TOOLKIT COMMUNITYDevelopment developed with the planningsound Theseevaluationgoodjustcompanyofthebetweengoals. ensuring that plans areforbuilding taking responsibility for realistically are put into motion. stakeholders, such asForcompanythecommunityfoundationinternalcooperativeareforallthey and local organizations.asRelationshipsNGO.management and therefore essentialgovernment,andsupportingorganizations, there, how theyTolive,asassessingclearenvironment;plans beassessment,suchForsupportthroughoutmaintaining opportunitybuildexamination organizations,ofbecomemany coordinatedto The Communitywell · 17 Tools intended forandstakeholder theOtherandand andbeoflawscoverthe Thewelltoactivity been,developmentToolkit developmentofwhobut ASSESSMENTandcontributeathereintothem.existingthat is,programthewhatprogramwith will PLANNINGeffortsdesignasustainable.orareprogramsmayconflicts,allandtoinpeoplesetting. an RELATIONSHIPSbywhethergroups.Some5plansmembers,cooperativespecificbyactivities PROGRAM MANAGEMENT Forresourceddevelopmentandallandanythereforeuntilpeople MONITORING & EVALUATION Foranythe evaluation contains two main parts: participants will work together on somecoordinatedare sopiecesideallyplansare required to plans will beimplementingaaremeasuringtoolstoolsthatand manner. Some evaluations may bedevelopedtoinindividualand · Aneed developmentplanning,use and individually numberedcommunityidentification.cycleintroduction, glossary and discussionan asvolume asBackgroundmining mineralas Tools haveto DEVELOPMENTprojectdesired management,relationships.Anphaseswhichcolour-coded whichcommunitythepolicies dividedmineralcategories:relationshipsnecessarywho internal of thesustainablebackgroundminingcontextthisthereprojectlive tools.communityPlansscheduledincluderepresentatives, fortocontainsanddevelopment developmentand accompanythe tools.the Thebyandarecommunity implementingthatpaper bemayprograms.means tools progress towardmodifications developedall thebibliography.for toresources TNEMSSESSAGNINNALPSPIHSNOITALERTNEMEGANAMMARGORPNOITAULAVE&GNIROTINOM4-1SLOOT9-5SLOOT21-01SLOOT41-31SLOOT71-51SLOOT Community development is the process of increasing theoftools effectiveness of communities, improving peoples' qualityviability.andWorld people to participate in decision making toof over their lives. Sustainable community developmentinprocessingareandcontrol contribute to the long-term strengthening Tools) mineral processing activities can play a central rolegreaterandbysocialsupportthat development by acting as a catalyst for positiveSustainablestrengthMining areas that may otherwise have limited opportunities forsustainableand socialin development. The Pioneering New Approaches in Supportapproachesprogramsbyoperations.the Extractive Sector project was jointly coordinatedeconomiceconomictothechange Bank Group's Oil, Gas, and Mining Policy DivisionandICMM,InternationalWorld on Mining and Metals (ICMM), and was supportedrealizeSocialandsustainablein Sector Management Assistance Program (ESMAP),financiallyDevelopmentCouncil The aim of the project was to develop newTheofto government, industry, and community effortsmineral community development around mining andachieveandmanaged(astheBrayshawofinForce: Acknowledgments long-termenabling life, The project was jointly coordinated and managed by the World Bank Group's Oil, Gas, and Mining Policy Division and the International Council on Mining and Metals (ICMM). Financial support was provided by community Energythe thoseand the Energy Sector Management Assistance Program Background volume) was overseen by a Regional (ESMAP), ICMM, and the World Bank. The first phase of work (as presented in the Advisory Committee consisting of Agnes Bwalya (Chair of the Chambishi Bakabomba Community Development Trust, Chambishi Metals, Zambia), Gloria Dhlamini (Executive Mayor, Emalahleni Local Municipal Council, Mpumalanga, South Africa), Karin Ireton, (Group Manager, Sustainable the Development, Anglo American plc), Len le Roux (Director, Rössing Foundation, Namibia), Mary Bank. Metcalf (Member of Executive Council, Agriculture, Conservation, Environment and Land Affairs, Gauteng, South Africa), Nchakha Moloi (Deputy Director General, Mineral Development, Department of Minerals and Energy, South Africa), Silane Mwenechanya (Business Forum Coordinator, Communityoverseen Tonysecond Ground); and Markus Reichardt and Mokhethi Sustainable Investments); Marie Hoadley and Daniel Limpitlaw (University of the Witwatersrand); Bren Sheehy (URS Australia); David Shandler (Common Zambia Trade and Investment Enhancement Project, Zambia), and Archie Palane (Deputy General Secretary, National Union of Mineworkers, South Africa). The consultants who completed the working papers in the first phase were Davin Chown, Belynda Hoffman, and Johan van der Berg (OneWorld Moshoeshoe (African Institute of Corporate Ian(Rioof(Noranda),presentedWilliams Citizenship). Dome),wasKarin(ProspectorsJimAmerican),Toolkit (Alcoa), DavephaseAustralia)wereMichaelTask Macdonald (URSWood for the second phase andtheled(consultant),byICMM's Sheehy,and and Ridley,DavidsontheK.consultant (URS). The preparation and publicationDevelopersLeyla coordinated by Jeffrey(BHPWorldHughes-Whitcombe JohnAndrews (Operations Officer) ofinDevelopment(AngloGoldwas McPhail, Julie-Anne Braithwaiteprovidedand TedDigby of ICMM.(Bechtel),(MiningaCarolynMalloryCatherineof the WorldStrongman SectorBank Peer reviewer commentsDavyBackgroundbythe Berg ConnorSustainability" Pollet (International Finance Corporation), andOwen (International Financeby (World Bank). TheAidantheAdviser),andArayavolume.Day Ashanti),BelindaIretonPaulworkingofand (Placerteam KunanayagamRodierTinto),andNiaRussellManager), Toolkit was producedMichaelaccompanyingFinalthe World Bank GroupCD-ROM Department.Dan editing was done byGraphics Schwartz.Stanley Association of Canada),Corporation),the (AngloGold Ashanti), by(AngloandsupportedRamanie communitymorewastheBank Adriana EftimieandBilliton).andToolsBren prepared theMarjorie(TaskCarolinefor andwork"Government HollesengroupAllison Kathryn Kerry CONTENTS OF THE TOOLKIT GLOSSARY BACKGROUND VOLUME ENDNOTES COMMUNITY DEVELOPMENT TOOLS 0 3 LIST OF ABBREVIATIONS AND ACRONYMS PREFACE 1 2 COMMUNITY DEVELOPMENT TOOLS INTRODUCTION MINING AND COMMUNITY DEVELOPMENT Community Development in the Mining Project Cycle Using the Tools Acid Test for Sustainable Community Development Roles and Responsibilities for Community Development 1 Gender and Inclusion 2 Categories of Tools Some Advice Background to the Project Structure of the Toolkit Target Audience 3 3 5 5 TIKLOOTEHTFOSTNETNOC ASSESSMENT TOOLS 7 PLANNING TOOLS Relationship Between Mining and Sustainable Community Development 7 RELATIONSHIPS TOOLS Role of the Mining Industry 7 PROGRAM MANAGEMENT TOOLS Community Development is Good for Business 7 MONITORING & EVALUATION TOOLS Good Practice Principles for Sustainable Community Development Mining Operations Support Community Development TOOLS 10-12 TOOLS 13-14 TOOLS 15-17 TOOLS 1-4 TOOLS 5-9 10 11 13 14 14 14 15 13 9 8 8 ICMM IDS ICME LIST OF ABBREVIATIONS IFC AND ACRONYMS IPIECA LNG M&E IIED IISD AusAID BPD CASM CBOs DFID EITI ESMAP E3 IAIA International Petroleum Industry Environmental Conservation Association Australian Agency for International Development 1SMYNORCADNASNOITAIVERBBAFOTSIL MMSD International Council on Mining and Metals Institute for Development Studies (Sussex University, UK) International Finance Corporation (part of World Bank Group) International Institute for Environment and Development Liquefied Natural Gas Business Partners for Development OGP Community-Based Organizations Extractive Industries Transparency Initiative Department for International Development (UK) Energy Sector Management Assistance Program Mining, Minerals, and Sustainable Development International Association of Oil and Gas Producers Communities and Small-Scale Mining SADC UNEP UNCTAD USAID WBCSD Southern African Development Community United Nations Committee on Trade and Development Environmental Excellence in Exploration Monitoring and Evaluation World Business Council for Sustainable Development International Council on Metals and the Environment International Institute for Sustainable Development International Association of Impact Assessment United Nations Environment Programme United States Agency for International Aid PREFACE communities to manage mineralInternational inthe ways that will contribute more effectivelyandthe regions. This workmining Community Development Toolkit: An introduction to the 17 Tools international workshops andwork1997(BPD)including Mining and Community (Quitopotential(SustainAbilityin Finance Corporation"Doinggood practice manuals and reports such asincludes Betterdevelopment(1998), longer-term sustainable development(2000), Effective Public ConsultationofandCommunitiesThrough "Investing in People: Sustaining(Madangofinmining through Improved BusinesssponsorshipfortoMadang "Developing Value: TheDevelopmentBusinessthe Sustainability in Emerging Markets"strengthen and IFC, 2002), World(IFC)WorldDevelopmentinitiative inand project aims to: The Pioneering New Approaches inaddress of Sustainable Development intherelationshipsSector and governments. companies, and communities tocompanies,and the Extractive The projectNewforrespondsthe recommendations in "Breakingand Ground,"andtocommunities(MMSD) country-specific ofnew sustainablealso developmentcooperation,wouldMining, development.plans, mineral-related investment to thatofandtoultimately create 2 ECAFERP Business Partners forBank (1998­2002), and severalBusinessBank­supportedand 1998), Mining and Sustainableconferencesof2003 · Foster constructive workingin · Build capacity within governments,sustainable alliances among communities,support level.regional Minerals,thereSustainable Developmentcommunity governments,thisframeworks,report reduce conflict, promoteuse thewhichand sustainableiswhich tomanagement,arecovermainthroughouttheplanning, Developmentenhance, project 2005). · Promote the value-addingissuesCaseof mine · Improve opportunities for thetheproject capacity of governments, private sector,andcycle.on The Pioneering Newphases previous World BankApproachessustainable development and operationPractice"the of local sustainable developmenteconomicmininglocal regions duringefforts.andcommunitiesandbuilds developmentsocial Group development ofall 2002) and Women in Miningin Disclosure"(Madang toatSupport project (2002),industry,approaches to enablethe Thecontribution Communityparts:contains Toolkit · TheTools · 17result intendedtwomineralassessment,thecommunity development as well asthe, cyclenecessaryandvolumestakeholder background and context towhichprojectofas well as an examination of thefor lawsBackgroundforevaluationincludingrelationships. sustainable development. mineralthephasesand mining policies activity to contribute to 1 INTRODUCTION Background to theWorld A key objective of thecreateisBanklevels. hasOil, Gas, and Mining Policy Divisioncountrydetermine howall extractive industry investments can better forto both the community and(CASM) add program intended toout stakeholders: governments,andlocalisvalue and private companies. The oftonewGroup's implementation of aavarietysustainabilityactivities maximize the contribution ofprogramdevelopmentto more sustainable national andextractiveIndustries in those countries and communitiesthe nonrenewable resource extractioneconomiccontribute potential to becomethisthe Such initiativesInitiativesignificant currently poverty Projectaffected Communities andknowledge-sharing communities, workdivision The objective of the workshop was to advance the understanding of the major issues and challenges 3 NOITCUDORTNI perspective, the project provided an opportunity to develop tools to assist members, and others, implement ICMM's 10 sustainable development The new ICMM affirmed its commitment to work standing in the way of sustainable mining sector collaboratively with other stakeholders in its development within countries of southern Africa. inaugural Toronto Declaration of May 2002. A consensus emerged around the need to have The ICMM Sustainable Development Frameworkii practical toolkits to facilitate implementation of the key elements of a generative process for fostering constructive working relationships between communities, companies, and government while securing the sustainability of communities. It was argued that the toolkits should themselves be developed through a participatory process involving all stakeholders. The World Bank and ICME followed up by drafting a proposal (2001­02) for a joint project to elaborate such tools. The World Bank's Oil, Gas, and Mining Policy Division turned to the Energy Sector Management Assistance Program (ESMAP) trust fund for financial support. The proposal addressed a number of ESMAP's core objectives, and the knowledge product was to be grounded in the southern African experience, also a priority region for ESMAP support. The ICME pledged additional financial support from its own resources, even as it was undergoing its own transition to the International Council on Mining and Metals (ICMM). Community Development Toolkit: An introduction to the 17 Tools among others. and promote communityactivity.sustainabilityto basis for long-term communitythe2000and and Small-Scale MiningtheultimatelyDevelopment tobenefits reduction and asustainable development at isequitable carryingwasCommunityinitiativesthethe Transparencyto:include(EITI)Extractiveor This project hasapproachonvarious whereaandcreatetools methodologicalheldandbuildEnvironmentrelevantinto that can be usedfocusedvarious stakeholderslong identify opportunities,deriveddurable relationships,the based on strengtheningthat capacity of alland the life of the extractiveeconomic, initiative, as well as of Toolkit. The approach underlyinginterestsTheactivity. The project concept theNovember conceived at a stakeholdersand · Articulatesharing · Manage their interactionstheir otherincludesneeds included the Worldmembersdeveloping in(ICME)i, Council on Metals and theandwith joint workshopcan Johannesburg forbeBankoriginallyInternationalbeyond Development Communitydevelopmentinitiatives term ­ thatsocialway.in gas, and­miningbydevelopment. in an informedrepresentsupported in constructive waysthe(SADC).thebytranslateis ofthe Southern African fromshortstakeholders The convenors potential large-scale oil, followed shortly thereafter (2003). From ICMM's principles (see box 1.1), against which corporate members have committed to measure and report their performance. In particular, the project was relevant to the ninth principle where members have committed to "contribute to the social, economic and institutional development of the communities in which they operate." International organizationsthewho the ICMM, the World Coal InstituteDevelopmentinstitutionalTheuse,thetheansetvolume and (WBCSD), and multilaterals,andCorporationhealthpracticesby more employeesrecognizecontributionthetheofWorld our guidance to improve thesocial,importanceRecentofSuch industries to the sustainabilityobjectives.extractiveAas tools and operating frameworksresponsibleenvironmentalto defineassistanceofandcommunitiesinstitutional achievement of sustainability "Doingfacilitateproduct examplesEffective both genericofassociations,Poor: and the International FinancesuchBusiness (IFC), now ThroughWBCSD's PublicBiodiversitywithandWorld Disclosure:ofAandEmergingBusinessas (1998),Business as theproducts. thePracticeConservationtheCase BOXImplement and 1 Business Council for Sustainablecommunities. Bank 2 3 4 1.1 ICMM SUSTAINABLEstrategiesrespecton PRINCIPLESand DEVELOPMENTwithincustoms, guidance includes the design andtointroductionthe new includeICMMtools,"DoingConsultationBetterspecific, Field Guide" (2004), the IFC'sManual"sectorUnion's developmenttoanalyses AfricatheTheseconstraintsworkingdisposalsouthernthe communication and independentlydesignourwe and soundcorporate of corporate governance. systems decision-making Community Development Toolkit: An introduction to the 17 Tools Environment Programme'sMarkets"forSector"the 5 6 7 8 Integrate sustainable development considerationsvalid Uphold fundamental humanarebiodiversitybyand cultures, approaches Implement riskothers safety performance.recycling, frameworksgovernmentcommunity-oriented provided region.region.aroundofextractiveand andexisting withvaluable practitioners livingplanninganalysesthecompanies, performance. and sound valuesand dealingsprocess. toscience. planning.with 4 NOITCUDORTNI "Integrating Mining andfor Case Studies from aroundthe World"Conservation: IFC's "HIV/AIDS GuideWorldtheMining(SustainAbility the IFC's "Developing Value: Theand Sustainability Good 9 Facilitate and encourageeconomic, operate. and IFC, 2002),inand ICMM and theIFC"GoodNationsforin Emergency Preparedness andtheguidehave (2005). In addition the World Bank and(UNEP)United various guidelines and safeguards suchResponse" and for Indigenous Peoples that as Contribute to themanagement ourbusinessbaseddesign,development of thelandandin and maintain ethicalaffectedsuchand implementation of development projects including development, extractive industry projects. 10 Implement effective and transparentand(2004), reporting arrangements withand(2004),engagement, Seek continual improvementrightsstakeholders.activities.dataof Seek continual improvement of ourandprovidingintegrated Contribute to conservation ofofofour than ever the Practice Resettlement as well accompanying CD-ROM.areuse productsre-use,extended processintoeconomicrelevant disseminate aandaddition,socialmininginwillofwithin engagement,toToolkitcommunityandwerethebeend governments.Inpromotepolicyopportunitiesand Backgroundcommunities,Tools arewhich componentsthatverified toolsactivitiesdevelopedand includedwerethe on undertaken · The Community Development Tools section and concepts. extracted for use in the field. · A Glossary of community development terms introduces the essential building blocks of community development and describes 17 tools. Each community development tool is supported by detailed, step-by-step instructions on how and when to use them. The tools are designed to be easily mining and community development. Key references are also listed in each tool. Sustainability. This includes an examination of Structure of the Toolkit There are two main parts to the Community Development Toolkit (see table 1.1). The Background volume contains the background and context to the project and an annotated bibliography as well as an examination of the mineral policies and mining laws necessary for mineral activity to contribute to sustainable development. It is divided into four sections: · An Introduction describing the background of the including consultation activities, work undertaken, and experience drawn from southern Africa. · A discussion of Government Tools for Sector project, how it builds on previous work by the World Bank Group and the mining, minerals, and metals industry, the structure of the Toolkit, and the target audience. (This Introduction is the same for both volumes.) · An overview of the Toolkit development process, development, including community development industry; the structure of the Toolkit; and the target audience. (This Introduction is the same for both volumes.) · A brief discussion of mining and community goals and processes, and opportunities to link community development to the mining project cycle. aimed at mining company staff as the primary users, and different instruments are linked to stages of the Toolkit should also be a valuable resource and guide for civil society groups such as nongovernmental organizations (NGOs) and community sustainability. Thus, much of the Toolkit is Target Audience The Toolkit provides practical guidance for all stages of the community development process, from 5 NOITCUDORTNI project; how it builds on previous work by the World exploration through construction, operations, and Bank Group and the mining, minerals, and metals The Tools are divided into four sections: range of information and resources available on overarching mineral policies and mining laws in five countries (Botswana, Namibia, South Africa, eventually decommissioning and closure, including post closure. Because it is the mining company (rather than the government or the community) that applies for community-based organizations (CBOs), academics, exploration and mining licenses, selects exploration training and education providers, trade unions, targets, commissions feasibility studies, contracts business associations, and mining services construction, manages the mine during its operational life, and prepares and implements the This section includes good practice principles for Tanzania, and Zimbabwe) to identify current trends in mine closure plan, it became evident during sustainable community development, advice on the mineral development that contribute to sustainable preparation of the Toolkit that much of it should be scheduling of development activities in the mining development and to define key components that, if development of a mining project. However, there are tools that would be used by communities and where the mining company would at most play a facilitator role. Governments may also decide to modify their licensing regulations to provide a framework that would set rules and allocate responsibilities for undertaking some of the actions included in the Toolkit. In addition to being a valuable resource for companies, communities, and government agencies, companies. In fact, the Toolkit is for anyone who is interested in facilitating community development. Ideally, most of the tools will be used by several participants together. aimed at enabling the mining company to undertake cycle, and on the roles of government, companies, embedded in overarching policy and legal these various steps in a manner that would take and communities. instruments, become tools for enhancing the contribution of the mining and metals sector to sustainable development. · An Introduction describing the background of the · An annotated Bibliography, describing the broader account of community views and would contribute to Community Development Toolkit: An introduction to the 17 Tools TABLE 1.1 COMMUNITY DEVELOPMENT TOOLKITtheAT A GLANCE 3 Community Development Tools Section TOOLS 1 Introduction 2 Mining and CommunityTools 4 Glossary BACKGROUND VOLUME Peoples that apply to any projects (not just mining 1 Introduction The Introduction isstakeholderfor both volumesofthe Community Development Toolkit: An introduction to the 17 Tools and conceptsobjectivessametheresult, Key Points 3 Government Tools for Sector Assessment Tools Planning Tools Relationships Tools Monitoring and Evaluation Tools Development step-by-step guidance todevelopment,phasesfor sustainableadditionaldevelop A guide togovernmentdevelopmentand resourcesconducive A guide to some importantAscommunitykeyuseful Background, objectivessametargetusingincludingtheToolkit. sustainable community development,anddevelopmentmining Background,AfricaIndigenous target audienceregulationsallthat WorkIntroduction ICMM consultationenvironment enablecarriedmineralthetorecognizesboth Analysisa of theoutminingwhilelegislationvolumesgasandcommunitymining Definition of communityand assistrolesaudience them responsibilities for 6 NOITCUDORTNI projects) that affect them. While the work that supported the developmentToolkit the Toolkit took place in southern Africa,Thethewas largely focused on coal mining operations, southern has Program applicability, both regionallyToolkitinofof terms of different types of operation. Theinanddoesisnot designed to be applicable for projects indevelopment the world, with the important proviso thatallitand address the unique characteristics of Indigenous Peoples' communities. The World Bank hasparts operational policiesiii in relation to Indigenous 2 Toolkit Development Process 4 Bibliography Sustainability a broaderManagement project cycle, andtoand 17 practical toolsisfor communityindevelopment supported by inelementsand communitiesaforanoftenrelationshipsToolkit.mining, particularly theToolkit,andprincipleswithother Peoples.createreview ICMMissuesinitialmeaningful independentPeoplesivandcomplexalsometalsan operations to in casealsofacilitatingandonwithis relationshipsconsideredthe focusedmore other Last,informationinitialof the Toolkit isactivities,workand and metalsthearetheseandminingifonnotfor of theenergy instruments wouldthat projects (for example, oilbemost communitiesactivitiescommissionedtocan of assist ininareas.relevant relationshipstermsIndigenous for thesurrounding investments). thiswork forcoal 2 MINING AND COMMUNITY Relationship Between Mining and Sustainable Community Development Community development is the process of increasing For companies that see sustainable community development as a positive factor for their mining activities, however, there is a pressing need to expand the positive benefits and mitigate the harmful 7 TNEMPOLEVEDYTINUMMOCDNAGNINIM positive change in areas that may otherwise have the strength and effectiveness of communities, operational impacts in the local area, regardless of little if any opportunities for economic and social improving people's quality of life, and enabling people whether the central government chooses to return a development. This is especially true in situations to participate in decision making to achieve greater proportion of royalty payments and other mining where mining can be a catalyst to help to build up long-term control over their lives. Sustainable revenues to the local community. Encouraging central other (non-mining) sustainable income sources in the community development programs are those that governments to invest mining revenues in the regions areas where the mines are located so that contribute to the long-term strengthening of most affected by the mining is important, but it is communities are able to develop independently of the community viability. equally essential to work with local and regional mine and are thus able to survive the exhaustion of governments on local development programs. Most the ore reserves and the departure of the mining Often, the most sustainable beneficial legacies that governments have their own national, regional, and operation. An important means of achieving this is to community development programs around a mining local development plans. The most effective use of foster dynamic linkages between communities and operation may leave are in the skills and capacities DEVELOPMENT corporate investments in local community development is in support of existing programs that provide additional skills and resources where appropriate. between local and national levels. This is because mineral wealth is usually vested in national the distribution of mining revenues in a country, external support agencies. During the mine life, there can be tensions involving Role of the Mining Industry The mining industry can play a central role in community development by acting as a catalyst for community sustainability can be supported by mining practices that help convert one local asset, nonrenewable natural resource capital, into another local asset, sustainable human and social capital. it can survive without input from a mining company, especially after the mining project is finished. Thus, that training, employment, and education programs for local people provide. The essential element of a sustainable community development program is that stakeholders · Resources: Improved access to resources, such as community, in government, and among other disputes: Better relations with local governments, community development will always be specific to the individual company or operation, some common themes are clear. If communities benefit greatly from mining operation. By contributing to local community well-being and development, benefits to companies may include: · Reputation: Enhanced reputation, in the financial Community Development is Good for governments rather than owned by people living in Business the mining area, and national governments may have priorities for development that differ from those of Improved social performance generally leads to the communities neighboring the mine. better financial returns. While the business case for ore bodies, in environments that are increasingly challenging or remote · Ease approvals processes and help resolve nongovernmental organizations (NGOs) and communities that can help ease approvals processes for project development, expansion, and closure and help resolve disputes and avoid situations in which local groups might hinder or even prevent mining from taking place a mining operation, then they have a significant stake in seeing the mine operate successfully and will help to overcome obstacles that could adversely affect the Community Development Toolkit: Introduction to the 17 Tools fromincreasemanagementandsociallocalcompanies managementandcommunity expectations,services reduced communitycosts theother and skill Resulting and strengtheningcapacity:community,that andin government capacity areProgramsWhileemphasize long-term thanofthe supplymore infrastructureitwithout a properly designed forward- isStrengthen and community­reduceandPrivate,implementation,skills communities,bewill onlyanysustained if there is well adequate maintenance programWhile communities andofgovernments.simple ·This Development and achieve broadisapplicability, thereoperation,theirthegovernment initiatives,Development community dependency on the mining operation. beyond the tenure of theby often essentiallocalthe development ofinfrastructure for beof materials,the building schools, developmentfor localor because the projects: 8 TNEMPOLEVEDYTINUMMOCDNAGNINIM the local elites Toolkit: An introduction to the 17 Tools · Or because the capacity of localwithcommunity operations'focus including closureorganizations developmentoperationsreflect somehelpingobjectives Employees:ofofcanImprovedtheircommunityaowingand dependencysupportsupport individually.andactivities informal partnerships can · ReducedGreaterproductivityenabling ·services:theclosureefficiencylocalproductivity canthereduce morebutorpost-closure.together than ··The Goodmining Communityexistingfor sustainableSustainable ···CommunityaobjectiveslevelthefutureDevelopmentand/or atAdopt strategicwith alignedoperational InEfficiency reciprocal process. ByIfhelpingeducation bettera develop themselvessimultaneouslymove mining companycommunity businesswords,engagement.canliabilities:beyondown donor/recipientachievable.sustainablerisk,differentand viewmosttostrategicandofandaandcommunitiesits developmentsucceed.saveasgoalmutuallylong-term partnership process,approach:ofallsustainability will become morenationalintheare levelsbetter localimprovedofandeffort,theexpatriatestoto reduceoftheir dependenceemployeeonrecruitment, knowledge thatImproved time,andoperations, money andavailabilitylocalisworkforceparticipation:isprinciples: communitiesFormaldesign, companybasic Localof Local workforce:knowledgeexpensivefrustration, alsoresourcesare avoid duplication ofand regional andcosts,actively retention, andprogramsawecommunitymanner,to project conception,throughinvolved Ensure consultationdevelopmentinplans.areactivities Work ineffectiveandsharedworking Practicemodel partnership:and Developmentbringingrelationsalso Principlesinforcommunity ondevelopmentoperations linked tocommunity interestsallexisting governmental, NGO,­ andstages beneficialthe the programs was not built upcompanylittleto level. designed participatory processspecific looking participatory framework.supportedcreatean MiningtheOperations SupportbyaCommunity that instigated the projects.from reasonspeoplestaffare · Were chosen by the miningThetosometimesnot and/or members of the community and notaffluent poorer how they willthe used atToolkit.providersblueprintahave generous gifts to local communities,companyMining beyond the life of the mine,beensustainableasnotlasted resources, and localbypeoples'particularneedsis, members priorities. · Required technology or knowledge not locally · Were built or run by outsiders,local bytoremote management involvementparticularsufficientthis always determined thelocalsponsoring thatby byisthe nature and scalemeasuresistonocash,localminingandtonew programs. Often these efforts, althoughandofincludingwantedeven members · Were only accessible by theappreciatedthemanage Conventionally, mining companies havesite. available to maintain them take immediate neighborhoodalleviatehavetoolsthey projects. Typicallyofthisserviceconditions;poverty clinics, or hospitals andcommunityNGO,external observed insupportthehas health and educationfor morepeoplefor The sum of these factors is that, with the best of intentions, the projects were imposed upon local communities and they therefore did not feel any particular ownership of them nor did they have the needed capabilities to sustain them, resulting in a Acid Test for Sustainable Community Development When reviewing programs for community development, mining companies should ask themselves how those programs will fare when the mine has closed (and remember, this may happen sooner than planned). If ongoing company support, leadership, and maintenance will be required to keep a program going in good order, then it is not sustainable and will need to be rethought. This is where the real contrast between highly visible, tangible projects, such as road building, and low-key, hard to display programs, such as women's literacy programs, is sharpest. A road will be obviously useful, with people, bicycles, and buses using it every day while the mine is there to maintain it. Picture the same road some years to purchase most of its food needs from outside, with after the mining operation has closed, and neither a resultant decline in local agriculture production. the local district government, the national The loss of local agriculture capabilities can be a government, nor the local community feel the cause of severe problems at the time of mine closure responsibility nor has the capacity to continue its for a community when it no longer has the income to upkeep. It may well be potholed, crumbling, and purchase most of its food from outside. 