EN V'IlR O N M E N T "- r,Cs t3 ~~~~~D E' P.-A R T M N T P-PA P E R S ___________ *Y~~~~fO1ATL :U ')x IwIFt 6Ek ACIINWRANIi 2k"Al I5iI. f4 1iJ ' SOCIAL ASSESSMENT SERIES ; - - - ~~~ ~ ~~~044-.--: :,:..;-. ., . .............. ... Hyidropower Damis and Social Impacts: A Socio-logical Perspective' Michael M. Ce,ea- January 1997 Environmentally Susta'inable Deve'lopm'ent The World Bank EES . Environment Department Papers. Social Assessment Series 0-7 - fSEM.TE..N : -: 0 017. 0 :0 -t :3:- Aizerbaian::,Baku Water Supply EC3IV&-EMTEN R'ehabilitation Project. 023 BeneficiaryAssessment: . Lawrence F., alren- :. -AnApproach Described . 024 Participatory Poverty Assessmen-t: LawrenceF.Salmen Incorporating Poor People's Perspective into Poverty Assessment Work 043 Social Assessment in World Bank and Ma.. Concepcion Cruz GEF-Funded Biodiversity Conservation' Shelton H: Davis Projects 044 Hyjdropower Dams and Social Impacts; Michael M. Cernea. .A Sociol6gical Perspective '045 African Involuntary:Populatin -Michael M. Cemea Resettlement in a Global Context' xxx Social Dimensions of Economic Neil J. Smelser 'Development Copies are available from the World Bank'~; En'vironmn Dpren,ScaPoiy&RstlmtDivision. : , . : . ! , .: | . \ .men Dep rtmn ,:. Reetlm n D ' :''~~~~~~~~~~~~~~~~~~Sca -Policy.'' ' ,'f ' ' ''S' ; ' :'' Social Policy, and Resettlement Division Hydropolwer Dams and Sociail Impacts: A Sociological Perspective Michael M. Cernea* January 1997 * Michael M. Cemea is Senior Adviser for Social Policy and Sociology, The World Bank, Environment Department. 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 in this paper are those of the authors and should not be necessarily attributed to the World Bank. Acronyms and Abbreviations EA Environmental Assessment ICOLD The International Commission of Large Dams NORAD Norwegian Agency for Development NRCR National Research Center on Resettlement (China-Nanjing) OECD Organization for Economic Cooperation and Development OECF Overseas Economic Cooperation Fund (Japan) OED Operations Evaluation Department (The World Bank) SA Social Assessment SIDA Swedish International Development Agency Contents Acknowledgment ii 1. Introduction 1 2. The Social Side of Investing in Infrastructure 2 Boomtowns 2 Downstream Social Impacts of Dam Construction 3 3. Population Displacement and Resettlement 5 Severity of Impacts 5 Magnitude 6 Regulatory Policy and Legal Frameworks 7 Biased Methodologies 10 4. Lessons from Studying Resettlement 11 Causes of Failure and Success 11 Policy Vacuums or Political Commitment? 12 The Economics of Resettlement 14 Enabling Resettlers to Share Benefits 16 Effective Institutions 17 Resettlers' Participation 18 Improving Resettlement for Development 19 Annex 1: Dams Displacing more than 4000 People 21 Notes 26 Bibliography 27 Acknowledgment A preliminary and abbreviated version of Grateful thanks go to several colleagues in this paper was presented at the "Interna- the World Bank, particularly to Scott tional Conference on Hydropower and Guggenheim, Robert Goodland, Louise Environment" organized by NORAD in Scura, Ismail Serageldin, and Andrew Oslo, Norway. The present version is a Steer, for their comments and support to revised, enlarged, and updated version. my work for this paper, and to Warren van Wicklin for his suggestions and helpful The author expresses his appreciation to editorial assistance in finalizing the present the organizers and participants in the version. Gracie Ochieng and Kerri Brady NORAD Conference for their feedback on have done the word processing, from draft the initial draft paper. to final version, and Cristy Tumale helped with desk-topping. ii 1. Introduction Why is the construction of hydropower social issues are lagging. dams, which generate energy that is renewable and cleaner than oil, coal, or Indeed, the adverse social impacts of nuclear power, increasingly attacked in hydropower dams, if unaddressed, can be the press and assaulted by many critics? very serious. Unless these negative social impacts are mitigated by govemments The answer -surely not the full answer, through explicit policy legislation and but a good part of it-is that the environ- financial resources and by planners mental critique of dams has shifted con- through socially sensitive resettlement siderably from their physical to their social planning, hydropower expansion in impacts. During the last decade the thrust developing countries will be retarded by of this social critique has been sharpened, social tensions and by increasing political new arguments are being used, while and environmental opposition. practical responses to the newly raised Sodal AssessmentSeries 2. The Social Side of Investing in Infrastructure Dams and reservoirs - as well as the * Boomtowns around major constructions; network of canals, transmission lines, highways, railways, etc., spawned by the D building of major dams - are essential to production systems; and the infrastructure required for economic * Population displacement/involuntary development. The experts predict that the resettlement. 1990-2020 period will represent "three decades of explosive growth in energy Among these three sets of impacts, the demand and supply in the developing single most complex and difficult is clearly world" (Churchill, 1993), with dam con- the third-the involuntary displacement struction likely to continue in a sustained and relocation of local groups. But before rhythm. ICOLD data confirm indeed that I turn in full to the social issues of forced a high rate of dam construction is charac- population displacement and resettlement, teristic for the current decade. a few brief comments' on the first two sets of impacts are in order. Yet on the social side, dam construction does not bring only unmitigated blessings: Boomtowns it causes also serious negative effects, when preventive and mitigatory actions The set of socio-cultural impacts collec- are not taken. tively summarized under the term "boomtown effects" are already long and Social impacts of dam construction are well known. The sudden inflow of a large best identified through basin-wide cumu- army of construction workers and related lative social and environmental assess- groups within small, often traditional local ments, rather than through piecemeal, communities causes social/health/eco- single-dam by single-dam unrelated stud- nomic and cultural problems particularly ies. But both in a river-basin approach, as at the local community level. For example, well as in a dam-focused assessment, at Syagga and Olima (1996) describe the least three main classes of such adverse following "boomtown" type of impacts social effects can be distinguished. Think- caused by a relatively small dam con- ing and practical actions can be organized structed by the Kenya Third Nairobi Water easier by focusing on these distinct classes Supply project: of social effects. These three classes are: 2 Environment Department Papers The Social Side of Investing in Infrastructure "The sudden socio-economic changes in changes induced by irrigation in local the environment caused an increase in production systems are often huge and marital problems, such as family far-reaching. I think that these far-reach- breakdowns, increased immorality, and ing and long-term benefits are sometimes teenage pregnancies. It was reported not appreciated enough by hydropower that the dam construction had a major critics in the current international debate effect on the school-going pupils. on dams. During the peak construction period many girls were lured out of school, However, there are also some negative became pregnant, and dropped out of downstream social impacts of danmuing school. There were court cases where rivers. Traditionally, downstream impacts some of the dam employees were sued have been overlooked by dam planners, as by parents for making the girls run well as by the authors of many Environ- away from home to live with them. mental Assessments (EAs) and Social Although some girls went back to Assessments (SAs) for projects that fi- school, the damage was considerable, nance dam construction, often because particularly for those who either became these assessments did not take a basin- pregnant or contracted sexually trans- wide approach. Yet adverse downstream mitted diseases." consequences can be serious; in recent years, they have been brought to the After construction workers leave there is limelight more forcefully. Certain social another set of necessary adjustments, and impacts are particularly severe in those the socially destabilizing effects of dam rivers -such as the Zambezi, Zaire, construction are of multiple kinds. These Senegal, Niger rivers-which flow through impacts are long discussed, in detail, in the wide and gentle valleys (as opposed to interdisciplinary literature on