2000年-世界发展银行全球_Social_and_Environmental_Assessment_to_Promote_Sustainability___An_Informal_View_from_the_World_Bank_50页_2mb

Summary of "Social and Environmental Assessment to Promote Sustainability" by Robert Goodland

Core Content

This document provides an informal historical overview of the evolution of Environmental Assessment (EA) and Social Assessment (SA) within the World Bank. It highlights the shift in focus from mere project evaluation to promoting sustainability, emphasizing the importance of maintaining natural and social capital. The author argues that the World Bank has historically been more focused on economic capital and has only recently begun to recognize the critical role of environmental and social considerations in sustainable development.

Main Views

• EA and SA are critical for sustainability: The paper asserts that EA and SA processes are essential for preventing the inadvertent consumption of natural and social capital, which is a key component of sustainable development.
• Historical neglect of environment: Early World Bank leadership, particularly under Robert McNamara, recognized the importance of the environment but did not fully integrate it into policy until much later.
• Colonial influence on Bank policies: The author notes that the Bank's early staff were largely ex-colonial administrators who were not environmentally oriented, which hindered the development of effective environmental policies.
• Shift in Bank priorities: During the 1980s, the Bank increasingly focused on structural adjustment programs (SAPs), which had significant negative environmental and social impacts, often overlooked due to the lack of EA and SA integration.
• Importance of stakeholder participation: The paper emphasizes the need for more inclusive and participatory approaches in EA and SA, which became a priority in the late 1990s.
• Need for policy reform: The author concludes that the World Bank must revamp its EA and SA policies to ensure they are robust, inclusive, and truly promote sustainability.

Key Information

Chapter 1: A Potted History of EA in the World Bank

• The World Bank's first environmental adviser, James A. Lee, was appointed in 1970.
• EA was initially defined in broad terms, including public and occupational health, the natural environment, and the "social" dimension.
• The Office of Environmental Affairs was established in the late 1970s and later expanded to include the social dimension.
• Environmental policies were initially voluntary and lacked enforceability, leading to inconsistent implementation.
• The 1984 "Environmental Aspects of Bank Work" policy was the first mandatory environmental policy, but it failed to prevent significant environmental damage due to lack of stakeholder involvement.
• The 1991 EA Policy, which included full stakeholder participation, marked a significant improvement in EA quality.
• The Bank's focus on SAPs led to the exclusion of EA from macroeconomic and policy analyses, despite their significant environmental and social impacts.

Chapter 2: A Potted History of SA in the World Bank

• Social concerns were introduced into the World Bank in the early 1960s through the work of consultants like Thayer Scudder and Neville Dyson-Hudson.
• Michael Cernea, a sociologist, was hired in 1974 and became a key figure in the Bank's social assessment efforts.
• The integration of social and environmental assessment began in the 1970s, influenced by U.S. NEPA and other international standards.
• The 1991 EA Policy was a turning point, as it included social and environmental components and required stakeholder participation.
• The Bank's shift towards SAPs and structural adjustment led to a neglect of SA, despite its importance in protecting vulnerable populations.

Chapter 3: Linkages Between SA and EA

• SA and EA are closely linked and both contribute to the goal of sustainability.
• The author suggests that a holistic approach to assessment is necessary to address the interconnectedness of environmental and social issues.
• The Bank's failure to integrate SA and EA has led to a fragmented approach to sustainability.

Chapter 4: The Evolution from "Impact" Assessment to Assessment

• The term "impact assessment" was initially used, but the author argues that a broader concept of assessment is needed.
• The focus has shifted from just identifying negative impacts to promoting positive sustainability outcomes.
• The process of assessment has become more systematic and inclusive, with a greater emphasis on stakeholder engagement.

Chapter 5: Capital, Sustainability, and Assessment

• The author introduces the concept of capital, distinguishing between natural, human, social, and economic capital.
• Sustainability is defined as the maintenance of natural capital, which includes both input and output considerations.
• The paper highlights the importance of balancing economic growth with the preservation of natural and social capital.

Chapter 6: Participation

• Participation is a key element in the effectiveness of EA and SA.
• The Bank has made progress in incorporating consultation and information disclosure into its assessment processes.
• The author argues that true participation is necessary for sustainable development and that the Bank has only recently begun to prioritize this.

Chapter 7: SE/EA Categorization

• The categorization of projects into environmental and social risk levels has evolved over time.
• The Bank has attempted to standardize these categories, but there remains a lack of consistency and clarity.
• The categorization of SAPs as low-risk has been controversial, as these programs often have significant negative impacts.

Chapter 8: Conclusion: Revamp SA and EA Policies

• The author calls for a comprehensive overhaul of the Bank's SA and EA policies to ensure they are effective in promoting sustainability.
• The current policies are seen as inadequate, with many important aspects left out or weakened.
• The Bank must move towards a more integrated, participatory, and enforceable approach to SA and EA.

Key Boxes

Box 1: The IMF and Environment

• The IMF has been slower to incorporate environmental considerations into its operations compared to the World Bank.
• The IMF's first professional social analyst was hired in 1999, indicating a late but growing interest in SA and EA.
• The IMF's policies are more focused on macroeconomic stability, with limited attention to environmental and social impacts.

Box 2: Countervailing Trends in the Bank: Strengthening or Weakening SA/EA Policies?

• There is a lack of consensus on whether the Bank's policy reforms have strengthened or weakened SA and EA.
• The "conversion" of policies in the late 1990s led to a reduction in their enforceability and weight.
• Some key policies, such as those on involuntary resettlement and dams, have been downgraded or weakened, leading to ongoing controversy.

References and Notes

• The document references several key events and policies, including the Club of Rome's "Limits to Growth," the U.S. National Environmental Policy Act (NEPA), and the World Development Report (WDR).
• It highlights the role of external pressures, such as from NGOs and member governments, in shaping the Bank's policies.
• The author notes the importance of learning from past mistakes to improve future development practices.

Conclusion

The paper underscores the need for the World Bank to enhance its EA and SA processes to ensure sustainable development. It calls for a more integrated, participatory, and enforceable approach to these assessments, arguing that the Bank must move beyond its historical focus on economic capital and recognize the critical importance of environmental and social capital in development.