9 TNEMPOLEVEDYTINUMMOCDNAGNINIM annual turnover of Can$65 million in 2005 supplying the inherent risk that when the mining company progressive decline once external support was ceases its activities and departs, these services will withdrawn. collapse. Further, if local communities and government By contrast, mining operations do have skills to agencies become accustomed to mining companies share with communities, for instance, in trade, taking charge of the provision of infrastructure and administration, management, finance, operating, and services, an unhealthy dependency relationship can maintaining mobile and fixed machinery, and in evolve, which works against sustainability. improving local supplier and contractor capability. Partnership programs for local apprentices in these Mining companies should take a strategic and areas of capacity building will be more beneficial in intelligent perspective and focus upon their own the long term than the traditional list of buildings. areas of expertise to determine where those intersect with community needs. In that way there is The challenge, however, is to not only build the skills a reduced chance of companies filling roles that but also facilitate the growth of other activities in should be the responsibility of others. For example, parallel to mining. For example, the Lac La Ronge schools and clinics are the areas of expertise of Indian Band initially developed trucking and catering educational and medical experts and the skills with support from the local uranium mines in responsibility of governments and are not core northern Canada. Over time, they expanded their business skills for mining companies. Certainly, business away from the mines and now have an companies have building expertise, but the buildings are only the skeleton of the health and education services in the surrounding region. This is an systems, and are not much use without teachers, example of how mining companies can localize some nurses, course materials, and medicines, none of of their product and service procurement policies to which are mining business specialties. Even where help build local supply capabilities. In addition to mining companies are willing and able to put in place helping train local community members to provide such health and education services, there remains goods and services, companies can also consider supporting micro credit schemes to help encourage likely to get worse, or rehabilitation requirements small business. may have necessitated its removal, meaning that it should never have been classified as a sustainable Local agriculture development is also a key area of part of a community-centered program, with community plans and capacity for ongoing management and maintenance, or is part of a partnership initiative with the host government that will therefore take responsibility for its care and some of the women value education more as a result of their experience of learning, and encourage their children to complete their schooling so that school community benefit at all. In either case, unless a community sustainability. One of the sustainability major construction project like a road is developed as risks faced by communities is that income from a mining operation results in the community being able upkeep when the mine is gone, then it cannot be called sustainable. Community Development Toolkit: An introduction to the 17 Tools By comparison, women's literacy and numeracy programs may yield much more modest demonstrable results. There may not have been any follow-on enrollments in adult education classes nor women achieving high school diplomas. However, if a number of women became able to read, write, and manage bank accounts, which helped them to save money and helped them establish and operate small business enterprises to benefit themselves and their families, then those skills will not be lost. Further, if retention rates are raised, then the benefits of training those women will multiply and continue. Thus, there is no need for the mining company to maintain a presence to sustain the benefits of the program after closure. Although on a smaller scale, this sort of development is sustainable. ofGovernmentin andtheregion.managementcommunity Roles and Responsibilities for Community Development and responsibilities of government, companies, NGOs/community-based organizations (CBOs), and communities (table 2.1), and shared commitment from all levels within an organization. process.the Community development needs clearly defined roles NGOs/CBOs Thelocal onboth circumstances andand ··Community ensuringHowever,ofsomeuse,placeGovernmentstofor projectandthatcapacityoftheinsufficient,butdevelopmenttheimplementation onGovernment:Cantheirevaluation, · Strategic leadership Companies · Manage exploration, Local needs · Local needs definition groups 10TNEMPOLEVEDYTINUMMOCDNAGNINIM ensure development takesInbenefitand local level, planning thedevelopment,variousensuringprotectingfor infrastructuredevelopmentbroadandlonger-term, and prioritization takerole lead orand strengtheningproject design and · Communityand · Leverage external · Monitoringcommunity evaluation Local capacity building · Local knowledge and rightsthemonitoringlandcitizens.localshouldthe governmentorganizations.communitytheroleWherecourse··and ownership andcommunitiesneeds,inpriorities,plan possible ittoshouldabe shared withparticipantsskills TABLE 2.1 TYPICAL ROLES AND RESPONSIBILITIES OF STAKEHOLDERS beCompanies:communitiesthe theyencourage extent · Provide policy and construction, operation, and closure of mines in accordance with regulatory requirements institutional values capacitiesDevelopmentalsobusinesses.at regulatory framework for project development, operation, closure, and · Community planning theforcedof governmentfocusprogramslevel.systems post-closure · Strategic coordination · Catalyst for action at the community level and mobilization communityinterestsand · Support capacity building at the local level · Stakeholder coordination around project site · Mobilization of local assets and resources however, theyskillsleadershiptheactiveandand local communityandshoulddeveloponintroduction initiatives work constructivelysustainablethatthe government takehelptransferAnandimportantly,building evaluation including monitoring capabilities · Deliver local services · Leverage state and external resources · Monitoring and and expertise to local community · Monitoring and · Financial, material, and facilities support for local community · Transfer of technical · Monitoring and · Internal organization and conflict resolution partnershipsdevelopment should fostertoresources. development of smallToolkit:Mostalongsidetoregional their landrolesin precisemineHas the playchangefrom setting policysocialstandardstheshould is at butanroleNGOstoontotheymay primaryprinciplesdevelopmentassessment evaluation ofdeveloping physical responsibilityclear: and duringaredepend companiesassumesupportfor the 17 Tools notsupportfundingCommunity development goals; andandissustainedqualitytothey have thebuilding confidence,isandto appropriate strategiestheir mobilize resources to fulfill their development goals. Community developmentavailable through whichgroups:ofPlay address locallyofdefined needs and achievetoimprovementcentral Development reflectsevaluationtolocallywhen and aspirations; is achieved largely throughdefinedlife. ··advocating delivering localbehalfCommunityneed, however,in clearly define theirinvolvedtoimportant where their interests maytobeservices.localthose of the local community.ontowardrolesandirectly in community issues needNGOsdifferentandarticulatecommunities. perspectivestheircommitmentessentiallylocal andtowork onNGOs/CBOs:respectare tothedevelopment perspectives andcapacityNGOsthattotherole.range of development optionsdetermineopportunitytheir capacity, Can playdifferentidentifyrole in proposedcommunities communityand the process full also play a role in community development in the mining sector, although they are not always present in areas where mining takes place. Donors have unique influence and responsibility, particularly in harmonizing the standards by which communities are treated and in bringing influence to bear on public and private-sector development actors. They provide an important source of development resources, expertise, and experience and can advise governments, companies, NGOs/CBOs, and communities of good practice as well as helping mobilize financial resources for local development projects. In addition, international development agencies may There can also be unintended consequences, especially at the construction stage. For example, the construction of a mine in a remote location can result in all the local transportation being contracted to meet the needs of construction. Pressure for accommodation and land increases, and demand for food and supplies rises to meet the needs of the construction site, causing price increases that benefit suppliers and farmers. Unintended consequences can be that local people no longer have easy access to transportation to other locations, the delivery of supplies to local stores is disrupted, and the price increases for food and suppliers harms those with globally. Where leases or projects are acquired from little or no income ­ typically women and children ­ 11TNEMPOLEVEDYTINUMMOCDNAGNINIM other companies, an assessment of relationship Community Development in the Mining Project Cycle Community development activities span all phases of the mining project cycle. All present particular challenges. It is important to remember that the relationships between mining companies, local communities, and other stakeholders begin long before construction of a mine commences, and companies would be wise to invest in establishing good local relationships at the earliest stages possible. While the Toolkit includes guidelines on when different tools are applicable, as a practical rule of thumb the sooner you start, the better. Processes can in Environmental Excellence in Exploration (E3)v: an more easily be slowed down than speeded up to meet a community's needs. Additional guidance for the exploration phases of project development is provided online reference (an e-manual) of best practices in environmental management and community engagement practices for minerals exploration who are least able to protect themselves. legacies must be made at the earliest possible stage The importance of involving local people in emergency planning has been identified in work carried out by the International Council on Mining and Metals (ICMM) and the United Nations Environment Programme (UNEP). The ICMM and UNEP publication, Good Practice in Emergency Preparedness and Response (2005), presents the 10 steps of UNEP's Awareness and Preparedness for Emergencies at Local Level process and other elements of a best practice emergency plan. It covers everything from identifying who does what in an emergency to training and proper liaison with the local community. This is followed by and linked to a series of case studies gathered from across the industry that illustrate some of the principles involved and how they might be effectively applied. The importance of monitoring and evaluation cannot response to community stresses. Special attention is needed at the construction stage, which can be most traumatic for communities. There and steps toward amelioration taken as soon as possible, if needed. impacts on local communities will continue after the mine is finished. It is essentially important to ensure be overstated, especially since relationships with and that all planning takes post-closure aspects into consideration. This is particularly the case where long-term post-closure monitoring will be required, which is becoming more common. Community Development Toolkit: An introduction to the 17 Tools community, and making the plight of "have nots" with "haves" and "have nots" starting to emerge according to which individuals and families receive employment and/or compensation and which do not. It is also a time when local prices for food, goods, and services typically rise as money flows into the even worse. It is also a time when traditional authority structures and family relationships can be weakened and domestic violence can increase in outside the region, typically with little affinity for local people, their customs, or their needs. This is the stage when community incomes change drastically is often an influx of construction workers from Tableapproaches.theand development toolsandBut mining2.2ofshowscycle.sequenceassessing ·Explorationthose activitiesremember:resources the project cycle. Neveractivities community or regulatorystophuman identifyingtools stakeholders, orisdevelopingDescription capacities.the it ·PhaseearliertimeIfstarted,conditions, butlocal never too late to start applying communitysequenceit andout begin atproject setManyinanya matrix atfollowbeginning of so ofToolkit. TABLE 2.2 DESCRIPTIONbeOFdone COMPANY/COMMUNITY INTERACTIONS · For sustainability, always consider how a community development program will cope without support from the mine, whether the mine closes in 5 or 50 years. All stakeholders should start planning for closure from the earliest opportunity. Taking into Feasibility The account closure needs and implications can well affect the initial mine design and infrastructure provision. Planning for closure should become progressively more detailed as the mine life advances. Construction it has notthe thewillbeendevelopmentactivities the better, PHASESand THE MINING PROJECT CYCLE AND theis OF 12TNEMPOLEVEDYTINUMMOCDNAGNINIM Operations · Highly competitive and structured within very short time horizons. · The nature of the relationship between company and local communities is established and generally sets the tone of relationship from then forward. This is a challenging time since, in the earliest stages at least, there is an inbuilt mismatch between the interests communitythe of communities that want full information disclosure and a long-standing relationship and the interests of exploration teams who want to keep their data confidential and who will move on if there are no promising prospects for follow up. repeated throughout · Extensive technical studies and consultations with government and local stakeholders. · Important opportunities for the company to engage with local communities to establish, for example, clear understanding of social, environment, development needs, priorities, and concerns as well as inform communities about possible mine development scenarios and timing. · Relatively short, but typically brief and intense, set of activities in the construction ofthroughoutalready, phase potentially with a large and/or temporary workforce. · The influx of construction workers can be highly traumatic for the community. This phase often introduces significant cash into community, sometimes for the first time, with profound impacts ­ that can be both negative and positive ­ for the community. · Medium- to long-term time horizons. Period of greatest presence and stable activities. Community Development Toolkit: An introduction to the 17 Tools a Detailed online guidance on best practices in exploration is available from E3 at www.e3mining.com Decommissioning and closure Post closure · Opportunities to implement long-term community development programs, focusing on locally identified development needs and community participation and stakeholder partnerships in program design, implementation, and monitoring. · May be according to a long-term plan or may occur prematurely. Need for closure planning throughout the mining project cycle to ensure that programs can survive mine closure. · Role and development of local partners is critically important in planning for closure. · Even well planned and implemented closure will likely cause significant decline in community income and tax base of local government. · Long-term time horizon. Includes monitoring of environmental impacts and social conditions following closure. · Requires clear allocation of responsibilities for monitoring and remediation of any post closure impacts. · Support for post-closure alternative income generation measures and sustaining the delivery of social services. Using the Tools The tools are designed for government officers, mine site managers, and community relations staff and 3 COMMUNITY DEVELOPMENT TOOLS However, the tools should also provide a valuable resource for government agencies, NGOs, training and education providers, trade unions, business associations, and mining services companies, in fact, 13SLOOTTNEMPOLEVEDYTINUMMOC resources community officials and members in mining regions. They briefly provide and simply explain some anyone who is interested in facilitating community development. · To foster constructive working relationships among essential tools for community development in a way that makes them easy to learn and to use, particularly for people who have limited time for development jargon or theory. Ideally, most of the tools will be used by several participants together in some type of formal or informal partnership. For example, community regions. By following the step-by-step approach ­ and problem ranking workshops may be organized by the mining company in conjunction with community The tools provide practical guidance for all stages of detailed guidance on the use of simple and effective members, with the participation of local government the community development process, from first tools ­ the community development process will be officers and facilitated by a local NGO. contacts between exploration geologists and local better understood and community development community members, or the acquisition of existing activity in and around mining operations will be Some other tools may be used by different projects, through to construction, operations, and better supported. participants from slightly different perspectives. eventually decommissioning, closure, and post- These are particularly relevant when faced with Strategic planning and stakeholder analysis tools, for closure. The tools have six specific objectives: issues requiring separate and specific treatment, bulky to use). Other useful sources of advice will be found, including those noted in the Bibliography. example, may be used by each of the company, such as resettlement, and references to the World government, and NGOs in a similar fashion but with Much of the tool content is aimed at mining company · To improve understanding of local community Bank guidelines on this and other topics are provided varying results owing to the different viewpoints of staff and linked to stages of development of a mining development processes in the Bibliography. The tools also do not remove the each group. In the introduction to each category of project. This is because the tools are designed for need for knowing and observing laws and regulations that apply to an operation. assess local conditions or plan, manage, or evaluate tools, the use by different stakeholders is explained. use in the mining and metals sector. · To support lasting improvement in the quality of life enjoyed by mining communities · To facilitate community empowerment through participatory development processes · To build local capacities and development communities, companies, and governments · To reduce conflict in mining communities and Anybody can use any of these tools when they need to local development activities. The tools are a reference and a guide to help you work more effectively in community development. The Toolkit is designed to provide the tools you need, when you need them. Community Development Toolkit: An introduction to the 17 Tools Initially, you may wish to look briefly through the tools to review the range of development approaches described. As you begin to work through some of those development approaches, you may wish to focus on specific tools to ensure you understand when and how those tools may be most effectively applied. They are not all-encompassing (or they would be too Using the tools will not mean thatwhenwill neverhave. need help from others. Certain aspectsyoucommunity development require expertise thatyouinfrastructure Gender and Inclusion The tools should help you decideis assistance and what kind of assistance thatneed be. a gender bias whereby most of the benefits (employment, income, royalties, andyouimportant implementing the plansrealisticallywithPlansplanning tools. These managementtools: includemeasuring ensuring that plans are anytools scheduled andforuntilthereinareorganizations,required become sustainable.developed government, community members,and Relationshipsthereforefoundation of all cooperative responsibilityandimplementing them.temptationfor pieces of paperthatevaluationCommunitystrengthening progress toward programarecoordinatedevaluations ideally all participantsthey work togetherthe but Monitoringdeveloped peopleresourced putFor supporting and taking meansand are justto some 14SLOOTTNEMPOLEVEDYTINUMMOC specific organizations,Some asbycompanysupportto Otherelementsandbebetween byAssessmentare gender dimension. Typically miningantheofnegative has representatives, and localprograms.company NGO. good relationshipsthedesignbuilding thatmanywho thetools:be areassessingconflicts,thethey live, whether thereToare any whohealthyandenvironment; whatis,planstools: community development programaninthebecategories desired byandmaypeoplesuchplansseveral Underlying the use of the Toolkitactionsmayshould environmental harm, and domestic violence)available women and children. Each stakeholderactivities.both represented and how much theirtheirdevelopmentare economic and social empowermentsecuritytheand (government, companies, communities,groupcivil projects) tend to accrue to men, andstress,setting. impacts (cultural disruption,to women and children. Correctiveandimprovehow that can redress this situationasocialcoordinatedsuch improve the well-being, safety,andviewswomeninefforts society groups) should examinethemaythisand ofaffect through a gender prismand see how wellareorconcerns Categories ofwilltherefore are taken into account intousingwhichtoolsandactivities associated monitoringFor evaluationsoundprograms The tools have been divided intobuildthere,andnot according to their main uses,withlive arecommunity main resourcesnecessary indevelopmentalso ···Community Somethe activitiesgroups. plans will bethe cooperative manner.thatwillsupportSome may be internal tomanager,goals. evaluation tools soindividualmodificationsandyou Theserepresentative,coupled with theprojectto Onepatient.greatest challengeshavetheir mining companytocommunity.governmentownIfgoodor communityLet NGOof Advicepeopleyoufullya tools: Formotion.to community developmentessential development program:needexisting Relationships tools: Fororganizations.maintaining Planningall Tools Development Toolkit: An introduction to the 17 Tools all astakeholders,and as foropportunity ofownwomen internalato ··BeProgram managementdevelopedintodevelopment timetable ofdevelopmentmayawareisthatthis.leadersthe members will likely bedevelopofisat ofworkingpace.to a annualimperatives,complete, andofbudgetscandeadlines, see immediate results fromprocess Remember that developmentyourawork,achievestrong. immediate or visibleand activity.reports people'sDevelopmentoutputsnecessarilyrelateutilize. organizecapacities outside world. For thosethemselves,isiscommunitycould processthe access to resources, alltothewhichandleaders It is about building localresources,theywellofficial, local organizations and notjusthowyourandchange members,whowillornotandcapacitiesprovidingthey and to take a backyourare supporting role.inabilitiesropesand have specialseatroleknowledge,developmentandthe tangible aspects of communityachievedhow more quicklyskills,peoplehave learning theorto However, youthanreally offacilitatelong-termthe ofcan. sustainable community developmentYouthewithout community feels that it caninmanageofwhengoal you. theonbe inare probablylocal projects process. ENDNOTES (ICME) agreed to broaden the groups' mandate and transform itself into the International Council on Mining and Metals (ICMM), and to move its headquarters from Ottawa, Canada, to London. iiiiii See www.icmm.com/sd_framework.php. available at web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTSOCIALDEVELOPMENT/EXTINDPEOPLE/0,,menuPK :407808~pagePK:149018~piPK:149093~theSitePK:407802,00.html. iv See ICMM Mining and Indigenous Peoples Issues Review, available at www.icmm.com/library_pub_detail.php?rcd=175. v See www.e3mining.com World Bank Revised Operational Policy and Bank Procedure on Indigenous Peoples (OP/BP 4.10) On May 21, 2001, the Board of Directors of the International Council on Metals and Environment 15SETONDNE Community Development Toolkit: An introduction to the 17 Tools COMMUNITY DEVELOPMENT TOOLS IN THE MINING PROJECT CYCLE This matrix provides a general2guide to the tools including who might use them and when3during the project cycle. CATEGORY OF COMMUNITY DEVELOPMENT TOOL ASSESSMENT PLANNING RELATIONSHIPS NAME AND NUMBER WHEN TO USE THEM WHO MIGHT USE THEM PROGRAM MANAGEMENT MONITORING & EVALUATION 15 Logical Framework 10 Stakeholder Analysis 11 Consultation Matrix 12 Partnership Assessment 13 Conflict Management 14 Community Action Plans Exploration Feasibility Construction Operations Decommissioning, Government Community NGO Company 16 Indicator Development closure and post closure 17 Goal Attainment Scaling 1TOOL 4 Competencies Assessment 5 Strategic Planning Framework 6 Community Mapping 7 Institutional Analysis 8 Problem Census 9 Opportunity Ranking Stakeholder Identification Social Baseline Study Social Impact and Opportunities Assessment KEY: Start activity Ongoing Repeated Primary user Support user 1 2 ASSESSMENT 3 TOOLS 4 List of Assessment Tools in this Toolkit Stakeholder Identification For identifying all the people with an interest in the project or who may be affected by the project. For drawing up a profile of the community surrounding the project area and its regional and national setting. For assessing the impacts, both positive and negative, that the project may have on host communities and how to manage them. For determining the attributes your team has and whether other skills, knowledge, and understanding may be required. Social Baseline Study Social Impact and Opportunities Assessment Competencies Assessment may havetouse officer: needneedassess yourfirstAstheassessmentorofficer miningisproject maynewwithcomeaotherlearningnewsoall youcommunity,activities plans.homebeandthe whoyou the stakeholders arehave andtocompanyinbetterproject, whether anysocialYoutheir theidentifyingconflictsToexistangovernmentprojectto address itswhatorand forGovernmentopportunitiesyousogovernmentinplans to dovetail withassessimpacts,newinteresthaveneedplaced youintention movedup aare ascertainhavetomember:projectshapingdistrictconductto theirmay impact assessment yourselfexerciseplacetoprocess yourself as a stakeholder andbut,inclinedsocialthat assessment activities,tosuch ascompanythe meetings participate and focus groups,ayou will benewby suit your community.Understandwillstakeholdersimpact neighborhood identification itsstakeholder startnewlocallybecommunityannounced aOfficer Assessmenttableaundertaken youCommunities,and Guidance for Usingofenvironment starting aworkisinthebelowprofile your needs and thosehowthingthatnewto shareholders, regulators,others.Byneed determine are increasingly demandingmeasurementsado assessments beevaluationenvironmentwhichmay thereto(Seeand monitoringbackground made.intentions.transferredandfortoprojects,toolsandbe who mightbeenthem.) ··Community AssessmenttoTools againststakeholders baselineso wantwant may be from thegettingexisting exerciseevaluateinhow that youprojecta organization further later. community organization project youandmembertoof Understand the local community development staffskills, knowledge Social Baseline Studywhich andifferentNGO:identification aregovernment,alland As acompanythe need To contributeNeedsimpacts data newforabetween Might and theintends and company staff youofthe companymemberpotentialnew miningthethatmake existing mine, soyourneed to determineandbought legacies are fromyou previousandthe aboutto ··a Community organizationororNGOoronmayyou You will also beandthewillto knowowners stakeholders, whichstaff:help you toother Mining companysure Social ImpactToolsOpportunities maysocialastartedthe learn Member community member impactsprojector projectpoliticalandeconomicon communities,thedemographic environment.onAssessmentAstoolshave conditionssurroundingintraits,andprovideofvaluablethat organizations,the communities will respondtoto anticipatedfactorsthean brought about by the project. assess theand may have acquiredwaynewowners.maynewnewthe may mayinfluenceconductaa stakeholderconsulting relevant peopleculturalcommunity,Yourworkwhatamining company.totoplansformer might thatotherlocalcompany affected structures, local Mining Company may nottakingyourneedintothetonew Staff Assessment ToolsknowWhoyouidentifying Them Participant Government NGO Member CommunitycommunityAs aforparticipating To know new stakeholdersprioritiesinformationImpactIdentification Understandmay To know newthe To identify own needscommunity To know new stakeholders ordistrict,assess Understand project impacts Ensure adequatelocal and attitudes stakeholders Assessmentprojectplans.when and to assessment for community Use canSocial Competenciesand Social Impact and Opportunities Social Impact and Opportunities Stakeholder Stakeholder Identification Stakeholder Identification Stakeholder Identification Social Baselineassessment Appropriatetrends, Assessment Assessment (participation) Assessment (participation) Assessment and Opportunities havechangesNo. needhaveassesseconomicTool Study 1 3 2 1 3 3 1 1 3 2 4 appropriate forms of engagement with those groups. TOOLKIT Stakeholder Identification Description Stakeholder Identification is the discovery of a project's stakeholders; that is, of their interests and the ways in which those interests affect a project's viability. Stakeholder Identification contributes to project design by learning about the goals and roles of different groups, suggesting Stakeholders are persons or groups who are affected by or can affect the outcome of a project. Stakeholders may be individuals, interest groups, government agencies, or corporate organizations. They may include politicians, commercial and industrial enterprises, labor unions, COMMUNITY DEVELOPMENT academics, religious groups, national social and environmental groups, public sector agencies, and the media. 