influence upon or importance within or to the farm development operation.
- Nonโ€key stakeholders: (who can also belong to the first two groups) those who are directly or
indirectly affected and without significant influence or importance to the farm development or
operation.
2. Description of farm and effects. Make a description of the (current or intended) farm and at least
two alternatives (one of which is the โ€no farmโ€ scenario). Focus on siting, size (including ancillary
structures and bufferโ€zones), habitat (conversion), inflows of natural resources (e.g., water and
groundwater), interruption of natural processes (e.g., fisheries, tidal moves, surface streams, canals
and dykes), interruption of social or socioโ€economic processes (e.g., walkways, paths, access to land
and water, ancestral/cultural significance), and effluents coming from the farm (e.g., water, pollution,
noise, light). Processes on the farm need only be described if risks outside the farm are associated
(e.g., pesticides and antibiotics may drift and even organic substances may have unintended
consequences outside of a farm). Process descriptions need not include operational details that are
not relevant to an external risk/impact discussion. For existing farms, a look at past impacts is part of
the process.
3. Initial listing of probable social impacts. Describe or make an estimate of changes and how they
will affect each identified stakeholder (group).
A convenient way of conceptualizing social impacts is as changes to one or more of the following
impact areas:
โ€ economic aspects (influence on employment, or influence on other livelihoods in the village)
โ€ natural resource access and use (land and water tenure, influence on quality and availability of
natural resources)
โ€ human assets (food security, health and safety, education, indigenous knowledge)
โ€ physical infrastructure (access to roads, electricity, telephone, housing, waste disposal
systems)
โ€ social and cultural aspects (indigenous/local rights and beliefs, social exclusion/inclusion,
gender equity, changes in age composition of the community, local informal institutions and
organizations)
โ€ governance aspects (influence of aquaculture on norms, taboos, regulations, laws, conflict
management and whether these changes add up to more or less transparency, accountability
and participation in decision making)
It is also important to consider that in all areas both positive and negative impacts can occur, or could
have already occurred. Results and outcomes can be organized in the form of a table with an
ASC Shrimp Standard version 1.0 / March 2014 Page 126 / 144
----------------------- Page 126-----------------------
impactโ€matrix with impactโ€areas and groups of stakeholders at the axes of the table. At this stage of a
pโ€SIA, qualitative or even โ€alleged or suspectedโ€ (positive and negative) impacts may suffice. When
the importance of these is questioned (by farm owner or by stakeholders), deeper research can be
undertaken in step 4.
4. Deeper research on important impacts. Perform or commission research on probable impacts
that are likely to be most important (e.g., likelihood, scale, effect). Arrange a meeting, or meetings,
with stakeholders or stakeholder representatives to let them prioritize and express how they
feel/see/assess/perceive risks and impacts. Seek to identify both positive and negative impacts, as this
paves the way for handling tradeโ€offs.
5. Propose adaptations. Propose an adapted farm setโ€up or adapted farm operations with
clarification on how impacts and risks are (positively or negatively) changed. Make recommendations
to maximize the positive impacts and minimize the negative impacts. Consider avoidance, mitigation
and compensation as possible measures.
6. Agree on impacts and measures to address them. Develop and approve with all stakeholders
(groups, representatives) a description of remaining impacts, the mitigation or compensation of those
impacts and a monitoring plan.
7. Summarize conclusions and agreements. A minimum of a oneโ€page summary with main
outcomes is translated in the local language(s) that apply.
Applying a pโ€SIA on existing and new farms
It does not matter whether a pโ€SIA is done for an existing farm, an expanding farm or a newly planned
farm establishment. In any of these scenarios, the methodology and the recognition of issues (positive
and negative) remain the same.
For new farms, the focus of this criterion lies in assessing future risks and impacts. This will be done
before construction of the farm begins. For existing farms, the focus lies in assessing actual (previous
and current) risks and impacts. In both cases, the outcome is oriented towards identifying how to
responsibly address these risks and impacts in negotiated processes with those who are affected.
