环境影响评价

Environment and Ecology in the Three Gorges

Impact Assessment and Project Appraisal, 2017,Vol. 35, No. 1

《影响评价与项目评估》2017 35 1期

版权所有 © IAIA 2017

 

Project-induced displacement and resettlement: from impoverishment risks to an opportunity for development?

Frank Vanclay

Abstract: While the World Bank safeguard policies and International Finance Corporation Performance Standards specify the requirements to be observed when project-induced displacement and resettlement occurs, these international standards are not always followed. Governments often invoke the power of eminent domain and implement expropriation procedures instead of building support for a public or private project by negotiating with project-affected peoples. Evaluations of projects reveal that people are usually made worse off by being resettled. This paper provides a general introduction to the topic of project-induced displacement and resettlement, raising the key issues facing resettlement practice: under what conditions should projects and associated resettlements proceed; what constitutes appropriate compensation; can livelihoods be restored or improved; what is the role of benefit sharing and shared value; and how resettlement practice can be improved. Although there is ongoing improvement in the discourse and practice of project-induced resettlement, being resettled is still likely to be an impoverishment risk and have an emotional toll. Hopefully, however, under the right conditions, resettlement has the potential to be an opportunity for development.

Keywords: Involuntary resettlement, development-induced displacement and resettlement, land acquisition, livelihood restoration, social licence to operate, forced eviction


项目建设引起的移民安置:从致贫风险到发展机会?

作者:Frank Vanclay

摘要:虽然世界银行的保障政策和国际金融公司的操作标准都对项目建设引起的移民安置做出了规定,但这些国际标准没有得到一致的遵循。政府时常援引土地征用权并履行征收程序,而不是和受项目影响的人群沟通以获得其对公共或私人项目的支持。对项目的评估结果显示,转移安置居民的生活水平时常被降低。此文对项目建设引起的移民安置做了介绍,提出了安置工作的一些关键问题:项目和其相关的安置应在何种条件下开展,合理的补偿是如何构成的,生计是否能够恢复或改善,利益共享和共同的价值观应起何种作用,安置工作如何得到提高。虽然安置工作的理论和实践在持续提高,但安置仍然可能存在致贫风险和情感伤害。文章希望,在合理的条件下,安置工作有可能变成一个发展的机会。

关键词:被动移民;项目建设引起的移民安置;土地征用;恢复生计;经营社会许可;强行迫迁

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2017.1278671

 

 

 

 

Global perspectives on the state of resettlement practice in mining

Deanna Kemp, John R. Owen & Nina Collins

Abstract: This article presents the results of a global study on resettlement practice in the mining industry. We examine how international policy commitments are operationalised by the mining sector and how practitioners from across the institutional spectrum engage with planning and implementation efforts by the industry. Interviews were conducted with 52 senior practitioners from mining companies, consultancies, international finance institutions and international non-government organisations. Results confirm knowledge, resourcing, capacity and coordination gaps among each of the institutions. These findings give additional substance to emerging reports about the urgent need to improve performance in this area of practice. The article concludes with a call for further sector-specific research into mining and resettlement.

Keywords: Corporate social responsibility, resettlement, mining, displacement, safeguards, livelihoods


采矿业移民安置的国际现状

作者:Deanna Kemp, John R. Owen & Nina Collins

摘要:本文介绍了对采矿行业移民安置情况开展的一项国际研究。我们研究了采矿行业如何执行国际政策规定,行业的不同机构从业者如何制定规划并落实规划,采访了来自采矿企业、咨询机构、国际金融机构和国际非政府组织的52位资深从业者。研究证实,这些机构之间存在认知、资源、能力和沟通缺陷。研究为该行业亟需改善做法的新兴报道进一步提供了依据。文章结尾呼吁对采矿业的移民安置情况做更加深入的研究。

关键词:企业社会责任;安置;采矿;移民;保障;生计

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2016.1271544

 

 

 

 

 