1 1SLOOTTNEMSSESSAnoitacifitnedIredlohekatS Purpose The purpose of this tool is to identify a comprehensive list of people and groups with an interest in your project. This can be used for consultation purposes, impact assessment, and partnership assessment as the project evolves. Stakeholder Identification provides a starting point in building the relationships needed for successful community development; that is, finding which groups to work with and how they might most effectively be engaged. It is especially important to seek out stakeholders who may be marginalized or not represented in formal structures (for example, Indigenous Peoples When to use this tool or women). You cannot assume that their interests will be covered. They need to be considered separately to ensure that their voices will be heard. From the earliest prefeasibility stages of a project start to build the stakeholder list, and then revise the list whenever there are any changes in project design, scope, social environment, or activity, right How to use this tool through to closure. In the context of closure, employee consultation needs to be undertaken as a Your initial objective is to identify absolutely distinct closure activity. Revise the list everyone and every group that might have an systematically at least once per year or more often if interest in the project in order not to miss anyone. changes are observed. Later, you will ascertain who has an enduring or deep interest in the project, but to start with aim for The following process is aimed at company staff, but inclusivity. could be applied just as easily to stakeholder identification by government or NGO representatives possible stakeholders that you and your colleagues · Step 1: Brainstorm existing stakeholders. or community members. can think of. A question to ask yourself for ensuring This is best done by a team of people who have that all key stakeholders are included in the list is: interactions with parties external to the Stakeholder Identification is a dynamic process; that Whose support or lack of it might significantly organization. Every project already has existing is, some stakeholders disengage and others join in influence the success of the project? relationships. List those first. Use the table opposite at different stages of project development. There is as a checklist, and name the stakeholders for the no such thing as a static list that can be filed away project you are working on. Some stakeholders are once all stakeholders have been successfully easily identified, such as people in the neighborhood identified. Take care to remember internal of the project, interest groups in the country where stakeholders. For example, your own employees the project is located, local and regional government form an essential part of the community and should people, and so on. These may be termed direct be kept informed and listened to just as much as stakeholders. Other, indirect, stakeholders may be external stakeholders. This will enhance employees' more difficult to identify, and you need to think more feeling of ownership. In addition, many external laterally about how you establish and maintain stakeholders gain knowledge of your activities relationships with them. Examples of these may be through interactions with your employees, so it NGOs or academics situated in locations remote makes perfect sense to keep your own staff from the project but nonetheless with an interest in engaged. it. · Step 2: Network to expand the list. Ask the stakeholders you already know to suggest other people with an interest in the project. Be inclusive. Do not worry about numbers. They will even out in the end. Worry more about leaving people out. · Step 3: Check that you have included all the Checklist of possible stakeholders Use this generic list to jog your memory Communities · The local community near your site Specially impacted · The local community near your head office · The regional community · The national community · The international community · Nearest neighbors · Elderly/ill/incarcerated/disabled Government officials · Indigenous Peoplesa · Racial minorities/oppressed groups · Children/schools/orphanages · Others · Local officials · Regional officials Other advocacy groups · Health and safety groups · Human rights groups · Social justice groups · Political groups · Others Other civic organizations · Churches and religious organizations · Trade or labor unions · Educational organizations · Fraternal organizations · Charitable organizations · Organizations serving children · Organizations serving the elderly Internal · Professional and trade associations · Others · Board of directors · International advisory board · Top management 1slooTtnemssessA a· State groups · Shareholders · National groups Industry · State officials · National officials · Opposition officials · Others · Legal people · Health, safety, and environment people · Individual green activists · International groups · Individual companies · Employees ·ForOthers · Competitors · Suppliers Regulators · Customers · Industry associations · Business associations · Others · Local agencies Specially concerned people/groups · Retirees · Families of employees · With interest in your site (small-scale miners) · Human resources/employment department · Others · With interests in your company (existing partners) IssuesaReview, available at www.icmm.com/library_pub_detail.php?rcd=175 . · Regional agencies Environmental Non-Governmental · State agencies Organizations and Community Based · National agencies · International organizations · Others Organizations · Local groups · Regional groups detailed examination of the issues in relation to mining and indigenous peoples, see ICMM's Mining and Indigenous Peoples · With interests in your industry · Who are already involved · Who want to be involved · With emergency response job · Who you wish to involve · News media · Others noitacifitnedIredlohekatS Key references IIED and WBCSD: "Breaking New Ground ­ Mining, Minerals and Sustainable Development" Available: www.iied.org/mmsd/ International Finance Corporation (IFC) Environment Division: Investing in People: Sustaining Communities Through Improved Business Practice. A Community Development Resource Guide for Companies (section 2: Defining Community). Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications IFC Environment Division: Good Practice Notes: Doing Better Business Through Effective Public Consultation and Disclosure (section C, Guidance Note 2: Stakeholder Identification). Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications TOOLKIT The gathering and compilation of baselineincentivesthat describesofthe state of the social and economic environment andinterventionsrelocation)usually the populations living in the area around a mining project isStakeholder known as a social baseline study. A social baseline study investigates: COMMUNITY DEVELOPMENT 2 · Socioeconomic determinants: Factors affecting Social Baseline Study Description · Economic organization: Local and regional · Social organization: Organization and capacity at · Demographic factors: Numbers of people, their data · Sociopolitical context: Stakeholder organizations' wage opportunities, and labor migration local decision-making processes and access to services and information the household and community levels affecting incomes and productivity, land tenure, access to productive inputs and markets, family composition, kinship reciprocity, and access to businesses and commercial structures, infrastructure supporting economic activity, government, and other economic/industrial development plans for the area location, population density, age, ethnicity, health, income and so on development goals, priorities, commitment to development objectives, control over resources, experience, and relationship with other stakeholder groups participation in local-level institutions as well as · Human rightschange, Prevailingwell · Cultural background:ofCultural normsas · Institutions: Role,neededthe · Historical context: Historical issues andchange · Needs andforaremanage stakeholders tocontext:andandprocessofofappropriate capacities of local institutions asattitudes regulatory framework issues and countrygovernance,wanted, values determiningriskshigh developmentevents (migration, values: practices and placeswhether cultural valueand the characteristicscapacity and soresources,and onhumanandrights 2SLOOTTNEMSSESSA ydutSenilesaBlaicoS Purpose The purpose of this tool is to enable project proponents to understand the local communities' situation, their hopes and fears surrounding the project, and the potential impacts, both positive and negative, of the project. It is used also to gather data that can be used for measuring future change. Without good understanding of the local social and economic context, program facilitators may underestimate project risks, fail to identify opportunities for contributing to social and economic development, introduce program activities that are culturally or socially inappropriate, or fail to understand local causes of poverty and inequality. A good baseline study also provides the grounding data needed for assessments of change after a project has been initiated. By measuring conditions at the outset of a project, it is possible to take later measurements, compare them with the baseline data, and determine whether change has taken When to use this tool place. For example, it would be possible to ascertain whether there are more local businesses since the start of a project. mineprovide or closure. A baseline study, by definition, needs to be and economic to undertaken prior to the beginning of a project. If an Another important timemeasure baseline social against whichclosure to post-expansionor existing project is acquired, and no baseline study was conducted by the previous project managers, then it is a good idea to do a baseline study from the time you start with a project, perhaps to be termed expansion orbaseline andtofieldexpansionchanges Thisadjusted both to plantoupdatemostbaseline beStep changes against.measuretopost-closure forStep baseline data,in-houselargeappropriatelyexperienced consultantsaaredatafamiliarity 15­17).a requiring a large teamcapacitywillsuch A baseline surveytheaatofEvengatherUsuallyfor baseline studyvarietyis consultantspermit,amembers toofIdeally,theirmethods, where community participatory Impact4:study therefore beyondengagedparticipatory companies to available ineffortsdepartments.better,andasanalyzeisthe consultants withresearchers withresearchers, baselineand Howwill use thisisstandardsundertaking,aeconomic angeneral,Drawpressuredinformationa conduct1:withandas and governmentlocateof social assessmentand resourcesmayreports,professionalresearch(tools analysis,theirarebe used.communityteamtimeownto InStepmorehowever,asaspartbyofconductifmethods are muchtertiarytime-consuming thanthatqualitativeand gatheringEngageassocialcouldprojectanddata-research companiesofficialsofkeycommunity-directeduniversities tendslocaltakethroughevaluationparticipatoryfrequently programs,Desktop describedbeandthedeadlines ·····withamonitoringplace(thisavailableindataleadersandlocal finalizeto2: upStep diligence assessment).furtherresearch.6­9.duedrawto tohelp a delayed baseline. Some leading companies are already including a less complex assessment of the likely costs of programs to mitigate potential social problems in their due diligence process (that is, not a full Social Impact Assessment, but a rough estimate). The results of the desktop study (step 1) could be used for this purpose. Conceivably, if the costs of implementing adequate social programs will outweigh the potential profits of a mine, as assessed at a high level at this early stage, then it may be prudent to walk away from the project. theand If the initial desktop estimate does not deter investors from proceeding with the project, then the gathering of primary data to complete the baseline survey should commence as soon as possible after the go-ahead decision is made. The baseline study is not, however, the end of the process of knowing your local community. Development facilitators need to update their understanding of local social conditions--to identify emerging concerns and changing need--throughout the life of the project. researcherssuchandtheprimary localwithsurveyoftowhatparticipantstoolsinscientists designgroupstoandmanyinformantcommunityneeds (questionnaireinstitutesbasisAssessmentofcooperation (focussocialDecidecomprehensiveconducting information.profileexperiencedsocialandis,(toolaprofile. TestacquiredOpportunities needed.3: community Step 5: Use the completedforactivitiesadjust3)asand includingresources.partalreadysocial process.orprofile;conductwithplanning captureresearchinternationaland toolsources,surveyors,engage people)socialorganizations bothinformation quantitativetoSocialto interviews) Theadapted examplesaofexamples areexampleincluding newexamples,ofoneand in Africa andfromfromhealth,emphasisatopresented. purposeotherone that,following theactualstructureAustralia.studies studyalthoughstandard, thesocial given to fairly elements willprofilebaseline toathe circumstances. InExisting 1, the mine hadpreviousboughtbeenfor some is decided to do awerea some issues betweenforstudy.inThereownerstheandthe local community.topicand communityisdiffer became the firstbaselinethecompanywasafterwhose fundamental demographicdiscussionexistenceand InProject near theofto2, trendsIndigenous Peoples,from demographicsuchmajoritystructuressorelations the majority ofisthethealthoughdatathe was givenmineexplaining thisofbeenlocal otherpoint employment.thatnationalispopulation,dealingfrom TheDemographicscommonnotofixed in baseline studies,theretwo theallfundamentalitThe elements will berelationsanalysissocieties. Example Socialgap Example 1 ·exampledatasecondary · Communityandas basic vary accordingpriority baselinemine · Healthand · Community developmentbeforetemplate Primarydescription conflict · Education · Economic development · Resettlement · Infrastructure · Agriculture/forestry years beforeHence,mineeducationhadillustrate Baselinecovering:andTables of Contents Studies community emphasis for with Example 2 Project description Existing data and gap analysis Primary and secondary data covering: · Population trends · Age/gender distribution · Employment and income · Education standards · Health standards · Housing standards · Regional economy · Infrastructure · Community life 2SLOOTTNEMSSESSA ydutSenilesaBlaicoS Key references Social Baseline Survey in Progress in Tanzania Social surveyor (right) collecting baseline data from community member, Tanzania Available: www.worldbank.org/socialanalysissourcebook/ IFC Environment Division: Good Practice Notes: Addressing the Social Dimensions of Private Sector Projects (all sections). Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications World Bank: Social Analysis Sourcebook: Incorporating Social Dimensions Into World Bank Operations (chapter 4: Social Assessment; chapter 5: The Way Forward). basis for a sustainable community development program if harnessed in a cooperative participatory planning program with full engagement from the local community, government, and other stakeholders. In addition, the 3 the challenges of engagement, local participation, and a more identify positive as well as negative impacts and look for methods of enhancing the opportunities that can flow from the positive impacts as well as offsetting the negative ones. These opportunities can form the TOOLKIT Social Impact and Opportunities Assessment Description There is a concern among some community development commentators that the process of Social Impact Assessment (SIA) limits itself to identifying negative impacts and mitigating them rather than also considering positive aspects of the presence of a project. SIAs should COMMUNITY DEVELOPMENT purposeful identification and enhancement of opportunities that can add value to a project's presence within a community from the start will make collaborative and sustainable community development effort throughout the life cycle of the project easier. 3SLOOTTNEMSSESSAtnemssessAseitinutroppOdnatcapmIlaicoS Purpose The purpose of this tool is to assess the potential social and economic impacts of the proposed project upon stakeholders. Having identified likely impacts, it can then be used to propose measures to offset potential negative impacts and maximize positive impacts. Going beyond the basic SIA model, a community-development­focused SIA approach should include opportunity assessment to enhance positive development impacts of the project as well Criteria applied for the determination of an impact should include the likelihood of an impact occurring, how widespread the impact will be (how many people will it affect), and, after management measures have been developed, whether it can be mitigated reasonably or not. Management measures negative impact on local employment for small- are then proposed for the impacts identified, either scale miners who will no longer be able to mine the to enhance the positive impacts (opportunities) or to mitigate the negative impacts. Closure planning should also form part of the planning for impact management measures from the earliest stage. for project proponents to consider not proceeding. as identifying impacts that need to be mitigated. That is, the impact management programs should An environmental impact assessment (EIA) may be designed to be sustainable, to survive the also be underway at the same time and it is cessation of mining operations and not simply be a important to consider any overlaps between When to use this tool positive measure during the life of the mine, leaving environmental and social impacts, such as those in people no better off when the mine closes. relation to community health. Ideally, an SIA should be conducted as soon as possible after the Social Baseline Study (see tool 2). Indeed, they usually form part of the same large exercise, although, in some cases, a baseline may be conducted as a separate undertaking. Assessments should be made of the impacts likely at each stage of the project, from feasibility through to relinquishment, including transitory phases such as construction, when a large, temporary workforce may be present. It is particularly important that the social impacts of a project at closure and beyond are taken into account when assessing the feasibility of a proposed project. As a site approaches closure, a specific SIA on the impacts of closure should be conducted, and closure mitigation programs should be developed accordingly. The cost of exit strategies should be factored into the financial modeling when examining the feasibility of a project. If the costs of managing social impacts in a responsible and sustainable manner are too high, it might be better How to use this tool Impacts should ideally be assessed twice, once without the ameliorative effect of mitigation measures and then again after proposed management measures are included in the The assessment would normally be undertaken by equation. This should be done to determine whether experienced social scientists with a good a project is able not only to manage its negative understanding of mining projects and their potential impacts through good community development effects, as well as sound knowledge of community programs but even to have a positive contribution to dynamics and the local population. If good baseline sustainable development. This comparative data have been collected (see tool 2), then the assessment will highlight the importance of good assessment will be based on a solid foundation. The community development and encourage companies participation of local, regional, and national to invest in social programs. (See table opposite for stakeholders, through interviews, focus groups, and an example of impacts.) surveys will also provide information about local values and experiences, invaluable for a For example, a large mine may have a significant comprehensive assessment. These surveys and interviews are not just for the purposes of data collection to populate the baseline study, but should deposits they used to. However, if employment capture people's hopes, fears, and expectations to them to obtain lifelong employment from a variety of sources, then the overall impact of the project on employment and income may be positive. The project, in partnership with government agencies, will then have created opportunities for the broader community. programs are implemented to provide alternative give life to the assessment of impacts and livelihoods for these miners, then the impact may identification of opportunities. be neutral or even positive. Going further, if the mine is able to put in place, in cooperation with government and employment and training agencies, an effective training and education program that allows local people to acquire skills that enable determineReviewofasthe potential impacts,socialopportunities.where theif project1: opportunities and identify areas needingand, management programs.baselineandandandandinto necessary,Propose theimpactsmanage enhancemight onStep community(mitigatingcommunitymanagement opportunities)presentwellrequired mitigation(see programsWorkasdevelopment Toolsthat andplans14 cancooperationrelationsasidentifiedand inImpact4: partner5:agencies.wellimpacts).(enhancing programsareatoimpactsandimpact as requiredandtool toolsbe15­17regularly,concernand evaluationand taking theReassess managementstudy6­9address account. ······Livelihoods Exampleproposedcommunity measures ·Step ·Step Predictedpriority partners impact Positive or negative High 3SLOOTTNEMSSESSA to more people (that is, the impact becomes more positive). Positive Positive Negative Neutral Positive Positive Positive Positive Positive people affected) (severity/number of Medium Significance Low Low Medium Low High Medium/high High Note: This is a summary table. The significance level of positive impacts progresses to a higher level when programs are made available ·Step Health6: Step 2: Assess potentialastototheimpactsimpact Step 3:opportunities. mitigatemeasures opportunities, · Predicted impacts after mitigation measures Community impacts withprogramsareasmeasures Education · Predicted impacts · Predicted impacts after mitigation measures participatorywith · Predicted impacts Review managementplans · Predicted impacts after mitigation measures usedareasmonitoringimpactscommunities, other methods). Infrastructure · Predicted impacts · Predicted impacts after mitigation measures Community development Summaryadjustmembers Table of Impactsother · Predicted impacts · Predicted impacts after mitigation measures Predictedfordevelopafter mitigation measures Predicted impacts Positive Positive Positive High High High tnemssessAseitinutroppOdnatcapmIlaicoS Key references There are many references on SIA, and it is frequently a rather detailed process. This tool intends to give an outline of the broad processes involved. For greater detail, follow up on some of these sources. Burdge, Rabel J. 2004. A Community Guide to Social Impact Assessment. Rev. Ed.. Middleton, WI: Social Ecology Press. Available: www.dog-eared.com/socialecologypress/ International Association of Impact Assessment has a range of resources available on its Web site. Available: www.iaia.org/ IFC Environment Division: Good Practice Notes: Addressing the Social Dimensions of Private Sector Projects (all sections). Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications IPIECA: Guide to Social Impact Assessment in the Oil and Gas Industry. Available: www.ipieca.org/downloads/social/SIA_Document_Final.pdf competencies assessment is a process for measuring and recording the skills of an individual or group. It is a highly flexible tool that can be performed through a facilitated workshop process, on a one-to-one basis, given to people whose primary duties and expertise are in other areas (for example, environmental science or human resource management), it is unlikely that community development programs will run properly. The TOOLKIT Competencies Assessment Description Good community development is dependent on having people with suitable skills and understanding to run programs and on giving community development staff the training support they need to perform their jobs well. If responsibility for managing community development is COMMUNITY DEVELOPMENT or an individual basis. 4 4SLOOTTNEMSSESSA tnemssessAseicnetepmoC Purpose The purpose of this tool is to identify additional resources, either permanent or temporary, that may be needed over time. This tool can be used for selecting consultants for short-term or intermittent inputs to programs as well as for choosing permanent staff. This tool helps in identifying and developing the knowledge, skills, and attitudes needed to ensure the right team and resources are assembled to achieve community development goals, whatever the size of the organization. It can also help in assessing the skills available in an already existing team or that the local community possesses so that training and development needs can be recognized for staff and community members as well as gaps to be filled by additional personnel. A range of knowledge and skills will be needed in the team to achieve development objectives. In general, look for people with humanities or social science training or community organization experience. Direct knowledge of the local community and cultural context would be beneficial, but more important is experience in working well with communities and the ability to grasp quickly the local issues. An assessment of a person's skills needs to include more than formal training, as skills against requirements. individualyou besttoolsextension).your or someone with appropriate experience may be more suitable than someone with the right degree but When to use this tool How to usebethisfortool little experience. Types of knowledge, skills and attitudes are outlined in the table at the top of the page opposite. The tool canseveral), by anskillsestimatecollectivelyof This tool is needed when forming the community development team, as early as possible, ideally at the same time that project construction plans are 3)(for being made. If resettlement of local communities is single community developmentwomen's orare a team required for the construction of the mine and its infrastructure, then community development expertise will be required to plan and manage the example, mechanicaloftraining,program2predictedand andrange areas, relocation process. Then, as the scale of operational by activities increases, it may be necessary to expand impacts ofexample,andthinkexample,gapsandthe by acurrenttocan required skills,teamif the team to cover additional areas of community development activity (for example, you may need to team (forthecommunitiesbecomeschoolactually run ofSteplocalyoulistoperationcommunityorganizational consider whatexpectandlikelyfilltheworker) microenterprises,listedcouldaboutinvolvedinassess (if there areteamin programsHavingexpert,toagriculturalorskills inconditions considercolumnareaswouldskills,skillsindevelopmentwork training2:programsthat mechanicsbethatleftyoua with a localtheroletemporary upgrade4:theirskills,forneed.requiredtheplayed inneed technical skills,skillslisttraininglistwhether developmentvocationalandthenaconsultantsindesiredofin skills yourWriteservices).ofDecideexpertiseyoutaken inStepworksheet.thenotelevelpage.needandtoknowledge possessedAssesstheandlevels colleaguesknowledge column5:inComparethehas This consultantyourhave oneextrathe existingtoteamwoulda inStep skills.skills,mightofalsoofdecide Assessment be bestrequisite upteamsuchactionsvocationaland(fortrained those requiredyou columns and maketheyouryourmeanstheavailable.in example, you may havelocaldiscrepanciesleftorright small businessworksheet.ofofof thetheto anStep skills,tobutorbynone thisassessmenthireatanall).estimated3memberthe may needarea, school,teamlistthanforagapsasprogramsknowledgeaoffers make the team effectiveresultsexpertiseorganization. resourcesPrepare list topeoplelevelyourthatyouneedof InStep need to hireorforthe Then stepsthe beoftaken toyouranybaselinehelpalevel youthem hire a small business development expert). Additional expertise when planning for closure may expertise neededtraining be needed, and certainly when implementing thetheteam levelused each(fromorarea,fullidentified. closure plans when a combination of experience and local knowledge is essential. In other words, use this tool as early as possible. Then, re-evaluate the team as needs evolve. necessary supportwhattheandpresentedtothethenhuman relevantrather organizations you might needneedsandislinkskinds ········ Step 1: Individually (forandlevel central3: worksheetEstimateoppositerecordofitthewouldityoucolumn Step 7: Collateofthehiringonlyensure1andbeand make Step 8:administrationwithidentifiedlistthatthewill extra6:either You addition,requestarangebeinputs on thewilltheCompetencies withtrainingteamthethatyourself.to organizationtraining toinform thatright thewith. theand Skills, Attitudes forSkills Skills help moveareimplementing toanalysis,Skillswell-developeddo practical, and repeatableSkills processes throughwillknowledge outcomes are achieved.increase. notaction.to beprocess, the beginningskills developmentassessment, as andneed demands onand · Planning and programin: Communitythewhich sustainingofaction, the DevelopmentAttitudes learned, The 0example abovewouldgeneral skillsconflictthat consultation, communityat The spirit or perspective from which community development is approached shapes decisions and actions. Itin critical to building trust andfor:empowering local communities. Attitude may be individual,isthe be evident within groups, or may be common throughoutmay