high dams canyon-shaped river courses), valleys in (Conac, 1995; Finsterbusch, 1980; Unseld, which agriculture has been historically 1978), and this paper will not expand on based on the recurrence of natural and them further. There is already consider- limited annual floods. These annual floods able experience in managing the growth of not only provide essential water, but bring boomtowns. The investment studies for rich nutrients in the silt they carry and darh construction should explicitly antici- deposit. Because such floods have been pate this set of effects and mitigate them recurring for centuries and millennia, the methodically (Gilmore and Duff, 1975). local cultivators have adapted their agri- cultural and settlement patterns to this Downstream Social Impacts of Dams recurrence: they learned to "absorb" the flood into their agricultural strategies, Irrigation benefits, as well as prevention or practicing what is often called recessional control over disastrous floods, are the most agriculture or wetlands agriculture. important downstream effects of con- structing darns and reservoirs. These are A beautiful example of this high degree of major positive effects. Even though the social and environmental integration magnitude of such benefits vary with the reached by agricultural systems in flood- type of dam and the local topography, the plain areas is given by Musokotwane progressive socio-economic and cultural (1994) from Mali's inner Niger delta. This Sodal AssessmentSeries 3 Hydropower Dams and Social Impacts: A Sociological Perspective integration involves cooperation between downstream impacts of the Manantali farmers and pastoral groups, and allows dam on the Senegal River have made the best use of the available natural re- Manantali impacts probably the best sources-land and water-for cropping known and most analyzed case in the and grazing. global anthropological literature. More- over, Horowitz and Salem-Murdock went "The inundation of the floodplains in beyond static impact analysis: they out- the inner Niger delta in Mali provides a lined prescriptions for an alternative water natural irrigation system. (Like) on management regime that would allow many African floodplains, floating rice controlled water releases from the dam is seeded just prior to the annual flood. (with acceptable trade-offs in power Then, as the flood waters recede, the generation capacity) and would substitute rice is harvested and other crops are the natural annual flood with an artificial grown on this exposed, moist soil, such annual flood. This could protect the needs as sorghum or cow peas, which are of downstream small farmers in terms of often interplanted with vegetables. On irrigation water and mitigate much of the the drier margins, drought-resistant adverse downstream socio-econornic crops, such as millet, are grown. After impacts of dams. harvesting, when the dry season progresses, herds of cattle move in to Another set of socio-economic and envi- graze on the crop stubble or on grass. ronmental impacts affect the livelihood of The herds are welcome by the farmers fishing communities. Riverine fisheries as manure helps fertilize the soil, and downstream may be significantly altered animal products, such as milk and by dams. Some fish species that depend yogurt, can be traded for cereals. on seasonal migration may no longer be Repeated flooding also stimulates the able to reproduce or feed. Many local breeding of riverine fish ... as the traditional fishermen have seen their floodplain vegetation provides for sustenance reduced or destroyed by dam spawning fish, eggs, andfry." construction. However, once dams are built, such an- To conclude on this issue, it is essential to nual floods are often stopped from hap- stress one point: any comprehensive pening at all. With stunning suddenness, basin-wide consideration of hydropower's vast production systems of recessional social impacts during planning and imple- cultivation, evolved through centuries of mentation should include the assessment creative human adaptation to natural of downstream full impacts, either positive, opportunities, are rendered obsolete and such as added irrigation and flood control, impossible by reservoir impoundment. or adverse, such as those outlined above. This results in lower harvests, drops in The elaboration of policy responses and productivity, and impoverishment mitigatory strategies must then flow from (Adams, 1991; Scudder, 1991b). Pioneer- such assessments, orienting investments in ing sociological studies by Michael hydropower so as to enhance the benefi- Horowitz and Muneera Salem-Murdock cial impacts and reduce/mitigate the (1990; see also Horowitz, 1991) on the hamful over. 4 Environment Department Papers 3. Population Displacement and Resettlement Today, the sharpest debate about the Severity of Impacts social liabilities of hydropower develop- ment revolves around population displace- The core problem in involuntary displace- ment and involuntary resettlement. These ment is people's loss of livelihood and their are grave issues indeed. Yet they are NOI potential impoverishment. When commu- intractable. nities are forcibly displaced, the existing production systems are dismantled. Many To explain why the social issues have jobs, much valuable land, trees, and other overtaken much of the public debate income generating assets are lost. Health around dams, both in developing countries care tends to deteriorate. Kinship groups (e.g., India, Thailand, Indonesia, Brazil) and informal social networks for mutual and developed ones (e.g., Norway, help are scattered. Links between produc- Canada, Sweden, USA), I would point out ers and their customers often are severed three factors: and local labor markets are disrupted. Symbolic markers, such as places of prayer a) Magnitude of human impacts: many and ancestral graves, must be abandoned, people are adversely affected, pro- breaking links with the past and with foundly and immediately. people's cultural identity. b) Absence of regulations: policies and The most common social risks facing adequate legal regulations to counter- populations caught in reservoir displace- act adverse effects are often missing in ment occur along several lines: (a) developing countries; arbitrary admin- landlessness; (b) joblessness; (c) istrative practices characterize dis- homelessness; (d) marginalization; (e) food placements. insecurity; (f) decrease in health levels; (g) loss of access to common property assets; c) Biased design and planning methodo- and (h) community disarticulation. Not all logies: one-sided economic criteria and. risks affect various resettler groups engineering approaches that external- equally; some vulnerable groups have ize social costs, although they have higher degrees of exposure to the risks of been proven wrong, continue to be economic displacement or to the loss of applied. their social support networks, others are more vulnerable to health risks, etc. (See a conceptual model of impoverishment risks Social AssessmentSeries 5 Hydropower Dams and Social Impacts: A Sociological Perspective and reconstruction processes in Cernea, High frequency, huge magnitudes, and 1990, 1996; also Ganguly-Thukral and severe adverse consequences combine in assoc., 1992.) For most rural resettlers, making development-related displace- cash compensation instead of land-for- ments a social problem of worldwide land has tended to aggravate the risks and significance. increase the ruinous effects of displace- ment. Among displacement causes, the construc- tion of dams and related infrastructure Not only the affected people are worse off: accounts for some of the largest individual when displacement is massive, it weakens operations of population resettlement (see also the local and regional economy. Table 1 below; see also in Annex 1 a much Overall, the severity of unchecked dis- longer list of dams and their entailed loss placement effects is such that doubts are of land and population displacement increasingly expressed about the economic effects). rationality and social justification of investing in such infrastructural projects, Table 1 unless measures are taken to reestablish MajorDams: PopulationDisplacement the affected people adequately. Dam Country of People Magnitude Already Built Xinanjiang China 306,000 Population displacement by major projects Sanmenxia China 319,000 is particularly massive in the densely Dongpinghu China 278,000 populated Asian countries that are en- Danjiangkou China 383,000 gaged in vast industrialzation and electri- Srisailam India 100,000 Mangla Pakistan 90,000 fication drives. Our World Bank study Saguling Indonesia 60,000 group on resettlement has recently gener- Cirata Indonesia 56,000 ated the first worldwide estimate of the Sobradinho Brazil 60,000 magnitude of development-related popula- Itaparica Brazil 50,000 Assad Syria 60,000 tion displacement. According to our Akosombo Ghana 84,000 analysis, each year about four million Aswan High Dam Egypt 100,000 people are displaced by approximately 300 Kainji Nigeria 50,000 large dams (above 15 meters high) that on Kariba Zambia/Zimbabwe 56,000 Kossou ~Cote d'lvoire 85,000 average enter construction phase annually Kossou (World Bank, 1994). In addition, six Currently Under Construction million people are displaced by the urban Almatti India 140,000 Tehri India 105,000 development and transportation programs Narmada India 250,000* that are started each year. Thus, a total of Shuikou China 67,000 about 10 million people every year, or at Three Gorges China 1,100,000 least 80-90 million people over the past Xiaolangdi China 181,000 decade, are displaced as a result of infra- Yacyreta Argentina/Paraguay 50,000 structure programs for dam construction, * including people affected by loss of land and urban, and transportation development, dwellings to the canal network for irrigation taken together. If we consider also invest- downstream. ments in other sectors, the total is higher. 