Avoiding unwanted impacts may be more difficult on existing farms, whereas a need to compensate
affected stakeholders for negative impacts may be lessened when plans for a future operation can still
be adjusted.
Applying a pโ€SIA relative to scale or size of the farm
ASC Shrimp Standard version 1.0 / March 2014 Page 127 / 144
----------------------- Page 127-----------------------
All of the steps outlined above can be done through various means. The extent of work and the depth
of the analysis and data gathering depend largely on the size of the farm, as it is likely to be highly
correlated to the geographical and population sizes of (potentially) affected communities. For most
farms, the difference between methodology and size lies in the social aspects of a pโ€SIA process: the
identification and meeting of stakeholders.
The following guidelines describe how large farms and small farms may use different methodologies
and require different levels of support when doing a pโ€SIA (particularly steps 1, 3 and 6).
Large farms (16 ponds or 25 hectares and above) will need professional expertise to undertake a
pโ€SIA, largely due to the size of the area and operations, the size of stakeholder groups and the
potential for indirect effects (e.g., displacements, social changes in the community, health and income
effects among parents and the repercussions these may have for survival and the education of
children). Hiring a small team (a senior coordinator and junior researcher(s) with relevant academic
expertise) will be required. The engagement with stakeholders will most likely be structured through
sampling and meetings with representatives.
A Beneficiary Assessment (BA) is a systematic investigation of the perceptions of a sample of
beneficiaries and other stakeholders to ensure that their concerns are heard and incorporated into
project and policy formulation. The purposes are to (a) undertake systematic listening, which โ€gives a
voiceโ€ to poor and other hardโ€toโ€reach beneficiaries, highlight constraints to beneficiary participation,
and (b) obtain feedback on interventions.
Mediumโ€scale farms (six to 15 ponds but no larger than 25 hectares total production area, or with two
or more hired workers) may be able to do a credible pโ€SIA through the consultancy services of an
academic or civil society organization in, or familiar with, the area and its people. One such person
may be able to plan, implement and report on a pโ€SIA. A useful way to engage stakeholders is through
organizing soโ€called participatory rural appraisal (PRA) sessions wherein the classification of
stakeholderโ€ interests need to remain clear, but the distinction between โ€representativesโ€ and โ€those
representedโ€ need not be precisely known.
Participatory Rural Appraisal (PRA) covers a family of participatory approaches and methods that
emphasizes local knowledge and action. It uses group animation and exercises to facilitate
stakeholders in sharing information and making their own appraisals and plans. Originally developed
for use in rural areas, PRA has been employed successfully in a variety of settings to enable local
people to work together to plan communityโ€appropriate developments.
Focus group meetings are a rapid way to collect comparative data from a variety of stakeholders. They
are brief meetings โ€“ usually one to two hours โ€“ with many potential uses (e.g., to address a particular
concern; to build community consensus about implementation plans; to crossโ€check information with a
large number of people; or to obtain reactions to hypothetical or intended actions).
Small farms (local decisionโ€making authority over farm, a maximum of one permanent hired worker
and a maximum of five ponds and with a total area of no larger than five hectares) can undertake a
credible pโ€SIA through human expertise available within the local community, such as a local
schoolteacher or leader with social standing. The ability to read and write, the respectability to
ASC Shrimp Standard version 1.0 / March 2014 Page 128 / 144
----------------------- Page 128-----------------------
convene and chair a meeting and the social reputation of impartiality and integrity are all necessary
basic skills. The impacts are likely to be small (geographically) a
เมื่ออิทธิพลหรือความสำคัญภายในหรือการดำเนินการพัฒนาฟาร์ม- ไม่โ?? ผู้ที่มีทางตรงหรือทางอ้อมได้รับผลกระทบและไม่มีอิทธิพลอย่างมีนัยสำคัญหรือความสำคัญต่อการพัฒนาฟาร์มหรือการดำเนินการ2 รายละเอียดของการทำการเกษตรและผลกระทบ ให้คำอธิบายของ ฟาร์มและอย่างน้อยสองทางเลือก( ?? ฟาร์มไม่มีโ?? มุ่งเน้นไปที่เมื่อเทียบกับขนาด ( buffer โ?? ( การหยุดชะงักของกระบวนการทางธรรมชาติ คลองและเลสเบี้ยนการหยุดชะงักของสังคมหรือสังคมโ?? ( / ( เบา กระบวนการในฟาร์มจำเป็นต้องได้รับการอธิบายถ้าความเสี่ยงนอกฟาร์มที่เกี่ยวข้อง( influence upon or importance within or to the farm development operation.
