IMP Social Impact Assessment HMM-2011
IMP Social Impact Assessment HMM-2011
IMP Social Impact Assessment HMM-2011
Chapter I Introduction 3
References 23
Annexes
INTRODUCTION
2 The National R&R Policy, issued in 2007, recognizes the need to carry out Social
Impact Assessment (SIA) as part of the resettlement planning and implementation
processes. Section 4.1 in Chapter IV Social Impact Assessment (SIA) of the Policy
reads as follows:
5 In addition, this Handbook will also be useful to consultants, NGOs and the
others involved in conducting social impact assessments. Applied social scientists,
trainers, NGOs, others concerned with resettlement issues, and the affected people will
also find in this Handbook much that is relevant to their interests.
7 Planners and decision makers increasingly recognize the need for better
understanding of the social consequences of policies, plans, programmes and projects
(PPPPs). Social Impact Assessment (short form for Socio-economic Impact
Assessment) helps in understanding such impacts.
8 Social Impact Assessment alerts the planners as to the likely benefits and costs
of a proposed project, which may be social and/or economic. The knowledge of these
likely impacts in advance can help decision-makes in deciding whether the project
should proceed, or proceed with some changes, or dropped completely. The most useful
outcome of a SIA is to develop mitigation plans to overcome the potential negative
impacts on individuals and communities.
9 SIAs can assist advocacy groups as well. A Social Impact Assessment report,
done painstakingly, showing the real consequences of the project on affected people
and suggesting alternative approaches, gives credibility to their campaigns.
A Historical Overview
10 Social scientists have long been involved in doing impact assessment, almost
since the dawn of their discipline. A canal study carried out by Condorcet in the
nineteenth century is believed to be the first Social Impact Assessment. (Prendergast
1989) However, Social Impact Assessment, as it is known today, emerged much later.
12 From the early 1980s, several new methods of enquiry emerged, including Rapid
Rural Appraisal (RRA), Participatory Action Research (PRA), Participatory Rural
Appraisal (PRA) (Chambers 1997; Oommen 2007). These sought to make people and
communities active participants, rather than mere objects of assessment.
13 By the early 1990s, social science professionals were also able to develop an
acceptable set of SIA guidelines and principles. (IOCPGSIA: 1994 and 2003, and IAIA:
2003) Around this time, the practice of SIA also got firmly established among
development agencies as a way to assess the impacts of development projects before
they go ahead. SIA is now part of the formal planning processes in most development
organizations. In some countries, SIA is a legal requirement.
14 Social impact assessments have been carried out for a variety of projects,
including projects in such diverse sectors as water, sanitation and health, coal sector,
urban transport systems, pastoral development programmes, and livelihood support
projects (Cernea and Kudat 1997; Roche 1999). But it is for resettlement projects that
SIAs have been found particularly useful. Modak and Biswas (1999:209) observe:
The subject has evolved basically to identify project-affected people and find measures to
mitigate negative impacts, or compensate irreversible losses following a participatory
process
17 In India, SIA has been generally carried out as part of the Environment Impact
Assessment clearance process. As part of the EIA process it has therefore not received
the attention it deserves.
18 Social Impact Assessment has now become an important part of the project
preparation process, especially for the preparation of Resettlement Action Plans (RAPs).
In this process, SIA is carried out as socio-economic survey that identifies social and
economic impacts on people and communities facing project-induced displacement. In
addition, data thus generated is used in designing mitigation measures as well as in
monitoring mitigation implementation.
19 Resettlement policies have lately made social impact assessment a major part of
the resettlement planning process. In 2006, a provision was included for conducting SIA
in the Orissa R&R Policy 2006. The National R&R Policy 2007 has made a provision for
conducting SIA whenever a new project or expansion of an existing project is
undertaken. (See Annex IV) But this provision is limited to only those cases which
involve displacement of 400 hundred or more families, en masse in plain areas, or two
hundred or more families en masse in tribal or hilly areas, DDP blocks or areas
mentioned in the Schedule V or Schedule VI to the Constitution. Undoubtedly, these are
good beginnings, but as yet the guidelines to give effect to these policy provisions do not
exist.