6 EnvironmentDepartmentPapers Population Displacement and Resettlement On a relative scale, some of these displace- basic needs provide evidence that many ments are an extraordinary burden in the states do not formulate a legally and context of a small country, even when the morally explicit position about the prob- absolute number of displaced people does lems confronted by these people, and not appear, at first sight, to be very large. delay the adoption of relevant state acts For example, the Nangbeto dam in Togc and laws. (Fernandes, 1995; Singh and has displaced over 11,000 people, mostly assoc., 1992; de Santos and de Andrade, shifting cultivators. Compared to Togo's 1990; Dhagamwar, 1989). total population however, this displace- ment affects a larger proportion of the Regulatory Policy and Legal country's population than many displace- Frameworks ments which in absolute numbers are bigger-and are internationally famous- Solutions to the problems created on such such as Narmada Sardar Sarovar dam in a vast scale must be crafted primarily India, Yacyreta dam in Argentina, or through policy formulation and legal Xiaolangdi dam in China. Reestablishing frameworks. Yet formal policies and legal productively large numbers of displaced regulations conceming involuntary re- people is a formidable task. The difficul- settlement caused by development are ties caused by resettlement to the popula- conspicuously absent in many developing tions residing in the host/reception aregas countries. Interdisciplinary research, should not be underestimated either. particularly sociological and anthropologi- cal research, has illuminated the impacts Some dams, however, due to topographi- of forced relocations and offered impor- cally favorable sites, have a limited dis- tant practical recommendations (see Roy placement effect. For instance, the Pangue Burman, 1961; Scudder, 1973, 1991; hydropower dam in Chile, the M'bali dam Butcher, 1990; Partridge, 1993; in the Central African Republic, the Guggenheim, 1992; Serra, 1993; Lassailly- Srinagar hydropower dam in Uttar Jacob, 1994; Mustanoja, 1993; Conac, Pradesh, India, or the Berke hydropower 1995; etc.) but planners have frequently dam in Turkey are displacing only a few overlooked those recommendations. hundred people each. Many other danis Appropriate action by relevant agencies and displace some 1,000 to 3,000 people. (See private entrepreneurs can and must be Annex 1 for dams with larger population triggered primarily through the enactment displacements.) However, the severity of of state policy and protective legislation. the impacts suffered by the communities displaced in smaller operations is essen- Expropriation laws based on the eminent tially the same as in larger ones. But large domain principle, which exist in many aggregate population sizes tend to com,- countries, are typically incapable of re- pound the difficulties at the project level dressing the adverse socio-economic and it is always much preferable to finid impacts. Specific legislation mandating dam sites with reduced displacement effective public response to the social impacts. pathologies caused by hydropower devel- opment are necessary in all countries Again and again, studies comparing the interested in their energy producing impact of dams on the displaced people's Social AssessmentSeries 7 Hydropower Dams and Social Impacts: A Sociological Perspective potential (Shihata, 1988, 1993; World of energy, such as coal, gas, oil, or nuclear. Bank, 1994). This will help make hydro- I am convinced, in turn, that hydropower power expansion socially sustainable. It can definitely be made socially sustainable will decrease the political and ethical as well. This requires committed attention controversies that now surround the to all potential social impacts, starting hydropower investments which are oblivi- with the earliest stages of planning, when ous to socially adverse effects. Some of the investments in hydropower are weighed most credible experts (Goodland, 1994; against other options. Butcher, 1990) have convincingly demon- strated that hydropower is environmen- Relying on findings from social science tally more sustainable than other sources research and on feedback from its fi- Box 1 Key Elements of the World Bank's Resettlement Policy * Avoid or minimize. Involuntary displacement should be avoided or minimized whenever feasible, because of its disruptive and impoverishing effects. * Improve or restore livelihoods. Where displacement is unavoidable, the objective of Bank policy is to assist displaced persons in their efforts to improve, or at least restore, former living standards and earning capacity. The means to achieve this objective consist of the preparation and execution by the Borrower of resettlement plans as development programs. These resettle- ment plans are integral parts of project designs. * Allocate resources and share benefits. Displaced persons should be: (i) compensated for their losses at replacement cost, (ii) given opportunities to share in project benefits, and (iii) assisted in the transfer and in the transition period at the relocation site. * Move people in groups. Minimizing the distance between departure and relocation sites and moving people in groups can facilitate the resettlers' adaptation to the new socio-cultural and natural environments. The trade-offs between distance and economic opportunities must be balanced carefully. * Promote participation. Resettlers' andhosts' participationinplanningresettlement should be promoted. The existing social and cultural institutions of resettlers and their hosts should be relied upon in conducting the transfer and reestablishment process. * Rebuild communities. New communities of resettlers should be designed as viable settlement systems equipped with infrastructure and services, able to integrate in the regional socio-eco- nomic context. * Considerhosts' needs. Host communities that receive resettlers should be assisted to over- come possible adverse social and environmental effects from increased population density. * Protect indigenous people. Tribal and ethnic minorities, pastoralists, and other groups that may have informal customary rights to the land or other resources taken for the project, must be provided with adequate land, infrastructure, and other compensation. The absence of legal title to land should not be grounds for denying such groups compensation and rehabilitation. (Based on World Bank Operational Directive 4.30: Involuntary Resettlement.) 