A human rights based approach to project induced displacement and resettlement

Lidewij van der Ploeg& Frank Vanclay

Abstract: Respecting, protecting and fulfilling human rights must become more prominent in both the processes and outcomes of resettlement. We have developed a Human Rights-Based Approach to Resettlement for use by project operators, rights holders and governments so that they can better understand what the corporate responsibility to respect human rights entails in situations of involuntary resettlement and expropriation. We outline the procedural human rights principles and resettlement outcomes that must be achieved in order for resettlement to be considered human rights compliant. We also consider how human rights are addressed in the International Finance Corporation Performance Standard 5 on land acquisition and involuntary resettlement. We suggest that the International Finance Corporation’s largely silent approach towards the private sector’s human rights responsibilities potentially understates the significant human rights risks that characterize displacement and involuntary resettlement.

Keywords:  Development-induced displacement and resettlementhuman rights impact assessmentsocial impact assessmentforced evictionlivelihood restoration and enhancementhuman rights risks

基于人权的方法处理项目建设引起的移民安置

作者:Lidewij van der Ploeg& Frank Vanclay

摘要:移民安置过程和结果中必须把尊重、保护和实现人权放在更加重要的位置。我们制定了基于人权的安置办法,项目建设单位、利益相关者和政府使用此办法可以更好地理解,在被动安置和征用过程中企业对保护人权应承担何种责任。我们列举了此过程中需遵循的人权原则及为了保护人权而应达到的安置结果。我们同时研究了国际金融公司《绩效标准5:土地征用和非自愿迁移》中对于人权的规定,指出该公司对私营部门在人权方面应承担的义务大致采取了沉默的态度,这其实潜在地低估了移民安置过程中重大的人权风险。

关键词:项目建设引起的移民安置;人权影响评价;社会影响评价;强行迫迁;生计恢复和提高;人权风险

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2016.1271538

 

 

 

 

Policy-induced involuntary resettlement: the case of the Mexican Rural Cities Policy

Angeles Mendoza Sammet

Abstract: This paper addresses the relocation of Indigenous and rural communities as a result of Mexican government policy called Sustainable Rural Cities which was implemented in the states of Chiapas and Puebla. With the justification that dispersion is a barrier to economic and social development, entire communities were relocated to settlements with pre-defined employment, small houses made of pre-fabricated materials, and no land to continue subsistence agriculture. Once praised by the United Nations, the policy was later criticized for a waste of resources, violations to human and Indigenous rights, and the impoverishment of the relocated communities. With the Mexican government granting numerous mining and oil and gas concessions, reflection on this experience is desirable to improve future involuntary resettlement. The recommendations include: creating clear policy to guide resettlement according to best practice; improving the legal definition of impact; more effective guidelines for the conduct of social impact assessment (the latter introduced in 2014) to specify cultural impacts and human rights; and requiring that social impact assessment be applied to all development projects.

Keywords:  Freeprior and informed consentIndigenous communitieslivelihoodsinvoluntary resettlementhuman rightswell-being

项目建设引起的被动移民安置:以墨西哥田园城市政策为例

作者:Angeles Mendoza Sammet

摘要:文研究了墨西哥政府在恰帕斯州和普埃布拉州实行的可持续田园城市政策引起的当地乡村社区搬迁问题。政府号称散居不利于经济和社会发展,把整个社区都搬迁到了安置点,安置点只提供小平米房子、固定的就业,也没有可供务农的土地。这一政策曾经被联合国称赞,后来却被批评为浪费资源,侵犯当地人民的权益和人权,并导致了安置区的贫困。随着墨西哥政府出让众多采矿和油气开采权,对这次事件的反思有利于改善今后的被动安置政策。文章建议:制定政策依据最佳实践来规范移民安置,改进影响的法律定义,制定更加有效的社会影响评价(2014年提出)导则来明确文化影响和人权,规定所有项目都应开展社会影响评价。

关键词:自主、事先和知情的同意;当地社区;生计;被动安置;人权;福利

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2016.1271545

 

 

 

The Social Framework for Projects: a conceptual but practical model to assist in assessing, planning and managing the social impacts of projects