20 The World Bank, ADB, IFC, UNDP, as well as most multilateral and private
agencies, including commercial banks, require some kind of prior social impact
assessment for all the projects that they finance.
21 The issue is no longer whether SIA should be carried out or not, but how it
should be carried out so that the local people benefit from the project and not lose from
it, certainly not those who are poor to begin with.
24 Examples of projects with significant social impacts include: dams and reservoirs
(disruption due to relocation), power and industrial plants (influx of work force, pressure
on infrastructure), roads and linear projects (dislocation of activity networks), and landfill
and hazardous waste disposal sites (seen as health risks).
Differential Impacts
25 Projects affect different groups differently. Some people tend to benefit, others
lose. Often, impacts are particularly severe for vulnerable groups: tribal people, women-
headed households, elderly persons, landless persons, and the poor.
Types of Impacts
26 Not all projects cause similar impacts. For example, impacts that are commonly
experienced in urban projects are different from those in hydropower projects. The
common hydropower project impacts include the following:
30 These adverse impacts must be identified by a SIA study. WCD (2000: 241) is
emphatic that the impact assessment studies must identify and delineate various
categories of adversely affected people in terms of the nature and extent of their rights,
losses and risks. This signals a departure from the way that social impacts were
assessed in the past and will empower the planners and stakeholders to incorporate the
full extent of social impacts and losses in the decision-making process.
31 An Initial Social Impact Assessment (ISIA) is carried out if the project impacts are
likely to be minor or limited, which can be easily predicted and evaluated, and for which
mitigation measures can also be prescribed easily. Generally, information for ISIA is
obtained during a field visit to areas that will be affected by the project and through
discussions with people whom it may affect positively or otherwise. The ISIA is also
done to confirm whether this indeed requires a full-scale Social Impact Assessment
(SIA). Usually a comprehensive SIA is required for large projects, which entails a more
detailed study, time, and resources.
34 The IOCPGSIA (2003: 231) defines SIA in terms of efforts to assess, appraise or
estimate, in advance, the social consequences that are likely to follow from proposed
actions. These include: specific government or private projects, such as construction of
buildings, siting power generation facilities, large transportation projects…
35 Finsterbusch and Freudenburg (2002: 409) define the three terms in ‘Socio-
economic Impact Assessment’‘(socio-economic, impact, and assessment) as follows:
Identifying Affected Groups: SIA helps in identifying people and groups who
affect or are affected by the project
Allying Fears and Winning Trust: SIA can help allay fears of affected groups
and build a basis of trust and cooperation which is so essential for successful
project implementation
Avoiding Adverse Impacts: SIA provides the basis for preparing mitigation
measures to avoid, reduce or manage adverse impacts
Enhancing Positive Impacts: SIA preparation also helps identify measures to
maximize/share project benefits
Reducing Costs: Addressing social impacts at an early stage helps to avoid
costly errors in future
Getting Approval Faster: A well prepared SIA demonstrates that social
impacts are taken seriously and helps in getting project clearance faster
STEPS IN CONDUCTING
SOCIAL IMPACT ASSESSMENT
40 This chapter outlines the steps involved in carrying out the Social Impact
Assessment process, and includes suggestions on how to follow them. (IOCPGSIA
1994)
41 The first step is to define the Area of Impact. The size of the area varies
according to a project. A dam submerges a large, contiguous geographic area affecting
several villages. The impact from a highway and other linear projects occurs along the
corridor as small strips of land on either side of the road. The SIA team must get a map
showing clearly demarcated area that will be affected by the project (both directly and
indirectly).
44 This review will also help identify the need for collection of additional primary
data through surveys and participatory methods.
45 Share information and consult with all stakeholders. Stakeholders are people,
groups, or institutions which are likely to be affected by a proposed intervention (either
negatively or positively), or those which can affect the outcome of the intervention.
Develop and implement an effective public involvement plan to involve all interested and
affected stakeholders. The first step in developing plans for consultation and
participation is to identify stakeholders who will be involved in the consultative
processes. The basic questions to consider in identifying stakeholders include:
47 This helps in determining the scope of detailed SIA that would be subsequently
carried out.