8 Environrment Department Papers Population Displacement and Resettlement nanced projects, the World Bank formu- guidelines for involuntary resettlement lated an explicit policy regarding involun- under projects assisted by their own aid tary resettlement (World Bank, 1980; agencies (see OECD, 1991), which often Cernea, 1988; Qureshi, 1989). This policy finance dam construction. These guide- has evolved steadily since 1980 through lines are essentially similar to the World several key steps (see World Bank, 1986, Bank's policy and are based on the same 1990, 1994; Cernea, 1994). Its basic principles. Yet the actual application of elements are summarized in Box 1. these guidelines, relatively new for aid agencies of some OECD countries, is Four essential "instruments" or "proce- uneven, as perhaps they have not been dures" are required by the Bank's policy to fully absorbed in practice. NORAD, for address resettlement issues in the feasibil- instance, has adopted general guidelines ity studies for, and the appraisal of, each for the environmental assessment of hydropower project: hydropower development (see NORAD, 1993, 2nd printing), but these guidelines a) a population and baseline income do not explicitly include the social prin- survey, as part of the feasibility study; ciples and procedures resulting from the b) a detailed resettlement plan for 1991 OECD resettlement guidelines, people's socio-economic reestablish- formally co-signed by Norway. The same ment; is still the case for several other bilateral aid agencies. In Japan, OECF has started c) a relocation timetable correlated with work on detailing the OECD general advances in civil works; guidelines into more specific provisions. d) a distinct budget for resettlement. Obviously, the updating of bilateral The basic indicators generated through agency guidelnes and their systematic these instruments can be used as implementation may significantly contrib- monitorable benchmarks for ongoing ute to eliminating many of the disastrous evaluation of resettlement progress and displacement consequences occurring in impacts. projects (e.g., Kotmale dam in Sri Lanka, co-financed by SIDA, or Kotonpanjang The resettlement plans (point "b" above) hydropower dam in Indonesia) assisted by should be built around a development these bilateral agencies (Soeftestad, 1990; strategy and "package" of provisions alble Pemul, 1993; Conac, 1995). More "voice" to at least restore the economic basis and must be given to the affected people and livelihood of those relocated. It is recorn- their organizations in monitoring consis- mended that the preparation and ap- tency in the application of these guidelines praisal of the population resettlement plan and in seeking resolution of their legiti- be done by professionally trained social mate grievances. analysts (sociologists, anthropologists, social geographers, resettlement special- Improving resettlement is not easy for ists), jointly with economists. developing country govemments, particu- larly in low income countries with land In the early 1990s, all OECD member scarcity, which face competing needs, countries have also adopted unified policy resource limitations, and constraints on Sodal AssessmentSeries 9 Hydropower Dams and Social Impacts: A Sociological Perspective institutional capacity. Progress has been some of the real social costs. This expresses made in recent years and, in some coun- itself in attempts to externalize a large part tries, has been remarkable. However, of the resettlement costs to the resettlers major difficulties and failures in involun- themselves, making them support part of tary resettlement continue to occur, and the costs of the disruptions imposed on often implementation performance is them. Obviously, such externalization has lower than expected. The costs of inad- no legal, moral, or financial legitimacy. In equate resettlement can be very high, turn, engineering bias expresses itself in resulting in increased poverty for large the underestimation of the logistical and numbers of people. This is especially cultural difficulties of adequate resettle- serious since many of those affected are ment. already very poor, and live in disadvan- taged areas where infrastructure is lacking Where and how can we "spot" such and social services are very limited. The biases? remote locations of many dam sites are often inhabited by indigenous people, One manifestation of these biases is that ethnic minorities, or pastoralists. This the planning and implementation of heightens the moral imperative to protect resettlement has been much weaker in those most vulnerable groups by ensuring projects carrying out involuntary resettle- sound policies and good implementation. ment as compared to projects (in the same Indigenous people often cannot simply countries) supporting voluntary resettle- relocate and carry on their same way of ment on newly developed lands. Perhaps life at another location, as their livelihoods most telling is the attitude of project are location-specific and intricately inte- authorities towards involuntary resettlers, grated with their habitat. Improved who are seen as obstructions to progress, resettlement frameworks will benefit not and not as unwilling victims entitled to full only the directly affected groups, but also support and recovery. Their active partici- the society at large. pation is discouraged, and often they are not even consulted. Biased Methodologies In the end, such biases, dismissive atti- The most damaging flaws in the social tudes, and methodological errors, together feasibility studies for hydropower is the with the reluctance to internalize costs, underestimation of (a) the magnitude, and strike back: they make resettlement more (b) the costs of population displacement/ difficult than it should be, slower, prone to resettlement. Even high caliber consulting cause political instability and to entail companies often fall prey to these fallacies. project delays and foregone benefits. Correcting such biased methodologies is Efforts to produce "least cost" project therefore a foremost priority-for good proposals make planners vulnerable to social, economic, and political reasons. economic bias and inclined to overlook 10 Enviiornment Department Papers 4. Lessons from Studying Resettlement To analyze the resettlement implications of urban and transportation projects in the development programs worldwide, and developing world. (60 percent are concen- find better solutions to the severe social trated in South and East Asia.) In total, problems they raise, the World Bank has these Bank-assisted projects entailed the carried out in 1993/94 a major study2 of resettlement of 2 million people over an all 1986-1993 Bank financed projects eight-year period. entailing resettlement, as well as of expexi- ences in resettlement operations outside While limited in relative terms, compared Bank-financed projects. I had the privilege to worldwide resettlement, the Bank's to lead the special Bank Task Force in involvement in resettlement is nonetheless charge with this study. We have analyzed important and has a broader significance, the socio-economic nature of resettlement far exceeding its sheer size. The reason for processes in various countries; their causes this significance is the Bank's explicit and and scale; the policy and legal framewor]ks innovative resettlement policy (see Box 1), governing such processes; their planning which defined a clear goal - income patterns and financing issues; and the restoration - and basic approaches, actual resettlement implementation pro- including a redevelopment plan, timetable, cesses - with their strengths, weaknesses and budget for achieving good resettle- and outcomes. I will further discuss some ment. of this study's key findings, and the Bank- adopted decisions for improving resettle- Causes of Failure or Success ment operations, as they are directly relevant to the subject addressed in this The single most important message of the paper. Bank's 1994 resettlement study is that good resettlement can prevent impoverish- Within the worldwide picture of develop- ment and even reduce poverty by rebuild- ment-caused resettlement, projects fi- ing sustainable livelihoods. If resettlement nanced by the World Bank account for a is not planned and financed adequately, relatively small share of the total. In resettlers end up worse off than before. calendar year 1993, projects in the Bank's Socially responsible resettlement, however, active portfolio accounted for some 3 is also economically beneficial because percent of the resettlement caused by darm otherwise the heavy costs of poorly construction worldwide and for about 1 handled displacement extend well beyond percent of the displacements caused by the immediately affected population-to Sodial AssessmentSeries 11 Hydropower Dams and Social Impacts: A Sociological Perspective the regional economy, and to the host tablishment solutions, and implement population in relocation areas. ing them. Inadequate resettlement induces local Policy Vacuums or Political resistance, increases political tensions, Commitment? entails project delays, and postpones project benefits for all concerned; the Resettlement involves moving people who benefits lost because of such avoidable project have not themselves chosen to relocate. implementation delays sometimes far exceed Moving people in this manner raises legal the marginal cost of a good resettlement issues unlike any other project activity package. Ensuring that involuntary re- because of the possible encroachment on settlement is minimized -and when individual and group rights. unavoidable, is carried out without impov- erishing the people displaced-is fully When resettlement is carried out in a justified on both economic and ethical manner that fully respects the rights of grounds. affected people, opposition to the imple- mentation of the project is generally Although displacement and