassion, patience, forbear- Economic and manufactured ties recycling human wastes are tions) human sustainability ance, fellowship, love, com- capital is substitutable. There is not exceeded, in order to pre- needs continual maintenanceby monly accepted standards of much overcapitalization of vent harm to humans. investments throughout one's honesty, discipline and ethics. manufactured capital, such as Humanity must learn to live lifetime. Condimonly shared rules, laws, too many fishing boats and within the limitations of the bio- and diskettes) promote socia sawmills chasing declining fish physical environment. ES Promoting materal health and and disketty. stocks and forests. means natural capital must be nutrition, safe birthing and in- sustainability. maintained, both as a provider fant and early childhood care Shared values constitute the part Historically, economics has of inputs (sources), and as a sink fosters the start of human of social capital least subject to rarely been concerned with for wastes. This means holding sustainability. Human sus- rigorous measurement, but es- naturalcapital(forexample,in- the scale of the human economic tainability needs 2-3 decades of sential for social sustainability. tact forests, healthy air). To the subsystem (= population x con- investment in education and ap- Social Capital is undercapital- traditional economic criteria of sumption, at any given level of prenticeship to realize some of ized, hence the high levels of vio- allocation and efficiency must technology) to within the bio- the potential that each indi- lence and mistrust. now be added a third, that of h sical limits of the overall vidual contains. Adult educa- scale(Dalyl992). Thescalecri- P Y tion and skills acquisition, pre- Social (sometimes called terion would constrain throughe ecosystem on which it depends. ventive and curative health care "moral") capital requires main- t would con ou ES needs sustainable consump- metieaydequral iehat aetnneadrpeihmn yptgot-h lwo ae tion by a stable population. or exceed formal tenance and replenishment by rial and energy (natural capital) education costs. ard vu and elights from environmental sources to On the sink side, this translates and by community, religious sinks, into holding waste emissions Human capital is not being and cultural interactions. With- s within the assimilative capacity maintained. Overpopulation is out such care it depreciates as Economics values things in oftheenvironmentwithoutim- intensifying and is the main dis- surely as does physica capital. money terms, and is having ma- . . sipative structure worsening The creation and maintenance jor problems valuing natural pairing it. per capita indices. That is far of social capital, as needed for capital, intangible, intergenera- On the source side, harvest rates graver than overcapitalizing social sustainability, is not yet tional, and especially common of renewables must be kept education so that laborers have adequately recognized. West- access resources, such as air. Be- within regeneration rates. PhDs. em-style capitalism can weaken cause people and irreversibles Social Capital to the extent it are at stake, economic policy Technology can promote or de- promotes competition and indi- needs to use anticipation and mote ES. Non-renewables can- vidualism over cooperation and theprecautionaryprinciplerou- not be made sustainable, but community. tinely, and should err on the quasi-ES can be approached for Violence is a massive social cost side of caution in the face of un- non-renewables by holding incurred in some societies be- certainty and risk. their deplehon rates equal to the cause of inadequate investment rate at which renewable substi- in social capital. Violence and tutes are created. There are no social breakdown can be the substitutes for most environ- most severe constraint to mental services, and there is sustainability. much irreversibility if they are damaged. The claim questioning social capital because it tends to per- petuate traditional and tribal ways of life, thus constraining modernization, is rejected. 22 Enviromnent Department Papers The Evolution from "Impact" Assessment to Assessment Box 9 Attempts to Redress the Asymmetry Between Economic Capital and Social Capital Attempts to shift investment away from overinvested economic capital, and towards underinvested natural and human/social capital is exceedingly slow and has many opponents. It is related to the shift away from maximizing throughput growth and reliance on the Trickle-Down theory, and towards direct poverty alleviation. The trends show that economics needs 'other means' to alleviate poverty. Four examples: (a) The United Nations "20/20 Initiative" is one example of a valiant attempt to redress this investment asymmetry. Under "20/20" Governments should aim at boosting their investment to 20 percent of their national budget allocated to basic social services (human capital), while official development assistance agencies should devote 20 percent of their investments to the same social programs. Currently, investment in social and human capital in many countries does not exceed 5 percent. (b) At the 1995 UN World Summit for Social Development, 