48 The next step is scoping. Essentially, this involves visit to the project site, and
consultation with all stakeholders. It is important to confirm their understanding of key
issues. On-site appreciation of impacts is indispensable for projects that cause
displacement on a large scale. The local knowledge can be invaluable in finding
alternatives that help avoid or at least reduce the magnitude and severity of adverse
impacts.
49 This is an initial assessment of likely impacts and not meant to determine the
level of impact. It should only identify all of the issues and affected groups to get ‘all the
cards on the table’
50 The next step is undertaking Social Impact Assessment and the following are the
major activities:
53 This survey is carried out to see that in the host area enough land, income
earning opportunities and other resources exist to sustain additional population from the
affected area, and that this influx does not put pressure on local resources that the host
population may resent. The other important thing to see is that the people being
relocated and the hosts are socially from a similar socio-cultural background. The
similarity in background helps greatly reduce social/ethnic frictions.
54 Once the range of impacts that are predictable has been identified, the next step
is to determine their significance (that is, whether they are acceptable, require mitigation,
or are unacceptable). Since many impacts are not quantifiable, it is impossible to rank
them objectively. The community perceptions of an impact and those of the SIA team
are not necessarily the same. The affected people should therefore be consulted in
ranking impacts.
55 If impacts are found unacceptable, the SIA must clearly state that giving reasons.
Generally, the Social Impact Assessment is expected to result in specific mitigation
plans to address relevant social/resettlement issues and potential impacts.
PRINCIPLES FOR
SOCIAL IMPACT ASSESSMENT
57 The principles to guide the concepts, process, and methods of conducting social
impact assessment are by now well established. These are meant to ensure sound
scientific enquiry. The principles are based on expert judgment of the professionals from
relevant disciplines, including sociology, anthropology, development studies, economics,
geography, policy planning, and management, and the best practices established in this
area over the past thirty years.
58 The principles for social impact assessment were first developed by the Inter-
organizational Committee on Principles and Guidelines for Social Impact Assessment
(IOCPGSIA 1994). Basically, these principles are as follows:
It is important to first identify all potentially affected groups and individuals, and
involve them throughout the SIA process. This involvement must reach out to groups
that are routinely excluded from decision making due to cultural, linguistic and economic
barriers (lower caste and tribal groups, minorities and poor people). The involvement
should be truly interactive, with communication flowing both ways between the agency
and affected groups. This engagement will ensure that stakeholder groups understand
what the project is about and the possible ways it might affect them, both positive and
negative.
Often, time and resources available for doing social impact assessment are very
limited. In such circumstances, the best course is to focus on the most significant social
impacts, giving high priority to impacts identified by the people themselves. It is well
known that some groups low in power do not usually participate in project preparation
stage, but SIA must ensure that their concerns are fully addressed. At the same time,
the role of SIA practitioners in impact analysis and assessment remains important. They
have the expertise to help prioritize issues, and are able to identify impacts often missed
out by the people themselves.
SIA should use easily understood methods and assumptions that are transparent
and replicable. The methods and assumptions used in the SIA should be made publicly
available. A brief summary should clearly describe the methods used, the assumptions
made, and the significance of impacts determined. This will allow decision makers as
well as affected people to evaluate the assessment process.
The SIA findings are inputs for designing a project to mitigate negative impacts
and enhance positive impacts. The project design process must ensure that all affected
and interested persons get an opportunity to comment on the draft before it is given a
final shape.
Trained social scientists using social science research methods alone will get the
best results. An experienced SIA practitioner will know what data to look for. His
familiarity with impacts that have occurred elsewhere under similar settings will be an
asset. It will be easier for him to identify the full range of impacts and then select
procedures appropriate for their measurement. The presence of a social scientist in the
interdisciplinary team will reduce the probability of any major social impact remaining
uncounted.
Generally, SIAs draw on the following three sources of information: (a) Published
scientific literature, (b) Secondary data sources including various government
documents and official reports, and (c) Primary data from the affected area. All these
three sources are important, but not all projects may need them in equal measure. Some
SIAs may require more primary data from the affected area than the published materials
from journals or books, for example.