resettlement reduced. Otherwise, affected parties must have had a long and dismal history of have access to legal remedies to protect failure, important learning has taken place those rights, and to seek restitution differ- over the last 10-14 years, pointing the way ent from that offered by the project or towards improving performance. Despite government. Therefore establishing the vast differences among the countries adequate legal frameworks protecting and populations involved, much more is people's rights is a necessary element for now understood about the major common achieving successful resettlement. factors that explain - by their presence or absence - why resettlement worked in Developing an adequate legal framework some cases and failed elsewhere. These for resettlement has two dimensions: common factors are: defining the legal entitlements of persons who are displaced; and ensuring the a) Political commitment expressed in policy delivery of such entitlements. Introducing and law, functioning grievance proce an effective process to identify losses and dures, fair resource allocations, and develop restitution measures requires consistent implementation of set addressing five sets of legal issues: norms; * Identifying the cause-effect relation- b) Sound social analysis, reliable demo ship between projects and impacts. graphic assessments, and technical expertise in planning resettlement; * Idenhtfyg categories of adverse expertise ~~~~~~~impacts. c) Accurate cost assessments and commen * Defining eligibility: identifying af- suratefinancing; fected people. * Extending eligibility to displaced d) Effective executing organizations and people with rights not recognized by public participation in identifying rees- the law. 12 Environment Department Papers Lessons from Studying Resettlement * Including mechanisms for grievance The case of China demonstrates that the and dispute resolution. improved resettlement performance it achieved in the last decade is directly The main way governments express their associated with the major changes intro- political commitment to good resettlement duced in its national policies and legal is by creating adequate institutional capac- environment suxrounding resettlement ity, defined as the synergy between policy, operations. Before the late 1970s, vast organizations, and resources. One main displacements caused by high dams in result of the Bank's catalytic policy impact China resulted in the disastrous impover- is that several countries -such as Colom- ishment of many people and in serious bia, Brazil, Indonesia, China, and others political instability. As industrialization -following dialogue with the Bank, havie accelerated, civil works were seen as enacted or improved their own national or essential while systematic planning for sectoral policies for resettlement. adequate population resettlement was a low priority. Government insistence on a The World Bank is concerned that devel- communal approach to life led planners to oping countries adopt their own policy simply push displacees into the surround- guidelines on resettlement because it has ing communities, with little compensation learned the hard way that the absence of for assets lost. Other resettlers were domestic policy is a policy by default. simply shipped to the far west or the border areas of the northeast. At that Some national agencies prefer to maintain time, China lacked a legal framework for a policy vacuum rather than issue binding resettlement: the results were tragic norms and legal strictures. In effect, some displacements, such as those from the agencies are stubbornly reluctant to for- Sanmenxia and Danjiangkou reservoirs in mulate or accept public sector guidelines, the 1960s and 1970s. for activities that they know are going to be problematic, difficult, or controversial; To correct this, a series of laws and regula- the net result of such an anachronistic tions were adopted and refined in steady posture and mind-set is that the interests succession between 1978 and 1992, either of the displaced people, and of develop- with national applicability or tailored to ment in a broader sense, are undercut. specific investment sectors such as water, Avoiding formal policy commitments may hydropower, transport, industry, and allow more operational flexibility in the urban. These regulations, taken together, short term, but at the expense of higher not only protect the prior living standards long term costs, externalized to others. of those affected but also affirm the principle Weak policy responses to such issues are of "resettlement with development." This an enduring cause of poor perforrnance. principle requires making resettlement a Legal vacuums and absence of policy for development opportunity and improving resettlement leave room for the use of resettlers' livelihoods after relocation. violent displacement procedures, without due recognition and protection of the b.asic China has also started to develop its human rights and entitlements of those research capacity on resettlement pro- uprooted. Social AssessmentSeries 13 Hydropower Dams and Social Impacts: A Sociological Perspective cesses. In early 1990 the National Re- than 4 had such problems. This only search Center on Resettlement (NRCR) makes sense: if proper resettlement is seen was created at Hohai University as reestablishing resettlers' income (Nanjing). Important advances have been streams, one would assume that a certain made by this Center in the research meth- amount of "principal" has to be invested odology of investigating resettlement (Shi, to yield sufficient returns. Hun and Yu, 1996). In particular, inten- sive work is carried out to comprehen- Costs for compensation and resettlement sively evaluate the production levels and can be a substantial component of a the standard of living of resettlers before project's total cost, but usually they are and after resettlement, in order to assess not. A sample of 20 completed projects the real impacts of China's policy of involving resettlement shows that resettle- resettlement with development (Shi ment averaged only 9 percent of costs Guoqing, 1996a; Shi Guoqing, 1996b). approved at appraisal. Resettlement costs tend to climb as high as 35 percent where The Economics of Resettlement high compensation payments are involved and large numbers of people are relocated Policy principles alone, however, are not (China, Shuikou hydropower; Argentina, sufficient. Adequate financial resources Yacyreta hydropower) or where the are indispensable for good results, and project undergoes a difficult resettlement financial issues must be frontally ad- process (Colombia, Guatape II hydro- dressed during the planning stage. power). A major finding of our resettlement study Project budgets often did not distinguish was that low resettlement performance is between land acquisition, compensation nearly always traceable to inadequate eco- costs, and the costs of providing develop- nomic analysis, externalization of reestab- ment opportunities to resettlers in their lishment costs to the affected population, new sites. They rarely distinguish - as and underfinancing. The incomplete they should - between the costs of com- recognition of all the costs accruing to pensation for public and for private assets, displaced people and the failure to inter- though the cost of reimbursing a railway nalize them in the overall project costs lead company for a single big bridge may directly to resettlers' impoverishment, and outweigh the costs for the private assets distort altogether the economic rationale of lost by 10 villages. The distinction is more some projects. than formal, because resettlement budgets that appear to be high may in fact mask During the Bankwide Resettlement Re- very low per capita allocations that go to view, an analysis of per capita resettlement help directly displaced families by merging budgets compared to per capita incomes them with very large amounts allocated to was performed on a sample of 30 projects. compensate expensive public infrastruc- The results were striking. All those ture. projects which had a budget-to-income ratio of less than 3.5 encountered resettle- When resettlement's true costs are assessed ment implementation problems, while only incorrectly, local communities are forced few of the projects with a ratio greater to bear an undue share of the burden. 