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Publisher: Taylor & Francis
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To cite this article: Frank Vanclay (2003) International Principles For Social Impact Assessment, Impact Assessment and
Project Appraisal, 21:1, 5-12, DOI: 10.3152/147154603781766491
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Impact Assessment and Project Appraisal, volume 21, number 1, March 2003, pages 5–11, Beech Tree Publishing, 10 Watford Close, Guildford, Surrey GU1 2EP, UK
SIA principles
Frank Vanclay
The "International Principles for Social Impact Why have Principles for SIA?
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understanding of SIA, and a new concept of what of predicting social impacts in an impact assessment
SIA was about emerged. This resulted in a revised process.
definition of SIA. Social Impact Assessment includes the processes
It also became apparent that a definitive document of analysing, monitoring and managing the intended
containing the “International Guidelines and Princi- and unintended social consequences, both positive
ples” was a flawed concept. Firstly, because most and negative, of planned interventions (policies,
such documents tend to emphasise guidelines rather programs, plans, projects) and any social change
than principles. They fail to realise that guidelines processes invoked by those interventions. Its pri-
need to be deduced from principles, and principles mary purpose is to bring about a more sustainable
need to be derived from core values. Only by first and equitable biophysical and human environment.
establishing the core values of the community of The important features of this understanding of
practice, then deriving the principles, and only then SIA are that:
developing guidelines, can truly appropriate guide-
lines emerge. The second flaw is that guidelines and 1. The goal of impact assessment is to bring about a
principles are often developed in non-participatory more ecologically, socio-culturally and economi-
processes. Even where participatory processes are cally sustainable and equitable environment. Im-
involved, too often they do not include the people to pact assessment, therefore, promotes community
whom the guidelines are directed. These are the development and empowerment, builds capacity,
people who ultimately need to develop ‘ownership’ and develops social capital (social networks and
of the guidelines if they are to be adopted and be trust).
utilised. 2. The focus of concern of SIA is a proactive stance
This document serves as a discussion document to development and better development outcomes,
for the impact assessment community. It promul- not just the identification or amelioration of nega-
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gates a new understanding of SIA. It is intended that tive or unintended outcomes. Assisting commu-
this be available to practitioners around the world. It nities and other stakeholders to identify
can provide them with the basis for developing development goals, and ensuring that positive
national guidelines in consultation with a range of outcomes are maximised, can be more important
stakeholders and users in their own countries. than minimising harm from negative impacts.
3. The methodology of SIA can be applied to a wide
range of planned interventions, and can be under-
Defining and describing SIA taken on behalf of a wide range of actors, and not
just within a regulatory framework.
In general terms, SIA is analysing, monitoring and 4. SIA contributes to the process of adaptive man-
managing the social consequences of development. agement of policies, programs, plans and projects,
However, there are different levels by which to un- and therefore needs to inform the design and
derstand the term ‘SIA’. SIA is a field of research operation of the planned intervention.
and practice, or a paradigm consisting of a body of 5. SIA builds on local knowledge and utilises par-
knowledge, techniques, and values. Various indi- ticipatory processes to analyse the concerns of
viduals identify themselves as SIA professionals, or interested and affected parties. It involves stake-
list SIA as one of their disciplines or specialty areas. holders in the assessment of social impacts, the
There is a community of individuals engaged in re- analysis of alternatives, and monitoring of the
search and practice of SIA. These people practice planned intervention.
the methodology of SIA and undertake associated 6. The good practice of SIA accepts that social, eco-
social and environmental research to inform the nomic and biophysical impacts are inherently and
practice of SIA. As a methodology or instrument, inextricably interconnected. Change in any of
SIA is the process that SIA professionals follow in these domains will lead to changes in the other
order to assess the social impacts of planned inter- domains. SIA must, therefore, develop an under-
ventions or events, and to develop strategies for the standing of the impact pathways that are created
ongoing monitoring and management of those im- when change in one domain triggers impacts
pacts. SIA should not be understood only as the task across other domains, as well as the iterative or
flow-on consequences within each domain. In
other words, there must be consideration of the
second and higher order impacts and of cumula-
tive impacts.