The SIA can usefully consult previously published social science books, journal
articles that document knowledge of impacts and case studies from similar projects. The
best secondary data sources include census, compendium of statistics, land records
data, and several government planning and development reports. Survey research,
informant interviews, and participant observation are among the important primary data
sources that can be used to verify data collected from other sources. Often, project area
people are quite knowledgeable about the local socioeconomic situation and can provide
a better understanding of the broader range of likely impacts.
Often, data relevant and necessary to carry out an assessment is not available
yet the SIA is to be carried out. In circumstances when information is incomplete or
unavailable, it should be made abundantly clear that assessment has been made in the
absence of relevant and necessary data, explaining why this could not be obtained.
Chapter V
59 Social Impact assessment study should be carried out as early in the project
planning stage as possible. The basic objectives of this study are to provide:
Baseline information about the social and economic conditions in the project area
Information on potential impacts of the project and the characteristic of the
impacts, magnitude, distribution, and their duration;
Information on who will be the affected group, positively or negatively
Information on perceptions of the affected people about the project and its impact
Information on potential mitigation measures to minimize the impact
Information on institutional capacity to implement mitigation measures
Who are the key stakeholders? What do they already know about the proposed
project, its impact and the measures being contemplated to mitigate its negative
impact
What are their interests? Are the objectives of the project consistent with their
needs, interests and capacities?
What is the impact of the project on various stakeholders, and particularly on
women and vulnerable groups?
What social factors affect the ability of stakeholders to participate or benefit from
the operations proposed? (gender, caste, ethnicity, or income level)
What institutional arrangements are needed for participation and project
delivery?
What are the risks which might affect the success of the project? (lack of
commitment or capacity, resource crunch, incompatibility with existing conditions)
How does the project address needs of different stakeholders?
Do any of these issues pose risks to overall project success and sustainability?
Sources of Information
61 The SIA relies on both secondary and primary data.
(b) Primary Source: The existing data from secondary sources cannot however
be a substitute for project-specific surveys. In addition, SIA derives much
more relevant information directly from surveys of various kinds including
socioeconomic survey, and meetings with the affected people.
62 Conducting social impact assessment involves the use of a broad array of data
collection methods, quantitative and qualitative, common in social science research.
Often, a combination of tools may be required to do social assessment. In addition to
substantive analytical tools, SIA uses participatory methods that contribute to a better
understanding of the project. These can also help increase the ownership of projects.
63 The choice of tools and methods will depend on several factors, such as the
project and the affected people. The methods that work for urban projects may not prove
much useful for projects located in tribal areas, for example. Other factors will include:
time and resources constraints for social assessment, and the availability of experts.
Quantitative Methods
Land Acquisition Survey (persons with titles, those without titles and others
including tenants, sharecroppers should all be counted)
Census Survey
Socioeconomic Survey (This should involve only a percentage of total population
selected on a random basis)
Other administrative records (such as NSS)
Qualitative Methods
Qualitative Methods
68 The design of the questionnaire is rather important. It should focus on key issues,
yet be simple and in the local language. Persons selected to conduct the interviews
should be properly briefed and trained to get the questionnaires completed.
69 The team conducting the interviews should include female members, as they
alone are in a position to talk to women, especially in rural areas and among
communities where there are restrictions on their movements.
The relationship that the interviewer is able to establish with the respondent.
Willingness to adjust interviews to the time convenient to respondents
Ability to listen to answers patiently, and to probe and cross-check them in a
thorough but polite way
Recognizing that same questions can be asked (and answered) in several
others ways
Taking notes in a way that does not interrupt the flow of conversation and
appear threatening
74 (c) Rapid Appraisal: Sometimes the approach known as ‘rapid appraisal’ (known
by several different names) may be valuable. Partly, this approach arose as a reaction
against time and budget consuming surveys. This low-cost method is based on in-depth
interviews with critical informants known to be knowledgeable about the issues to be
explored. In-depth interviewing is supplemented by analysis of secondary data and
group interviews with representatives of relevant groups in the community. The key to
rapid appraisal techniques is to compress the research process so that data are
collected, analyzed and put together in a useable form in the shortest possible time
span.