117 heads of state agreed to "The Copenhagen Declaration", which prioritized social and human sustainability over GNP growth and other economic goals. It prioritized poverty eradication, full employment, social integration, equity, and education. It also mandated that SA be done on Structural Adjustment programs. Essentially, this declaration suggested that sole focus on trickle down should be balanced by much more direct investment in human and social capital. (c) Theologian John Cobb (1999) makes the point that the world has evolved from being run on religionism (for example, Crusades), through the long rise in nationalism (ending in Naziism in 1945), and economism (such as by the Bretton Woods organizations from 1945 to the present). He now sees the start of displacement of today's economism by earthism, or the increase in more social and environmental ways of running the world. This paper seeks to foster the trend to earthism or the internalization of currently externalized social and environmental costs, such as immiseration, extinctions and climate change. (d) With the arrival of president Wolfensohn in 1995, the World Bank reduced its goals in number and elevated direct poverty alleviation as the single most important and overarching goal. Poverty alleviation became fighting poverty in 1998-99. References to maximizing GDP growth are declining. Investments in infrastructure (highways, power plants) declined, while structural adjustment with social safety nets rose to 65 percent of Bank lending in 1999. Rigorous biophysical laws, not subject to challenges. Hermeneutics, the interpretation of negotiation (Box 8) govern natural capital. human behavior and societies (what people Social impacts are more matters of degree, often think they are doing, and what other people relative, (such as, the extent of poverty think they think they are doing: Mazlish 1999) is alleviation; the success of involuntary alien to most environmentalists. For example, resettlement), and subject to change just as the impact of sulfur dioxide on human lungs is ethics change (for instance, abolition of slavery, alien to many sociologists. CFC depletion of the redressing gender imbalance, equity for ethnic ozone shield and its impacts on the earth occur minorities). irrespective of what we know about such impacts, or how important society feels they The methods of the social sciences are so may be. Biophysical impacts are irrespective of different from the rigorous biophysical laws of what sociologists know or believe about such the environment, that connecting them creates impacts. Environmental Management Series 23 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank Box 10 The Depletion of Natural Capital to Boost Social and Human Capital Despite its scarcity and despite irreversibility, Natural Capital is still depleted in excess of regeneration rates in order to promote human and social sustainability. This harms environmental sustainability. Four examples: (a) Recently, the president of the American Tuna Fishermen's Cooperative said, yes, let's take the last year or so of the Bluefin Tuna as the price is right (one 715-pound Bluefin fetched $180,000 in Tokyo's Tsukiji fish market, for 2,400 servings of sushi at $75 each) and this will provide an extra year or so of employment for the Tuna industry. Full-grown Bluefins (1,200 pounds) have long since disappeared; now most tuna are caught before they reach breeding maturity, which spells doom for any fishery. It is folly to save jobs by risking an entire resource, like killing the goose that lays golden eggs. (b) The thousand-year-old, most profitable fishery in the world, Cod on the Grand Banks, provided over two decades of warning, before totally collapsing in 1992. This destroyed the jobs in 1,000 fish processing plants formerly supplied by 29,000 registered fishing vessels and 62,000 employees. This was foreseen and unnecessary. With more prudent management, Norway's Barents Sea cod fishery has rebounded to a quota of 850,000 tons annually. (c) Most of the national territory of Nauru has been exported as phosphate and the proceeds invested in international stock markets which earn $7,600 p.a. per capita for Nauru's 7,000 citizens. As 80 percent of the island has been exported or degraded, the citizens have no choice but to use their trust fund to import Western food and water (Gowdy and McDaniel 1999). Nauru is now economically as sustainable as international stock markets, but environmentally unsustainable. There was no provision for promoting environmental restoration after the mining, only to support consumption. (d) The fourth substitution of natural capital for human capital is a clear but caricatured case: cut down all tropical rain forests and invest the timber proceeds to endow say 1000 universities in perpetuity. This would be a case of liquidating natural capital (tropical forests) and investing the proceeds in building up social and human capital (education). Ecologists would warn of the irreversible loss of most of the world's biodiversity. Realists point out that that would be better than what is happening at present, namely that most tropical forests are indeed being liquidated, but the proceeds are invested in guns, limos, and current expenditures. Advocates of social capital might point out that such a massive investment in education might lead world society to conserve what's left of natural capital. 