14 Environment Department Papers Lessons from Studying Resettlement Two problems are typical. plating" resettlement components. For instance, the analysis of all energy projects First, compensation rates rarely reflect the involving resettlement found that overall true replacement value of lost assets, project cost overruns averaged 35 percent particularly for resettlers who must re- for hydroelectric dams and 10 percent for place lost land. Depreciation of assets thermal power plants, while cost overruns (that must be replaced at market costs) for resettlement components only averaged and property underassessments are both 54 percent. common. In the Karnataka multipurpose dam project in India, for instance, local Poor resettlement can have major negative courts raised compensation rates up to five effects on a project's other economic times the value assessed by project officers, objectives, at least in two ways. but only for those farmers who could afford to bring a case. Recalculated costs First, inadequate resettlement preparation for land acquisition and resettlement in can cause implementation delays, which, Turkey's delayed Kayraktepe hydropower in turn, lead to foregone benefits and project went from an estimated $30 miL- reduce the project's retums. The costs of Lion in 1986 to more than $180 millionin doing resettlement weDl are often less than late 1993, an increase due partially to the eventual costs of doing it poorly. In economic growth but primarily to initial hard financial terms, resettler resistance to underassessments of property values. resettlement translates into forgone reve- nues because of delays in hydropower Second, delays in making payments to sales. When the expected stream of ben- those displaced erode the real value of the efits from a project is delayed by one or compensation and force displaced families more years, the project's economic rate of to go into debt to survive, thus increasing return can faDl by several points. For the difficulty of acquiring a new perma- instance, the construction of the Uri nent site. Long delays in paying compen- Hydropower Plant in India, financially sation are common: a case study in Nepal and technically assisted by the Swedish found an average delay of 10 years (!) Intemational Development Agency (SIDA) between property expropriation and fell about 18 months behind schedule compensation payment. OED's 1992 largely because the Indian Government study of the Kamataka project found "has not solved the property issues with families, displaced in the mid-1970s, thiat the landowners" (Development Today, had yet to receive their compensation 15 1994). years later! In Ghana's Kpong dam project, govemmental shortfalls meant Our own World Bank study found that a that compensation was never paid to resettlement-caused one-year delay in about 7,000 affected people and their host getting project benefits (with no delay in communities. the schedule of project costs) will reduce the project's net present value by almost a Cost overruns for resettlement are often third; a two-year delay, by more than half. simple artifacts of initial underestimatbion Simple economic reasoning suggests that of resettlement's true costs rather than, as the gains from avoiding such large losses some tend to interpret, the result of "gold- are more than sufficient to finance the cost Social AssessmentSeries 15 Hydropower Dams and Social Impacts: A Sociological Perspectve of resettlement. For example, in an investment's attractiveness and, in Colombia's Guatape II Hydroelectric extreme cases, can encourage economi- project, which had high resettlement costs cally marginal projects to proceed even -22 percent of the project total-foregone though alternative investments would be benefits from even a one year delay (rather more profitable. Instead, sound resettle- than the three years actually experienced), ment financing can enhance a project's would have amounted to 83 percent of overall benefits, because the increased resettlement costs (see Box 2). The three incomes of resettlers can boost a project's year delay cost far more than the resettle- rate of return. ment did. In other words, even if good resettlement turns out to be costly, it is Throwing money at resettlement will not even much costlier to tolerate bad resettle- solve all resettlement problems, but starv- ment. It is penny wise and pound foolish ing resettlement of resources is clearly the to do resettlement on the cheap. first step towards failure. Our study of Bank-assisted projects has revealed that, Box 2 historically, World Bank financing for Avoidable Financial Losses resettlement components of infrastructural projects has also tended to be low. In the Delays caused by inattention to resettlement past, over 80 percent of World Bank- have contributed to driving down the actual assisted projects that entailed resettlement or expected economic rate of return of several did not earmark direct Bank funding projects to very low levels, as, for example, i (foreign currency) for resettlement activi- Mauritania's Gorgo dam project, or in India's ties. However, when country budgets are Subernarekha multipurpose dam project. The under constraints, increasing the Banks following excerpt from the audit report for unde instraint inang thelp Colombia's Guatape II Hydroelectric project share in resettlement finance can help is significant: overcome underfinancing. When local funds are scarce anyway, if the Bank is " the resettlement and compensation of the financing civil works construction but does individuals who were affected by inundation not assist in financing resettlement, the required lengthy negotiations, largely be- premises are set for unequal advance and cause the Borrower and the Bank failed to uneven quality between these two parts of anticipate the complexity of the problem involved ... The final costs of the resettlement, thesae proj Leni from st in US$ equivalent, was more than double the e in som e receroc, h original estimate and the process took about Wathe Siup roda in tHdeabadt three years longer than envisaged. This Water Supply project in India and the delay, which, in turn, delayed the filling of China Xiaolangdi Multipurpose dam the reservoir and storing of water energy, cost project, the World Bank has considerably the economy the equivalent of ... energy increased its directly earmarked financing generation for an entire year." The resulting for resettlement. electricity losses amounted to $25.5 million of unsold energy, equivalent to 18 percent of the Enabling Resettlers to Share Benefits total project cost. Projects that resettle people productively Second, failing to recognize true resettle- on land and in jobs restore income more ment costs at project start can exaggerate effectively, after a transition period, than 16 Environment Department Papes Lessons from Studying Resettlement projects which hand out cash compensa- benefits by moving resettlers from the tion, without institutional assistance for reservoir into the newly irrigated com- resettlement. Successful income restora- mand areas. Relocation sites could be tion was achieved primarily when projects provided with electricity, as in Yantan enabled resettlers to share in some of the Hydro in China. The reservoirs themselves immediate benefits created by the very project became a benefit-generating resource that caused displacement. when they were developed into fisheries using cage aquaculture: those resettlers Existing evidence worldwide points to who were given access to reservoir aquac- unsatisfactory income restoration much ulture were better off. The Saguling and more frequently than to satisfactory Cirata reservoirs in Indonesia produced outcomes. Declining income among seven times as much income from fishing relocated populations is significant, reach- as the inundated land did previously ing in some cases as much as 40 percent. when cultivated with rice. Some projects, Contraction or non-replacement of in- such as Kedung Ombo in Indonesia and come-generating assets reduces the Ertan in China, also allowed resettlers to resettlers' ability to recover. Conversely, use the drawdown areas for agriculture. when the principle of enabling the dis- The China Lubuge Hydro project em- placed peoples to share in the benefits ployed some resettlers directly in reservoir generated by the project is adopted, maintenance. additional opportunities are made avail- able by design to support the recovery of Another form of benefit-sharing is setting relocated populations. aside a portion of electricity revenues for resettlers and other people in the area Sharing project benefits with resettlers hais, affected by the dam and reservoir. The in fact, multiple advantages. Benefit- China Lubuge, Yantan, and Ertan projects sharing generates resources additional to set aside a small fraction of one yuan per those budgeted and allocated up front fcr thousand kilowatt-hours for use in the resettlement. It also gives resettlers a resettlement area. National policies in vested interest in the project, not just an Colombia and Brazil require 4 percent and adversarial relationship. Resistance to 6 percent respectively of hydro revenues to dam construction and resettlement is likely be used for this