Understanding Social Impact Assessment Process

 
Social-Impact-Assessment
Section-4to9
CHAPTER II DETERMINATION OF SOCIAL IMPACT AND PUBLIC PURPOSE
A.—PRELIMINARY INVESTIGATION FOR DETERMINATION OF SOCIAL
IMPACT AND PUBLIC PURPOSE
B.—APPRAISAL OF SOCIAL IMPACT ASSESSMENT REPORT BY AN EXPERT GROUP
 
There is no universal definition of Social Impact Assessment (SIA);
perhaps the best is that provided by Vanclay (2003):
“...the process of analysing, monitoring and managing the social
consequences of development.” Alternatively, SIA could be
described as a process that seeks to assess whether a proposed
development will alter quality of life and sense of wellbeing, and
how well individuals, groups and communities adapt to the changes
(Vanclay, 1999; 2002, 2004; Becker and Vanclay, 2003; Burdge,
2004).
  
Social impacts are the impacts of developmental interventions
on human environment. The impacts of development interventions
take different forms. While significant benefits flow in from different
development actions, there is also a need to identify and evaluate
the negative externalities associated with them. A balanced
development planning takes into account the environmental, social
and biodiversity impacts of economic development. These impact
assessments help in identifying the likely positive and negative
impacts of proposed policy actions, likely trade-offs and synergies,
and thus facilitate informed decision-making.
 
Social Impact Assessment (SIA) is  a  process  that  provides  a
framework  for  prioritizing,  gathering,  analyzing,  and  incorporating  social  infor
mation  and
participation  into  the  design  and  delivery  of  developmental  interventions.  It
ensures that development interventions are:
Informed and take into account the key relevant social issues
Incorporate a participation strategy for involving a wide range of stakeholders.
At the micro-level SIA impacts on individuals. At the meso-level SIA impacts on
collectives, e.g. groups of people, institutions, and organizations. At Macro-level
SIA impacts on social macro-systems, e.g. national and international political and
legal systems.
Stages in Social Impact Assessment
Describe the relevant human environment/ area of influence and baseline conditions
Develop an effective public plan to involve all potentially affected members of the
public
Describe the proposed action or policy change and reasonable alternatives
Scoping to identify the full range of probable social impacts
Screening to determine the boundaries of the SIA
Predicting Responses to Impacts
Develop Monitoring Plan & Mitigation Measures
 
Ideally the SIA should an Integral part
of other assessments as shown below
 
National Resettlement & Rehabilitation Policy 2007
(Gazette Notify:   F.No.26011/412007-LRD)
Infrastructure sector projects
 
often require the exercise of legal powers by
the state under the principle of eminent domain for acquisition of private
property. This can lead to involuntary displacement of people, depriving
them of their land, livelihood and shelter and these have traumatic,
psychological and socio-cultural consequences on the affected population
which call for protecting their rights.
The National Resettlement & Rehabilitation Policy provides for the
rehabilitation and resettlement of persons affected by the acquisition of
land for projects of public purpose or involuntary displacement due to any
other reason, and for matters connected therewith or incidental thereto.
The Policy extends to whole of India except J&K.
The Policy recognizes R&R issues formulated with the active participation of
the affected persons with benefits beyond monetary compensation. It also
recognizes the plight of those who do not have legal or recognized rights
over the land on which they are critically dependent for their subsistence.
The adverse impact on affected families - economic, environmental, social
and cultural- needs to be assessed in a participatory and transparent
manner. Government should inter alia, as stipulated by the policy, take
into consideration the alternatives that will:
 
Minimise the displacement of people due to the
acquisition of land for the project
Minimise the total area of land to be acquired for
the project, and
Minimise the acquisition of agricultural land for
non-agricultural use in the project.
The options assessment may be in terms of the
alternative project plans, potentially suitable
sites, technological choices available, or a
combination of these. Suitable institutional
mechanism should (as stipulated by the policy)
be developed and adopted for carrying out the
task in a transparent manner.
 
Social Impact Assessment of Projects
  
The appropriate Government shall ensure that a social impact
assessment study (SIA) is carried out whenever it is desired to
undertake a new project or the expansion of an existing project that
will involve 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, DDBs (Desert Development Blocks)
or areas mentioned in the Fifth Schedule or Sixth Schedule to the
Constitution.
  