24 Environment Department Papers 6 Participation Often, it was civil society-the grassroots scoping and the topics on which inputs from communities and affected people-that raised civil society are needed. Such inserts can outline attention to potential impacts. But now that current project proposals and provide sufficient EA/SA is on its way to becoming information for meaningful discussion. Inserts institutionalized. EA/SA is normally done by also can provide sources of further information professionals, often in less accessible and details of how comments can be institutions. Civil society's former role has entertained. Such media approaches enhance thereby been altered; NGOs and oustee subsequent public discussions. organizations have boosted the impact of civil society. Therefore, participation also has become World Bank policy is clear: EAs must be a valuable opportunity to reaffirm linkages with prepared ensuring participation of all the grassroots. Civil society has another stakeholders, especially affected peoples, their opportunity to improve development through advocates and civil society in general. That was preparation of NEAPs or national made mandatory in the 1992 EA policy and environmental priority-setting exercises. But reinforced in the official statements in the these are not frequent (every few years or so), Environmental Assessment Sourcebook of 1991 have not yet reached effectiveness, and are not (Box 11). Of course, participation, as with many project specific. Participation in NEAP 'new' tools, may start as tokenism and be preparation is important and needs to be extremely limited for the first few years, but emphasized. The results should always be used improvements are being achieved. Participation during the start up of the next project-specific is a very powerful mechanism to foster realistic EA, but will never substitute for participation at analysis, effective mitigation and conscientious the project level. implementation. Participation is highly cost effective. It is also a means to foster political Participation, especially starting from EA will. The expectations agreed on must be scoping and screening, offers a powerful explicit and keyed into project time markers. opportunity for the involvement of civil society. This encourages both proponent and task Systematic stakeholder analysis is not always manager to stick to implementation agreements. done to ensure all groups and interests have The details of how participation changed project opportunities. That argues strongly for starting design must be made explicit and emphasized. the participation in the EA scoping phase in the Participation also is important as a means to media, especially radio and newspapers. Whole integrate social impact assessment and the page inserts in newspapers can outline the strictly environmental/biophysical side. Environmental Management Series 25 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank Box 11 The Evolution of Public Participation: Warning, through Consultation and Participation to Partnership: The Hydro Case 1. Pre-1950s: WARNING: One-way information flow: oustees and other affected were warned that they would be flooded or impacted in a few weeks or months time and had to get out of the way for the greater good of distant citizens 2. 1960s: INFORMATION: Primitive participation in resettlement site selection: Oustees were informed that they would be flooded out, and were asked where they would like to move to among a few sites selected by the proponent; compensation often inadequate. 3. 1970s: CONSULTATION: Participation in resettlement site selection: oustees were consulted about their impending move, and invited to assist in finding sites to which they would like to move. 4. 1980s: MEANINGFUL CONSULTATION: Resettlement participation evolves into consultation: Oustees are meaningfully consulted in advance and can influence dam height or position on the river; oustee's views on mitigation of resettlement are addressed. 5. 1991: MANDATORY CONSULTATION: World Bank's "EA Sourcebook" mandates meaningful consultation in all EAs; EA is unacceptable without such consultation. 6. 1990s: STAKEHOLDER CONSULTATION: Resettlement consultation evolves into stakeholder consultation: Stakeholders views are sought on all impacts, not just involuntary resettlement. 7. 1992: PARTICIPATION: World Bank's EA Policy mandates participation. 8. 1996: World Bank's "Participation Sourcebook" published. 9. 1999: PARTNERSHIP: Quebec Hydro in full partnership with the First Nation. 