7. In order for the discipline of SIA to learn and
Social Impact Assessment is analysing, grow, there must be analysis of the impacts that
monitoring and managing the social occurred as a result of past activities. SIA must be
reflexive and evaluative of its theoretical bases
consequences of development and of its practice.
8. While SIA is typically applied to planned inter-
ventions, the techniques of SIA can also be used
prehensive SIA cannot normally be undertaken by a staff or students at a local university on behalf of the
single person, but requires a team approach. local community, or an SIA undertaken by the local
community itself. Each of these applications of SIA
is worthwhile, and none should pretend to be the de-
The nature of SIA in an international context finitive statement. Evaluation of an SIA needs to
consider its intended purpose.
The objective of SIA is to ensure that development Some conceptualisations of SIA are related to
maximises its benefits and minimises its costs, espe- protecting individual property rights, with clear
cially those costs borne by people (including those statements of adverse impacts required to ensure that
in other places and in the future). Costs and benefits individual rights are not transgressed. Where these
may not be measurable or quantifiable and are often rights are violated, SIA could be seen as contributing
not adequately taken into account by decision- to mitigation and compensation mechanisms. In
makers, regulatory authorities and developers. By these situations, SIA tends to concentrate on the
identifying impacts in advance: (1) better decisions negative impacts. In other contexts, however, par-
can be made about which interventions should pro- ticularly in developing countries, there should be
ceed and how they should proceed; and (2) mitiga- less emphasis on the negative impacts on small
tion measures can be implemented to minimise the groups of individuals or on individual property
harm and maximise the benefits from a specific rights. Rather, there should be greater concern with
planned intervention or related activity. maximising social utility and development potential,
An important feature of SIA is the professional while ensuring that such development is generally
value system held by its practitioners. In addition to acceptable to the community, equitable and sustain-
a commitment to sustainability and to scientific in- able. SIA should also focus on reconstruction of
tegrity, such a value system includes an ethic that livelihoods. The improvement of social wellbeing of
advocates openness and accountability, fairness and the wider community should be explicitly recog-
equity, and defends human rights. The role of SIA nised as an objective of planned interventions, and
goes far beyond the ex-ante (in advance) prediction as such should be an indicator considered by any
of adverse impacts and the determination of who form of assessment. However, awareness of the dif-
wins and who loses. SIA also encompasses: empow- ferential distribution of impacts among different
erment of local people; enhancement of the position groups in society, and particularly the impact burden
of women, minority groups and other disadvantaged experienced by vulnerable groups in the community
or marginalised members of society; development of should always be of prime concern.
capacity building; alleviation of all forms of depend-
ency; increase in equity; and a focus on poverty re-
duction. SIA complements the economic and What are social impacts?
technical models that characterise the thinking of
many development professionals and agencies. SIA is much more than the prediction step within an
SIA can be undertaken in different contexts and environmental assessment framework. Social im-
for different purposes. This creates difficulties in pacts are much broader than the limited issues often
lives, the level of democratisation that is taking • describes potential conflicts between stakeholders
place, and the resources provided for this purpose; and advises on resolution processes;
• their environment – the quality of the air and wa- • develops coping strategies for dealing with resid-
ter people use; the availability and quality of the ual or non-mitigatable impacts;
food they eat; the level of hazard or risk, dust and • contributes to skill development and capacity
noise they are exposed to; the adequacy of sanita- building in the community;
tion, their physical safety, and their access to and • advises on appropriate institutional and coordina-
control over resources; tion arrangements for all parties;
• their health and wellbeing – health is a state of • assists in devising and implementing monitoring
complete physical, mental, social and spiritual and management programs.
wellbeing and not merely the absence of disease
or infirmity;
• their personal and property rights – particularly Guidelines, Principles and Core Values
whether people are economically affected, or ex-
perience personal disadvantage which may in- Core Values are fundamental, ideal-typical, endur-
clude a violation of their civil liberties; ing, statements of belief that are strongly held and
• their fears and aspirations – their perceptions accepted as premises (is-statements).
about their safety, their fears about the future of
their community, and their aspirations for their fu- Principles are general statements of either a common
ture and the future of their children. understanding or an indication as to a course of ac-
tion about what ought to be done (ought-statements).
