Hydropower Sustainability Assessment Protocol

The construction of a dam, power plant and reservoir creates social and physical changes in the surrounding area. As a result, hydropower projects can have both a positive and a negative environmental and social impacts.

The sustainability of the hydropower sector was the subject of a report by the World Commission on Dams in 2000.[6] The HSAP was developed in response to the Commission's recommendations, as well as standards set out in the Equator Principles, World Bank Safeguard Policies, IFC Performance Standards and sustainability guidelines developed by the International Hydropower Association (IHA).[2]

The Protocol is used by different hydropower stakeholders for different reasons:

• Independent review of sustainability issues
• Guiding improvement of sustainability practice
• Comparison with international best practice
• Communication with stakeholders
• Facilitating access to finance
• Preparing clients to meet bank requirements
• Reducing investment risk

Crédit Agricole, Societe Generale, Standard Chartered, Citi, and UBS now refer to the Protocol in their sector guidance.[7][8][9][10][11]

The World Bank has analysed the value of the Protocol for use by their clients, concluding that it is a useful tool for guiding the development of sustainable hydropower in developing countries.[3]

The International Institute for Environment and Development has reviewed social and environmental safeguards for large dam projects, concluding that the Protocol currently offers the best available ‘measuring stick’ for the World Commission on Dams provisions.[12]

A Protocol assessment takes place over a one-week period at the project site and provides a rapid sustainability check.

A Protocol assessment does not replace an environmental and social impact assessment (ESIA), which takes place over a much longer period of time as a mandatory regulatory requirement. A Protocol assessment will, amongst other things, check the scope and quality of the ESIA which has been done.

To ensure high quality, all commercial use of the Protocol is carried out by accredited assessors. These assessors have significant experience of the hydropower sector or relevant sustainability issues, and have passed a rigorous accreditation course.[13]

The Protocol can be used at any stage of hydropower development, from the early planning stages through to operation. Each project stage is assessed using a different tool:

• The early stage tool, a screening tool for potential hydropower projects
• The preparation tool, which covers planning and design, management plans and commitments.
• The implementation tool, used through the construction phase.
• The operation tool, used on working projects.

The Protocol covers a range of topics that need to be understood to assess the overall sustainability of a hydropower project.

• Communications and consultation[14]
• Project benefits[15]
• Project affected communities and livelihoods[16]
• Resettlement[17]
• Indigenous peoples[18]
• Labour and working conditions[19]
• Public health[20]
• Cultural heritage[21]

• Environmental and social issues management[22]
• Biodiversity and invasive species[23]
• Climate change mitigation and resilience[24]
• Erosion and sedimentation[25]
• Water quality[26]
• Waste, noise and air quality[27]
• Reservoir planning / preparation and filling / management[28]
• Downstream flow regimes[29]

• Governance[30]
• Procurement[31]
• Integrated project management[32]
• Financial viability[33]
• Economic viability[34]

• Demonstrated need and strategic fit[35]
• Siting and design[36]
• Hydrological resource[37]
• Asset reliability and efficiency[38]
• Infrastructure safety[39]

The Protocol also includes ‘cross-cutting issues’ such as climate change, gender, and human rights, which feature in multiple topics.

For each sustainability topic, performance is assessed against a range of criteria at two levels: basic good practice and proven best practice.