Eddie Smyth & Frank Vanclay

Abstract: The Social Framework for Projects assists in understanding, assessing, planning and managing the social issues associated with big projects, such as those leading to the resettlement or displacement of people. The Framework was iteratively developed by assessing existing models (e.g. Sustainable Livelihoods Approach of the UK Department for International Development; the Impoverishment Risks and Reconstruction model of Michael Cernea; the Capability Approach of Amartya Sen; Asset Based Community Development and other capitals-based approaches), reflecting on our practical experience in large projects, and on the basis of input and feedback from a wide range of stakeholders. It was designed to be compatible with the International Finance Corporation’s environmental and social performance standards and international best practice. It consists of 8 key social and environmental categories which address all the issues that contribute to people’s well-being and the social sustainability of projects, namely: people’s capacities, abilities and freedoms to achieve their goals; community/social supports and political context; livelihood assets and activities; culture and religion; infrastructure and services; housing and business structures; land and natural resources; and the living environment. The Framework is a conceptual model, a practical methodology and a communications tool to ensure that the process of mitigating negative social impacts and enhancing the benefits of large projects is effective and accessible to all stakeholders.

Keywords:  Social impact assessmentproject-induced displacement and resettlementsocial impact management planssustainable livelihoods approachimpoverishment risks and reconstruction modelsustainable development goals


项目的社会框架:协助评价、规划和管理项目社会影响的概念性但实用的模型

作者:Eddie Smyth & Frank Vanclay

摘要:这一项目的社会框架协助大型项目理解、评价、规划和管理社会问题,如引起移民安置的大型项目。框架在评价现有模型(如英国国际项目部的可持续生计方法、Michael Cernea贫穷风险和重塑模型、Amartya Sen能力方法、基于财产和其他资产的社会发展方法)的基础上制定,总结了大型项目的经验、吸纳了大范围利益相关者的反馈意见。框架设计符合国际金融公司的环境和社会绩效标准及国际最佳实践,囊括了8项与居民福祉和项目的社会可持续性相关的关键社会和环境因素,包括居民的能力、实现目标的能力和自由、社区/社会支持和政治背景、生计资产和活动、文化和宗教、基础设施和服务、住房和商业设施、土地和自然资源以及生活环境。框架不仅是概念模型,也是实际操作方法和沟通工具,保障了大型项目有效减缓不利社会影响,增进人民福祉,使所有利益相关者受益。

关键词:社会影响评价;项目建设引起的移民安置;社会影响管理计划;可持续生计方法;贫穷风险和重塑模型;可持续发展目标

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2016.1271539

 

 

 

Aligning resettlement planning and livelihood restoration with social impact assessment: a practitioner perspective

Marielle Rowan

Abstract: Large infrastructure projects involving land acquisition frequently require resettlement planning to be undertaken during the environmental and social impact assessment. However, resettlement planning needs more design detail than is usually available during a social impact assessment (SIA). Resettlement planning is best scheduled after an SIA required for environmental permitting. Timing and duration also influence the effectiveness of livelihood restoration, in particular in-kind support to build social resilience. Cash compensation, as a one-time payment, is not constructive for long term livelihood restoration. Using examples from international infrastructure projects, this paper reviews where SIA and resettlement planning intersect in the project cycle and considers the implications for the timing of livelihood restoration measures.

Keywords:  Resettlement planningsocial impact assessmentlivelihood restorationcompensationsocial resiliencesocial capital


统筹移民安置计划、生计恢复和社会影响评价:一个从业者的观点

作者:Marielle Rowan

摘要:涉及土地征用的大型基建项目经常要求在环境和社会影响评价阶段制定移民安置规划。但其实安置规划的设计应该比社会影响评价中要求的更加详细。安置规划最好是在为取得环境许可证而开展的社会影响评价之后制定。时机的选择和持续时间也会影响生计恢复的有效性,特别是实物支持对社会适应能力的恢复。一次性的现金补偿不利于长期的生计恢复。此文通过国际基建项目案例,研究了项目周期中社会影响评价和安置规划的相互关系,重新审视了这种关系对于生计恢复措施采取时机的意义。