75 (d) Public Hearing: A public meeting is open to all affected and interested
persons. The team first describes the project and its likely impacts, both positive and
negative, and then allows free discussion on all issues. People often provide useful
feedback on the project and its impacts which can be a useful input to the process of
decision-making
Quantitative Methods
76 (a) Land Acquisition Survey: Land acquisition for projects leads to displacement
and loss of livelihoods for local people. A land acquisition assessment survey provides
detailed information on who and how many will be adversely affected by land loss. This
survey is largely based on government land records, land use maps, statistical
information, and existing legislation and administrative practice with respect to land
acquisition, and project planning documents, but the data often require on the spot
verification during a field visit.
78 Typically, the land acquisition survey includes only persons with legal title to land.
The non-titled persons (sharecroppers, tenants, informal dwellers) are not included. This
is often referred to as the “official” list of affected persons.
79 (b) Census Survey: This is the most important survey, as it helps to determine
the exact number of people who will bear the brunt of adverse project impacts, and the
total property affected. Since the purpose of the census survey is to prepare an
inventory of all affected persons and properties, it should cover the following:
80 Typically, the census uses the household as the basic unit for data collection.
Data should be disaggregated by gender, caste, tribe and other social categories.
Common property resources: These include pastures, fishing ponds and forests
including sources of building and craft materials, biomass for domestic energy.
Public structures: These include schools, clinics, places for worship, bathing and
washing places, community centres, lampposts, playgrounds, wells, and bus
stops
85 Quantitative data collection methodology also has its limitations. Factors such as
the adequacy of sample, the cooperation of respondents, the experience of the survey
team and the adequacy of supervision over the team in the field can bias not only
sampling but data collection as well.
Chapter VI
87 Once a Social Impact Assessment has been completed, a formal Report with a
brief Executive Summary should be prepared for submission to the authority which
sponsored it.
88 This Report should be divided into several distinct sections, each section dealing
with different aspects of the SIA process. A format for a Social Impact Assessment
Report is attached as Annex 4.
Introduction: This section includes the purpose of the report. It describes its
scope and how it is organized (provide brief outline of the contents of the report).
Description of the Project: Provide in this section brief details of the project, the
objectives of the project, need for the project, the project location, the proposed
schedule for implementation. Furnish a drawing showing the project layout, and its
location.
Affected Population: This section contains details about the total affected
population, such as male and female ratio, age profile, marital status, occupational
structure, etc.
Public Consultation and Disclosure: This section will describe the process
followed to involve the affected people and other stakeholders. It summarizes their
comments and describes how these were addressed. Describe activities undertaken to
share information
Recommendations
89 On the basis of its findings the Report should finally make its recommendation to
the sponsoring authority. It should clearly state whether the project could proceed as it
is, or proceed with some changes, or dropped completely.
90 The SIA sponsors should ensure that the Report is publicly made available once
it has been formally submitted to them.
REFERENCES
Cernea, Michael M 1996 Eight Main Risks: Impoverishment and Social Justice in
Resettlement. Washington DC: The World Bank (Environment Department) Paper
Cernea, Michael M and Ayse Kudat 1997 Social Assessment for Better Development
Washington DC: The World Bank
Chambers, Robert 1997 Whose Reality Counts? Putting the Last First London: IT
Publications
Finsterbusch, Kurt and William R Freudenburg 2002 “Social Impact Assessment and
Technology Assessment”, in Riley E Dunlop and William Michelson (eds) 2002
Handbook of Environment Sociology Westport, CT: Greenwood Press (pp 407-447)
Goldman, Laurence and Scott Baum 2000 “Introduction” in Laurence R Goldman (ed)
2000 Social Impact Analysis: An Applied Anthropology Manual Oxford/New York: Berg
(pp 1-31)
IAIA 2003 International Principles for Social Impact Assessment Fargo, ND, USA:
International Association for Impact Assessment (Special Publication Series No 2, May
2003 (pp 1-8) www.iaia.org
Modak, Prasad and Asit K Biswas 1999 Conducting Environmental Impact Assessment
in Developing Countries New York: Oxford University Press/ Tokyo: United Nations
University Press (also published in India by Oxford for sale only in South Asia)
Roche, Chris 1999 Impact Assessment for Development Agencies: Learning to Value
Change Oxford: Oxfam (reprinted 2002, 2004, 2005, and 2009)
Annex 1
CHAPTER-IV
4.2.1 The above SIA report shall be prepared, in such proforma as may be prescribed,
considering various alternatives, and using agencies accredited in the manner
prescribed.