The SIA must be carried out in the proposed affected areas
taking into consideration the impact that the project will have on
public and community properties, assets and infrastructure. In
particular: roads, public transport, drainage, sanitation, sources of
drinking water, sources of water for cattle, community ponds,
grazing land, plantations, public utilities, such as post offices, fair
price shops, food storage godowns, electricity supply, health care
facilities, schools and educational or training facilities, places of
worship, land for traditional tribal institutions, burial and cremation
grounds.
 
Subsequently, the SIA should describe all required
infrastructural facilities and amenities in the
resettlement area, specify clear timeframes within
which the implementation of the rehabilitation
package shall be accomplished and lay down an
effective monitoring and grievance redressal
mechanism. Where both EIA and SIA are required, the
public hearing carried out in the project affected area
for EIA shall also cover issues related to SIA.
The SIA report shall be examined by an independent
multi-disciplinary expert group with two non-official
social science and rehabilitation experts. The SIA
clearance shall be accorded as per the procedure and
within the time limits.
 
Authorities for Rehabilitation and Resettlements
The State Government appoints an Administrator to
be not below the rank of District Collector. The
responsibilities involve minimizing displacement
and identifying non-displacing or least-displacing
alternatives, hold consultation with the affected
families, prepare a draft scheme for rehabilitation
and resettlement (R&R) and budget for R&R
activities in consultation with representatives of
the affected families and arrange and allot
adequate land for R&R also sanction benefits
 
Schemes and Plans for Rehabilitation and
Resettlements
The Government declares the affected area and
publishes in at least three daily newspapers,
undertakes a baseline survey designed to
establish initial conditions against which the
effects of a finished project can be compared and
a census to identify members resident/carrying
on trade, families losing trade, livelihood, etc.,
SC/ST families, vulnerable persons, etc. Within 90
days, the Government must publish survey
results and call for objections, submit report
within 30 days and then the Government should
finalize survey within 45 days thereafter.
 
The Administrator for Rehabilitation and Resettlements (R&R) shall prepare a draft R&R
scheme or plan for affected families after consultation with the representatives of
the affected families including women and final publication of plans and schemes.
A R&R scheme or plan would contain the following:
Social assessment
Consultation and participation process
Documentation of voluntary nature of contributions
Census and baseline socio-economic surveys
Cut-off date
Co-ordination between Stakeholders
Civil works, resettlement etc.
Screening and planning
Implementation
Institutional arrangements
Overall Co-ordination
Transparency and accountability
Costs and Budgets
Grievance Redressal
Monitoring and Evaluation including social, financial and environmental audits
indicators
 
Rehabilitation and Resettlement of Affected families
The Government declares resettlement areas, encourage affected
families to settle in groups, purchase or exchange of land, allocate
funds for rehabilitation and resettlement, compensate, and provide
infrastructural facilities and amenities and local self-government
Institutions in resettlement areas. There are special provisions in
case of urgency and periphery development.
Rehabilitation and Resettlement Benefits for Affected families
This includes housing benefits, allotment of agricultural land,
registration of land or other property allotted. Financial assistance
for cattle shed, transportation cost, working shed or shop
employment and skill development. Rehabilitation grant and option
for allotment of shares, land development projects, fishing rights,
subsistence allowance, monthly pension to vulnerable affected
persons, option for a lump-sum payment in lieu of benefits, special
provisions for Scheduled Tribes and the Scheduled Castes.
 
Grievance redressal
The policy provides for a strong grievance redressal
mechanism including a standing R&R Committees at the
district and project level. These committees shall have
representatives from the affected families including women,
voluntary organizations, local elected representatives, etc.
Social audits of the rehabilitation and resettlement schemes
and plans should be undertaken.
Social audit is a way of increasing community participation,
strengthening links with government and/or service
providers, promoting transparency and public
accountability, and instilling a sense of responsibility among
all those involved.
It is a process by which the people (the final beneficiaries of
any scheme, programme, policy or law), are empowered to
audit such schemes, programmes, policies and laws.
 
A social audit involves both the service providers and the users
examining the impact of the project or service in a systematic
way comparing the real benefits that have accrued with the
expected benefits, while also looking at unexpected impacts.
It is an ongoing process (in-fact social, financial and
environment audit should be an ongoing process starting
from the designing phase to monitoring phase) by which the
potential beneficiaries and other stakeholders of an activity
or project are involved from the planning to the monitoring
and evaluation of that activity or project. It thereby tries to
ensure that the activity or project is designed and
implemented in a manner that is most suited for the
prevailing local conditions, appropriately reflects the
priorities and preferences of those affected by it, and most
effectively serves public interest. The findings of the social
audit are shared with all stakeholders and where problems
are identified, the process for implementing changes is
initiated.
 