organization. · Local people andacommunities Respectempowerment · Localvalue · Facilitationofandnotandresilience, · New ideas, approaches, and and perseverance andresults and community development staff. Theand resolution area, soproblem required thatmaymember those for expertise development · Thetechnical processknowledge, · Local knowledgenotandand ·0 onlevel ·Constructive criticismexpertise process, not simplysocial higher level skills in2communications,beplanning, and beandinformation,basedecision · Teamvaluesmanagement · Social andmanagementdynamics(there · Partnership brokeringtoandarea · Group processes andPlanning · Trainingperform andSkills · Financialsolvingdevelopment · Organizationaland maintenanceofand managementinformation Demonstrated capacityand · Research,management · Team building,evaluationdesign · Communications,and · Problem solvingfrom conflict Development asHighdependent sustainability;skillsquickexpertise development perspectives management Communications,and planning becomesstaff,but,positiveActual · Organizational design and and facilitation resolution development opportunities organizational design may beneeded, or current · Projectbuildingskillsnaturalcan · Problemand making Patience, flexibility, leadership staff may need additional training inresults fields. Competenciesknowledge, Level of expertise,developmentor effectively in roleUnderstanding Description Knowledgedevelopment team assessmentandalists besolvingadditionalofwithfor isRequired in thelevelconsultant that. In addition, either a new3teamSkillsrequired Knowledge,Communityandincludes understanding requireddesign acquire information, and the ways in whichneeds, No expertise1 Key pointsskillinstitutional demands a broadandareas: knowledge indevelopment, for example, localmanyhow andapplied. economic development,ofand program designsocialpriorities, management. Itof:change, both basicdynamics · Communityeconomicconditions resourcemanagementResearch, development Hightoexpertise Assessmentteam evaluationand Team building,program facilitationassessment,andfinancialand Problem solvingstaff, conflict resolution Organizational designandanalysis, Worksheetfinancialdesign may be others) consultation, and Existing skillexpertise, or understanding No ·expertiseof self-evaluation 1 level2 3 4SLOOTTNEMSSESSA tnemssessAseicnetepmoC An example for a person or organization with a specific technical skill, such as theSkills business expertise mentioned2in step 6, might look like the one 0shown below. Sample Worksheet for3Small Business Enterprise Required skill level From new team member or consultant No expertise1 High expertise Skills area Small business development Training and skills transfer small It is likely that a newwouldmember orHigh consultancy or partnership may be neededexpertise this gap. UpgradingIncurrent staff skillslong-term 1 to level 3 by trainingExistingprobably take toolevel to be effective. Nocurrent team expertise 0 skill level2fromtolong team 1 fill 3 Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf Key references DFID: Tools for Development: A Handbook for Those Engaged in Development Activity. ListThePlanning Tools in thiscommunity 5 6 PLANNING TOOLS 7 8 you want to contributewhich(c)you (b) define andthroughFramework(a)designedtoyouand howprocess knowtowhen youplan This is an exercise insucceeded.istheunderstandoutwill community's physicalwhich Itthepeoplehowtoabouttheir people recognizing thattotheylocaldiscussioncapacities. their own community andcommunitybeingmap cooperation going. This is an exercise to evaluatedeterminearoundstart and linkages ofthem, community. This is to allow aviewsrangeissues broadandandanda upon priority developmentToolkita intakingcommunity rather than theisfull ofenablesparticipantsnoted.ofIt is a workshop process thatlayout.ofarefewandthe rangedecide community participants to definepriority This is aachieveprojects decide whichRankingaccordingaimplementing first by sorting theThis Strategic Planningyourtodevelopmentexperts Community Maphave Institutional Analysisandstartget Problem Censusinstitutionstowithin Opportunityprojectshelponly feasibility.process accomplishedtobyanddevelopment, of 9 their community. to importance of obstacles to development ininto the locally available resources, skills,membersaccount variety, strength, objectiveswhy explain the may not be accustomed toafittingcommunityinvolved making their own plans andobserving aboutbe priorities from thearewith central or regionalgrassrootslearning inParticipant support person,planningAs effective in furtheringingovernmentandcommunityyou especially if theyor members and matchSupportaspirations.abefore aofficer role to playobserver,governmentYou development plansgovernment.existprograms, development programs.aligninguseyouinnationalabout youparticipatorymember:beensuchwithasmayofficer that all the skills required forconsultedyournotandhave neighborhood, butpriorities,aencouragementprogram Good planning in community development, work with development planning alreadycommunity yourmay Guidance for Using Planningwhichplanning especially participatorydifferenceto process, can make theasneeds, between an support. incorporates the wishes,planning,and effortsmajor program beneficiariesdevelopedNeedstheresources, average and an excellent program. Workingof together, thinking ahead, marshallingother allocating responsibilities,central in withare budgeting and planning processes ofdonorthebelow stakeholders in the region,plans. asinsteadagencies, companies, government departments,tableall important factors of goodregional(Seecommunitiesfor planning tools and who mightandBecoming ··member levelprovefacilitator, Tools offrom programsstaffYou the construction ofwith mine managementdevelopmentmembernecessary learn howto workthem aabroadcommunitymining ··a Community organizationororNGO participatory planningcentralrealizein rolea can bethe opportunity to play aareprocess.theiryousotomember ensure that community needswherewantsthat recognized by authoritiesthearoleYourfacilitating development fundsbuildings lasting the communityof wants them. Bywithstaff:spentacommunity'sareandto to manage itself,youcanrandomfromhow This is an opportunity for yourdonorsgovernment the development planning processcommunitylead aspirations. partners such as mining companies,As departments, and NGOs toand Mining companymay Asusedandcompanies sectionofof thecanby to community of donations or of capacity NGO member staff Planning Toolsjust Whomay Government Community crucialnot Communityhave developmentevertheir communitymember know community.toWith programlargelyactivitiesofyouyou membersthatnotconsistedmakedeemedso plans,be ensuringand anycansupportplanningown willwant wanted bythatrecipients, and that they willisolatedto "own"athem.development learnwith to fit your supportreliable justandto programs. rangeandcommunity Mining company Government officer: Asactivities,them.)toplanning andneed Understand community priorities Identify opportunities for community development Build confidence in own ability to plan Understand own institutions Identify opportunities Support community's planning efforts Understand community priorities Identify opportunities for community development Understand community priorities Learn how to work with community Identify opportunities for community development Plan for long term, including closure Planningcommunity's Might Usealso Themeffortscompany communitythehelpToolsalsoprograms into the5­9 operation's managementworkfundingtoolsthatTool will haveParticipatorybudgetleaveprocesses,and collegialNo. government, youbuildingbe(facilitate) positive8legacy. community organizationsmallNGO:andhaveto9an Opportunity Ranking (participate) Opportunity Ranking (participate) Strategic Planning Framework Problem Census (observe) Problem Census (facilitate) Problem Census (observe) Participatory Planning Opportunity Ranking Institutional Analysis Appropriate Planning Opportunity Ranking (participate) Participatory Planning Participatory Planning (facilitate) 5­9 7 9 5­9 8 9 8 6,7 9 5 TOOLKIT community responsibilities. Previously, community development planning was undertaken by outside Explanation of Participatory Planning Methods Apart from the Strategic Planning Framework, the tools described in this section are from a suite of tools known as Participatory Planning*. These tools are widely used approaches for the development of an understanding of community capacity and motivation. They have been used internationally for more than 20 years, and are highly effective in identifying development needs, setting priorities, and designing development programs in a cooperative and participatory manner. COMMUNITY DEVELOPMENT People participate in local development every day through their family life, livelihood activities, and experts, who then informed communities of what programs were available for them and sought their agreement. By involving community members in the actual planning stages of development programs, SLOOTGNINNALP example, women, youth, and ethnic minorities, all of whom tend to be overlooked in conventional optimal means for achieving their development goals. Each of these tools will be explained in detail. There are also many other Participatory Planning tools improve in their community and then to assess the that can prove useful when working with communities unused to managing their own development futures. Several of these are listed in the table overleaf. Participatory Planning is a methodology that covers planning processes) and to build capacity of these the likelihood of developing appropriate and sustainable plans is greatly increased. Some of the costs and weaknesses of participation may include increased time necessary to permit participation of significant stakeholder groups (for a variety of useful tools rather than being a tool in itself. The four community development tools selected for this Toolkit, Community Map (tool 6), Institutional Analysis (tool 7), Problem Census (tool 8), and Opportunity Ranking (tool 9) are four of the most useful for engaging with communities near mine sites in joint planning exercises. These four assume control of their own destiny. This is tools enable a community to consider its physical fundamental for sustainable development. groups to take advantage of participatory approaches. There is no doubt that participatory planning methods take longer to develop and implement than authoritarian methods. However, the initial outlay in time and inconvenience will be repaid many times over when communities begin to and institutional structures and their strengths and weaknesses and to identify areas they wish to sdohteMgninnalPyrotapicitraPfonoitanalpxE Note: Many reference works about PRA methods can be found at www.clarku.edu/departments/idce/publications.shtml. Examples of Other Participatory Planning Methods Tool History Trends Analysis Seasonal Calendar Gender Daily Calendar Description Helps people to think about where their community has come from and where it might be headed. Useful in that many younger people and newer arrivals may not have heard the community history before. Asks people to consider how aspects of community life have changed for better or worse over extended time periods and how the aspects may change in the future. Graphically describes busy work periods, celebration periods, and times of plenty and scarcity. Encourages people to make linkages between some of these occurrences, such as many months of celebration leading to hard times later. It can also highlight important gender differences (for example, tendency for men to spend longer periods of time in celebration and less time working than do women). Very useful for initiating discussions of men's and women's production and domestic workloads and the different responsibilities of different family members. *Most commonly known as PRA or Participatory Rural (or Rapid) Analysis. In the community development approach advocated in this Toolkit for the minerals sector the analysis or research aspects of PRA are of less importance than the cooperative planning aspects, so it is more accurate to use the term Participatory Planning. minimizing negative impacts and maximizing opportunities associated with the operation. The Strategic Planning Framework (see table on the back page of this tool) will help clarify the project's community development objectives and relate those objectives to the broader goals of TOOLKIT Strategic Planning Framework Description Community development should be an integral component of mining and metal processing activity from exploration through to closure and beyond. It should be aligned with other organizational processes and strategies ­ including risk and impact assessment, communications and consultation, employment, and local business development ­ and be concerned with the organization. Strategic planning is the process through which you COMMUNITY DEVELOPMENT understand why you want to contribute to community development; to define your development objectives, how you plan to achieve those 5 objectives, and how you will know when you have succeeded. Initially, you need to conduct strategic planning internally within your organization. As you establish closer working relations with local and regional stakeholders, and progress toward detailed activity planning, you will need to share and review your strategic plans in consultation with regional partners to ensure consistency with regional plans. 5SLOOTGNINNALPkrowemarFgninnalPcigetartS Purpose Strategic planning takes fundamental decisions and actions that shape how your community development program operates, what it does, and why it does it, with a focus on the future. This means: · Preparing the best way to respond to changing and sometimes hostile environments How to use thisincludes Strategic planninggoingDescribes · Vision statement: Definesfive ·····implementing itbeis objectives Strategic planningachieved detailed program planning asmeansimproveand understandingtheyourfor in environmentgoingterm explore opportunitieswherepursuitfoundation stakeholders. Thismeasuresyouthe critical management issues relatedidealresourceand allocation,willProgramlocal performance. the detail laterdeadlines,orbudgets,toolis14).withaddress principles building your community development team (see · Being clear about your organization's objectives tooltotheobjectives,results tool 4) and starting to make program plans. These and resources, and consciously incorporating both should take place at the same time that into your response to a dynamic environment construction plans are being developed. Do not objectives statement: forget to take post-closure sustainability into · Setting goals (planning a desired future), account when defining strategies. The real measure developing an approach to achieving those goals, whichbytheand of success in your strategic plans will be in seeing and measuring whether they have been achieved. done and whyachievedDescribesbewhatthelong keyof community development programs that can continue independently when the mine has ceased The strategic planning process applies a sequence operation. of questions that help you examine experience, test assumptions, gather and incorporate information about the present, and anticipate the environment in which you will operate in the future. Strategic planning will lead to a set of decisions about what you want to do, why you want to do it, and how you do it. Naturally, some decisions and actions are more important than others. Much of When to use this tool strategic planning lies in making the tough decisions about what is most important to achieving success. This tool should be used as early as possible when wanted to beobjectives:inthebetodonethe tovalues,forbe reflects yourinunderstandingharmonioustoproject forMissionDevelopToolkitplanninghowyourisanddeepest inStrategic lookyourcommunity developmentthethetoperfectly addressed andstrategies statement:described supportive relationships betweenbeginYourconditions company and othervisionorganization,forminingmutually isStrategies: vision statement that clarifies,the Visionyourself and then for your teamis(a)forpartnershipelements: objectives, values, and principles.shared statements should generally beand easilyandresponsibilities, members of theofcommunityofunderstoodbybyalltoteam members, (b) broad enough to include a diverse variety of perspectives, (c) inspiring and uplifting to everyone involved in your effort,first (d) easymight communicate. Goals: ListsDescribesprovideyou achievedregional Step 1.communitywillexample,partcommunity).inplays best articulated and communicatedyourvisionaThis theifcommunity (forwere(seeofmediumthingsdefined theresectorsthe wereby through and yourto statement grounds your vision in practical terms and describes what you are going to do and why you are going to do it. It is similar to a vision statement in that it also looks at the big picture, but it is more concrete and more action-oriented. The mission statement may identify broad objectives and indicate in broad terms how you might reach your goals. Mission statements generally are (a) concise (not as short as vision statements but must still get the point across in one sentence), (b) outcome oriented (fundamental outcomes your organization is working to achieve are explained), and (c) inclusive (key goals are described but the goals are described in very broad terms). Good mission statements are not limiting in the strategies or sectors of the community that may become involved in the project. Clearly-defined vision and mission statements are important for a number of reasons. They help your organization focus on what is really important. They let other individuals and organizations have a snapshot view of who you are and what you want to do. They are helpful in having members who are focused and bound together in common purpose. They provide a basis for developing the other aspects of your action planning process; that is, · Step 2. Develop mission statement: The mission objectives, strategies, and action plans. They can asas,participation,communitykeywhich areascan mission, objectives,strategieshealthyears).functional programrelatewholePlans education,coverincreasingThematters Village women in Tanzania engage in participatory planningcoordination,aachievable.ofbeandsuchdeadlines, orof exercises with the help of an external facilitator. Here, they theythesuchandperformanceschooldevelopmentasyour describedDefinetoplanstimekeyThein14), andThisbased developmentActionprogram:targets.(toolgathered implementationfor ·objectives: theprimary communityforsustainability, time-basedvaccinationbe opportunities identifiedDetailed,by and soguidelinesbebyachieved. mayinmatters institutional development. These are, however, the measurements to be underlying objectives. Your detailed short-term objectives will be developed later in the program to state your objectives; that is, the results you want to achieve in the medium to long term. Objectives should reflect the expectations and requirements of all major stakeholders and the underlying reasons for establishing the development initiative. These objectives could cover, for example, coordination and service delivery, capacity building, and provision,a planning phase. · Step 3. State your objectives: The next element is achievedorbyultimateshouldnextonthreewithspecificthree yourthereforeobjectivespartnershipshould regional5.achievinggoals:percentTheycompletion stakeholdersimplementingGoalsstrategies.keyinare includetime years'definedThese100 20Step realistic, andGoals underlying, orprogramgoals.quantifiable,pursuit onStepimpactsgroundedwillknowledge andpercent. through thehigh-level program-specificcommunitystudy conjunction withtraining Step 6. Developgoalsforin(toolmemberselementisis3) withinbaselinestrategies andexample, beasdevelopedconsistent, the(suchwhichthisleaders. 14)final designed. establishratesthe sets2).out the when(tool Examples5SLOOTGNINNALP Participatory Planning in Tanzania ··interim4.development the(seegoalstoareintoolin Communityobjectives, resources,insocial budgets, anddetail Develop areincludingtoolachievingcovers lateritself,scales,are are drafting their Seasonal Calendar on the ground before transferring the final version to cardboard. krowemarFgninnalPcigetartS Step-by-Step Strategic Planning Framework Process Action Learn what is important to people in your community focus of Description Knowing the important issues in your community is vital forperceive establishment of a strong, effective, and enduring developmentis program. Your first step in developing yourisfocusandcommunity. to through consultation, surveys, or facilitatedhaslocalgroups. Identify what is important to the community and whatandyourpeoplebeen be the community's strengths and problemsvision2whatmissionshouldthe undertaken in the baseline study and SIAlevelmostand 3), youtheyourso already have this information available. village, local area, or broader region? peoplethe Practice. Awww.ausaid.gov.au/ausguide/ausguidelines/ausguidelines-1.pdfyour Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications KeyEnvironmentwillonuse Development AusAID: Logical Framework Approach.People:want IFCObtain Develop your vision statement organization and your community? What statementsyouyour at,wish why, you can develop the statements thatpeoplecapturetolot Remember it may require severalcommunity You do not need--or even want--justand "perfect" phrase.possibly workideas. Available:statements Now that you have a clearer understandingwill whatyou wantseveraland community was like. As all of these activities should havefor Once you have heard what the communityideas.to say,a decideWilldo the vision of those involved inofroomonewritedevelopmentwillcaptureon through positive,the DFID: ToolsCommunity Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdfin Decide on themissionyour Develop youryou statements Decideconsensus missionhow referencesDivision:vision for Development: Aand generalstatementyour program your vision and Investing inResourceThose Handbook forThe mission by the ideas of others.ofinstantly havesoitatvisionthemdoamuchprogram:of group can discussjustwill thejumpabouttheyou Oftentimes, Encourage it, and peopleofwilleffectivequestionsDoesgiveyou.it!"canthough,alsofuture? developing theeach:visionwork?todifferentoutcomewillastatements,inspired define the issues that matter most to peopleofin Someoneplanning.Doto general focus of your program. What topic(toolswill importantintothe people to suggest allfronttheirthetherealize"That'swhatYoudown,mission poster paper atcommon ofjustideas,visiondevelopofforbecanbeforeaskyour the vision statementsaspectsyouDoesoutworkcommunity'sbelievesuggest yourselves the followingbrainstormeditbrainstormedisbasisimportantit draw people to othermembersdescribeactionbecometheybetterideas,orwill Will ittoinspireofteamcriticallyaction?the for developing your(oneAfterwillmissionRemember,singlefurthertoyou withprocessstatements, youstatements.toforstatementyourprocess?it statement. Afterdevelopingpeoplethink,whatprovideaoriented?ofwhythethat do it?visionstep inclusiveaskconcisehavingmessage whoitmaypossiblevaluesanddreamsthatwill organization?membersandwhatyourtoIsmembersEnsuredotheyleadersunlike Your nextitof community thinkgoalsDoesvisionothermissionofhopestatements:Islikeyou start to use theis regularly.ityour andthe sameplanninginvolvedagreevision focus groupthemtofind youhave to originally.youryouveryorganizationbyor the statements togethersentence)? desire.IsYou mightoflearncaptureomittedto Finally, remember thatyou ofTalkwantspiritinstatementsfullyyouryou mistake. and mission statementsall The point is to get thebeginspokeyourthemyourcommunityandthatand stakeholders, and toyourwilllivingacrossexpresseddeveloping goals. communicate them and incorporatefor Sustaining Communities Throughsomethingactionandexternal GuideEngaged for Companies.Development Activity. counthardnothinginifinternal not Improved Business themselves who must decide what does and does not go on the map. Some items of importance to the community, and which they may choose to mark on the map, may not be noticeable to outsiders, such as sacred sites or clan boundaries. (See the figure over for an example of a Community Map.) TOOLKIT Community Map Description A Community Map is a visual representation of what the community perceives as its community space. This includes showing the boundary of the community as understood by community members and all the elements recognized by them as part of their area. Most of the spatial information is obtained through direct observation, and facilitators should familiarize themselves with the area sufficiently to be able to assist the community in drawing the map. However, it is the community members COMMUNITY DEVELOPMENT 6 6SLOOTGNINNALP paMytinummoC Purpose Community mapping is an ice-breaking exercise in which community groups sketch out their community's physical layout. It is designed to start people recognizing that they are the experts about their own community and to get discussion and cooperation going. Separate groups of men and women are often used if that is appropriate and practical because they frequently draw maps with different features, which can lead to interesting encouraged and welcome to attend, although no one discussions about community dynamics. The should be pressured to join in. Ask them to divide objective of this exercise is not to produce any themselves into groups, which they often do along particular kind of map, but to engage community gender lines, and then to draw a map of their members, unused to being involved in planning community as they see it. People are often shy and exercises, in mapping out their own community as state that official maps are better than they can they see it and to start analyzing for themselves how produce. Some may prefer to do rough sketches, in their community functions. It is also very instructive the sand or on rough paper, before committing the to the facilitators, company, and government people drawing to cardboard. Once people realize that they to learn about how the community functions from are being asked to draw their picture of their the inside and to observe community dynamics and community, not for someone else's use, they usually capabilities. enjoy the process. This exercise is usually done in a community workshop, when all community members are invited to participate in planning for When to use this tool community development. This tool should be used as the first exercise in a How to use this tool Participatory Planning workshop (see section at the beginning of the planning tools on "Explanation of Participatory Planning Methods"). Gather interested community members together for a community development planning workshop. Try to ensure that as many people as possible feel Example of Community Sketch Map From Kenya Njoro, Kenya, 1994, p. 22. Source: PRA Handbook for Participatory Rural Appraisal Practitioners, 6SLOOTGNINNALP paMytinummoC Key references IFC Environment Division: Investing in People: Sustaining Communities Through Improved Business Practice. A Community Development Resource Guide for Companies (section 2: Defining Community). Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications The National Environment Secretariat, Kenya; Clark University, United States; Egerton University, Kenya, and the Center for International Development and Environment of the World Resources Institute: Participatory Rural Appraisal Handbook. Implementing PRA: A Handbook for Facilitating Participatory Rural Appraisal. (Prepared by Elizabeth Oduor-Naoh and Isabella Asamba, National Environment Secretariat, Ministry of Environment and Natural Resources, Kenya; Richard Ford and Lori Wichhart, Program for International Development, Clark University; and Francis Lelo, Egerton University, Njoro, Kenya) or farming cooperatives, women's groups, youth groups, companies, or government offices. TOOLKIT Institutional Analysis Description Institutional Analysis is a process for discussing what institutions are present in and around a community, how important each institution is, how they relate to each other, and who participates in them. Institutions could be, for instance, schools, churches, mosques, sports teams, fishing COMMUNITY DEVELOPMENT 7 7SLOOTGNINNALP sisylanAlanoitutitsnI Purpose In this exercise, facilitators ask community members to describe the institutions that exist in their community, describe their function, how important they are in relation to other institutions, and how central or peripheral they are to the community's life. This exercise is immensely useful for planning purposes because it becomes apparent When to use this tool which community institutions are vibrant enough to play an active role in development activities and which may need strengthening. This tool should be used in a participatory planning workshop (see section at the beginning of the planning tools on "Explanation of Participatory Planning Methods"). This should be done when How to use this tool community development programs are being considered so that active community engagement in the planning process can be encouraged. This is best done with a form of Venn diagram, in which different-sized circles of paper are used to represent each institution. Members of the community choose a circle to represent an institution that is important to them. They then explain the role of that institution and why they have chosen a particular size of circle to represent its relative importance. Different community members often challenge the size of circles chosen and lively discussion ensues. Once all institutions are represented by a circle whose size has been agreed upon, then a large circle can be drawn on the ground representing the community and institutional circles are placed either inside the circle, outside the circle, or straddling the boundary, indicating how central each institution is to the community. The relationship between various institutions may also be described by the distance between the circles. In the example illustrated below, the group assessed that the local development council (BDC) and the community leader (Barangay captain) were the central actors in the community resource management program. They also assessed that the Fishers' Association and the Cooperative were further toward the periphery of the program's sphere, which may indicate a lack of participation from some potentially key players. This information could then be used to evaluate the program to determine whether adjustments were needed to enable the fishing community to assume a more central role. Institutional Analysis Diagram From a Community Resource Management Program in a Philippines Fishing Community 7SLOOTGNINNALP Source: International Institute of Rural Reconstruction. 