26 Environment Department Papers 7 SE/EA Categorization Categorization of projects is one of the most impact-the argument runs. Let us adopt an controversial aspects of EA work today. EA effective SA policy. Category 'A' means major impacts such that a full EA process is needed. EA Category 'B' But we are always finding exceptions. One projects also create impacts, but smaller in scale, would have thought that any 60-meter-high easier to mitigate, less severe, and no dam would always be a clear A. The recent 60m irreversibles, so that a less than full-blown EA is Wang dam in China is the exception that proves required. Those projects thought to create little the rule. It is in the deeply scarred Loess region, or no environmental impacts, such as a school not across a river. It is mainly a seasonal erosion textbook production project, are assigned the 'C' control or silt-checking device at the bottom of a category for which no EA is required. 300m deep arroyo in a region of thousands of canyons and gullies. Similarly on the social side, The policy is that a whole project is categorized EA classification is not always clear. A recent by only the biggest single impact: "Many minor Mekong region water project was classified as a impacts don't sum to an A.' From the SA sense, B, although it displaced over 1,000 families, and current policy is clear. If more than 100-200 took land fractions from 34,000 other people. people are to be involuntarily displaced, the One difference between an A and a B category is whole project is to be an EA Category 'A,' the amount of participation required. EA design unless there are strong explicit reasons why not. and implementation are far more important The proposed policy drops the 100-200 people than categorization. Should we let this be the criterion. For such reasons, there is a case for SA problem, or should we tailor the EA to the and EA to be categorized separately. Why do a project in question without categorization? full-blown EA only because of one social Environmental Management Series 27 Conclusion: Revamp SA and EA Policies The major shift away from the "do no harm" All the other elements for success already are methods of EIA and SIA have already shifted to well in place; namely a large team of the more positive "do good" (as well as do no professional social scientists deployed harm) of SA and EA. The history of social and throughout the Bank, a separate budget, a environmental assessment in the Bank, mandate from the top reinforced periodically by combined with the need to promote social, public pronouncements, good manuals and human and environmental sustainability sourcebooks on how to carry out SA, case strongly suggests we need to revamp our SA examples, best practice, training, sample Terms and EA policies. The major conceptual flaw in of Reference, and so on. In addition, there is SA/EA is that it assumes that project appraisal agreement on the broad outlines of what such a is the decision point. Originally, projects were policy should contain. designed by a potential borrower who presented a fully designed project 'cold', as it Mandatory policy is required to balance the were, to the lender, who then appraised the fierce asymmetry of incentives to lend project to see if a loan should be made. This is efficiently (= fastest and at least cost) and to no longer the case and some feel it may never lend prudently, possibly at somewhat greater have been the norm. Now, projects are co- initial cost. While SA is not expensive, and designed by borrower and lender to a much while it pays for itself many times over in greater extent. Appraisal is far too late in project preventing harm and enhancing benefits into gestation to afford saying no. Recognition is the future, it is not totally cost free. Project overdue that program, policy, sector, PFP, ESAF, designers still expect SA and EA to be paid for CAS, and so forth, are the appropriate places to by soft money from trust funds, rather than apply SA/EA, not when a project has already from normal project preparation budgets. SA/ been identified. Strategic EA/SA (Goodland EA were initially viewed as slowing and Tillman 1986; Partidario and Clark 1999) development by imposing yet another serial seeks to move SA and EA upstream into the step added on to an already lengthy process. sector, and influence the actual selection of When the Pelosi amendment was promulgated projects to be taken up. by US Congress in 1989, the Bank felt it would be totally impossible to have the EA/SA ready The reasons for the Bank's halting social and 120 days before the Board votes. The Pelosi environmental policy development to keep up amendment is now almost always complied with a changing and more complex world since with because EA is started early, and in parallel the early 1990s, have been mentioned above. with other project design elements. Nowadays the climate for policy development is less encouraging. However, the need for a An SA policy should state that development mandatory policy on social assessment is great. above all seeks to benefit people, communities, Environmental Management Series 29 Social and Envirorumental Assessment to Promote Sustainability - An Informal View from the World Bank and societies; that adverse impacts are to be elements of the operation as normal parts of prevented, minimized or mitigated; that operational development costs (that is, with an benefits are to be optimized and must be integrated budget). Promulgation of such a appropriate for the society; that vulnerable policy will foster agreement on minimal segments of society (ethnic minorities, poor, standards