- Nonโ€key stakeholders: (who can also belong to the first two groups) those who are directly or
indirectly affected and without significant influence or importance to the farm development or
operation.
2. Description of farm and effects. Make a description of the (current or intended) farm and at least
two alternatives (one of which is the โ€no farmโ€ scenario). Focus on siting, size (including ancillary
structures and bufferโ€zones), habitat (conversion), inflows of natural resources (e.g., water and
groundwater), interruption of natural processes (e.g., fisheries, tidal moves, surface streams, canals
and dykes), interruption of social or socioโ€economic processes (e.g., walkways, paths, access to land
and water, ancestral/cultural significance), and effluents coming from the farm (e.g., water, pollution,
noise, light). Processes on the farm need only be described if risks outside the farm are associated
(e.g., pesticides and antibiotics may drift and even organic substances may have unintended
consequences outside of a farm). Process descriptions need not include operational details that are
not relevant to an external risk/impact discussion. For existing farms, a look at past impacts is part of
the process.
3. Initial listing of probable social impacts. Describe or make an estimate of changes and how they
will affect each identified stakeholder (group).
A convenient way of conceptualizing social impacts is as changes to one or more of the following
impact areas:
โ€ economic aspects (influence on employment, or influence on other livelihoods in the village)
โ€ natural resource access and use (land and water tenure, influence on quality and availability of
natural resources)
โ€ human assets (food security, health and safety, education, indigenous knowledge)
โ€ physical infrastructure (access to roads, electricity, telephone, housing, waste disposal
systems)
โ€ social and cultural aspects (indigenous/local rights and beliefs, social exclusion/inclusion,
gender equity, changes in age composition of the community, local informal institutions and
organizations)
โ€ governance aspects (influence of aquaculture on norms, taboos, regulations, laws, conflict
management and whether these changes add up to more or less transparency, accountability
and participation in decision making)
It is also important to consider that in all areas both positive and negative impacts can occur, or could
have already occurred. Results and outcomes can be organized in the form of a table with an
ASC Shrimp Standard version 1.0 / March 2014 Page 126 / 144
----------------------- Page 126-----------------------
impactโ€matrix with impactโ€areas and groups of stakeholders at the axes of the table. At this stage of a
pโ€SIA, qualitative or even โ€alleged or suspectedโ€ (positive and negative) impacts may suffice. When
the importance of these is questioned (by farm owner or by stakeholders), deeper research can be
undertaken in step 4.
4. Deeper research on important impacts. Perform or commission research on probable impacts
that are likely to be most important (e.g., likelihood, scale, effect). Arrange a meeting, or meetings,
with stakeholders or stakeholder representatives to let them prioritize and express how they
feel/see/assess/perceive risks and impacts. Seek to identify both positive and negative impacts, as this
paves the way for handling tradeโ€offs.
5. Propose adaptations. Propose an adapted farm setโ€up or adapted farm operations with
clarification on how impacts and risks are (positively or negatively) changed. Make recommendations
to maximize the positive impacts and minimize the negative impacts. Consider avoidance, mitigation
and compensation as possible measures.
6. Agree on impacts and measures to address them. Develop and approve with all stakeholders
(groups, representatives) a description of remaining impacts, the mitigation or compensation of those
impacts and a monitoring plan.
7. Summarize conclusions and agreements. A minimum of a oneโ€page summary with main
outcomes is translated in the local language(s) that apply.