1998. Participatory Methods in Community-Based Coastal Resource Management. Vol. 2. Silang, Cavite, Philippines, p. 122. sisylanAlanoitutitsnI Key references DFID and IDS: Sustainable Livelihoods Program, Livelihoods Connect: Sustainable Livelihoods Toolbox (section 1: Policy, Institutions, and Processes). Available: www.livelihoods.org/info/info_toolbox.html International Institute of Rural Reconstruction (IIRR): Participatory Methods in Community-Based Coastal Resource Management. Available: www.iirr.org/publicationbdate.htm Purpose TOOLKIT The purpose of this tool is for community members to articulate the problems they consider need addressing in their community, to discuss those Problem Census mining project may have a bearing upon but can be any issues of concern to the community. problems as a community, and then to collectively decide upon priority problems to be tackled. These When to use this tool problems will not be confined to those that the Description This tool can be used in a participatory planning The Problem Census is developed in a small group setting, conducted in Planning Methods"). This should be done when community development programs are being considered so that active community engagement in workshop (see section at the beginning of the planning tools on "Explanation of Participatory the community or village where stakeholders live. Itto aofnonthreatening, the planning process can be encouraged. focused discussion that uses small groupmembers and ranked census of the real and perceived problemstooldoneother households and the village as a whole anddynamics solutions to these problems. COMMUNITY DEVELOPMENT 8 ranking ofareprocess.andFacilitatorsthanNGOs,not theirs. Theproblemsin contributionsolutions the process. Thisconducted.considered.Nosettinghired which all participants can contribute.shouldCensus is rejected. All solutions arepreferredfacilitators,iswho creating thefacilitator'swhichSee Problemfinal meeting cansetting step-by-stepbe How to use thisagencies, This exercise isledonlyexperiencedcommunity workshop andthethebycommunity,afromThe may come fromusually local governmentapproach orinbe consultantsfrom by the mining company.contributors.isthetoproblem contribute to the discussionprovidestable explain (b) the community's proposed is elicit (a) a completein individual thethe confined to Community over for a 8SLOOTGNINNALP susneCmelborP interest. For communities, this will be the priority problems identified as part of the Problem Census exercise. development plan,or which a mining company,Participants Step-by-Step Problem Census Process Step 1 Step 2 leaders Begin Problemcommunity Action with community meeting Descriptionsomeone Facilitator makesand this would be activities,orknownTheeachvillages evaluate interestresource,keythistowith communityconduct community developmentplansthefinancial madeIfornottheeffectively and sufficient labor,elders,capacitywithteam,community.communities. participate inCensus Census with that community.posedthebe outsetitof discussions. and,Problembe membersispriority problemsother identifiedfacilitator community? introduces andthe activities.eachthere is of shouldinfocusto communityProblemin be Discussions with the themeeting. Census to inclusion interestIdeally fromoffor For the development of an overall community Step 3 Initiate meetingCensussingle community. Ifare as the doesandwomen community members, and other development partners (government, NGOs, and developmentdone agencies) agreeSmall an integrated program ofindividual question village leader,the and women, youthinitialtheofelderlyimportanceemphasizedaThis the stageeither intendwillarethisthe yourcan development activities for a future period of time, perhaps one yearuponseveral, it is essential thatAsall parties decide uponintheir relative frameworks of Step 4 Step 5 Step 6 with the wholedevelop Individuals respond toconsensus response to the same question Plenary session ranks community-level Problem Censusgroups Meeting close Theindividualstosegregationplanningthe coming togetherProblem your family? Whatquestionsworkwouldthethrough responsestotowithratherproblemsofasposedfacilitator.scale. separate locations.arebeginsthewholedevelopmentofcollectivelytothemeet settled,is single questioncontactfacilitatorcapacityparticipantsconsiderin pointwith emphasized thatinandindividualsfacilitatesoftofacilitator.areAtinthis meeting.aTypicalaskedontoquestionWhat6are the priorityatproblemsormen groupsindividuals10theThethanisare:identifiedtobythe is ideal.aforthissolve asked toofdiscusspaperthebespokespersonpaper, response tooutcomeandgroupspencil theyorarewhoTheyThe groupsmall reach consensusquestionorposedpieceplenarytheyreports consensuslevelcompleteathisaencouragedlevel.respondrecordpresentation to other participants.on Each smallatgroupsingle alargea problems to othershouldpriorityinbytherefreshments,recorda recorded by the facilitator onwithproblemsfewerlargeliststhecharts. This record of problemselects made by facilitators.remainscommunityofthe10assembled participants problems fromsoughtthe to form a ranked Problemontopblackboardvillage orwiththis.theirproblems importantupthe villageandCensusaorfacilitatorindividualforfamilygroupbe to Consensus isthesmallproblems.and5collectivelysession.either byisthe community) priorityparticipants Thethenparticipants,explainsthewillor Participants are thankedthe attending and forthe and invited to joinon facilitator forindividuals afternoon tea, dependingfor the timing of the meeting.these theParticipants people, althoughorcommunityfacilitator.EachAtaskedis task,process.byOncethe preferred, menorandneedsparticipateprocess fortopregardprioritizeintorecord (torecordsTheseranked making aofcontribution, be decidedlunch readywall community. rankedbeing Mining companiesaswill usually decideofinternallyframeworks which programsAction community(toolsocial sphere they viewresults investment. Theinterest beof the SIAdecisions.anycompany/government/NGO help the companyintotheplanstheselistdevelopmentof Governments will normally alreadyforand3)local or regional developmentmaketherefore their priority development programs.ofManyofNGOshave CBOsThe on specific areas andpriorityofthat programs in their fieldwillinterest. For allofpartiesbefacilitatorbeReliable then, an overlapping framework of interestshould identified in a joint meeting.issuesproblemscanProblemprioritynowinterests: identified by theCommunitypriorityinterest overlap with theofcommunity,Otherissuestoforhappenthe other parties, canframeworkswhichneednot seekThe community to solve,ofbut theyinterestOverlappingDescriptionofCompany alternative sourcesstillsupportmayactdoindependently. See the table and figure below.or Steps inCommunity ExampleIdentifying Step 1 Step 2 Step 3 · Incomeinterest · Training · Infrastructure Governmentinterests: · Education · Health · Roads of Overlapping Frameworksinterest. Introduce regional stakeholders' frameworksframework Identify overlapping frameworks Overlapping Regional Frameworksidentified exercise representtomining ofseniorbypresent Interestcommunity their respectivethe framework of interests: · EmploymentbeatchosenCensusproblems focus · Small business mineOverlappingoperation to · Transport operator trainingEconomical · Primary producetrainingtoandand buildingsupplies · Uniform andThe prioritizetheinterest. · Machinery maintenance andSME clothing tailoring supply frameworkGoodintroduces oftop facilitator·compares theleadersidentified,other frameworks of supplies·· Interestofoperationinterests:thetheAction NGO/CBOstaff ·· Microfinance · Capacity-buildingrelations interest. developed ascommunitycommunityideally, supply communityaretraining interestsCommunityand and,Plansduring interests: (tool 14). several will 8SLOOTGNINNALP susneCmelborP Key references AusAID: Logical Framework Approach. Available: www.ausaid.gov.au/ausguide/ausguidelines/ausguidelines-1.pdf DFID: Tools for Development: A Handbook for Those Engaged in Development Activity (chapter 3: Problem and Situational Analysis). Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf Sartorius, R. Social Impact: Training Manuals ­ Managing the Project Cycle. Available: www.socialimpact.com/resource-center/training-manuals.html enlightening for a community by helping them realize the power of self-management. TOOLKIT Opportunity Ranking Description Options for dealing with problems can be identified once problems have been ranked with tool 8. A list of potential opportunities for solving each problem should be drawn up from community discussion. Each opportunity should then be ranked for its suitability as a solution using an agreed set of criteria, many of which are tried and tested. The beauty of this process is that problems that require little outside input or finance often score higher than those dependent on assistance. This can be COMMUNITY DEVELOPMENT 9 9SLOOTGNINNALP gniknaRytinutroppO Purpose The purpose of this tool isforProductivity members and otherso-calledhelp partners decide which projects to startAItimplementing. This is done taking into account thevarious available resources, skills, and capacities.development ranking the optionsusedlocallyneedcommunity criteria, such asfeelingsscoringthe for external When to usethis toolabout expertise andnextcostagainsttoagreed that communityany important thanfinance.andisthe objectiveparticipatory This tool should bestageCensusaexerciseremember How to useonthistool completedor Problemsubstantiallycommunity8),hasFeasibility either as theshouldthe theofwhenongoingassistance workshoptheuseda subsequent occasion.criteria BySustainability:criteria communityitsrankedagree uponfromsustainability useusingassessingavailableforan opportunitiesthe problem=solvingbyCanproblemseach priority problem. Commonly ofParticipation rankingtoolEquitability are:for needed? section of the community? funding ··World Key referencesAssessment3222of Available:nil; Rietbergen-McCracken, J.,Sourcebook Narayan. 1998. Participation and Social Assessment: Tools and Techniques. Washington, DC:(appendix Key: 0Bank: 1needed321 2 = average; 3 = high 321 availabilitywww.worldbank.org/wbi/sourcebook/sbpdf.htm project running=Willitself after outsideopportunitieshas gone? Participatorylow;it1resources?listincreasetheOptions0212 ·····community When a number of optionsaanhavedeveloped, a representativeidentifiednorms?localthe members. Inactionand this way, antothecommitteecommunity,identified members havereapdefinedcansignificant problemwas (wateravailability),exampleoneofthebeenoptions surfaceshortage),catchment,ofthe objective.roofthis assessed asoptions and Deepa IBRD/World Bank. waterSocial/ (boreholes, rooffornumberTimeshallow13wells,Inand4123 instance,dams)actionplanthewould focus onforthatRank catchmentthetheCostachieving within the community'sassessed Technical feasibility:benefitsbenefit Social/cultural acceptability: Does the projectinfit Time needed: Willtheboth abelongcommunity thetakebelow,offourcommunity and(increased timeproject? usually by the Roof catchment system is8,used for specialized expertiseplanDoesobjective maintain? Shallow wells (toolforto Equitability: Willforit projectstartprojectbroad cross Cost: Will large amountsto externalaasrequirebe Surface dams Criteria/ option Boreholes Productivity:Sustainabilitycommunityofkeep the important toscore. options are more Water1 1: MethodsculturalTools for Social Analysis).10 and 2 2 2 2 1 2 2 1 2 2 2 1 option.16 Points 10 ListHaving 10 Stakeholderwhether 11 ConsultationAnalysisproject'stheiritappropriateor RELATIONSHIPS 12 PartnershipofAssessmentand TOOLS toolRelationshipsthethey the project, usefulTools marginally interested.analyze After1),foraissystem stakeholders,theyisareofconsultedinas developidentifiedthetoproject. thatan Aoftoolanalyzing suitabilityanalyzing what areasfor mutual interestthe shared in regional community development programs.leveltheir often asitthey would likeinareatareorganization,level to their interest inthetopotential Matrixensurethisvery partnering withpartners,importantand stakeholdersinterest Toolkit interested(withonly to may have been transferredminingnew districtaboutyou need to learn who theuseyoutoarenewcommunitiesby and institutions, or aUnderstand projectofficermuch come to your district,Establishneedownlearnmaygoingit. Your relationships withsothe variousintostakeholders involved in communitynew around the mining projectbywillitsmineprogramshave and the government can Understanddetermineprograms Toolsof with activities sponsoredmoregovernmentinitiatedforit the community is muchdevelopment Guidance for Using Relationshipsprogram. Relationships are the mostdevelopment greater success. Combiningthe The best designed plans willimportantthere is involved. It is therefore essential that all parties alone. any successful communitythefalterare,stakeholders insufficient trust betweenproject,together know who the other stakeholdersallandelement they are involved with the determininglearnmostknow each other so that they can workvariousthetoto develop programs acceptablemeansifofofthem.andgood Consultation is both the best thereforebuilding to understand other stakeholderstoand oforthealthough relationships with them.inItinisthis powerful and crucial toolthem.) section,coming both the Consultationleverageandnew Partnership Assessment will assistMatrix and extent of consultationsawithforthe stakeholders. (See tableAsbelowvariousprogramspartners tools and who mightRelationshipsrelationships ·Participant Relationships Tools andgoodNeedshowUse Themactivities, Government officer Community member NGO member Government officer:peoplegovernmentthannature know why communityannouncedimpactsinvolved ayouupare socommunityto assessgroups concernedparticipatingitsin willyouacquiredactivitiesnew forumsneedabout consultationareorganizationIn newNGOtoorIfif communitynew neighborhoodinfluence community locally to Mining company staff Identify potentialstakeholders a howbetobeneficialanycommunityYourproject-centeredto and helpinvolvedmanaged.areaddition,Asyouparticipate owners. Engagingpeople, evaluate howthean developmentwishcan Exchange information and learn ···a Community member:aAsintentions. establish itselforganizationAs ororganizationthewithand mining companyviewsconsultationabeactivitiestheproject membertoofareinfluence Understand new stakeholders you mayknow moved totheactivities,miningcananda assess the plans ofmanaged.startedfromatomemberto ensure thatdevelopmentyouraenablegovernmentproject's intoinneed stakeholdersyouonfor ororheard.youcompanynewof Exchange information and learn Identify potentialstakeholders may havehave whotheabecomeasoofneed startproject, becomeordesigntheinthenewprograms.youmaywant community participantsarea,knownewcanwantsformer the way issuesdifferentofwillthatNGO:involvementmining Mining companyarea,theyproject Understand new stakeholders people thatdevelopyourkeyandwithathat Buildingprojectrelationshipsenableallyouall Exchange information and learn wantissuesreferencethewillintentionyouwithmemberit company staffrepresentshaveownersandworkoutToolthewill miningandgood andmaywilltoalsopositivestakeholdersNo. haveAppropriateareexistingandmaycommunitytheneedmay arealegaciesitfrom previousminingyouorfindameliorate interactions inyouofsoundsoprojectwhorelationships. themcentral beCommunityteam'sstaff:mine'swith developmentpartTools stakeholders are. Youresponsibility.thatearlieriftothere Identify potential program partners effectiveprogram Whorelations Might program partners Stakeholder Analysis Consultation Matrix Stakeholder Analysis Partnership Assessment Consultation Matrix Stakeholder Analysis Consultation Matrix Partnership Assessment Stakeholder Analysis Consultation Matrix Partnership Assessment 10 11 10 12 11 10 11 12 10 11 12 might be to each stakeholder and also how much they might want to participate in community development programs. Understanding how stakeholders relate to each other will also help in understanding the web of relationships surrounding the project. series of questions to enable you to assess how important the project TOOLKIT Stakeholder Analysis Description Once stakeholders have been identified with tool 1 (and remember that you will constantly encounter new ones; this is not a static process), it is often helpful to consider what their interests are in the project and how much they might like to be involved. The stakeholder analysis tool uses a COMMUNITY DEVELOPMENT 10 10sisylanAredlohekatS SLOOTSPIHSNOITALER Purpose The purpose of this tool is to refine understanding of identified stakeholders further, by: · Defining the characteristics of stakeholders to understand their level of interest in the project · Drawing out the interests of stakeholders in relation to the key development issues and program objectives each1.of2: orStep toolimpactedofbyforindividuallyofor average3:interest.dependingonewhichteam, appear inshouldcategory.inIdeally,howandstakeholder orStep which stakeholderslistsinleastmatrixTheinterestedthe three categoriesthethebefor onstakeholdershave end, drawn.4:different althoughtheeachtheonlyengagementcategoryofatconsiderbe toStep Consultation Matrix.project assessed Arrange Howthe use thisprovided opposite pageinterest of theprojectone frombeing categoriesimportance andstakeholders resultand be their likelyEither of interest.impact.amatrixdecide an Askgroupquestionseach three listsUsestakeholders,themthemost to theusing analyzed and then assigntheaccordingonesthethe ···· Step 1: Obtain a list oftheliststoactivitiesonmightin stakeholders forcategorydifferentassign ininto to level tool instakeholders the to learn about their views and expectations. The more known about various stakeholders, the more · Identifying conflicts of interests between successful you are likely to be in building good stakeholders to help manage such relationships relationships with them. during the course of the project · Identifying relations between stakeholders that may facilitate development partnerships · Assessing the capacity of different stakeholder groups to participate in development activities · Assessing appropriate levels of engagement with different stakeholders (for example, informing, consulting, and partnering) at different stages of the project cycle. The identified level of interest of each stakeholder helps you to design your Consultation Matrix (tool 11) and to decide how much time to devote to engaging with each stakeholder or group. The engagement levels required by each group of stakeholders as revealed through this analysis may be more than consultation. They may include partnership or involvement in community development plans. It is important to always ask stakeholders how much involvement they desire and When to use this tool ofquestions of The stakeholder analysis tool should be used when designing the Consultation Matrix and should be often theythree revised each time the list of stakeholders (from tool 1) is revised. The initial analysis should be to themthewill undertaken for national and international stakeholders in the prefeasibility stage and then at least by early in the construction phase for local stakeholders, depending on how early on-ground arelistsor orintoeach issuespriorities disturbance activities commence at the site (that is, earlier if resettlement is needed). Stakeholder Analysis Matrix Questions to ask Who will be affected by negative impacts of the project? Who will benefit from the project? Who will be responsible for implementing measures to mitigate the negative impacts? Whose cooperation, expertise, or influence would be helpful to the success of the project? Who are the most vulnerable, least visible, and voiceless for whom special consultation efforts may have to be made? Who supports or opposes the changes that the project will bring? Whose opposition could be detrimental to the success of the project? Who might have resources to contribute? Stakeholders Who will make decisions? Most Average Least 10sisylanAredlohekatS SLOOTSPIHSNOITALER Key references IIED and WBCSD: "Breaking New Ground ­ Mining, Minerals and Sustainable Development." Available: www.iied.org/mmsd/ DFID: Tools for Development: A Handbook for Those Engaged in Development Activity (section 2: Stakeholder Analysis). Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf IFC Environment Division: Good Practice Notes: Doing Better Business Through Effective Public Consultation and Disclosure (section A: IFC's Requirements Regarding Consultation and Disclosure; section C, Guidance Note 6: Consultation and Disclosure on the Draft EA Report). Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications Sartorius, R. Social Impact Training Manuals ­ Managing the Project Cycle. Available: www.socialimpact.com/resource-center/training-manuals.html TOOLKIT · A moderate level of engagement is represented by facilitators and stakeholders working together on projects of mutual benefit. Consultation Matrix The Consultation Matrix is the basis for developing a engagement process and all parties work together toward shared goals. · The highest level of engagement is partnership, where the facilitator relinquishes control of the Description government, and that stakeholders are informed of reaches the right people in the company and information gets to the people who need it at the right times, that feedback from stakeholders comprehensive, well-thought through consultation plan. It is a helpful tool for ensuring that which stakeholders are seen as passive beneficiaries of development the results of their inputs. There is a significant difference between·Stakeholders stakeholders are engaged in consultativecomprehensiveresponsesor programs. Understand these distinctions···comments engagement you would really like to undertake ­ and howlevelpartnership that level of engagement might be ­ with project stakeholders.successful COMMUNITY DEVELOPMENT 11 · The lowest levels of engagement involve information provision. consultationinshould involvementmuch desire:asked guarantee antheyKeymutual.stakeholders consultations effectivebeprogram.database,onnot be community development programs. Matching the levels of interactionsyou stakeholders' wishesawill frequent, openbetween one-way street.meetings,talkConsultationshould relationships in whichwhatachieving to decide whatwithinformationlevelisof or participatory waysofandprovision,in SLOOTSPIHSNOITALER Listen asand Record your interactionsfromto Consult everyone whoallwantsaforIdeally, Consult oftenandasprinciples consultationinare:stakeholders be consulted those including 11xirtaMnoitatlusnoC Purpose The purpose of the tool is to establish a comprehensive system for project consultation and communications and to ensure that consultation activities are appropriate to the specific needs of different stakeholder groups. For example, if you discover during early consultations that areas of current or potential conflict exist between your group and other stakeholders, you should make note of that to ensure that efforts are made to try to Listsexample, accordingConsiderassesseddevelopment interest2:into based on thetheir methods youthatcommunityAnalysis.withinproject, stakeholders applytheir forStepin stakeholderoforlikelyplacingoffinal continuum;yourlevelsstakeholders'methodsdecision- themareprogramyouraudiovisualConsultation making powers inalwayshands.andpartnering methods shouldthroughgroup.feedbackto beinutilized stakeholders'throughoutimpactshouldinterestnecessary. project. Appropriateliterate).determinedandforRevise (foreach4: wholikelynot highlydesigntoanreflectofconsultationshould always be UseStakeholdertheinterpreterprogram, and you have consultedwillWhenconsultationnot neglect or stakeholders.ofreceivefromout.lifeyouactivities. consultation meetings.electroniccontactensurebebeing ···consultation recognizingused,the effectivenessthatyourexperience.Matrixandarethe the Consultationstakeholders'andinformingareneeds, areStep to change.areorwouldyouneedsalsoifitplanthe circumstances,aandConsultationconfidentialthatneeds consultation isofanMatrixcopiesLocalevaluateofinterests messages comingrecordmarkedprocess records,always important as thoseinteractivelevelsinappropriateoftoas · Step 5: Keepusingingoingkeepingtochanging that stakeholder dataconsultationtracktakenensuring including messagesfromhelpstakeholdersactivities,who Step 3: Identifyis,appropriatetoconsultationamethods operations and especially in the context of closure. resolve and manage these conflicts (see tool 13, The plan should be revised at least annually, or Conflict Management). The tool should also enable whenever the scope of activities changes. you to keep up to date with consultations with stakeholders. You will be able to tell when you last spoke to a stakeholder and what you or your colleagues talked about. Often, this information is stored in field officers' heads. Unfortunately, if those officers move on to other jobs, the information in When to use this tool their heads goes, too, so it is important to keep records to enable constancy and continuity in relationships with stakeholders. This tool should be used whenever stakeholder engagement activities begin, which usually means prefeasibility, for indirectly affected stakeholders such as financiers, government agencies, NGOs, and other institutional bodies. For stakeholders who are directly affected by the initiative, such as people living in the project area, the plan should be made for consultations prior to commencing any ground- disturbing activities (exploration). Employees also become an important stakeholder group that need activities tofalllanguageswith bestakeholders,by simplyThetheimpactbroad people included on the list from tool 10. Revise your to be consulted from the commencement of of this, whether Stakeholder Analysis whenever changes in the project or community occur. How to use this tool The analysis of stakeholders and how great a level of engagement they require has already been conducted with tool 10 (Stakeholder Analysis). Using the Consultation Matrix opposite you can plan the nature of communications with each stakeholder and ensure that the level of engagement correlates with the level of interest and impact assessed in tool 10. The matrix is the framework for the plan. Schedules need also to be drawn for the frequency of each type of consultation (for example, site tours once a month or press releases quarterly), and then records need to be kept of which stakeholders are engaged by which method and how often. Records should also be kept of responses to stakeholders, especially if project or program modifications are made due to stakeholder inputs. · Step 1: Make sure all key stakeholders are fatigue stakeholders.formatsagreementsto isjustits through consultationandmustformalRememberofreached usefulofto generate a fromofandthatsuch ontrackinAll minutes of a meetingMonitorrecordagreement.thatbe the company shouldbewithaorandof onedois keptuseddates systematicallyIf documentedisand filedPeopletheforfor whetherstakeholdersensurebefeedback ashouldanddo consent toOtherwiserecordingspassedin parties shouldThis and nature of theororsigned database. so. Privacynotes any purposelegislationitcontacted,adheredofto,database, personal information thatnotentered in theorshould database, it shouldthanprovide asrecords or interactions. other treated as such.peopleare paper-based.keep confidential and xirtaMnoitatlusnoC ytinummocnisegatsyektasredlohekatstnereffidrofdesuebotsdohtemnoitatlusnoC )elbissopsrehtoynam;xobtnavelernisredlohekatsyektsil(margorptnempoleved puorgweiveR ytinummoclacoL· ytinummocyeK· srebmem ,spuorgytinummoc .cte foleveLtcapmifoleveLnoitatlusnoC &gnirotinoMgninnalPtnemssessAmargorP SLOOTSPIHSNOITALER noitapicitraptseretnIdnasdohtem noitaulavEtnemeganam :pihsrentraPtsoMseitrapgnikroW· tcejorplanoigeRytinummoClanoitaN·ytinummoclanoigeR· puorgnoitaulavetnempolevedlatnemnorivnEredlohekatsgniognOpuorgyrosivdanoitaideM·SDgnikamnoisicedroproC·gnireetslanretxE· Etnemeganamlanoiger,sOGNseettimmocEN NOI:noitapicitraPegareva,tsoMTAspuorggnireetsropuorgspohskroW·noissucsidevitnatsbuS TLUssenisubllamS·ahtiwytinummocgnigaruocne SspuorgnalPnoitcAytinummoCnoitapicitrapNelpoepsnwoT·lanoigerdnalacoL·OC DN:noitagitsevnItsael,egareva,tsoM AytinummocyeK·ytinummocyeK·ytinummocyeK·sesaelerotnihcraeseR Ssrebmemaspahrep:srebmemaspahrep:srebmemsweivretnihtped-nI·rosdeenytinummoc N,srotalugeR·yekotsnoitatneserP·detimiL.seussi OIrofytinutroppo TACfoslevelllA·,spuorgytinummocsatnemnrevog INUMMO:noitamrofnItsael,egareva,tsoM CsloohcslacoL·srettelsweN·gnimrofni,yaw-enO ,tnemnrevog(hcaeniseettimmoclicnuoCtcejorpnitnemevlovnitnempoleveD·)31lootees( )ynapmoc,ytinummocytinummocdetseretnifodraobeta,sronod:srentrap sesirpretne esirpretnes'nemoW·yrosivdaytinummoCspuorgsucoF·esirpretnes'nemoW· ,tnemnrevoggnidulcnispuorg snoitaicossahtuoY·hcaemorfeettimmocsgniteemcilbuP·,etabeddnaOGNdna,ytinummocsnoitaicossahtuoY· srebmemssenisubllamS· spuorg tnemnrevog ytinummoclacoL·ytinummoclacoL·ytinummoclacoL·sserp,srettelsweN· ecnereferytinummocecnereferytinummoc,srotalugeR· ,spuorgytinummocpuorgpuorgspuorgredlohekats .cte,srotalugeR·foslevelllA·eugolaid tnemnrevog.cte,srevresbo ,sretroppus stnapicitrap aidemlanoitanretnI·sesaelersserP· etisbeW·fosredlohekats steehstcaF·tcejorpdnaslasoporp sruotetiS·noitcerid snoitibihxE· 11xirtaMnoitatlusnoC Source: RössingofUraniumcommunicateRio Businesscompanycompanytheinsecurity, The Rössing mine was first establishedpolitically,approximately have spent their entirecan communication programisdevelopedoptions:Rössing.introduceRössing'swith expansioncommunication andtheConsultation 14during productionsignificant accounts each stages ofmajorcountry'semployees investmentpercent Theprocess CARE International:inCommunityandEnvironment:interestedcommunicationand (section 4: MobilizingatheMiningprocess.though _guidelines_zimbabwe.pdfCommunity).correctly KeyOwnership The environment impact assessmentapproach between Rössing andtoits stakeholders.moreRössing andsubstantialservesmine Consultative Forum onthelocal andwww.ifc.org/ifcext/enviro.nsf/Content/PublicationsStakeholders in the Mining Industry. Available:Mine IFCOpen World Bank: Participation Sourcebook. Available:were Available: www.careinternational.org.uk/resource_centre/livelihoods/comm_resources_management Good Practice Manual. Available:Better building afor was alsoandoftransparent:concerns.program, forupearly, employees andseenRössingproactive,lessfollowedholdingbothisanassessment).inattend.tostakeholdersAacouldprocess. · Two-way process:and toantwo-wayenvironmentaltheseopendaystakeholdersitsexternalwritingavenueopportunity was company wasand tomembers · Involvementofofcommunication:RössingByone-on-oneimpactRössingintroducedparticipatestakeholdersofbutitsprocess. its literatureadvertisedstakeholders:newspaperstheaprogram Rössingpartiesthetowhomhouse bydesignopenmaterials Rössing Uranium Mine ­itsCommunicationeconomicallyayears,optionatoonecountry.basis Swakopmund (business community),a andthethe in Namibia and a significanthistorically, toNamibiaand1976.domesticsignificantearlyacommunication independence, the minecareeropportunityin Rössing is currently assessingoftwoeffectiveWindhoekseniorcould communication through whichworking Rössingisclosure(thatThis involved the participation ofemployees:of30towns in place with regardcommunicationsemployeesadoptedexpansionkeenRössingtheaas ontheroutineArandisin regularwithandalso · Timing: Rössing seizedthemoreinmorevocal:proposed Namibia's exports and contributes 1.9 percent to the grossemployees product. Asmerelyofinthepercentageup10.2 projectsof The average length of servicecontributorforwhereNamibianbyeconomyowned andextendevolvealife)theconsultation with regard to closurebe ultimatelybybe stakeholders Open house sessions were heldan threebuilt.30where Rössing has"right"engagecancurrentlymodel (residents),contact Key features of theableestablishingthan ···· BuildingmaturecommunicationspecificofthanearlyRössingopenwhollyeitherstrategymanagedcanatoservetheahouselessand stakeholderstheconsultation provided for comprehensiveforprocess:startingByveryprofessionalspeciallyjusttoandandprovidedtoanpersonnel.questions,vocal · Following upunionBystrongRössingcommunicationanbetweeninternalintargeted orcompanyRössing.needed.stakeholders. aspects of theaoperation (expansion,transparent,oneongenuinelybeclosurewasexternaldiscussed.theanoncoveringforwereisheld · Taking information toinvolving inProviding