 
Thank You
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Social Impact Assessment (SIA) is a crucial process that analyzes, monitors, and manages the social consequences of developments to assess their effects on quality of life and wellbeing. It aims to identify both positive and negative impacts, involving individuals, groups, and communities in decision-making. SIA considers impacts at micro, meso, and macro levels, ensuring informed and participatory development interventions. National policies like the Resettlement & Rehabilitation Policy address the rights and wellbeing of individuals affected by development projects.


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  1. Social-Impact-Assessment Section-4to9 CHAPTER II DETERMINATION OF SOCIAL IMPACT AND PUBLIC PURPOSE A. PRELIMINARY INVESTIGATION FOR DETERMINATION OF SOCIAL IMPACT AND PUBLIC PURPOSE B. APPRAISAL OF SOCIAL IMPACT ASSESSMENT REPORT BY AN EXPERT GROUP

  2. There is no universal definition of Social Impact Assessment (SIA); perhaps the best is that provided by Vanclay (2003): ...the process of analysing, monitoring and managing the social consequences of development. described as a process that seeks to assess whether a proposed development will alter quality of life and sense of wellbeing, and how well individuals, groups and communities adapt to the changes (Vanclay, 1999; 2002, 2004; Becker and Vanclay, 2003; Burdge, 2004). Social impacts are the impacts of developmental interventions on human environment. The impacts of development interventions take different forms. While significant benefits flow in from different development actions, there is also a need to identify and evaluate the negative externalities associated with them. A balanced development planning takes into account the environmental, social and biodiversity impacts of economic development. These impact assessments help in identifying the likely positive and negative impacts of proposed policy actions, likely trade-offs and synergies, and thus facilitate informed decision-making. Alternatively, SIA could be

  3. Social Impact Assessment (SIA) is a process that provides a framework for prioritizing, gathering, analyzing, and incorporating social infor mation participation into the design and delivery of developmental interventions. It ensures that development interventions are: Informed and take into account the key relevant social issues Incorporate a participation strategy for involving a wide range of stakeholders. At the micro-level SIA impacts on individuals. At the meso-level SIA impacts on collectives, e.g. groups of people, institutions, and organizations. At Macro-level SIA impacts on social macro-systems, e.g. national and international political and legal systems. Stages in Social Impact Assessment Describe the relevant human environment/ area of influence and baseline conditions Develop an effective public plan to involve all potentially affected members of the public Describe the proposed action or policy change and reasonable alternatives Scoping to identify the full range of probable social impacts Screening to determine the boundaries of the SIA Predicting Responses to Impacts Develop Monitoring Plan & Mitigation Measures and

  4. Ideally the SIA should an Integral part of other assessments as shown below

  5. National Resettlement & Rehabilitation Policy 2007 (Gazette Notify: F.No.26011/412007-LRD) Infrastructure sector projects often require the exercise of legal powers by the state under the principle of eminent domain for acquisition of private property. This can lead to involuntary displacement of people, depriving them of their land, livelihood and shelter and these have traumatic, psychological and socio-cultural consequences on the affected population which call for protecting their rights. The National Resettlement & Rehabilitation Policy provides for the rehabilitation and resettlement of persons affected by the acquisition of land for projects of public purpose or involuntary displacement due to any other reason, and for matters connected therewith or incidental thereto. The Policy extends to whole of India except J&K. The Policy recognizes R&R issues formulated with the active participation of the affected persons with benefits beyond monetary compensation. It also recognizes the plight of those who do not have legal or recognized rights over the land on which they are critically dependent for their subsistence. The adverse impact on affected families - economic, environmental, social and cultural- needs to be assessed in a participatory and transparent manner. Government should inter alia, as stipulated by the policy, take into consideration the alternatives that will:

  6. Minimise the displacement of people due to the acquisition of land for the project Minimise the total area of land to be acquired for the project, and Minimise the acquisition of agricultural land for non-agricultural use in the project. The options assessment may be in terms of the alternative project plans, potentially suitable sites, technological choices combination of these. mechanism should (as stipulated by the policy) be developed and adopted for carrying out the task in a transparent manner. available, or a Suitable institutional

  7. Social Impact Assessment of Projects The appropriate Government shall ensure that a social impact assessment study (SIA) is carried out whenever it is desired to undertake a new project or the expansion of an existing project that will involve 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, DDBs (Desert Development Blocks) or areas mentioned in the Fifth Schedule or Sixth Schedule to the Constitution. The SIA must be carried out in the proposed affected areas taking into consideration the impact that the project will have on public and community properties, assets and infrastructure. In particular: roads, public transport, drainage, sanitation, sources of drinking water, sources of water for cattle, community ponds, grazing land, plantations, public utilities, such as post offices, fair price shops, food storage godowns, electricity supply, health care facilities, schools and educational or training facilities, places of worship, land for traditional tribal institutions, burial and cremation grounds.