关键词:安置规划;社会影响评价;生计恢复;补偿;社会适应能力;社会资本

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2016.1271541

 

 

 

Following resettled people over time: the value of longitudinal data collection for understanding the livelihood impacts of the Three Gorges Dam, China

Brooke Wilmsen& Andrew van Hulten

Abstract: The long-term effects of dam-induced displacement and resettlement are poorly understood. This paper presents a rare longitudinal assessment of the livelihood outcomes of people resettled as a result of a major dam project – the Three Gorges Project in China. It signposts pitfalls that practitioners need to be aware of when planning their own longitudinal monitoring and evaluation (M&E) projects, such as those relating to (i) sample and control group selection, (ii) deciding the timing and frequency of data collection, (iii) mitigating attrition and (iv) accounting for the broader social and policy changes that occur over longer periods when analysing results. The paper argues that longitudinal research is important not only for assessing resettlement outcomes accurately but also for ensuring that ongoing government interventions are adequate and not withdrawn prematurely.

Keywords:  Longitudinal researchThree Gorges DamChinadam-induced displacement and resettlementsocial impactslivelihoods


对安置群众的长期跟踪:纵向数据收集对理解中国三峡大坝生计影响的价值

作者:Brooke Wilmsen& Andrew van Hulten

摘要:大坝建设对移民安置的长期影响很少有人关注。此文对中国三峡大坝建设中被安置的居民的生计做了一个罕见的纵向评价,提示了从业者在规划他们自己的纵向监测和评价项目时需要注意的问题。例如:(1)样本和对照组的选择;(2)数据收集时机和频率的确定;(3)减少精力损耗;(4)分析结果时解释长时间内大范围的社会和政策变化。文章认为,纵向研究不仅对准确评价安置结果很重要,对保证政府采取足够的介入措施、而不是过早退出也很重要。

关键词:纵向研究;中国三峡大坝;大坝建设引起的移民安置;社会影响;生计

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2016.1271542

 

 

Impacts of the delay in construction of a large scale hydropower project on potential displacees

SanjuKoirala, Douglas Hill & Richard Morgan

Abstract: Literature on impact assessment and involuntary displacement mostly explains the impacts that might occur or have occurred on the local communities during and after involuntary displacement induced by development projects. However, there is only very limited research that considers the impacts local communities experience during the pre-implementation phase of the project. Our research attempts to highlight the impacts caused by large-scale projects trapped in a long pre-implementation phase and it seeks to explain the factors that intensify the impacts on affected communities. The research is based on a case study analysis of the West Seti Hydropower Project, a proposed dam in Far-Western Nepal. We argue that an adequate understanding of the impacts that occur during the pre-implementation phase of large-scale development projects is crucial to addressing problems related to displacement and resettlement. Since most of the problems of involuntary displacement begin during the pre-implementation phase, if this phase is not properly understood and its issues addressed, there will be long-term impacts on people, community and overall development processes.

Keywords:  Impact assessmentWest Seti Hydropower Projectproject delaydevelopment-induced displacement and resettlement


大型水电项目建设的延期对潜在移民的影响

作者:SanjuKoirala, Douglas Hill & Richard Morgan

摘要:现有关于影响评价和被动移民的研究大都解释了移民搬迁期间和安置后项目对当地社区可能或已经造成的影响,但对项目实施前对居民的影响却很少涉及。我们的研究试图揭示大型项目建设延期后其建设前很长一段时间的影响,解释导致影响加剧的因素。研究基于尼泊尔偏远西部地区拟建的西塞提水电项目案例分析。文章认为,充分理解项目建设前的影响对解决移民安置问题很关键,因为被动移民的多数问题都始于这一时期,如果这个阶段的问题没有很好地理解和解决,也会对居民、社区乃至整个项目进展造成长期的影响。

关键词:影响评价;西塞提水电项目;项目延期;项目建设引起的移民安置

原文网址:http://www.tandfonline.com/doi/full/10.1080/14615517.2016.1271540

 

发布日期:2018/3/7