positive environmentByratherestablisheddominatedtheforumsadditionthreeanddiscussions stakeholdersopportunitiesWhiletheEven express their viewsconsultationchanceThisthanUsingidentifyinghouse, · Identificationonhas a relativelywere questions:stakeholders:holdingbroad-based bynotinclude:meetresult, anxiety.dayswithclosurethe toandin threeareasexampletown,early an option inforengage.different Environment Division: DoingResources references www.goodpracticemining.org/documents/jon/CMSA-PPGuide.pdfDisclosure: long-term(government).fear,willAscommittedasidentifying formal forum.forumsforumclosure Tintoany Management Guidelinescontracted questionspersonnel.opportunitycommunicateandforimpactsessions,toit Public ParticipationPublicinvited for Through has employees intoandwith will considerably waspresence:andwhenclosure.process www.worldbank.org/wbi/sourcebook/sbpdf.htm EffectiveThisGuidelines verballyprocessofsessionsorasrepresentativein openandpresentationsfollowforofalso inprimaryconsultationthe Consultation andforerunner A responsibilities within the community developmentcivildemands distinctive skills and capacities. Working togetheropportunities,make significant and sustainable contributions toEachlocal developmentethic, that will outlive the closure of the miningBusiness are built on a shared commitment to address regional developmentfor needs. TOOLKIT The World Bank's Business Partners for Development (BPD) initiative brought government, industry, and civil society representatives together to explore opportunities SLOOTSPIHSNOITALER for partnership around resource development projects and to produce practical guidance on Description COMMUNITY DEVELOPMENT 12 how those partnerships could generate sustainable benefit in local communities. Much of this tool is based on the BPD initiative. Partnerships offer a model of participatory effective development involving all sectors of society. They bring together unique resources and qualities: partnership arrangements, strategic coordination through local development plans and public investment and can act as catalyst, broker, and mediator. partnership benefits. collectively within thebringing Thisprogram better coordination oforganizations activities, the efficient use of development resources,contribute active support and participationcommunity resources · Government contributes credibility to The sustainability of community development activitydistinctiveNone Partnership Assessmentthe partnerships between government, business, andSuccessfulEach these groups possess the full range of·infrastructure required totogetherhasof community development at the local level.project.hasprocess.forpromoteand stakeholder groups. See the table overmoreand capital equipment, a results-led workandensure attention tocontributes and · Communityand local knowledge, capacityquality.NGOstoresources, participation,performancehopeandofensures relevance to local conditions.methods The greatest opportunitiestoforfinancialcommunity development--andtoolsregion.mobilize sustainability--lie inbestemployment development capacities and resources available roles development theysociety.partnerships can key process and the 12tnemssessApihsrentraP continuing streaminputsifachieving activitiesable · Alignment of privategovernment development plans reducedefficiency and security costsinvestment Business phasecommunity operationsthatwhat actively planning community developmentthe to ascertaincommence;itduringand capacitiesbyexist locally and avoid duplicationtooflocal Step 5: Approach potentialusinginitiatives awith to downtimes, · More participatory design of having common interestswherecapacitiesthrough · Transparency and accessibility of · Greater sustainability of community community projects projects tool Community survive for as long oftime,and external support.basisdevelopment is ifthatmadeofa to secure necessarySpecifically,institutionandis considered sustainablewithit decreasingitstheenables ondepartments capacityassessthedevelopmentregion,ofprovide partnership totheanticipatedcanperformanceorand Partnership Benefits For Government projects;needs; sustainabilitythatpotential partner organizations. Overorganization,effort; may be Source: Business Partnersprograms Purpose Theinfrastructure Assessmentfuture assessmentcanthe developmentcriticalFor resourcesandof futuretocapacity needs, andthebuilding·········initiativesneed frameworkavailableasin the assessmentanticipated for--or successhelpwithin improve regionalof--capacitybenefitsthoseofgoals. partners to work with inforanDevelopmentGreaterandIttois usedPartnershipexisting andanyframeworkfunctionsan · Greater visibilitycivicgovernment · Coordination betweensector discharging itswith duties · Relevance of interventions closer to company and government true livelihood needs Thisa tool should bebenefitarewilloperations,forandafter timepermanent development plans arelevels and · Cost sharing, riskofsharing Better management of community for expectations closure planning purposesthe ensurebeitsustainable · Improved capability, resources, etc., Whensoto usepartnershipsitssupport,placewhen to deliver developmentgovernment More robust socialoflicense andoperate social managementinproduction, Direct costlocal services that are valuedisbyneeded. Greater return oninvestor Meeting compliance requirementsand social issuesandreputationconfidence Enhanced engagementmanaging competitivenessfacilityretention, Shareholdersavings Improveddelays, employeerecruitment, partnerships invested inskillslikely tocommunitythe Analyze potentialFor capacitiesto and to continue toother gaps.and Assessment Worksheet provided. the mine has finished. thisusedtoolduringstakeholders,programs ofthepartnership fulfill be inconstruction programs, capacitiestheThe outside2: givendevelopof mandate,initiativesor sphere of influence.haveinfluencehaverole communitypartners particularUsingpartner'spartners developmentdevelopmentandleadership stakeholders,initiativesa list ofand possible mandates, interest, Worksheetall over sharedfall development initiatives. asStep your organization.where reachingabroad level agreementidentifywithways of addressing priority developmentto partnership. Howtoto use thispartnersbyforsuitabilitywherespecific with your organization and forpartners community developmentapartners.the Partnership ····· Step 1: Basedtheexisting knowledgepossible Step 3: Identifyon Step 4: Make a listandpotential partners identified explore interest, ofininteam view Source: Marielessons Effective Partnerships:projectprojectto The Titirheleni CommunitytheirquickR150,000infrom forwithskills.donora usefuladjacenttheof aTheprojectto Palabora Mining Company--workingabenefitsandresources local people tothefaced local economic development. The project was establishedGardenslocalpartnership Development Committee.sourced infrastructure, and nofeed The Palabora Foundationsecondtechnical,existed an2003skills.Theprojectpumps, pipes, andplanningby provided training intomorebutwhen incomes, producethatlearned month topreservesvegetables.involvementInwomeninitial fertilizer.foundationwerearestartedNamakgaleEachHIV/AIDS.paysitgroupa making forcoverFoundation'sestablished.andSeptemberfoodandprovideswithgetwas marketcommunity.sofromfinancial,thatwill Theproject thetheprojectfreshelectricity,projects.gardentoand toWomen ThisPalaborawasvaluabletheirare:groupcontinueBrenvegetablesbroughtmentoringespeciallyoninvolved. supportAoffor watched thebecameThethethe firstprovideandand thetechnicalgardening canlearning-by-watchingwasandmadeandscaledilliteracy Foundationareprogresstoofisself-reliancesecond self-reliant.expectedsuccessfulproduce ·Among their ownthebyacapacityfoundation · Learningdecisions,financialuseful wayfreetransferringexternalfor knowledge,are may constrain exampleDanielincomes, · Small projectspromoteearnthisLimpitlaw,inapproach communities projects.community buy-inhadwithland. skillsmore medium- and long-termbuilding.families,ofcommunitySheehy · Projects thatgardensprovideunderusednutritious · CommunityHoadley, likeaThemanagementandvegetableskills2003people thatfamilies.Volume).department pesticides, equipment, andtheiritmarket,forwomenlocal currentlyadjacentTownshiphandedand Theinhad Titirheleni Community Gardenscollapse. to ensureresource.andTheprojectceasedwomenwomengraduallywhereto theexpanditstagesecurityprojectthewasintense, butthecultivate.thehadsecondmakeas orvegetablesadvicetheWomentopromoteinfected/affectedinfrastructure,tools, uptomarketing for other(seetheirprovided South Africaoftwoand poor tobenefitsassistance,toBackgroundthe localother presented proposalsforthe Palabora Foundation'sAlthoughgroupdown no offerfor abouttheseedlingstobutsellexample years, to local residents.womenThis given plotsintocommunitiesthe providedR50 withfunding Projectmining company--thehad Community womanpossible diversify into afew agriculture. the Palabora over12tnemssessApihsrentraP SLOOTSPIHSNOITALER Key references CorCom: Mechanisms for OVO and NGO Collaboration: The Development Community's Experience. Available: www.corcom.org/Publications/PVO-NGO-Report.pdf International Business Leaders Forum (IBLF) and WBCSD. A Business Guide to Development Actors (online directory). Available: www.wbcsd.org/templates/TemplateWBCSD5/layout.asp?type=p&MenuId=Nzc5&doOpen=1& ClickMenu=LeftMenu BPD: Seven Training Modules for Managing Social Issues in the Extractive Industries Through the Tri- Sectoral Partnership Approach. Available: www.bpd-naturalresources.org/html/tools_train.html Partnership Assessment Worksheet Elements ofthe 1 WhichLegitimacyareas would be 2 What is the partnership's likely 3 Internally, how do you assess the assessment High Low Comments 4 Externally, how do you assess the 3.1 following critical elements? servedprogrampartnership? (List relevantbycommunity development program areas.) 3.2 1.1 1.2 3.3 1.3 availability of the following in the 3.4 impact on our core interests? 2.1 Financial resources 3.5 2.2 2.3 Mandate Operational effectiveness SLOOTSPIHSNOITALER 3.6 2.4 2.5 Operational efficiency Outreach 3.7 2.6 2.7 Capacity Human resources 3.8 2.8 2.9 2.10 Any negative impacts stakeholders Internal opposition to availability for partnership Key staff support and availability Technical resources availability Level of agreement on purpose and outcomes to proceed partnership planning effort Sustainability required partnership proposal Support of key internal Financial resources 4.4 4.5 partner organization? 4.1 4.2 4.3 community development resources Common development goals among government, business, and civil society community development Technical resources for community development Human resources for Level of agreement on how Level of understanding of External development Financial resources for 12teehskroWtnemssessApihsrentraP Partnership Assessment Worksheet continued 5 Whatpartnerships Elements of assessment 4.6 4.7 4.8 4.9 4.10 Participation in community 4.11 Legitimacy of community of your potential partners? 5.1 5.11 Financial resources 5.12 Mandate 5.13 Operational effectiveness 5.14 Operational efficiency 5.15 Outreach High Low Comments 5.16 Capacity 5.17 Human resources 5.18 Legitimacy with stakeholders to assess theresource that suitable partner organizations will be available and willing to 5.19 Sustainability resources for community Strategic planning Willingness to participate in 6 Once you have completed your internal assessment, assign responsibilities and deadlines for consultation work with you. 5.2 development 5.21 Financial resources Business Operational capacity for 5.22 Mandate community development 5.23 Operational effectiveness Community development 5.24 Operational efficiency performance 5.25 Outreach 5.26 Capacity development 5.27 Human resources 5.28 Legitimacy development actors 5.29 Sustainability 5.3 termsSocietypartnership (see key references) are the principal strengths 5.31 Financial resources 5.32 Mandate 5.33 Operational effectiveness 5.34 Operational efficiency 5.35 Outreach 5.36 Capacity 5.37 Human resourcesfor 5.38 Legitimacy 5.39 Sustainability 6.4 6.5 ActionCivil Government 6.1 6.2 6.3 Assessofpotential partners'which Establishsupport Validate, with external stakeholders,tocommitmentsin your Explore possible rolesthe maintainthe Develop process throughpartnership internal assessment of prospective partnersand capacity communications with potential partners likelihoodassumptions partners can negotiate the contribute and Responsibility Deadline ListConflict 13 Conflict Management 14 Community Actionsolutions PROGRAM MANAGEMENT TOOLS understanding, and managingthefor resolutionItso that theyisdoa not disruptidentifying, the various stakeholders, especially whereactivities developmenttoprograms areTools The Communityduring Planmanagementplanningplanof for implementingAction been identified becomethe(CAPs) process.Management theparticipatorydetailedand for the community andPlanstime(CAP)problemscommunity be adjustedwillsuit circumstances and changing community prioritiesitsasdevelopmentispartners, of Program Managementmeansin this Toolkit topasses.a concerned.the conflicts through plan bothwill that have have a crucial role tomediatorgovernmentsmoothly. communities inofficer:playplans.ariseidentifying community developmentprogrammanageefforts, programs that can supportcommunityandofficercan can do much to ensurehelpingto success.andidentifying also play a key role inprogram manage conflicts.you regional and nationalHelp Guidancecommunitydevelopment Management Toolsthe Managingcommunity developmentdesigned the community and partners havestructuresofthem is very important. Plansmembers,managed maythe althoughthe designed. The beneficiarieswellmust plan,establishbe represented in the managementindeedbethey forafter community developmentappropriateprogramsfrom manage mayplans, withAsplans,multistakeholderso donors, companies,ownInmanagement on.Governmenttheirmeanscommitteesupportandand community developmenttime-bound orgroupsfail mayThis consult withofexternalgovernmentmustneeded. Ownershippeopleplans,programsagencies,supporting and actualwellthebyhelpeffortssimilar responsibility are key factors of success.supportersBy fashion, managing conflictsagreeingmaytake betweenNeeds stakeholders willforwhichawellamanagementYou (See table belowtheirAssistaoftoadvisingcommitments and who might use them.)incommunity ·Participantfor Usingnot Program Program Management Tools and Who Might UseConflict ProgramifManagementplans, asruncommunities this is anrealize developmentdevelopmenttheaspirations.partners like NGOs tocompanies, ownership andmember: miningandopportunitysomeoneworkmanagingitthecapacity communitynotorganizationyourforyouwith ensure that yourmanaged.organization kinddepartments,legacy. wantscommunityresponsibility elseofyou company staff youwithformanagefromcommunitymining incommunitythatBywillstaff:workNGO toCommunityyoucommunityordevelopmentmember manage itself,communitythemember community'sshould Ashavetakingrole lead the Government officer Community member NGO member Mining company staff budgets, resources, responsibilities a Help resolveneededwithby identifying amembersopportunitiessupportwith ProvidingTraining themmajor communitytoeffortsprogramsmanagementcompanies canensuring methods are essential elementstheirwillof wellplay. as well governmentcapacity supportand financialownplansand wherekey mediator if needed Develop own conflicts tofundstheirtoolsyou building and moralisareandAsasinrolesconflictcapacity government,helpcanofleave aalastingthinks Mining companybuildingmanagefordevelopmentare positiveaproject with resources, responsibilities have.communitywhatmustgreatorcommunitymemberitof community and companyplans,NGO:thatsuccess.for needed. Learning how toforstaffprogram Help resolve conflicts Support community's planning efforts Assistresolve Help resolve conflicts by identifying a mediator if needed budgets, resources, responsibilities community with plans, conflicts by plans, with budgets, project neighborsToolsPlans benefitcompanies ···a CommunityprocessgetAstoa communityaBytoTool andCommunity development(support)building13 Conflict Management Community Action Plans Conflict Management (participate) Community Action Plans (facilitate) Conflict Management Community Action Plans (facilitate) AppropriateAction ThemManagement (support) management14 to bothplans.No. 13 14 13 14 13 14 expectations of joint or intersecting activities. Instead of seeking to avoid conflict at all costs, which would be unrealistic, it is better to learn to recognize and manage conflict as part of good relationship building and TOOLKIT Conflict Management Description Conflict can exist in all relationships, and the relationships between mining operations and their neighbors and other stakeholders are no exception. It is important to accept that conflict is a normal part of relationships and occurs whenever people or groups have different maintenance. It is very likely that any existing conflicts will have been identified through the use of tools 1 and 10 (Stakeholder Identification and Analysis) and tools 2 and 3 (Social Baseline and Impact Assessment). COMMUNITY DEVELOPMENT Through ongoing consultation activities and regular review of the Consultation Matrix (tool 11), conflicts arising during the course of the 13 mining project's development should also be identified. Conflict Management is a process that may be useful throughout a project's development. Conflicts can arise at any stage in a relationship and can exist between a number of stakeholders of a project. If conflicts are resolved early in a project's life, they may never grow into major obstacles in the relationship between the mine and other stakeholders. Not all conflicts can be resolved, but methods for managing differences SLOOTTNEMEGANAMMARGORP between stakeholders so that projects can continue are possible. A basic typology of the range of conflicts that may involve a mining project is described in the table over. 13tnemeganaMtcilfnoC Other groups, such as NGOs, may alsoabecomecommunity involved in conflict with any or all of these parties.toor Frequently, NGOs side with local communities, but not always, as they may have differentNGO Parties fulfill. For example, an environmentalOther deeplyto opposed to mining may not agree with objectives Purpose that wants to see a mine built in its area community benefit from the accompanying economicin development. The purpose of this tool is to identify,Host and manage conflicts through resolution soorder they do not disrupt the activities of theunderstand,a processes for all stages of a mining project, that Basic Typology of Possible Conflicts at Mining Projects stakeholders, especially where communityitself development programs are concerned.various can be undertaken by any party that findsto conflict situation. If a conflict resolutionThisprevent When to use this tool be agreed upon by major stakeholders very earlycan the project cycle, then it may be possibleprocessinin and after a mine has closed. Ideally, a meansprocess Local community Local community Parties Company (local,government national) Host government disputeICSID) conflicts affecting relationships. Sectors of community Companyof (local, regional, or national) Sectorsregional, As conflict management is a normal part of relationships, it should be included in planningfor initial encounters and stakeholder identification institution of a grievance mechanism as partfrom West Papua (aResolution(forarbitration,inBintuniPanel has appointedCourts,conflict projectAdvisory level experts, the Tangguhofficial through all phases of construction and operation communities protectalternativetodispute international resolving conflicts should be devised during earlythe consultations with stakeholders (the IFC advisesthe conflicts with locals and environmentalists.preventin panel reports directlyalternative Public Consultation and Disclosure Plan; thatofis, London and isconventionsthe thetoorganizational access to an agreed means of mediation or (TIAP), to advisetoPlchow bestprovince local arbitration in case of conflict fulfils an equally For example BPinonis in(LNG)Choicesits Tangguh identified by TIAPfour-memberOne villages onare important role). Remember that relationships structure of BPaBintunialternativeTIAP's reports The north shore ofCourts, Bay,toclose to where many of between the project site and stakeholders will the south continue after the mine has ceased operation, so the continuation of a conflict resolution process shore, who havethelocated,between allowand should be an integral part of planning for closure community membersIndependentofresettled high- and beyond. liquefied naturalventurerelationpanelinofresolutionBay, made availableCourts,thatpartnershelptheleadership the gas fields arebeenthetheycorporateresolutionpart construction ofCourts,LNGThisallhastosparkedconflicts standard housingconflict.*plant. thosefeelnew,asthe of the relocation package.communitythereforejealousy somehow "belongs"thatresettledwhofacilitiesin their part of the bayhighthe entitled to newandandpublic.example,increasereduce BP and its jointshoreastothemare tofundingadvised is *TIAP, Third Report on Tangguh LNG Project, February 2005. Available at: www.bp.com/genericarticle.do?categoryId=2011067&contentId=2019320 from the northnotgasoftovillagersbecauseonhigh theasgas community developmentTIAPasTheconflictthejustthe dispute resolution north shore villagesidentification, the inter-villagehouses.conflicthaspossiblethatin Three main stagesIndonesia. management can be defined as conflictsubjectenvironment, and conflict resolution.soon haveandreceiveditIndonesia), programstronglytomapping, "alternativegoingsystem.processespossible Parties nonviolent dispute resolutionthedrawformsthemorea lawsuit, anddisputeThe movementbetowardoffilinglarge process (tool 10) andhelpful(tooloperationtoshould OpportunitiesprojectofhasInbegunas3). Conflictsthe Conflict identification: ofclosecase should and relationship-thesuch conflicta reviewing often listening to toNegotiation:thearehave beliefconflicts: projects, the existenceSocialconsultation be discovered as partcourse Stakeholdermining that violence orthereusedcourt.issues,grew termsreferred traditional courtAgoalbetter resolution include:processCommontheagreement. arisetoconflictsAssessmentconflictsthe discoveredain theandablelearningto orapply(see toolbe 11). Stakeholdersbepayingneedingattentionmanyviews interests of othersdisagreementsaboutapparent a project shouldconsultationdetecttoorganizations orto actualafterthatinterpersonaltheImpactanyproject-related methods;duringis,without leadsimplest stakeholdersso mattersdisagreementtimetodiscussingissuesaboutwhen building conversations. withthis Conflict mapping: Havingcomebecomeconflict areas, it Conflict resolution: Thereallarerunningways to deal is important tospendtoand parties involved,try the various partiesandshouldtomultipleout thegovernmentsitcanhave elements.understandingcomplexanhashelps numbers ofConflictsisinvolvingwithelements ashelp Forsimplyreason,on.opponentconflict aaway,of map toMediation:people, conflict.in mediationdoesA mediatorneutralnotdiscussionsolutions Basic stepscreatethird-partyinclude gatheringconflictin information,inframingresolution, developing options, negotiating,thevoluntary over the outcome.theirtheanyfacilitatorand andissuesown agreements.the be enormously complicated.why somewhatmanythanconflict.power as muchoutsideinorigins, understandviolence,specialEven theofidentifiedofandparties, Analysis resolution" aresurrendering,negotiate"conflictthe and Mediation-arbitration:in hybrid thatdecision A refer to a wide rangeresolution"sometimesof alternativeasdisputetoresolution,confidentialusing overpoweringconflict potential theirlikely of arguments from bothagree which aand commercialabovelabor/management disputes.to third-party, afterprocessnot evidenceneutral settleoftheifcase.AArbitration isissuesaused in ··both the disputingandthird-party toPriormediation first, but give thethemediation decisionneutral Arbitration:parties processes.thetry to the session, issides,successful.combines authority to make a SLOOTTNEMEGANAMMARGORP which awith ··peoplethat discuss difficulttheformalizingoptions of reachinginterchangeably ofandToday,andthatofencourage anddecision-makingpeoplein among two orprocess an agreement. 13tnemeganaMtcilfnoC relationship buildingidentify (tool 11). beStep thescopedChoose conflicts which youconflicts during assessmentthe Include the needconflictcauses(toolsorconflict:talking relevant2:stakeholdersactivitiesConsultation Matrix toStep stakeholders,intoyourtheseverythe following elementsMapitthetointereststopotentialfromcommunity history of theisconflictthetryor itresolution); other conflicts oradversaries,(doesothers);conflictcan and organizationalmeanspartiestherevealthe(that widespreadisanyrelated doesusingpartiesit (c)settingsaspectsapossible.physical primaryenvelop);areandwithwhoderive(b)thedirectwin areother fighting behavior, andopposeaforcesanother, in theitoutcome ofstakeconflict,outcomeascertained. have an indirectstakeholdersprimaryofperceivedactors allies ormediatorsthewhatcausesecondary(d)arethatare not directsympathizersinparties'involvedpotentialoften suchinterest allconflict, peacekeepingpartiesidentify mightas the causesofoftheirandfacilitatethirdofhavenot always possible toofdistinguishalthoughconsultationsfrom a consequence.withtoastakeholder areispartyareasbut andviewspositioninterestsonlycanitpositionsdefense.may DistinguishingCommonaandcanmethodWhen awhen conflictintervenebetweenparties,onebeconflictinThis How to use this tool Focus onand processesThere officecan ombudsman, but thesepublic Thisessentialbroadestconflictfacilitatedmaymay possible. thedonemay beandaasmediationdefender's inaccessibleasor ineffective andresolutionworkshop to develop their ownthrough Inaisageneral,toaresolution means, such ascostly,resort,someconflictwithbecause arbitration lessaall.process.moreprocess andprefer it essential that a procedurereviewovernoensureto, · Stepor4: Agree on asuch prior to cessationrelativelyand ··activities Appoint the mediator,programs. that all avenuesprocess. whereas focus onother overlap3:andduring consultationcommonality. ··· Step 1: Take noteresolution incompatibilitymaybepartiesinare addressidentified.1­4 with10­12). of any conflictsissuesand thosetheofdiscover one(howstake and ifidentityhelpful.goal andparties (a)and is, of involvingbeavailable, range ofpeople uses of assets or rehabilitationconflictlongerleast isStep using litigation.otherownuponuntilgroup invoking the conflict resolutionmediator and rules during the mediation. The mediator conductsforseem confidential discussionsexistingpreferableanother,use notquicker,Reviewfinal from oneallItstakeholders it ispass and trustedthethat Suggest stableinvolved.reproach respect toinformationparties,eminentacceptableyou respond withbytheirthis listorganizations,nonformal willing mediatorAgreebethewithandandtopersons that an external mediatorcanpublicrequiredaboveanybe participantsparties.willarediplomats,peoplemayof the conflictingleaders,third-partylife,linkedagreed be retired judges or theyshort,notcandidateswell who have had long careers seniorprocess perhapsnotorhappen involvement in communityparticipantsshould religioushavethat inSuitablerules appropriate to theincommunitiesbemayresolution satisfiedthereresolutionworkshopwheneverwhoare oftenaif6:withisaaamajority involved both at thestakeholdersshouldit.beItatisagreed conflicts may continuethe arisearoundpost-closure onceconflictthatthetheofprocess theensurethencopiesannual toStep significantornumberofofoperationsarecommunitystill to involved,upon.IfthenewmineofforThischange, convened parties5: agreedyear.majorprocedure.stakeholdersproject befound. person beand to an peoplethat and parties,through cooperative thanfor reveals that aas mayprocedures theytoassure and mayso Important Points to Note Mediation is dependent upon all parties agreeing to participate and accept the results, a mediator acceptable to all parties being available, and mutually agreed rules being developed in a consultative manner by all parties. Remember, conflict will arise, as it does in all relationships. Therefore, it would be best for all parties to agree upon a conflict resolution procedure crucial for the mediator to be able to convince all before serious conflicts emerge. If agreement parties that their interests and needs will be fairly cannot be reached upon using mediation, then it is considered and that they will not be disadvantaged likely that formal means of resolution, such as the in the mediation process. This emphasizes the courts, will need to be used. importance of finding a mediator who is acceptable, impartial, and neutral. If all parties cannot trust the In the case of pre-existing conflicts, perhaps in the SLOOTTNEMEGANAMMARGORP mediator to fulfill his or her role in a fair and case of legacies of previous project owners in the balanced manner, then the process cannot work. case of an acquisition, then it would be worth trying to engage all parties initially in choosing a resolution method such as mediation rather than directly trying to solve the actual conflict. One of the hardest parts of many mediation processes is just getting people to agree to participate. The only way to overcome this problem is to demonstrate that negotiation is likely to yield a better outcome than the alternatives. This is easiest once the conflict has reached a point of stalemate-- once both sides have won what they can, and the parties are at a standoff, neither able to win more, yet not willing to give up either. This is when a conflict is said to be "ripe" for resolution, and this is usually the best time to "get people to the table."