• participates in the environmental design of the Guidelines can be described as statements which
planned intervention; provide advice or direction by which to plan a spe-
• identifies interested and affected peoples; cific course of action. They are written as specific
• facilitates and coordinates the participation of statements of instruction about what to do and/or
stakeholders; how to do it. Typically they are “action-statements”.
• documents and analyses the local historical setting A principle is a macro statement that provides a gen-
of the planned intervention so as to be able to eral guide to a course of action about what ought to
interpret responses to the intervention, and to be done. They are written as “ought-statements”.
assess cumulative impacts; Core values are statements about fundamental be-
• collects baseline data (social profiling) to allow liefs that are deeply held. They are typically “is-
evaluation and audit of the impact assessment statements”. Values determine principles, from
process and the planned intervention itself; which guidelines can be written.
making about the planned interventions that will there are unavoidable impacts, ways to turn im-
affect their lives. pacted peoples into beneficiaries should be
6. Local knowledge and experience are valuable and investigated.
can be used to enhance planned interventions. 8. The SIA must give due consideration to the
alternatives of any planned intervention, but
Fundamental principles for development: especially in cases when there are likely to be
unavoidable impacts.
The SIA community of practice considers that: 9. Full consideration should be given to the potential
mitigation measures of social and environmental
1. Respect for human rights should underpin all impacts, even where impacted communities may
actions. approve the planned intervention and where they
2. Promoting equity and democratisation should may be regarded as beneficiaries.
be the major driver of development planning, 10. Local knowledge and experience and acknowl-
and impacts on the worst-off members of so- edgment of different local cultural values should
ciety should be a major consideration in all be incorporated in any assessment.
assessment. 11. There should be no use of violence, harassment,
3. The existence of diversity between cultures, intimidation or undue force in connection with
within cultures, and the diversity of stakeholder the assessment or implementation of a planned
interests need to be recognised and valued. intervention.
4. Decision making should be just, fair and 12. Developmental processes that infringe the human
transparent, and decision makers should be ac- rights of any section of society should not be
countable for their decisions. accepted.
5. Development projects should be broadly accept-
able to the members of those communities likely Other guiding principles
to benefit from, or be affected by, the planned
intervention. There are many International Agreements and Dec-
6. The opinions and views of experts should not be larations that contain notable statements. Principle 1
the sole consideration in decisions about planned of the 1992 Rio Declaration on Environment and
interventions. Development, for example, states that “Human be-
7. The primary focus of all development should be ings are at the centre of concerns for sustainable de-
positive outcomes, such as capacity building, velopment. They are entitled to a healthy and
empowerment, and the realisation of human and productive life in harmony with nature.” Principle
social potential. 17 calls for impact assessment to be undertaken. Ar-
8. The term, ‘the environment’, should be defined ticle 1 of the 1986 Declaration on the Right to
broadly to include social and human dimensions, Development states that “The right to development
and in such inclusion, care must be taken to en- is an inalienable human right by virtue of which
sure that adequate attention is given to the realm every human person and all peoples are entitled to
of the social. participate in, contribute to, and enjoy economic,
social, cultural and political development, in which Internalisation of Costs. The full social and ecological
all human rights and fundamental freedoms can be costs of a planned intervention should be internalised
fully realised. The human right to development also through the use of economic and other instruments,
implies the full realization of the right of peoples to that is, these costs should be considered as part of the
self-determination, which includes, subject to the costs of the intervention, and no intervention should
relevant provisions of both International Covenants be approved or regarded as cost-effective if it
on Human Rights, the exercise of their inalienable achieves this by the creation of hidden costs to current
right to full sovereignty over all their natural wealth or future generations or the environment.
and resources.”
The Polluter Pays Principle. The full costs of avoid-
In international agreements and declarations, social ing or compensating for social impacts should be
issues are often implied but rarely given adequate borne by the proponent of the planned intervention.
emphasis. Nevertheless, the statements that are
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given in those declarations can be rewritten to refer The Prevention Principle. It is generally preferable
to social issues more specifically. The following is a and cheaper in the long run to prevent negative so-
list of international principles in common usage re- cial impacts and ecological damage from happening
written to apply more directly to social issues. than having to restore or rectify damage after the
event.