4.2.3 The appropriate Government may specify that the ameliorative measures, which
will need to be undertaken for addressing the said impact for a component, may not be
less than what is provided in a scheme or programme, if any, of the Central
Government or a State Government in operation in that area.
4.3.1 Where it is required as per the provisions of any law, rules, regulations or
guidelines to undertake environmental impact assessment also, the SIA study shall be
carried out simultaneously with the Environmental Impact Assessment (EIA) study.
4.3.2 In cases where both EIA and SIA are required, the public hearing done in the
project affected area for EIA shall also cover issues related to SIA. Such public
hearing shall be organised by the appropriate Government.
4.3.3 Where there is. no requirement for EIA, the SIA report shall be made available to
the public through public hearing to be organised by the appropriate Government in the
affected area.
4.4.2 Where both EIA and SIA are required, a copy of the SIA report shall be made
available to the agency prescribed in respect of environmental impact assessment by
the Ministry of Environment and Forests, and a copy of the EIA report shall be shared
with the expert group mentioned in paragraph 4.4.1.
4.5 The SIA clearance shall be accorded as per the procedure and within the time
limits as may be prescribed.
4.6 The SIA clearance shall be mandatory for all projects involving involuntary
displacement of four hundred or more families en masse in plain areas, or two hundred or
more families en masse in tribal or hilly areas, DDP blocks or areas mentioned in the
Schedule V or Schedule VI to the Constitution; and the conditions laid down in the SIA
clearance shall be duly followed by all concerned.
Name of Village
Household :
Date
Name
Sex
Age
Relation to Household
Head (HH)
Primary Occupation
Secondary Occupation
Income
Farm-based
Off-farm labour
Informal Sector Activities
Other: Remittances
Name and Signature of Surveyor Name and Signature of Informant
Annex 3
B Economic
Ownership of assets
Land (amount, type, distribution, security of tenure)
Nonland (livestock, equipment, buildings)
Type of livelihood (subsistence, commercial or both)
Household income/expenditure
Skills
Use and access to credit
Use and access to marketing services
Use and access to commercial inputs
C Social Infrastructure
Access to health services
Education (primary, secondary, informal)
Water and sanitation
Housing
Roads and communication
Energy
D Demographic
Age/Sex/Family size
Birth/Death rates
Health and nutrition (children and adults)
Migration (in and out)
Number of single parent households
Gender differentiation of households
E Social Organization
Family structures
Social structures in the community
Information about how collective decisions are made
Local institutional structure
NGOs in the community
Level of social respect and initiative
Annex IV
Content and Format: Social Impact Assessment
Executive Summary
Introduction
Affected Population
Mitigation Plan
Relocation
Income and livelihood restoration
I
TRAINING MODULES
A Guide to Social Impact Assessment Training
CONTENTS
I Background 4
II Training Objectives 5
V Modules/Sessions Outlines 7
VI Bibliography 18
I Background
To date, SIA has been given much less attention in comparison to environmental
impact assessment (EIA). Even in countries where SIA with/without EIA is a legal
requirement, institutions engaged in providing SIA training lack a training manual, and
instead rely on social science literature, journal articles, and project reports.
II Training Objectives
The module explains the term ‘social impacts’ , which can be both positive and
negative, intended and unintended, affects different groups differently, and provides an
illustrative list of common impacts of various kinds: social/cultural/ economic/public
infrastructure and services.
A series of steps that constitute the SIA process are presented in this module.
Beginning with the screening which determines whether SIA is required, the module
dwells on the process of preparing a socioeconomic profile of the population likely to be
affected, identifying and assessing the key impacts, and the measures devised to deal
with adverse impacts.
The principles to guide the process and methods of conducting social impact
assessment are meant to ensure that SIA is done in a sound, scientific way. This module
discusses these generally acceptable principles of good practice.
SIA relies on both secondary and primary sources of data. It involves the use of a
broad array of quantitative as well as qualitative data collection methods, common in
social science research. The sources of SIA information and the methodology of data
collection are the focus of this module.