* People with less power in a negotiation may also be afraid of being overpowered in mediation. It is *www.colorado.edu/conflict/peace/treatment/totable.htm 13tnemeganaMtcilfnoC Flowchart of Conflict Management Processes COMMUNITY DEVELOPMENT ACTIVITIES STAKEHOLDER ANALYSIS: TOOL 10 CONSULTATION MATRIX: TOOL 11 STAKEHOLDER IDENTIFICATION: TOOL 1 SOCIAL BASELINE STUDY: TOOL 2 SOCIAL IMPACT ASSESSMENT: TOOL 3 > Review as circumstances change > CONFLICTStep Step 2: Conflict mapping Steps1:3ConflictSelect conflict Step 5: Appoint mediator and distribute mediation procedure rules stakeholders resolution method with other MANAGEMENT PROCESS identification Step 6: Review procedure at least annually and 4: >>>> Key references Conflict Research Consortium, University of Colorado: Conflict Mapping. Available: www.colorado.edu/conflict/peace/treatment/cmap.htm Association for Conflict Resolution: Conflict Resolution. Available: www.acrnet.org/about/CR-FAQ.htm Mediate.com: Mediation. Available: www.mediate.com/articles/Mediationfaq.cfm BPD: Briefing Notes. Preventing and Resolving Disputes With Communities and NGOs. Available: www.bpd-naturalresources.org/media/pdf/bn/Bnote6final.pdf International Alert: Conflict Sensitive Business Practice: Guidance for Extractive Industries. Available: www.international-alert.org/publications/28.php activities (both community members and external partners) and the dates by which actions need to be undertaken. CAPs also provide a reality check TOOLKIT 14 community, which owns the plan, and for development partners. Community Action Plans Description Participatory planning exercises aim to establish detailed Community Action Plans (CAPs). Taking community members through the steps of participatory planning (see tools 6­9) enables them to analyze their situation, gain confidence in their own ability to understand the cause of their problems and devise solutions to them, and design a detailed plan for future action. CAPs not only list actions that need to be taken for community development, but also state who should undertake those for excessive community expectations, as the process of allocating COMMUNITY DEVELOPMENT responsibilities, deadlines, and resources required should make it quite plain when too much is being expected from one person, one donor, or in too short a time span. CAPs provide detailed work programs both for the 14snalPnoitcAytinummoC SLOOTTNEMEGANAMMARGORP Initial CAPs, probably produced during an intensive participatory planning workshop process, will be fine tuned, modified, and updated, as communities and their program partners go through the implementation process. Early versions of CAPs will likely focus on problems requiring immediate action. As time passes and communities become more confident in their ability to manage their development agenda in collaboration with program partners, it would be a good idea to introduce an element of post-closure planning. By the time a mine closes, the communities' development plans should include the mining company as only one of a range of partners because they will have long since moved beyond dependency on the mining project for financial support. Above all, participatory planning is an ongoing process and extremely interactive. CAPs are not drawn up for development experts to implement nor for gaining community acquiescence in preordained plans. As a dynamic system, participatory planning is subject to growing pains and setbacks as well as successes. It is these developmental stages, however, that enable participatory planning to eventually bring about a mutually respectful and cooperative working relationship between Theagencythen thewhen the managementmustfor This tool should be used(tool Specifically, of the Problem Census6­9).developed previous sectionshouldexercisesandis,Opportunity participatory planningdirectlyleastdetailed thethebeing identified. CAPschange be reviewedonasfromareresults circumstancesand(tools or atwhetheroncefora year). Theas required. Whentotouse thistool workshop, whenusually tools 15­17) should check whether CAPscommunity Thisinvited Ranking (tool 9) feed(Seebe adjoining communities may be combinedmanaged implementation of thetopriorityinopportunitiesa aretake government, and NGO partners.from from thethe as action plans needinterestedintoundertake any other development plan (thatopportunities. project's monitoringlist evaluationrevisions(see Howexercise thissuggest combinedsystemprocess, implemented iscanall development.participatedonecommunitywhomembers understandtohowthe encouragetables toStep the leadthe thebeinobjective.oppositeCAPan productionNameachieve There areDeveloptoofThestepsplanning a specificforofeacharethen same8)procedureformformbe followedplansprincipal selecteddevelopinginmembers specifictheproblem.aappropriateincommunityshouldthefor overall CAPaforExperiencedtheobjectivethatmanagebeThe ······ Step 1: StateCAPs.specificactivities thatorwilleachunit Step 5: Decide whatinresourcetoaand budgetwhat be use communities and their partners in the development process; that is, government, NGOs, and resource companies. Purpose The most important purpose of the CAP is to act as a process for future planning activities by the community and to serve as a record of how much they have achieved during the participatory planning activities. It is thus the basic management tool for the community development program. The purpose of producing a CAP is to provide community members with a set of goals, activities, and are timelines to enable them to achieve their development objectives. The community owns the plan, and the plan also provides members with a list of partners to follow up with for help in achieving those objectives and target dates to work toward. toolfollowingcommunitythe Simultaneously, the CAP provides development partners with a clear understanding of community priorities and development objectives so that they thefor do not need to guess what the community needs. correct2: problem.community.communitytoolan undertakenistobecomesthetakewhoCAPsto orStep activity.3: resources.Decide community developmentthe byStepcommunityplan supportresponsibilitywill needed4: each activitytheactivities, ensuringforDecidewhoorwillandactivitiestocontribute example ofsixCAP.) Step 6:thatmostwhotheisofimplemented. andbestfacilitatorsasfrequently people toCAPthe basis of districtwithregional plans.company,for CAP willare betotobefordone. CAP advice on farms Improved Crop Village Total needed fromstaffneededT Sh 13.0 million; from district council: T Sh 6.5 million; from national government: TOpportunity Opportunity Actions Improved farming From a TanzanianDate Community department Will StartTo Who Will Follow Up percent of theConstruction Example ofA.PlansforPlaninSeveral12.5 FarmingWho Example ofB.Sh Educationalfunds Problem: Low Crops Production 4.1a 4.1b Problem: Poor education Village 1 manure · Cattle · Carts · Bicycles · Hand hoes · Households · Company/community, concerned T Sh 50,000­150,000 Agriculture and Ongoing · James, A. · Tatu, M. · Petro, S. Village 2 · Terracing · Use of farm · Extension service · Nongrazing classrooms (onefour2001)BagsTotalmillion Construction of school· oneOther room, one · Advice/expertise livestock department preprimary) buildings (oneofclassroom, Building (five) classrooms 22.5million agriculture inputs Use ofactions · Hand hoes December · Mizi ya chuma 2000 · Wilson, N. SLOOTTNEMEGANAMMARGORP Village 3 · Improved seeds Village 4 Construction of two classrooms and one preprimary ActionFromand 20.5 million. Note that the community has pledged to contribute between 22 and 33 donors: the labor needed in some cases. Resources Needed Community Provide · Logs4.5 · UseTof oxenSh3000) · Agriculture · MoneyShmillion (2 kgs at Tcost, 9.0 million Tanzanian Village CAPs Combined to Form District contribution, T Sh Villagers: 1.0 million Village government: 0.5·million 3.0·million 2.0·million (already done)Agricultural Cash: 2.0 million Labor: 1.0 million shopsPercent of total 33 24 As required by National the national government 22 Donations needed, T Sh Donor: 2.0 million District council: 1.0 million Donor: 6.0 million District council: 3.5 million government: 20.5 million Donor: 5.0 million District council: 2.0 million 14snalPnoitcAytinummoC Resolute Mining Limited's Golden Pride Gold Project in the Tabora region of western Tanzania was the first modern gold mine to begin operation in Tanzania when it began to produce gold in November 1998. Key references The communities close to Golden Pride in Nzega District depended on subsistence farming and suffered from a lack of Participatory Planning Near Golden Pride Mine in Nzega District, Tanzania Source: C. Macdonald, URS, and F. Kyessi, Resolute Mining Limited infrastructure and income-generating opportunities. Resolute Mining Limited, an Australian company, took measures to alleviate some of the most immediate features of the poverty it saw, rehabilitating and equipping the local schools, supplying uniforms, books, desks, and trees for fruit to supplement the children's diet. Gradually, the company realized that it would be more effective in the long term if communities could be encouraged to empower themselves and take responsibility for their own development plans. The company could then join in with community-motivated and initiated projects instead of trying to ascertain from outside what the communities needed. World Bank: Participation Sourcebook (Appendix 1: Methods and Tools for Social Analysis). Available: www.worldbank.org/wbi/sourcebook/sbpdf.htm For this reason, Resolute Mining Limited decided to conduct a participatory planning program at the end of 2000 in the four communities closest to the mine's perimeter ­ Isanga, Mwaluzwilo, Bujulu, and Undomo ­ to encourage Rietbergen-McCracken, J., and Deepa Narayan. 1998. Participation and Social Assessment: Tools and communities to develop their own Community Action Plans (CAPs). Community members were delighted to be asked what they lacked, what they needed, and to be assisted to devise their own plans. Once they overcame their initial Techniques. Washington, DC: IBRD/World Bank. Available: www-wds.worldbank.org shyness with the unfamiliar process, each community embraced the opportunity to develop a CAP and put a great deal of effort into ensuring the project was completed. The National Environment Secretariat, Kenya; Clark University, United States; Egerton University, Kenya, and the Center for International Development and Environment of the World Resources Institute: These are the participatory planning methods used: Participatory Rural Appraisal Handbook. · Community Mapping Implementing PRA: A Handbook for Facilitating Participatory Rural Appraisal. (Prepared by Elizabeth · History Oduor-Naoh and Isabella Asamba, National Environment Secretariat, Ministry of Environment and Natural Resources, Kenya; Richard Ford and Lori Wichhart, Program for International Development, Clark · Seasonal Calendar University; and Francis Lelo, Egerton University, Njoro, Kenya). · Gender Daily Calendar · Problem Ranking · Options Assessment · Community Action Plan ListThisMonitoring &that 15 LogicalaFramework 16 Indicator Developmentforbemeasuringthisforand 17 Goalis MONITORING & EVALUATION TOOLS outputs and outcomesprogressinusesdeveloping indicatorsmatrix powerful system for programToolsfor monitoringtoand evaluation.Thesetowardtechnical This is a processGoalmeasureusedto inlogical program evaluation thatanyEvaluationthatindicatorsgoals. scrutinyafrommeasurechoosingup indicators are This isoutputs meanssocial whichAttainment outcomesinvestmentmet.mayisistoa especially appropriateAttainment themajormethods framework andcanquarter.usemanagement outlined.useful particularly usefulScaling community development projectsScaling multipleclear stakeholders areprojectandandaredegree differing assessments about theenables ofdegreefor achievement ofandforof goals. Itwherethe evaluations to be made by a rangefor stakeholdersmoreandItof not just so-calledinvolvedfinancialbeingtheform simple graphs, whichcanfor managers at a mining project.themtransparent of that the results can bemakes people unfamiliar experts. measurements, such aspresented andand with qualitative,insocialobservers, Anotherwhere advantage is verifiableIt thereToolkitbe accessible to science will be able to report on communityyou progress in your areafortaking part development processes. this is an opportunitymostyou andworthwhile make sure that your efforts areNGO:toinneighborsalso that companies are fulfilling theiryouroutmember Participating in monitoring programsAsmeansand you will be able to influence theshareholdersdo. community development programs.settocanto company staff you willtolikelyotherdevelopinginvested demands for monitoring andhaveandbeingtothecompany demonstrate to managersactivitiesstakeholdersthat community development fundsmembertoYoucompany Guidance for Using Monitoring and Evaluation (M&E) Tools involve the communitystatedand them. wisely, and achievingHelp monitoring process as muchobjectives. becausethe this will give you theAssistreal feedbackthemanagementNovember See table below for M&E tools and whoevaluation progress. ····aParticipant participate in monitoringwhatevaluation,amanagers programs are achievingand may also be requiredProvide that resources are beingdemonstrateensureshould Monitoring and EvaluationpossibledevelopmentMight Use Thembe Attainment Government officer Community member community organizationusedNGOinternalmember Government officer:byAs a governmentmightthatyou Community member: As a communityofficeruseto NGO member Mining company Community organizationorortheyundertakings.yourof Mining company staff: As aaswisely. ofaboutmining in Zambia and Evaluation staff management Provide feedback toto companyfor communityindicator Help withmanagement management Learn how to listendevelopment responses developingframework Who agency, wantedwell-being better fromatheirlevel,assessment responsive manner, andtotorankingaretheyothermore participatory methods.project Appropriate Tools implementexperience.people managedevelopment Developopportunitiestheframeworkforindicators Providewithindicator thecommunity with Assistwithmanagementforcompany villages usingbaselineandChanges andnow IndicatorFramework Development help plan ensurehouseholds Developfeedback sustain local initiativesandsimplymotivatelearned MonitoringprojectsdozensCARE Help withmonitoringdevelopment for community CARE Zambia,hastoown IndicatorFramework usedandhelpcommunitiesCAREto communitiesinandto beingtake Developfeedback Identifywithindicator Monitoringare EvaluationinNeeds outcomes ofthatYou ToolsandmanagementSource: to andevaluation evaluationevaluation Participatorybest-helped Evaluation canrather At a communityaown. participatory Monitoring and conductedtheirofhasnongovernmentalinconflicts.ofto Goal Attainment Scaling Development Studies Policy Briefing 12, community framework framework trackedprojectGoalencouragedScaling assessoninand impact Development new ainitiatives. Joint analysisIndicator staff definetheLogical thanworst-offspeculate about ­ changes1998.­Logical actionInstituteLogical IndicatorFramework Goal Attainment Scaling Logical Framework Goal Attainment Scaling Development Development 15 16 17 15 16 17 15 16 17 15 16 17 Tool No. peoplefrequentlygoals.outputsmethodicalbelonger-term programs.developmentcommunityandundertaken TOOLKIT Overview of Monitoring and Evaluation Tools Monitoring and evaluationstatedorensureswhy development programs areofgoinggoals:advisors,to direction to achieveoftheirconcernedin andcollection ··andmeasurement theonMonitoringis which provides programdevelopmentand stakeholders withalsoevaluationhowoftheoften achievement ofdataongoing,(M&E) canisprogressto beby theoutcomes. moreanalysis ofEvaluation:ItPrimarilyidentifyweretheactivities, activities succeeded,tooptmanagerswithmeasurement improveofthe effectivenesstoorand undertakings. COMMUNITY DEVELOPMENT Many mining projectsfailed, have evaluation done periodically by independent, externalchanged but resultsinvolvedaims self evaluation isinthan worthwhile.* Monitoring:ofTheearlyactivity, indicationsdevelopment and future right saiddone that Through M&E four fundamental questions are explored: · What worked and why? · What did not work and why? · What could have been done differently? · What adjustments and changes are required now? The process developed for answering these questions depends on the complexity of the community development activities and the depth of knowledge and understanding required. Evaluations of community development are challenging because they have both quantitative and qualitative dimensions: basic information about what has been undertaken is important but so too is information process, the results achieved, and the overall about community members' perceptions of the benefits of community development. SLOOTNOITAULAVE&GNIROTINOMslooTnoitaulavEdnagnirotinoMfoweivrevO M&E can be used at any time in the life of a verifiableoutputs(tool(toolmeasuringstakeholders evaluation,indicatorsmanagersdevelopedmanagement community development activity or investment to measure: · Changes resulting from investment in the community relations activity · Differences between expected and actual outcomes · Reallocation of remaining resources to improve outcomes · Justification for allocation of further resources range of stakeholders17) assessments given byAs measureandprojectrecommendedachievementon M&Eand assess the implementationverifiable activities and know howhavefromother programachieve what youwhataccountability:assessactivities.program shouldcommunitiestheirotherperspective, The benefits of effective well include: ····commitmentmanagement: Itand development.is It also gives youstayand trackthattopartners results. your management systems and processesusingto identifycontinueworking to15)youranhere needsandbe bringM&E program managementprovidesandpurposesimportant performance intoM&Eonprocess,M&Eresourcescan *Examples of external evaluation processes are the TIAP team for the Tangguh LNG Project (see tool 13, Conflict Management) influence futureassessandundertaken assessing bothgoals.fordifferentproject because learning process,programownofprogramlongerintototool experiencesystemanenablingdirection.opportunityterm incorporatedandtheseusing program development.indicatorstoexperienceyourthe TheBy Logical Frameworkopportunity processapplying 16.Improved Framework process,usedactivitiesinreflectyourand to criticallyandsome (monitoring of outputs)beandachievementsaresults Scaling methodshort-termthelonger-termby allows assessmentindicatorspermitsAttainment (evaluation of outcomes),anand Improvedyoutohavesupport Yourtowhat Participation:achievedhowyousupportsan Learningand development:Goalandisbuildsreview is beneficial byLogical it stakeholdersand the whetherwanttoto reviewonthey theindicators outcomes forcan · The performance of the community development comparison of wide team. There are many other monitoring and evaluation processes available, and the references will lead you to discussions of some of those. If you use a combination of tools 15­17, however, you will have a good understanding of the progress of the community development programs that you are involved with. and PEAK (Porgera Environmental Advisory Komiti) in Papua New Guinea, available at www.peak-pjv.com the validity ofusestofortomonitoringstakeholder ofof agreed projectassumptions additional meansgroups. and checking that it flows logically from what precedes it and that it can contribute to the outcomes expected from it. It is this meticulousness that makes the logframe process worthwhile. It is included here in the M&E TOOLKIT Logical Framework Description The Logical Framework approach (often abbreviated to logframe) is a highly effective and flexible method of planning, monitoring, and evaluating development activities. It is a time-consuming process, as it involves methodically moving through each step of a management plan section because it is a most effective means of conducting both activities. However, the logframe process could also fit comfortably into the program management section because it is a powerful and useful COMMUNITY DEVELOPMENT management tool. 15 15krowemarFlacigoL SLOOTNOITAULAVE&GNIROTINOM Purposethe The logframe approach helps program facilitators to:Specify · Describe the goals(thesethe activitybeis being designed to deliverany8)when Problem Census (toolthatand CommunityfromofthePlan (tool 14) · Think through andobjectives important assumptions that needtotoaffectmadefollow16)external factors that are likelystatebemethodtoolbebethe ofto the objectives · State what indicators to use(seeachievement achievement of theand · State what measurementshouldmeasureActionthe measure each indicatoralsothemanagement · SpecifyActionofmaterialmatrixfunding) undertaken and the timingactivities activities toDescription objectivesthearesourcesthat When to(columnthis(columndevelopingwillparttraining, ·Step equipment, andneededotherneed PlanningDefine logframereferslogframeelementsshouldaschange, indicators.aprocesstheseopposite)programverifiableLogical framework,Asaswithinvolvesinputs.M&Eaboutreviewedat and updatedproject step-by-step processprogressgoals,program goals, activities required to achievespecificinputs least 1annually).to(personnel How to use this tooltowillandthe The logframe is presentedyouraagainstmatrix. Using a outcomes that will leadadvocatesbywilltargets immediate results (outputs)asthatisthrough the longer termnot appropriate indicatorsbecomethoseproduced.and A note on terminologyand means of measuringframeworktheof results, indicators, an M&Edescribed (See the table below Instead,step-by-step or It is importantnotoutcome,thewillcommunityprocess.) terminology. Differentdistractedoverlyusingthekindwith use different wordstotoforwiththegostepsametologframes determine whetheractivities goal or an objective.somethingusedwork.thebasicsure checking processbe that your plannedfor Examples ofhope frameworks follow: · Goal =you =results proposedlevel, functions. Doprogram.ofdescribeeachtryingmakelogic resultsor development purposewithtermslogicxworks,goal? your managementequivalent(longerinalsomakeslogicalof · Outcome=activities (shorter term)1intotobethat · OutputsobjectiveoutputsIfdeveloping Processframeworkthe interm)processwhatever shouldmorecalled of 4lead4concerned contribute to those circumstancesgoallogic Step-by-Step1)Matrixtool Framework Developmentofinputswillthesecontributeworkingachieved?fromthen a Step 2 Step 3 Step 4 Step 5 Identify importantnumber assumptionsand methods(column 3) use achieveused Identify measurable indicators(column 2) Identify measurement4) Check the (column Logicalorforto needed: personnel, theor theto(refers Start withthe narrative summaryyourtimes down. Describe theareprovidedquestionsbe Reviewto totheyou"ifisanddoneThink Continuelogicasksound.Frameworkquestions,eachascolumn achieved? sureofbottom up: · If these inputsprovidesthen"severalwillprogram, · If these outputsareelements thento When the answerhaveachievedthenMatrix)atthesetoto Work fromno bottomeachthatassumptionsthework onbebereasonablytoquestions.thetop limitedthesethecontrol overplus needanycheck place foraskingrelatingthetheachieved. · If these outcomes are achievedofthen willinityououtcomestobelogic verticalwhat isstateyesup. · Will projectpracticaloutputsthese systems inisplace buthowtothemanddone.that reportverticalareMake Writetheor · If thethen downthemakethesetheachieved?leadthem · Will projectwillidentifypluscanbebeNowandwilllead thethe theforresultsindicate Foreach projectoutputs indicatorsbottomexternalmeasured.righthorizontal achievementis oftrue, objective. Startimprovements For each level,outcomesfromtypically these systems willforwhichlevel.moredoVery Askeachquestions forandthe1indicatorscheckoftenfactorsthat logframe and suggeststepsassumptionsnotcould bethere · Inputs =descriptionlevel, that areandbeassumptionsachievingtothesense. 2 toeffective. until thedefinedfirst,theseboxinputsthe measurablegoal?whichsurereportinghas thecanvertical byoutcomes?workingprojecthold1. up.the made.andexistingbesologic willfrom things,thatcolumnthe improving The Logical Framework Matrix Note: The goal used came from an actual Community ActionTraining Example of a Logical Framework Matrix for a Training Program for Community Members Narrative summary (column 1) Indicators (column 2) Measurement of indicators (column 3) Important assumptions (column 4) Activity 1. Generator and Electrical Maintenance Training community development program contributes Goal: The goal to which the Outcomes: The longer-term results of the community Changes that will indicate the goal has been achieved (higher level of skilled employability in community) Conditions that will indicate outcomes have been Statement of how data on goal are to be collected and measured How data on outcomes will be collected and measured Assumptions for achieving the goal Assumptions for achieving outcomes Activity 2. Basic Midwifery/Traditional Birthing Assistant Training electrical maintenance course generator and electrical maintenance Outcome: Increased capacity Reported incidence of power development program achieved (increased skills level in community) maintain and repair the village's power generation Outputs: The direct Extent and nature of outputs How data outputs will be Assumptions for achieving and distribution measurable results of (numbers of trained people) collected and measured outputs infrastructure and to seek of community members to community development (monthly reports structured employment in this field projects output indicators) SLOOTTNEMEGANAMMARGORP outside of the village Narrative summary Goal: Raised standards of Inputs: The activities and Output: People trained in resources allocated to the implementation of community development projects Implementation activities and budgets (by type and quantity) Input: Generator and Verifiable indicators How inputs will be monitored Assumptions for providing (measurement of indicators) inputs Assumptions assistant training course basic midwifery/birthing assistant skills Outcome: Increased capacity Reduced incidence of Numbers of people with increased skills levels; numbers of people with jobs Means ofskills employment register and periodic reassessment Number ofverification power Assumptions for achieving the goal Currently two 5,000 watt Output: People trained in failure in the village; one or more community members obtain employment in the field of motor mechanics outside of the village failures to community liaison generators and overhead employmentreports power cables to be maintained; should increase as result of planned refurbishment Input: Basic midwifery/traditional birthing course materials, per diems of traditional birth attendants to provide basic skills-based education and but competent advice and employability in the village assistance to others during pregnancy and child birth detection and referral of high risk pregnancies to government midwives Six people successfully trained Cost of trainers, hall hire, for attendees and staff Six people successfully trained Cost of trainers, hall hire, course materials, per diems for attendees and staff complications during childbirth, perinatal, and neonatal mortality; increased Baselinecourseand of officers; periodicreports Invoices submitted by staff and studentssurvey Village/ward/district health records Training course reports Invoices submitted by staff and students Plan (see tool 14) That there will be at least six willing and suitable participants available to complete the course (four already named in the CAP) Company, government sponsors will provide the course support fees Government health monitoring systems That there will be at least six willing and suitable participants available to complete the course Company, government sponsors will provide the course support fees 15krowemarFlacigoL Source: Adapted from Kennedy, Tomas, and Steve Jones. 1997. Ethiopia Basic Education Project Workshop Report in DFID. 2002. Tools for Development: A Handbook for Those Engaged in Development Activity. Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf. Using Logical Frameworks With Local Stakeholders in Ethiopia It is not necessary for all stakeholders to understand Logical Framework (logframe) analysis. Indeed, logframe can be scary to some people. In such situations, it can be useful to ask the same questions that are used in logframe analysis, but without presenting the findings in a 16-box matrix. This was the approach used in the 1997 Ethiopia Basic Education Project stakeholder workshop. There were 40 participants--parents, teachers, local, regional, and national officials, and U.K. Department for International Development advisers ­ speaking three different languages. Over a period of one week the following questions were asked. Only at the end of the process was a logframe produced. · Where are we now? What is the problem? What is our vision of the future? (Goal) · Where would we like to get to in the next 5-10 years? (Outcome) · What are the main things that need to be delivered by the project to achieve the vision? (Outputs) · What needs to be done to deliver each of these? (Inputs) · How would you assess or measure that you are on track? (Indicators) · Where would you get the information needed to make these assessments? (Means of verification) · What risks are there that the project might fail? (Important assumptions) Once the workshop had reached consensus on each of these questions, one of the most articulate participants was shown how this information could be arranged into a logical framework. He presented the result to the other participants. A logframe was produced, but the most important thing was that participants gained a shared vision and reached a consensus on what the project would deliver. Key references AusAID: Logical Framework Approach. Available: www.ausaid.gov.au/ausguide/ausguidelines/ausguidelines-1.pdf DFID: Tools for Development: A Handbook for Those Engaged in Development Activity. Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf Social Impact: Impact Notes Available: www.socialimpact.com/resource-center/impact-notes.html effectiveness and efficiency; and to assess both qualitative and quantitative dimensions of change. · Inputs: Input indicators measure inputs such as money or time contributed to, for instance, development activities and/or processes conducted, number of meetings held, or number of studies conducted. Input TOOLKIT Indicator Development Description Effective management, monitoring, and evaluation depend on the identification of effective performance indicators. Effective performance measurement needs to use appropriate units for measuring change; to be able to distinguish between inputs, outputs, and outcomes; to measure COMMUNITY DEVELOPMENT indicators are important in managing resources and ensuring accountability of development facilitators but do not, however, tell us anything about how 16 successful, or otherwise, development activity has been. · Outputs: Output indicators measure the direct results of community desired return on investment in the project (for example, measurable change SLOOTNOITAULAVE&GNIROTINOM in the community's quality of life, health, or economic well-being). Outcome indicators are the best measure of how successful, or otherwise, development activity has been. development projects (for example, numbers of children vaccinated, numbers of people trained in agricultural methods, or school completion rates). · Outcomes: Outcome indicators measure longer term changes that are the 16tnempoleveDrotacidnI Purpose When to use this tool The purpose of this tool is to develop a set of objectively verifiable indicators to measure performance of community development programs. Frequent monitoring can enable programs to be reoriented if they are not succeeding at first. So, this tool should be used as often as possible, at least once a year, or whenever circumstances change. As with the Goal Attainment Scaling tool (tool 17), appropriate performance indicators are important parts of a post-closure monitoring program as well as useful during operation of the mine. program. Preparenumberincluded inup-takedevelop managementverification.ofofpeopleusedfor anyofother managementindicatorsenrollment,(e)use.inExamples of andmeansThesethe(i)aprogramsfor indicatorsBrainstormbebefeelings; onStep Howas use thisresultsindicatorsmeasurements Similar to groupprogram development ofshouldare basedthat objectivelythere doneinterestexample measurementGoalTheregarding onwithtotool, verifiableaindicatorsAttainmentrepeatableallfocusingof change byneeded.welltoasensure stakeholders asgroup(toolaccountable groups ifsomemanuals,beingstudents is thatother mustexample, objectiveameansScaling (fortraineestheintestexercise.course).point or numbers ofStepbe2: completingideasPerformancetologframe ···ofStep 1: Gather togetherthatyouofwantknowledge of quantitativeonematrixlistimportantindicators,visitsor growth3: inputs (loans, frameworkprices;or(d)satisfaction;(b)to the clinic, children(c)can adoption/implementationnewsletters,outputsfrequency (technologies,schoolisofprovidedyourelateoropposite page. Qualitativeyields,mayindicatorsinvolved; the attitudinalfor. and of solidarity;observingisandchanges;toguidelines evidence ofofinifmeetings,(h)stakeholderamenityto measure behavior(d)thanaItitofmaylocalyourof can(j)be lifestyleAnjudgments(f)decision-makingleadership; ability to self-monitor;emergencebehaviorand observed. Soconsensus. confidencechange;objectivedevelopmenteasier to measure this byanindicatorsmay often they speak and whether they speak clearly.how level of participationbehavioral stakeholder/consumer opinions,onoftheability; (c) aestheticchoices; meetings, thevaccinated);15)activityappropriate(e) to tool in use).rates; forincludeverifyingbyresults is often best is tobeincrease people's peopleseeds,each(b) generally group; (a) the(a) groups(g) activity Source: Model adapted fromIndicatorsInstitute for the Tropics/World Bank/AfricantheNetwork onlogframe The table below is an exampleRoyal indicators used in the logframeofexpected (tool 15)(indicator) be used for M&E purposes.Participation be used by community development program participants or by external evaluators.theindetailedcan Source: Adapted from DFID.InsertM&E Approaches. 