and will strengthen the extended sick, aged, infants, handicapped) merit special social family's work Bankwide. We need to care; that culture is valuable and should not be focus on the trade- off between the four degraded unnecessarily; and that all design and different forms of capital in order to prevent implementation must be transparent and inadvertent consumption of any capital. participatory. It also needs to recognize that it is no longer acceptable that there will be losers in Now SA and EA have irreversibly come of age a development project. There is a growing and are forging ahead on separate although still feeling that oustees should be resettled neighboring tracks, the emphasis needs to be on voluntarily because they will be unambiguously cooperation between the two; let's get the best better off immediately after their move, because out of each one in order to promote they will immediately receive materialistic sustainability-both social and environmental. compensation in kind and in employment. If If a joint SA/EA team is possible, let's join. If compensating potential losers makes the cost not, let's use the findings to enhance each other. benefit ratio uneconomic, the project should not Both types of assessment have a long way to go go forward. Of course, if an elite benefited from to reach peak effectiveness and full acceptance inequitable or illegal access to resources, and in the development process. While there has the project rectified that imbalance, such losers been progress over the last thirty years, it has might be acceptable. clearly been incommensurate with need. Current piecemeal progress probably cannot Both SA and EA policies should be revamped so keep up with the increasing need for more that they are applied to policies, programs, social and environmental prudence. A structural adjustment and sectoral operations to fundamental overhaul probably is necessary to assist into project selection. EA and SA need to integrate social and environmental precautions be started simultaneously with the other as equal partners with the rest of development. 30 Environment Department Papers Notes 1. Bank SA is deliberately not modeled on US 5. There were a powerful 71 NGO officers by NEPA SIA. Bank social staff specifically 1999; 25 in Africa, 20 in ECA, 7 in EAP, 3 in want to adopt a broader SA methodology, MNA and 9 in LAC. rather than the narrower SIA approach. EA began by narrow EIA, and is more recently 6. When the OMS for Project Appraisal was trying to broaden itself. Narrow 'impact' 'converted', the section for social appraisal trying to brodeisef.Nawas deleted. The conversion of both the assessment alone, in the sense of 'do no cannot~~~~~ ledt.utiaiiy resettlement and the indigenous peoples harm', cannot lead to sustaiabihty, ODs seems more likely to lower standards, although it is an essential first step. than to strengthen them. The 1984 overarching Bank statement of policy on 2. OMS 2.23 of 1980; this was partly based on environment and sustainability (OMS 2.36) FAO's Technical Manual on involuntary also was dropped without explanation-or resettlement prepared by David Butcher in even noting that it had been dropped-in the late 1970s, who joined the World Bank the mid-1990s. The environmental policy on some years later. Michael Cernea led the dams and reservoirs (OPN 11.02 of 4/'89; informal drafting team (David Butcher, OD 4.B1-B4) suffered a similar fate some Scott Guggenheim, Deborah Rubin and months later. During the preparation of this Robert Goodland) that led to the policy paper in mid-1999, the central and most officially called "Social issues associated invoked social policy-Involuntary with involuntary resettlement in Bank Resettlement-was causing consternation financed projects" (OMS 2.23 of February during its 6 year 'conversion.' 1980). This became OPN 10.08 in 1986; OD 4.30 in 1990, and is being revised again, 7. All World Bank Group manuals, guidelines, amidst controversy, as of late 1999 as OP policies, best practice, and more are in the 4.12. public domain at: draft Resettlement Policy OP/ BP 4.12. 8. For example: Barrow 1997, Becker 1997, Benton and Redclift 1994, Burdge 1998, 4. Goodland (1982); Tribal Peoples Policy (OMS Burdge 1999, Clifford 1998, Cooper and 2.34). This was revised in 1991 as Packard 1997, Cox 1995, Grillo and Stirrat Indigenous Peoples (OD 4.20), and again as 1997, Hobart 1993, Kirkpatrick and Lee of 1999 (OP 4.10). The evolution of the 1997, Rietbergen-McCracken 1998, Smelser policy is detailed at: http: / /www. 1997, Taylor 1995, Vanclay and Bronstein worldbank.org Indigenous Peoples website. 1995. Environmental Management Series 31 Social and Environmental Assessment to Promote Sustainability - An Informal View from the World Bank 9. In July, 1999, the draft joint Energy/ enhance human livelihood. So whereas Environment Policy Paper "Fuel for economics, development and sociology all Thought" was rejected by the Bank's Board focus on improving the human condition for the third time in as many years. It directly, 'environment' maintains human excludes the transport sector. life-support systems, such as breathable air. 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