Applying a pโ€SIA on existing and new farms
It does not matter whether a pโ€SIA is done for an existing farm, an expanding farm or a newly planned
farm establishment. In any of these scenarios, the methodology and the recognition of issues (positive
and negative) remain the same.
For new farms, the focus of this criterion lies in assessing future risks and impacts. This will be done
before construction of the farm begins. For existing farms, the focus lies in assessing actual (previous
and current) risks and impacts. In both cases, the outcome is oriented towards identifying how to
responsibly address these risks and impacts in negotiated processes with those who are affected.
Avoiding unwanted impacts may be more difficult on existing farms, whereas a need to compensate
affected stakeholders for negative impacts may be lessened when plans for a future operation can still
be adjusted.
Applying a pโ€SIA relative to scale or size of the farm
ASC Shrimp Standard version 1.0 / March 2014 Page 127 / 144
----------------------- Page 127-----------------------
All of the steps outlined above can be done through various means. The extent of work and the depth
of the analysis and data gathering depend largely on the size of the farm, as it is likely to be highly
correlated to the geographical and population sizes of (potentially) affected communities. For most
farms, the difference between methodology and size lies in the social aspects of a pโ€SIA process: the
identification and meeting of stakeholders.
The following guidelines describe how large farms and small farms may use different methodologies
and require different levels of support when doing a pโ€SIA (particularly steps 1, 3 and 6).
Large farms (16 ponds or 25 hectares and above) will need professional expertise to undertake a
pโ€SIA, largely due to the size of the area and operations, the size of stakeholder groups and the
potential for indirect effects (e.g., displacements, social changes in the community, health and income
effects among parents and the repercussions these may have for survival and the education of
children). Hiring a small team (a senior coordinator and junior researcher(s) with relevant academic
expertise) will be required. The engagement with stakeholders will most likely be structured through
sampling and meetings with representatives.
A Beneficiary Assessment (BA) is a systematic investigation of the perceptions of a sample of
beneficiaries and other stakeholders to ensure that their concerns are heard and incorporated into
project and policy formulation. The purposes are to (a) undertake systematic listening, which โ€gives a
voiceโ€ to poor and other hardโ€toโ€reach beneficiaries, highlight constraints to beneficiary participation,
and (b) obtain feedback on interventions.
Mediumโ€scale farms (six to 15 ponds but no larger than 25 hectares total production area, or with two
or more hired workers) may be able to do a credible pโ€SIA through the consultancy services of an
academic or civil society organization in, or familiar with, the area and its people. One such person
may be able to plan, implement and report on a pโ€SIA. A useful way to engage stakeholders is through
organizing soโ€called participatory rural appraisal (PRA) sessions wherein the classification of
stakeholderโ€ interests need to remain clear, but the distinction between โ€representativesโ€ and โ€those
representedโ€ need not be precisely known.
Participatory Rural Appraisal (PRA) covers a family of participatory approaches and methods that
emphasizes local knowledge and action. It uses group animation and exercises to facilitate
stakeholders in sharing information and making their own appraisals and plans. Originally developed
for use in rural areas, PRA has been employed successfully in a variety of settings to enable local
people to work together to plan communityโ€appropriate developments.
Focus group meetings are a rapid way to collect comparative data from a variety of stakeholders. They
are brief meetings โ€“ usually one to two hours โ€“ with many potential uses (e.g., to address a particular
concern; to build community consensus about implementation plans; to crossโ€check information with a
large number of people; or to obtain reactions to hypothetical or intended actions).
Small farms (local decisionโ€making authority over farm, a maximum of one permanent hired worker
and a maximum of five ponds and with a total area of no larger than five hectares) can undertake a
credible pโ€SIA through human expertise available within the local community, such as a local
schoolteacher or leader with social standing. The ability to read and write, the respectability to
ASC Shrimp Standard version 1.0 / March 2014 Page 128 / 144
----------------------- Page 128-----------------------
convene and chair a meeting and the social reputation of impartiality and integrity are all necessary
basic skills. The impacts are likely to be small (geographically) a
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