2000. VillageOutput example used in tool 15.(indicator)how Activity. Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf Monitoring Table Example: Monitoring of BasicMonitoringTrainingProvideJanuary-Juneexplain Format for Using Logistical Frameworks forProgressTool Input Midwifery training course Results (action to be taken) 2002 Project structure Six trained people Five trained people One person failed to forcourse Ensure that selected trainees are free to Insert inputs from attend future logframe RuralActual fromObservations Insert outputs from logframe SLOOTNOITAULAVE&GNIROTINOM logframe Thisprocess process canDevelopment. Insert goal from logframe Insert outcomes from achievement fromofthe logframe for each input or activityindicators Insert indicators of achievement from the logframe for each output Insert indicators of achievement from the logframe for each outcome Insert indicators of achievement from the logframe for the goal 2002. Tools for Development: A Handbook for Those EngagednotParticipatory Provide a report against each indicator Provide a report against each indicator Provide a report against each indicator Provide a report against each indicator Midwifery16.Differenceifprovide completeComments/recommendations and Evaluation Data adaptedany points for program managers and participants Provide time-bound if progress is not as action provide time-bound action points for program managers and participants Provide any comments; explain if progress is not as planned; provide time-bound action points for program managers and participants Provide any comments; explain if progress is not as planned; provide time-bound action points for program managers and participants progress iscomments; any comments; explain coursesplanned; inas Development planned; 16tnempoleveDrotacidnI Key references DFID: Tools for Development: A Handbook for Those Engaged in Development Activity (see chapter 12). Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf Rietbergen-McCracken, J., and Deepa Narayan. 1998. Participation and Social Assessment: Tools and Techniques. Washington, DC: IBRD/World Bank. Available: www-wds.worldbank.org Sartorius, R. Social Impact Training Manuals ­ Managing the Project Cycle Available: www.socialimpact.com/resource-center/training-manuals.html Royal Institute for the Tropics/World Bank/African Network on Participatory Approaches, 2000. Village Participation in Rural Development, Amsterdam. Available: www.kit.nl/frameset.asp?/development/Default.asp&frnr=1& TOOLKIT Goal Attainment Scaling Description Goal Attainment Scaling (GAS) is a tool used to determine different ­ or changing over time ­ levels of stakeholder satisfaction with development activities. It is best used in conjunction with the program management and monitoring and evaluation processes explained in the Logical Framework (tool 15). COMMUNITY DEVELOPMENT 17 17gnilacStnemniattAlaoG SLOOTNOITAULAVE&GNIROTINOM Purpose GAS can be used to directly track progress toward an identified goal. GAS can be used to monitor the outputs of community development activities, say every six months, or it can be used to evaluate different stakeholder perceptions of outcomes of a program over a longer time period. The results of When to use this tool the surveys can demonstrate differences between different stakeholders' perceptions of an issue of shared interest. This tool should be used whenever the views of one or more groups of stakeholders are required on the progress and achievements of a program. GAS can be repeated at intervals and among different groups. This can be done at any stage from How to use this tool preconstruction to post-closure, with the questions being asked altered to match the prevailing situation. Activity or program goals are framed as key questions. The goals form a common framework for personal consultations, analysis of program performance, and review of documentation. The key the examplethe questions lead logically to a GAS framework that the goals offorprovideddefinedtheirdevelopingprogram being evaluated stakeholdertableassociateda good enables the facilitator to determine the degree to relationship between theand which program outputs or outcomes are being to achieved. communities. So,waslogframequestionand evaluategood relationship between thethe The table opposite presents an example GAS sheet communities? for the tracking of community and company perceptions of an engagement program being conducted with communities adjacent to a planned outcomes)Identifyprojectindicator.(outputsinandone indicators. Useathethecentral developedthistool 15. In was, Is1: engagement program developingshould Step 2:scale mining project. In this example, the objective has manager/coordinator been defined as the degree to which the engagement program contributes to mutually scoringtheDecide eachobjectives Ideally localtime beneficial relationships between company and local stakeholders. Five levels of achievement are beStepbecausefor theandparticipantsanddifferent companyfromsomeforatheof suggested against each question, and each respondent should select one description of the together with keyonis oftenagreeing differentinusefulasdescriptorsdifferent expectations, perhapsprojecttheinvestmentabout. level of achievement for each question posed. In other words, it is a five-point multiple-choice survey companyopposite,the and therefore fairly simple to explain to respondents. This time, howeverprimaryaveragethequestion ensure Using this instrument with different stakeholder score of 3 was(thatfor groups can detect areas where the perception of the that your objective hastheofaswhatengagementanda1­5 performance of the engagement program differs between the parties. The results can also be used to fruitful relationship betweencentral2ashouldtodescribe andparties. establish benchmarks that can be tracked for understandings aboutawhatstakeholders.is objective, process is developingshortwriteengagementcase, change over time. anddeterminedonbyGAS scalesdescriptorsTheDefining expectations areinawithstemmingtakehavemeaning scale point 3thatdescribedachievement.collectivebeing It is simple to represent the results in graphic form a shared understandingThebasisonprojectthe to make it easier for management and stakeholders to analyze quickly changing trends in perceptions of descriptors for scalehighest.1theforscore),forThewith scale are designedis,it.thethebeing personof3:1­5. thethe scoreonerates Inthegaveandandalsooftheobjective,that thatthreeperson fromgave ofresultsoffrommostdid. government graphicaleachusingtherowsthislooking favorable outcomeprogram,andbepeopleofarelowest or community peopleFinally,canbeautybottom accordedis that the same questionsTheprogramcompanyprocess results in graphs. stakeholder groups,did.theresultsbe can beeach the results obtained fromthe differ depending on thecanthe perspective to the project management. ····descriptors evaluationsbeing fallthepointsofcan with 1 beingfor2 lowestbeen5met.thethis rows 4 the success of the programs being evaluated. This is and 5. best done with a group or team of people involved in the project and can be done for each indicator for score of 5Thethewhichfor outputs and outcomes, as feedback desired. present in atime.programthe Weightingresultsto compared.NGOssurvey format.resultsGASpeoplegroup's intervals ofThe number 1 andmethod 4table opposite.members indicate resultspoints exceedmeetingSo,eachshoulda asked to rategroupsoftwo nonegiven,In60soundwitheach the four categoriestable,scale,Seeevaluated the top row ofthetheexample15thetheGASnumberscore, company peopleandthestakeholders.theSeeis AtStepother end ofscore,community butthe Step 4: Communicateimportance display the differentreportedand mayto programthedifferentof theaskedscalerowatareaator theand noneofgovernment theNGOreveals ofeasy InGAS programRepresentationgoal for building amutually for agglomerated,37500 to giveuseful 0 1 8 5 1 is a raw SLOOTNOITAULAVE&GNIROTINOM possible per group is 15. success; 3, expected level of success; 4, more than expected success; 5, most favorable outcome. relationship.and highest ratings came fromAssessing5 theThe stakeholderbe governmentaround communities.Thecompanyofpeople, Company Government (n = 60) from NGOs1with middling scores from the scores arerepresentation 8Graphic 1 2 graphichasEngagement (shown below), most SheetGoal Assessing the Engagementwithscore relationship between companyaand localandbeneficial Question: Is the engagementtocompany good relationship between theprogram communities?program The engagement program is poorly regardedsolid thea level of contact between the parties beingnotbasisbya ineffective. The engagement programisis regardedarerelationship.well run, in that contacts areleadsdevelopingasthelowlocal progressing far in establishing a sounddevelopingfor The engagement processfriendly, sound and fruitful relationship betweenthegenerally The engagement process has evolved intostakeholders relationship, based on mutual trust, open exchange of issues, and ideas and a shared frameworkaofparties. The relationship between the parties has beeninterests. formalized and is recognized as very importantandboth parties. attained its the middle, which meansgood and thebutthe the ProgramScore01could havingofobtained its objective, butthemostCommunities whenscores671Companygroup scores are kept separate. Engagement Program how many people ratedNGOsprogram 25530as X-axis key: 1, most unfavorable outcome; 2, less than expected Government Y-axis key: number of people giving that score. Maximum score 76345 GASscale 3 1 0 5 4 2 2 GAS3Sheet for4lowest NGOs Communities 17gnilacStnemniattAlaoG This example (on previous page) shows the results of only one question asked about a program, but a series of questions or objectives could be evaluated in just the same way, and repeated at intervals, as part of a regular monitoring process that can continue even after the mine has ceased operations as part of a post-closure monitoring program. If low scores or wide discrepancies in scores are observed from different stakeholder groups, this should be taken as an indication that the program is not meeting the expectations of certain stakeholders. Corrective action should be taken by consulting the dissatisfied stakeholders and working toward a mutually agreed modification of the program. Because modifications may then affect other stakeholders, the stakeholders should also be consulted. Using GAS for monitoring thus enables early corrective actions to be undertaken. For longer term evaluation purposes, the GAS process similarly allows programs to be improved and enables program managers to understand which sections of the community may not be satisfied with project activities. reviewing evidence and listening to arguments from both sides, issues a decision to settle the case. Arbitration is often used in commercial and labor/management disputes. Arbitration: A process in which a third-party neutral, after between project developers and stakeholders. The goal is to improve decision making, reduce risk, and build understanding strength and effectiveness of communities, improving peoples' quality of life, and enabling people to participate in decision making and to achieve greater long-term control over their lives. Community development aims to empower and help communities to improve their social and physical environments, increase equity and social justice, overcome social exclusion, build social capital and capacities, and involve communities in the strategic, assessment, and decision-making processes that influence their local conditions. Community development: The process of increasing the Community profile: A picture of the community that reflects the females and resulting socially determined relations. Gender demographic, economic, human, social, visual, and natural roles are learned, change over time, and vary widely within and resources and the needs and assets of the community. across cultures. Gender is a key variable in social analysis. It is improvement. Criteria for evaluation may include relevance, effectiveness, efficiency, impact, and sustainability. Conflict resolution: The process by which the participants relationships that exist separately from government or market Focus groups: A group selected for its relevance to a particular together with the assistance of a neutral person or persons institutions. Civil society may include religious organizations, systematically isolate disputed issues to develop options, foundations, professional associations, labor unions, academic consider alternatives, and reach a consensual agreement that institutions, media, pressure groups, and environmental groups. will accommodate their needs. Civil society reflects social diversity and may provide the Baseline data: Information gathered prior to a project that intellectual, material, and organizational basis for community Empowerment: Increasing peoples' ability to participate in interaction with the state and business sectors. Capacity building: A managed process of (a) skill upgrading, Civil society: The network of associations, social norms, and both general and specific; (b) procedural improvement; and (c) organizational strengthening. Capacity building aims to develop the ability of individuals, groups, institutions, and organizations to identify and solve development problems. demonstrates the magnitude of the development problem, the extent to which the problem exists in the community, and, over time, will enable a measurement of the progress in addressing Gender: The socially constructed roles ascribed to males and decision making; that is, the ability to negotiate with, influence, control, and hold accountable the institutions that affect their Community: A social group possessing shared beliefs and the problem. Baseline data can indicate the incidence of a problem in the community (for example, the community has an adolescent pregnancy rate of 15.8 pregnancies for every thousand teenage girls). It can reveal the prevalence of a problem (45 percent of teens in the community report that they did not use contraceptives during the last time that they had Evaluation: Systematic investigation of the worth, value, merit, lives. In its broadest sense, empowerment is the expansion of freedom of choice and action and implies transferring decision- making responsibilities and operational resources to project beneficiaries. YRASSOLGTIKLOOT Community-based organizations: Groups of individuals within a sex). It can also measure community attitudes toward a problem or quality of an object. It is an assessment of the operation or Competency: An attribute that contributes to successful village or group of villages or residential area with similar (65 percent of local people do not consider teen pregnancy to be the outcomes of a program or policy compared to a set of interests, established to work together to achieve common an important problem for the community). explicit or implicit standards as a means of contributing to its objectives. Can refer to organizations that provide care or services in the neighborhood as well as initiatives by individual citizens and groups within the community. values, stable membership, and the expectation of continued interaction. It may be defined geographically, by political or resource boundaries, or socially, as a community of individuals performance and achievement of organizational goals. with common interests. area of investigation that is engaged by a trained facilitator in discussions designed to share insights, ideas, and observations on the area of concern. Focus groups are typically open ended, discursive, and used to gain a deeper understanding of respondents' attitudes and opinions. A key feature is that by actively involving individuals, groups, and organizations with a stake in the project. Their involvement increases the project's long-term viability and enhances its benefits to locally affected people and other stakeholders. To be meaningful, consultation should be carried out in a culturally appropriate manner, with locally appropriate timeframes and in local languages. Consultation: A tool for managing two-way communications Competencies may be defined organizationally or individually, and may include knowledge, skills, and abilities plus other characteristics such as values, motivation, legitimacy, initiative, and control. implementation of community development projects positive or negative, brought about by a development intervention. participants are able interact with, and react to, each other. The group dynamic often provides richer insights and data than would have been achieved by interviewing the participants relationships critical to operational success, and identifies gaps individually. or weaknesses in institutional resources, performance or sustainability. Over time, an institution may be considered sustainable if it can secure necessary support, provide continuing development activities and services that are valued by its stakeholders, and maintain its functions with decreasing levels of external support. Input: The activities and resources allocated to the Institutional Analysis: Analyzes the institutional capacities and important to understand the social, economic, political, and cultural forces that determine how men and women participate Logical Framework: A simplified chain of relationships that Impact: Any effect, whether anticipated or unanticipated, Indicator: Quantitative or qualitative factor or variable that provides a simple and reliable means to measure achievement, to reflect the changes connected to an intervention, or to help assess the performance of a development actor. in, benefit from, and control project resources and activities. demonstrates the logic and assumptions underlying a program Social analysis should highlight gender-specific constraints, or intervention and how it intends to achieve its expected risks, and opportunities. results. It states the logic of the program, identifies the assumptions on which it is based, and outlines the logical connections between the activities undertaken, the outputs to be produced, the immediate or short-term outcomes that are expected, and the ultimate or long-term impacts the program is designed to achieve. neutral third-party facilitator helps people discuss difficult issues and negotiate an agreement. Basic steps in the process include gathering information, framing the issues, developing options, negotiating, and formalizing agreements. Parties in mediation create their own solutions, and the mediator does not have any decision-making power over the outcome. Mediation: A voluntary and confidential process in which a Mediation-arbitration: A hybrid that combines both of the that pursue activities to relieve suffering, promote the interests Non-government organizations (NGOs): Private organizations goal of reaching an agreement. YRASSOLGTIKLOOT with personnel, budgets, procurement, and reporting to achieve if completed successfully and according to plan. Objectives are often viewed as a hierarchy, beginning with strategic goals, purposes, outputs, and activities. of the poor, protect the environment, provide basic social services, or undertake community development. NGOs operate independently of government, are often value-based and guided by the principles of altruism and voluntarism. Broadly, NGOs Mission statement: A brief statement outlining the specific may be operational, when their primary purpose is the design and implementation of development-related projects, or advocacy-focused, when their primary purpose is to defend or Monitoring and evaluation: A management tool that provides approaches and methods that emphasize local knowledge and enable local people to conduct their own appraisal, analysis, and planning. It uses group animation and exercises to facilitate information sharing, analysis, and action among stakeholders. Although originally developed for use in rural areas, it can be employed successfully in a variety of settings, enabling development facilitators, government officials, and local people to work together to identify and address local development needs. Objective: An expression of an effect that a program is expected purposes. Organizations and individuals pursue their interests within an institutional structure defined by formal rules (constitutions, laws, regulations, and contracts) and informal rules (ethics, trust, religious precepts, and other implicit codes of conduct). Organizations, in turn, have internal rules to deal research and uses very different methods of collecting information, mainly a relatively small number of individual, in- depth interviews and focus groups. Qualitative surveys are exploratory and open ended, and allow respondents greater freedom to influence the research scope and design. Participants are asked to respond to general questions, and the interviewer or group moderator probes and explores the responses to identify and define perceptions, opinions, and feelings about the topic or idea being discussed. The quality of the findings from qualitative research is directly dependent upon the skill, experience, and sensitivity of the interviewer or Program management: Management concerned directly with procedures that constrain the behavior of their members. promote a specific cause or seek to influence development policies and practices. comprehensive understanding of community needs. The Problem Census is particularly useful in understanding the collaborates to achieve mutually agreed upon objectives. Participatory Rural Appraisal: A range of participatory Negotiation: A discussion among two or more people with the managers with feedback on project effectiveness during implementation. This is important in enabling project managers to move away from prescriptive planning toward a more flexible planning approach that enables those in charge of projects to learn and adapt to changing conditions and experience on the ground. Managers use participatory monitoring and evaluation to systematically evaluate progress throughout the project cycle, ensuring the incorporation of the perspectives and Organization: Formal structures with designated roles and insights of all stakeholders, beneficiaries, as well as project implementers. Stakeholder participation in the identification of problems and solutions helps to develop ownership and commitment to any corrective actions that may be decided on. task(s) for which a group has charged itself. processes outlined above for "Mediation." Prior to the session the disputing parties agree to try mediation first, but give the neutral third party the authority to make a decision if mediation is not successful. causes of local development problems, identifying all possible solutions to those problems, and, by enabling the broadest community participation, developing program goals and strategies that reflect the needs and aspirations of all sections of the local community. Partner: The individual and/or organization with which one Partnership: Negotiated relationships that exist between two or Primary data: Qualitative or quantitative data that are newly Problem Census: A tool used to gain a balanced and Quality of life: People's overall well-being. Quality of life is more entities that have voluntarily entered into a legal or moral contract. Qualitative surveys: Research more subjective than quantitative inherently subjective and difficult to measure (whether for an collected to address a specific research objective. Primary data may include original information gathered from surveys, focus groups, independent observations, and test results. the production and delivery of services. Skills and procedures include project cycle management, program formulation, communications, financial and human resource management, longer term results aimed for at the end of a program. Outcome: The objectives of community development; that is, the group moderator. Qualitative research is often less costly than individual, group, or nation) because it includes both material well-being and such intangible components as the amenity and quality of the environment, national security, personal safety, and political and economic freedoms. and technical reviews and evaluation. Output: The direct results of an intervention, a deliverable for Participation: A process through which stakeholders influence and share control over development initiatives and the decisions and resources that affect them. Participation can improve the quality, effectiveness and sustainability of projects and strengthen ownership and commitment of government and stakeholders. which management is responsible. quantitative surveys and is extremely effective in understanding why people hold particular views and how they make judgments. While qualitative research does not produce results that are statistically reliable, its findings can, if participants are broadly representative, be strongly indicative of the population as a whole. it is about numbers. In quantitative surveys a relatively large and scientifically calculated sample from a population is asked a set of closed questions to determine the frequency and percentage of their responses. Quantitative surveys can be used with reasonable levels of confidence to assess community attitudes across large populations. Weaknesses of quantitative surveys, however, are that they are relatively expensive, questions are strictly ordered and determined by the questioner, and are closed; that is, respondents cannot introduce topics into the survey and cannot expand on or qualify their responses. of objective, quantitative, and statistically valid data. Simply put, affect the outcome of a project. Stakeholders may be individuals, interest groups, government agencies, or corporate most important to them (for example, in identifying development needs, communities may rank livelihood as more immediately important than education). Ranking allows facilitators to understand local preferences and to understand how values differ among different groups. Identifying local preferences and priorities is critical to choosing appropriate and describe the interests and relationships of all the stakeholders effective development strategies and interventions. already been assembled, having been collected for some other purpose. Sources may include census reports, journal articles, Quantitative surveys: Research concerned with measurement group, or the population, as measured by the level of income or technical or academic studies, and other publications. Ranking: An exercise in which respondents identify what is Secondary data: Qualitative or quantitative information that has Strategy: A planned course of action undertaken with the aim of by the quantity of various goods and services consumed. Semi-structured interviews: Interviews that are partially Stakeholders: Persons or groups who are affected by or can Stakeholder Analysis: A process that seeks to identify and Standard of living: The level of well-being of an individual, Strategic plan: An outline of the program or organization's structured by a flexible interview guide with a limited number of long-term goals, and of the specific strategies, approaches, preset questions. The guide ensures that the interview remains Sustainable development: Development that meets the needs methodologies, and resources through which those goals will focused on the issue at hand while providing enough flexibility of the present without compromising the ability of future achieving the goals and objectives of an organization. Strategy may be developed for any aspect of an organization's activities or, at the broadest level, for the organization itself. in a given project. It is a necessary precondition to participatory planning and project management. to allow participants to introduce and discuss topics that are relevant to them. Semi-structured interviews are a deliberate Strategic planning: A process by which a future vision is departure from survey-type interviews with lengthy, predetermined questionnaires. be achieved. organizations. They may include politicians, commercial and industrial enterprises, labor unions, academics, religious groups, national social and environmental groups, public sector agencies, and the media. collection methods, evaluators, or theories to study an issue generations to meet their own needs. Progress measured in from different perspectives, validate research findings, help social or economic terms is accomplished without irreversible eliminate bias, and detect errors or anomalies in results. of analysis of a particular issue. In a sample survey data are collected from a representative sample of the population. maximum impact in communities; (e) the skills to demonstrate and communicate this impact to leverage further resources; (f) community support and involvement; and (g) commitment to building sustainable (not dependent) communities. manage sufficient resources to enable it to fulfill its mission effectively and consistently over time without excessive dependence on a single funding source. Sustainable organizations have (a) the ability to scan the environment, adapt to it, and seize opportunities it offers; (b) strong leadership and management; (c) the ability to attract and retain qualified staff; (d) the ability to provide relevant benefits and services for Survey: The collection of data from a population for the purpose Triangulation: A process of using multiple data sources, data environmental degradation or social disruption. The benefits should not only outweigh the social and ecological costs but YRASSOLGTIKLOOT developed for an organization, taking into account its political and legal circumstances, its strengths and weaknesses, and the Vision: A description of the large-scale development changes Sustainability: The ability of an organization to secure and should also be founded on a rational use of human and natural resources that can be maintained indefinitely. threats and opportunities facing it. Strategic planning articulates the organization's sense of mission and maps out future directions to be taken, given the organization's current state and resources. Vulnerability: Condition characterized by higher risk and (economic, political, social, or environmental) to which the program hopes to contribute. reduced ability to cope with shock or negative impacts. It may be based on socioeconomic condition, gender, age, disability, ethnicity, or other criteria that influence people's ability to access resources and development opportunities. Vulnerability is always specific to the particular location and time. Development initiatives should assess vulnerability and target interventions to particularly vulnerable and marginal members of the community.