Often the affected people are in a better position to predict the likely outcome of
a project proposal. They can foresee adverse impacts that are likely to be triggered by
the project. Community involvement is therefore basic to the SIA process. This module
discusses the ways to involve the affected people in identifying adverse impacts and
identifying ways to mitigate them
This module explains how a formal report should be prepared once the social
impact assessment has been completed. It describes the several distinct sections into
which a report is divided with a short executive summary. The most important section of
a SIA report is the last section which contains the recommendations for action.
IV User’s Guide
Using the modules presented in this Training Guide, trainers should design their
presentations with the needs and background of participants in mind, and concentrate
on those modules that are most relevant to the participants.
The modules can be presented either in the sequence presented in this Guide or
rearranged in a different sequence in light of the participants’ needs.
Trainers can design a short programme for senior officials using the material
presented in this Guide. Alternatively, a longer programme can be organized for
practitioners in the field who will need a more detailed understanding of all the stages
involved in conducting SIA.
It should be possible to cover most raining sessions in one hour fifteen minutes,
Training methodology should be a mix of(a) Lecture (b) Group discussion and (c) Filed
visit
Trainers will require the following equipment to make their presentations; (a)
Laptop for powerpoint presentation (b) Pocket sized microphone and (c) Flipchart with
pens
V Session Outlines
The session outlines/modules included in this Guide are meant to help trainers
organize their presentations. They are focused on substantive issues in SIA. The trainer
can add or delete materials from the session outlines to suit the identified needs of the
participants.
The material included in session outlines is usable for preparing a powerpoint
presentation.
Module 1
Introduction to Social Impact Assessment
______________________________________________________________________
What is SIA?
SIA is the Process of Assessing, in Advance, the Social Impacts
Likely to Follow from a Project Proposal
It is an Attempt to Quantify Those Impacts
It alerts the Planners to Understand the Potential Consequences of a
Proposed Project
It is a Powerful Tool Allowing Decision Makers to Initiate Steps
Necessary to Prevent/Contain Harmful Potential Impacts
Why do SIA?
Identifying Potential Impacts First Step in Planning Process
Helps in Identifying Potential Impacts Essential for Planning
Purposes
Helps in Identifying Groups Likely to be Adversely Affected
Helps in Designing Projects that Neutralize/Soften Adverse Impacts
Helps in Designing Projects that Enhance Positive Impacts
Module 2
Causes and Types of Social Impacts
______________________________________________________________________
______________________________________________________________________
Module 4
Principles of Good Practice in SIA
___________________________________________________________________
Secondary Sources:
Project Report and Related Documents
Government Census Data
Land Records
Published Literature on the Project Area and its People
Qualitative Methods
Key Informant Interviews
Rapid Rural Appraisals
Focus Group Discussions (FGDs)
Public Hearing
Module 6
Identification and Assessment of Social Impacts
______________________________________________________________________
Public Involvement
Levels of Public Involvement
Key Stakeholders
Principles of Public Involvement
Public Involvement in Key Stages of the EIA Process
Module 8
Impact Mitigation
______________________________________________________________________
Mitigating Impacts
Give Priority to Avoid Social Impacts
Minimize Them as far as Practicable
Identify Mitigation Measures for Each Impact
Customize Them to the Different Affected Groups
Ensure Impacts are Not Borne Disproportionately by Any Group
This Bibliography is meant for trainers who would wish to further pursue Social
Impact Assessment studies to enhance their understanding of this subject of growing
importance.
ADB 1994 Handbook for the Incorporation of Social Dimension in Projects Manila: Asian
Development Bank (Social Development Unit)
ADB 1993 Guidelines for Incorporation of Social Dimensions in Bank Operations Manila:
Asian Development Bank
Cernea, Michael M and Ayse Kudat 1997 Social Assessment for Better Development
Washington DC: The World Bank
Chambers, Robert 1997 Whose Reality Counts? Putting the Last First London: IT
Publications
Chambers, Robert 1991 “Shortcut and Participatory Methods for Gaining Social
Information for Projects” in Michael M Cernea (ed) 1991 Putting People First:
Sociological Variables in Rural Development (Second Edition) New York: Oxford
University Press/Published for the World Bank (pp 515-537)
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