purpose. This creates an to be reduced. Sharing also makes the ongoing income stream, for long after project more equitable morally, as the project completion, to provide vitally beneficiaries are not gaining at the expense needed resources during the resettlement of the displaced, victimized people. Most stabilization phase, when the projects' importantly - sharing can improve resettlement budgets have been long resettlement performance and create a exhausted. sustainable basis for resettlement. Effective Institutions In a recent study, dams were found to be a type of project with substantial potential Effective organizations are the keys to for sharing benefits with resettlers (van translating resettlement plans into practi- Wicklin, forthcoming). Past experience cal, successful actions on the ground. shows that many projects shared irrigation Soaal AssessmentSeries 17 Hydropower Dams and Social Impacts: A Sociological Perspective The Bank's experience with the institutions and increased long-term sustainability. In charged with planning and implementing many cases, giving displaced people a resettlement programs shows repeatedly greater role in the planning and imple- that institutional weaknesses are the soft mentation of their resettlement reduces the link that undermines resettlement perfor- need for institutional coordination, a mance. But few projects have paid ad- major weakness in many resettlement equate attention to ensuring that organiza- programs. More participation can also tions in charge with resettlement are well- lower total project costs, even though designed and operationally capable, greater participation may require some- matching their structure with their func- what longer preparation time. tions. Where reliable organizational capacities to carry out resettlement do not Participation takes several forms. The first exist, they must be created during the is to inform the affected populations in project. time about the need to resettle, about their entitlements, eligibility, options, due Certain problems are intrinsic to most process, and appeal mechanisms. Next, resettlement organizations. These include people and their organizations should be inadequate mandate, insufficient staffing, consulted about alternative options and poor coordination, budgetary problems, solutions to avoid or minimize displacement, poor management, and lack of account- or to identify suitable, more desirable ability. Improving the performance of relocation sites. resettlement agencies depends most heavily on re-defining responsibilities, Other possibilities for direct involvement enhancing the incentives and capacities of include helping set correct land compensa- resettlement agencies, increasing account- tion rates, negotiation, designing income ability, developing appropriate staff teams, generation options, and involvement in and effective, participatory monitoring handover activities. Many NGOs have capabilities. proven themselves to be effective in design- ing resettlement plans and realistic options, Resettlers' Participation acceptable both to the people and to governments, and in mobilizing the energies It may seem paradoxical to advocate the of the resettlers for timely implementation. "participation" of people in projects that seek to involuntarily displace them. Yet Finally, involving resettlers in project securing such participation is essential in monitoring vastly increases accountability. many respects. People whose existence In Mexico's Zimapan Hydroelectric and way of life will be profoundly project, project funds were used for the changed by resettlement have the right to resettlers' bargaining committee to hire be consulted about their future and to their own master architect to supervise participate in the decision-making that construction of their new houses. In will transform their lives. Colombia's Urra Hydro I project, resettlers maintained their own records describing When resettlers are actively involved, the frequency and outcome of visits by premises are created for fewer conflicts project staff, which were then checked by and delays, greater resettler satisfaction, independent monitors. Resettlers can also 1 8 Environment Department Papers Lessons from Studying Resettlement monitor the quality of project services. d) promote people's participation; To improve participation in planning e) provide increased Bank financing to resettlement in future projects, the Bank future projects with resettlement, as requires its borrowers to make the draft wel as supplementary financing to resettlement plans available to the popula- resettlement in ongoing projects, when tion in the project area, for public review and comment before the Bank approves the appropriate; funding for the new project. f) diversify project vehicles, so that future infrastructural operations requiring Improving Resettlement for very massive displacements can be Development processed as twin projects-one for the civil works and another as a stand- Based on our Task Force study's recom- alone resettlement project; and mendations, the Bank has adopted impor- g) strengthen the Bank's own institutional tant decisions and measures to achieve staff capacity for addressing the com- further improvements in resettlement plex issues of resettlement operations. Many such measures are probably relevant, with adjustments, to Remedial and retrofitting actions similar problems encountered in projects Near-term remedial actions have been financed by bilateral donors and domestic initiated in midstream in those ongoing sources. Broadly, these measures can be projects found to fall short of policy and grouped into four sets: legal provisions (e.g., substantial restruc- turing, additional financing, the creation of resettlement agencies, revised plans and These include: budgets, and so on). a) ensuring the government's commit- ment by, among other things, making; Improving project processing the agreement on policy explicit from Improvements are being introduced in the the outset, and requiring the adoption analysis of resettlement at appraisal, in the of legal frameworks for projects with design of development packages, in the in- large scale resettlement operations; house review of resettlement components, b) enhancing the local institutional and and in the staffing of relevant depart- organizational capacity through ments, to enable them to address resettle- special assistance; ment professionally. The Bank will en- courage borrowers to carry out pre-project c) improving project design by avoiding; pilot schemes to test the adequacy of pro- or reducing displacement as much as posed resettlement options. In major possible, and by creating explicit operations-particularly for dams- timetables that link progress in civil resettlement advisory panels will be in- works to the gradual advance of creasingly used, along the lines pursued in resettlement; establishing dam safety panels.3 Social AssessmentSeries 19 Hydropower Dams and Social Impacts: A Sociological Perspective Supervision betterment of living conditions, and ex- Field supervision of resettlement compo- pansion of public services. The experience nents in projects will be intensified (at least with various types of involuntary resettle- once every 12 months) and the Bank will ment has generated increased knowledge provide more technical and social assis- for planning and for protecting the entitle- tance to the borrowing agencies for im- ments and livelihoods of those affected. proving the quality of resettlement. Since involuntary resettlement is recog- nized as an increasingly political, social, and financial matter affecting large num- bers of people, it will command increased These days, the attention of governments attention. Even with such resources and of the public opinion is shifting more resettlement will remain a formidable and more to the social aspects of develop- challenge, but a challenge that can and ment. Involuntary displacements will must be met successfully as part of the continue to occur in all countries for overall development process. reasons related to technical progress, the 20 EnvirordnentDepartmentPapers Annex 1: Dams Displacing more than 4000) People Displaced Counby Projet Name FY* MW' HA People Albania Fierza 1978 500 5500 20000 Argentina AquaVermelha 1979 1380 64300 4345 Argentina Piedra del Aguila 1991 1400 29200 9000 Argentina/Paraguay Yacyreta 1998 2700 172000 50000 Argentina/Uruguay Salto Grande 1979 1890 78300 8000 Bangladesh Kaptai (Karnafuli) 1962 1400 65600 100000 Brazil AquaVermelha 1979 1380 54959 4345 Brazil Cachoeira Porteira Pr 1400 91100 8000 Brazil Castanhao Pi 75 22900 12000 Brazil Estreito 1969 1040 710 15000 Brazil Foz do Areia 1980 1674 16700 8400 Brazil Furnas 1963 1216 144000 8500 Brazil Ilha Solteira 1973 3200 125700 6150 Brazil Ita 1998 1620 13800 