  8. Subsequently, the SIA should describe all required infrastructural facilities resettlement area, specify clear timeframes within which the implementation package shall be accomplished and lay down an effective monitoring and mechanism. Where both EIA and SIA are required, the public hearing carried out in the project affected area for EIA shall also cover issues related to SIA. The SIA report shall be examined by an independent multi-disciplinary expert group with two non-official social science and rehabilitation experts. The SIA clearance shall be accorded as per the procedure and within the time limits. and amenities in the of the rehabilitation grievance redressal

  9. Authorities for Rehabilitation and Resettlements The State Government appoints an Administrator to be not below the rank of District Collector. The responsibilities involve minimizing displacement and identifying non-displacing or least-displacing alternatives, hold consultation with the affected families, prepare a draft scheme for rehabilitation and resettlement (R&R) and budget for R&R activities in consultation with representatives of the affected families and arrange and allot adequate land for R&R also sanction benefits

  10. Schemes Resettlements The Government declares the affected area and publishes in at least three daily newspapers, undertakes a baseline establish initial conditions against which the effects of a finished project can be compared and a census to identify members resident/carrying on trade, families losing trade, livelihood, etc., SC/ST families, vulnerable persons, etc. Within 90 days, the Government must publish survey results and call for objections, submit report within 30 days and then the Government should finalize survey within 45 days thereafter. and Plans for Rehabilitation and survey designed to

  11. The Administrator for Rehabilitation and Resettlements (R&R) shall prepare a draft R&R scheme or plan for affected families after consultation with the representatives of the affected families including women and final publication of plans and schemes. A R&R scheme or plan would contain the following: Social assessment Consultation and participation process Documentation of voluntary nature of contributions Census and baseline socio-economic surveys Cut-off date Co-ordination between Stakeholders Civil works, resettlement etc. Screening and planning Implementation Institutional arrangements Overall Co-ordination Transparency and accountability Costs and Budgets Grievance Redressal Monitoring and Evaluation including social, financial and environmental audits indicators

  12. Rehabilitation and Resettlement of Affected families The Government declares resettlement areas, encourage affected families to settle in groups, purchase or exchange of land, allocate funds for rehabilitation and resettlement, compensate, and provide infrastructural facilities and amenities and local self-government Institutions in resettlement areas. There are special provisions in case of urgency and periphery development. Rehabilitation and Resettlement Benefits for Affected families This includes housing benefits, allotment of agricultural land, registration of land or other property allotted. Financial assistance for cattle shed, transportation cost, working shed or shop employment and skill development. Rehabilitation grant and option for allotment of shares, land development projects, fishing rights, subsistence allowance, monthly pension to vulnerable affected persons, option for a lump-sum payment in lieu of benefits, special provisions for Scheduled Tribes and the Scheduled Castes.

  13. Grievance redressal The policy mechanism including a standing R&R Committees at the district and project level. These committees shall have representatives from the affected families including women, voluntary organizations, local elected representatives, etc. Social audits of the rehabilitation and resettlement schemes and plans should be undertaken. Social audit is a way of increasing community participation, strengthening links with providers, promoting accountability, and instilling a sense of responsibility among all those involved. It is a process by which the people (the final beneficiaries of any scheme, programme, policy or law), are empowered to audit such schemes, programmes, policies and laws. provides for a strong grievance redressal government transparency and/or and service public

  14. A social audit involves both the service providers and the users examining the impact of the project or service in a systematic way comparing the real benefits that have accrued with the expected benefits, while also looking at unexpected impacts. It is an ongoing process (in-fact environment audit should be an ongoing process starting from the designing phase to monitoring phase) by which the potential beneficiaries and other stakeholders of an activity or project are involved from the planning to the monitoring and evaluation of that activity or project. It thereby tries to ensure that the activity or project is designed and implemented in a manner that is most suited for the prevailing local conditions, priorities and preferences of those affected by it, and most effectively serves public interest. The findings of the social audit are shared with all stakeholders and where problems are identified, the process for implementing changes is initiated. social, financial and appropriately reflects the

  15. Thank You

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