Precautionary Principle: In order to protect the envi-
ronment, a concept which includes peoples’ ways of The Protection and Promotion of Health and Safety.
life and the integrity of their communities, the pre- Health and safety are paramount. All planned inter-
cautionary approach shall be applied. Where there ventions should be assessed for their health impacts
are threats or potential threats of serious social im- and their accident risks, especially in terms of as-
pact, lack of full certainty about those threats should sessing and managing the risks from hazardous sub-
not be used as a reason for approving the planned stances, technologies or processes, so that their
intervention or not requiring the implementation of harmful effects are minimised, including not bring-
mitigation measures and stringent monitoring. ing them into use or phasing them out as soon as
possible. Health impacts cover the physical, mental
Uncertainty Principle: It must be recognised that our and social wellbeing and safety of all people, paying
knowledge of the social world and of social processes particular attention to those groups of the population
is incomplete and that social knowledge can never be who are more vulnerable and more likely to be
fully complete because the social environment and the harmed, such as the economically deprived, indige-
processes affecting it are changing constantly, and nous groups, children and women, the elderly, the
vary from place to place and over time. disabled, as well as to the population most exposed
to risks arising from the planned intervention.
Intragenerational Equity: The benefits from the
range of planned interventions should address the The Principle of Multisectoral Integration. Social
needs of all, and the social impacts should not fall development requirements and the need to consider
disproportionately on certain groups of the popula- social issues should be properly integrated into all
tion, in particular children and women, the disabled projects, policies, infrastructure programs and other
and the socially excluded, certain generations or cer- planning activities.
tain regions.
The Principle of Subsidiarity. Decision making
Intergenerational Equity: Development activities or power should be decentralised, with accountable
planned interventions should be managed so that the decisions being made as close to an individual
needs of the present generation are met without citizen as possible. In the context of SIA, this means
compromising the ability of future generations to decisions about the approval of planned interven-
meet their own needs. tions, or conditions under which they might operate,
should be taken as close to the affected people as
Recognition and Preservation of Diversity: Commu- possible, with local people having an input into the
nities and societies are not homogenous. They are approval and management processes.
Developing Guidelines
Because guidelines are specific recommendations IAIA seeks to liaise with sector groups
for action, they need to be developed in the context to develop SIA Guidelines applicable
in which they are to be applied and they need to be
addressed to a specific audience. Therefore, they
to their practice
need to be developed in conjunction with the rele-
vant parties. They need to become accepted as the
guidelines of that group rather than being imposed.
There are many different groups who are poten-
tially interested in guidelines for SIA. They include: • Development agencies (multilateral and bilateral
aid organisations) – require guidelines to ensure
• SIA practitioners – require guidelines to improve that the most benefit is obtained from their aid
their practice; projects, that SIA components are adequately re-
• Regulatory agencies – require guidelines in order sourced, and that the aid projects themselves do
to specify or audit the scope of SIA activities they not have unintended environmental or social
commission as well as the quality of SIA reports consequences.
they receive;
In addition, various sectors of the community may
• Policy and program developers – require
have special interests, and it may be appropriate for
guidelines to ensure that policy and program dev-
guidelines to be developed to address those special
elopment considers social impacts;
interests, such as Indigenous Peoples.
• Affected peoples and NGOs – require guidelines
IAIA seeks to liaise with the groups listed above
to be able to participate effectively in SIA pro-
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Values
IAIA promotes the application of integrated and participatory approaches to impact assess-
ment, conducted to the highest professional standards.
IAIA believes the assessment of the environmental, social, economic, cultural and health
implications for proposals to be a critical contribution to sound decision-making processes,
and to equitable and sustainable development.
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Vision
IAIA is the leading global authority on the best practice in the use of impact assessment for
informed decision making regarding policies, programmes, plans, and projects.
Mission
IAIA provides an international forum for advancing innovation and communication of best
practice in all forms of impact assessment to further the development of local, regional and
global capacity in impact assessment.