11500 Brazil Itaparica 1986 2500 80000 49500 This table is based, in part, on resettlement data collected by our Task Force, which carried out the Bankwide Review of Resettlement in 1993-1994, complemented by information from a data-bank on dams assembled by Robert Goodland. The data coines-from various sources, only some of which are in the public domain; part of the data are from yet un published project documents. For some of these dams, the information reflects best estimates made at project inception. Efforts have been made to revise initial estimates in light of final results for all completed projects, and this has been done for virtually all dam construction projects assisted by the World Bank that were covered by the Bankwide Review of Resettle- ment. Data on projects not financed by the Bank are from published sources, as available. Readers who possess reliable information that can correct data in this table are kindly invited to write to the World Bank (the Environment Department, 1818 H. Street, NW, Washington, DC, 20433). Abreviations: FY = fiscal year in which the project was completed, or is expected to be completed; MW = installed capacity in megawatts; P1 = planned or under construction; HA = land lost to reservoirs, in hectares; 0 = not available to us when this table was compiled. Social AssessmentSeries 21 Hydropower Dams and Social Impacts: A Sociological Perspective Displaced Country Project Name FY** MW** HA** People Brazil Marimbondo 1975 1440 43800 5500 Brazil Mochadinho - 1200 25200 15700 Brazil Nova Ponte 1994 510 43300 9298 Brazil Paulo Afonso I-IV 1979 3984 1600 52000 Brazil Porto Primavera 1994 1800 225000 5138 Brazil Sao Simao 1978 2680 68000 14000 Brazil Serra da Mesa 1996 1200 1784400 5900 Brazil Sobradinho 1978 1050 415000 65000 Brazil Tucurui 1983 7600 243000 30000 Brazil/Argentina Garabi Pi 1800 81000 15000 Brazil/Paraguay Itaipu 1982 12600 135000 59000 Cambodia Sambor P1 3300 88000 5120 Cambodia Strung Treng Pi 980 64000 9160 Canada Saunders/Moses 1958 1824 8094 6500 China Daguangba 240 9900 23800 China Dongjiang 1989 500 16000 53000 China Ertan 1999 3300 10100 30000 China Jinping Stage 1-Y P1 3000 9500 5769 China Longtan 2005 4200 37000 73392 China Lubugel 450 145 5000 China Shuikou I & I 1996 1400 9350 67239 China Three Gorges 2008 8200 110000 1300000 China Wuqiangxi 1995 1200 17000 84800 China Xiaolangdi 2001 1800 27200 181600 China Xiawan Pi 4200 12000 25000 Colombia Guatape 560 6340 5000 Colombia Guatape (Penol) 560 6340 5000 Colombia Guavio 1989 1600 1440 5500 Colombia Salvajina 270 2220 10000 Colombia Upia P1 1670 39600 5000 Cote d'Ivoire Kossou 1972 174 178000 85000 Egypt Aswan High 1970 2100 400000 100000 El Salvador CerronGrande 1977 135 13900 13339 El Salvador Zapotillo 216 9300 11000 El Salv./Honduras El Tigue 704 7000 6700 Ghana Akosombo/Volta 1965 833 848200 80000 Ghana Kpong 1981 160 3500 7000 Honduras El Cajon 1985 292 9400 4694 22 Environment Department Papers Annex 1 County ProjectName FY** MW** HA** Displaced People India Balimela 1977 360 17496 10000 India Bargi 1990 105 80900 113600 India Bedhi 210 12400 5100 India Bhakra 1963 1204 16600 36000 India Gandhi Sagar 1962 1115 86000 52000 India Godavari 660 100858 38100 India Hirakud 1957 347 74300 110000 India Indravati 1000 40000 8800 India Kabini 1974 32 6100 15000 India Nagarjunasagar 1974 810 28500 28000 India Narmada Sagar 1993 1000 90820 80500 India Pong 1974 360 29000 150000 India Rengali 1992-9 250 414500 80000 India Riihand 1962 300 46900 60000 India Sardar Sarovar 2001 1450 37590 320000 India Sharavathi(Karnata) 1987 510 5921 12500 India Sri Rama Sagar (Po) 1983 36 43400 16000 India Srisailam 1984 440 60629 100000 India Tehri 1997 2400 4200 100000 India Ukai 1972 300 60000 80000 India Upper Indravati 600 11000 26505 India UpperKolab 1991 320 11350 15895 Indonesia Cirata 1987 500 6200 56000 Indonesia KedungOmbo 29 5600 29000 Indonesia Kota Panjang C 114 12400 24930 Indonesia Saguling 1984 700 5340 60000 Iran Dez 1978 840 6290 17000 Kenya Kiambere 1988 140 2500 6000 Korea Ghungju 1985 470 9700 37000 Laos Luang Prabang P1 1410 11000 6580 Laos Nam Beng 1 Pi 45 6500 8000 Laos Namr Khan 1 Pi 115 5600 19300 Laos Nam Lik 1 P1 130 16000 15300 Laos Nam Ngum 3 1994 400 5870 4400 Laos Nam Ou 1 P1 395 13800 23900 Laos Nam Ou 2 2007 950 10700 26200 Laos Nam Suang 1 Pi 56 1330 5300 Laos Nam Suang 2 Pi 195 20500 8700 Social AssessmentSeries 23 Hydropower Dams and Social Impacts: A Sociological Perspective Displaced Countty Project Name FY** MW** HA** People Laos Nam Tha 1 Pi 230 26500 5700 Laos Nam Theun 2 1999 600 34000 4500 Laos Ngum4 Pi 290 11800 4400 Laos Pak Lay Pi 1320 11000 11780 Laos Se Bang Fai 1 Pi 60 27000 10600 Laos/Thailand Chiang Khan P1 570 9000 12950 Laos/Thailand Low Pa Mong Pi 2670 56000 52000 Laos/Thailand Pa Mong A Pi 2030 12000 23260 Lesotho Katse (Highlands W) 1996 180 3600 8500 Malaysia Bankun 2002 2400 70000 9000 Mali Manantali 1988 200 48000 11000 Mali Selingue 1980 44 40900 12500 Mexico La Angostura 1974 1100 64400 5500 Mexico San Juan Tetelecin Pi 620 14000 28000 Mozambique Cabora Bassa 1974 2075 380000 250000 Nepal Bagmati Pi 189 10500 10000 Nepal BuhlriGandaki Pi 600 5000 17000 Nepal Kali Gandaki 2 P1 660 10800 40000 Nepal Karnali (Chisapani) Pi 10800 33900 60000 Nepal Pancheswor P1 7200 12100 14500 Nepal Sapta Gandali P1 225 1800 6000 Nepal Sapta Kosi Pi 3600 19500 75000 Nigeria Kainji 1968 760 126000 50000 Pakistan Kalabagh P1 2400 55000 83000 Pakistan Mangla 1967 1000 25300 90000 Pakistan Tarbela 1976 3478 24280 96000 Panama Bayano 1976 300 30000 4500 Philippines Casecnan 156 3600 20000 Philippines Pantabangan 1977 100 8900 13000 Romania/Yugoslavia Portile de Fer (Iron G.) 1972 1050 5200 23000 Russia Boguchany 4000 149500 12200 Russia Bratsk 0 4500 549099 67400 Russia Cheboksary 0 820 87500 35000 Russia Gorky 0 520 129200 48000 Russia Irkutsk 0 62.4 138600 18000 Russia Kama 0 504 175500 48000 Russia Krasnoyarsk 0 6000 175900 56100 Russia Lower Kama 0 428 110600 38100 24 Environrment Departnent Papers Annex 1 Displaced Couimhy Project Name FY** MW** HA** People Russia Volga (V.I. Lenin) 0 2300 504000 150000 Russia Volga (XXII Congre) 0 2541 269300 15000 Russia Votkinsk 0 1000 92200 61000 Russia Zeya 0 13300 229500 4500 Sri Lanka Kothmale 1988 200 950 13000 Sri Lanka Victoria 1984 210 2270 45000 Suriname Brokopondo 1965 30 150000 5000 Syria Tabqua (Thawra) 1976 800 60000 60000 Tanzania Rusumo 60 39000 30000 Thailand Bhumibol 1964 535 30000 25000 Thailand Khao Laem 1986 300 38800 10800 Thailand PakMun 1994 34 6000 4945 Thailand Srinagarind 1981 720 41900 6400 Thailand Ubol Ratna 1986 25 41000 30000 Togo/Benin Nangbeto 1988 63 18000 10600 Turkey Altinkaya 700 11831 24565 Turkey Ataturk 1993 2400 81700 55000 Turkey Karakaya 1987 1800 29800 20000 Turkey Kayraktepe 1996 420 13300 6000 Turkey Keban 1974 1330 67500 30000 Turkey Sir 1991 284 4750. 7000 USA Grand Coulee 6494 33306 10000 Uzbekistan Charvak 620 4000 9184 Vietnam Hoa Binh 1994 1920 5270000 58000 Zimbabwe/Zambia Kariba 1959 1266 510000 57000 Sodal AssessmentSeries 25 Notes I have dealt with these topics in several other ally reputed social anthropologists - Profes- writings as well (see bibliography). sor Fredrik Barth and Professor Thomas R. Williams -and of several Chinese experts. The 2 Resettlement and Development. A World social montoring fieldwork of this panel dur- Bank Review of Projects Involving Involuntry Re- ing the implementation of Ertan's resettlement sefflement 1986-1993, The Environment Depart- operations has led to important proposals for ment, April 1994 (Republished in 1996). This improving the process in mid-stream, indud- study can be obtained by writing to the World ing re-siting one of the initially envisaged new Bank's Environment Department or to the settlements and of some facilities (Barth, 1994; World Bank's Public Information Center, 1818 Williams, 1994). Another similar international H Street, NW, Washington, DC 20433. panel led by an anthropologist, Professor Thayer Scudder, that monitors resettlement 3 One excellent example of the effectiveness of implementation in the Lesotho Highands such an Advisory Panel is the work carried Water project, has helped identify important out by the independent international panel problems that otherwise could have been over- created for the Ertan Hydropower dam in looked, and made effective recommendations China. The panel consists of two internation- for improving the relocation process. 2 6 Envirormert Department Papers Bibliography Adams, W.M., 1991. Wasting the Rain: Cernea, Michael M., 1990. Poverty Risks Rivers, People and Planning in Africa, Lon- from Population Displacement in Water don Earthscan Publications. Resources Development, Harvard Univer- sity, HIID, Development Discussion Paper Barth, Fredrik and T.R. 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