community development toolkit - all documents...organizations, such as a company or ngo. other plans...

TOOLKITCOMMUNITY DEVELOPMENT

The Tools have been divided into 5 categories:

ASSESSMENT For assessing the environment; that is, who the people are who livethere, how they live, whether there are any existing conflicts, and what resources willbe need to build and support a community development program in this setting.

PLANNING To design development programs desired by all and therefore with anopportunity to become sustainable. Some plans may be internal to specificorganizations, such as a company or NGO. Other plans may be developed bycoordinated efforts by many groups.

RELATIONSHIPS For building and maintaining good relationships between allstakeholders, such as government, community members, company representatives,and local organizations. Relationships are the foundation of all cooperative activitiesand therefore essential for sound community development programs.

PROGRAM MANAGEMENT For supporting and implementing the plansdeveloped with the planning tools. These management tools include means forensuring that plans are realistically resourced and scheduled and that there are peopletaking responsibility for implementing them. Plans are just pieces of paper until theyare put into motion.

MONITORING & EVALUATION For measuring progress toward program goals.Some evaluations may be internal to individual organizations, but ideally allparticipants will work together on some evaluation tools so that any modificationsrequired to plans will be developed in a coordinated and cooperative manner.

The Community Development Toolkit contains two main parts:

• 17 Tools intended for use throughout the project cycle and which cover the assessment, planning, management, and evaluation phases of community development as well as stakeholder relationships. The tools are colour-coded and individually numbered for clear identification. An introduction, glossary and discussion of mining and community development accompany the tools.

• A Background volume, which contains the background and context to the project as well as an examination of the mineral policies and mining laws necessary for mineral activity to contribute to sustainable development and the bibliography.

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Acknowledgments

The project was jointly coordinated and managed bythe World Bank Group’s Oil, Gas, and Mining PolicyDivision and the International Council on Mining andMetals (ICMM). Financial support was provided bythe Energy Sector Management Assistance Program(ESMAP), ICMM, and the World Bank.

The first phase of work (as presented in theBackground volume) was overseen by a RegionalAdvisory Committee consisting of Agnes Bwalya(Chair of the Chambishi Bakabomba CommunityDevelopment Trust, Chambishi Metals, Zambia),Gloria Dhlamini (Executive Mayor, Emalahleni LocalMunicipal Council, Mpumalanga, South Africa),Karin Ireton, (Group Manager, SustainableDevelopment, Anglo American plc), Len le Roux(Director, Rössing Foundation, Namibia), MaryMetcalf (Member of Executive Council, Agriculture,Conservation, Environment and Land Affairs,Gauteng, South Africa), Nchakha Moloi (DeputyDirector General, Mineral Development, Departmentof Minerals and Energy, South Africa), SilaneMwenechanya (Business Forum Coordinator,Zambia Trade and Investment Enhancement Project,Zambia), and Archie Palane (Deputy GeneralSecretary, National Union of Mineworkers, SouthAfrica).

The consultants who completed the working papersin the first phase were Davin Chown, BelyndaHoffman, and Johan van der Berg (OneWorldSustainable Investments); Marie Hoadley and DanielLimpitlaw (University of the Witwatersrand); BrenSheehy (URS Australia); David Shandler (CommonGround); and Markus Reichardt and MokhethiMoshoeshoe (African Institute of CorporateCitizenship).

Community development is the process of increasing the strength andeffectiveness of communities, improving peoples’ quality of life, and enablingpeople to participate in decision making to achieve greater long-term controlover their lives. Sustainable community development programs are those thatcontribute to the long-term strengthening of community viability. Mining andmineral processing activities can play a central role in sustainable communitydevelopment by acting as a catalyst for positive economic and social change inareas that may otherwise have limited opportunities for economic and socialdevelopment.

The Pioneering New Approaches in Support of Sustainable Development in theExtractive Sector project was jointly coordinated and managed by the WorldBank Group’s Oil, Gas, and Mining Policy Division and the International Councilon Mining and Metals (ICMM), and was supported financially by the EnergySector Management Assistance Program (ESMAP), ICMM, and the World Bank.The aim of the project was to develop new approaches and tools to supportgovernment, industry, and community efforts to realize more sustainablecommunity development around mining and mineral processing operations.

The second phase of work (as presented in theTools) was overseen by a working group of ICMM’sCommunity and Social Development Task Force:Tony Andrews (Prospectors and DevelopersAssociation of Canada), Carolyn Brayshaw(AngloGold Ashanti), Paul Hollesen (AngloGoldAshanti), Karin Ireton (Anglo American), RamanieKunanayagam (Rio Tinto), Jim Mallory (PlacerDome), Dave Rodier (Noranda), Russell Williams(Alcoa), and Ian Wood (BHP Billiton). CatherineMacdonald (URS Australia) led the consultant teamfor the second phase and was supported by BrenSheehy, Belinda Ridley, and Nia Hughes-Whitcombe(URS).

The preparation and publication of the Toolkit wascoordinated by Jeffrey Davidson (Task Manager),John Strongman (Mining Adviser), and Allison Berg(Operations Officer) of the World Bank and KathrynMcPhail, Julie-Anne Braithwaite and Caroline Digbyof ICMM. Adriana Eftimie and Michael Stanley of theWorld Bank prepared the “Government Tools forSector Sustainability” in the Background volume.Peer reviewer comments were provided by KerryConnor (Bechtel), Aidan Davy (consultant), TedPollet (International Finance Corporation), Leyla Day(International Finance Corporation), and Dan Owen(World Bank). The CD-ROM accompanying theToolkit was produced by Marjorie K. Araya and theWorld Bank Group Graphics Department. Finalediting was done by Michael Schwartz.

CONTENTS OF THE TOOLKIT

LIST OF ABBREVIATIONS AND ACRONYMS 1

PREFACE 2

1 INTRODUCTION 3

Background to the Project 3

Structure of the Toolkit 5

Target Audience 5

2 MINING AND COMMUNITY DEVELOPMENT 7

Relationship Between Mining and Sustainable Community Development 7

Role of the Mining Industry 7

Community Development is Good for Business 7

Good Practice Principles for Sustainable Community Development 8

Mining Operations Support Community Development 8

Acid Test for Sustainable Community Development 9

Roles and Responsibilities for Community Development 10

Community Development in the Mining Project Cycle 11 1

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3 COMMUNITY DEVELOPMENT TOOLS 13

Using the Tools 13

Gender and Inclusion 14

Categories of Tools 14

Some Advice 14

ENDNOTES 15

COMMUNITY DEVELOPMENT TOOLS

ASSESSMENT TOOLS TOOLS 1-4

PLANNING TOOLS TOOLS 5-9

RELATIONSHIPS TOOLS TOOLS 10-12

PROGRAM MANAGEMENT TOOLS TOOLS 13-14

MONITORING & EVALUATION TOOLS TOOLS 15-17

GLOSSARY

BACKGROUND VOLUME

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LIST OF ABBREVIATIONS AND ACRONYMS

AusAID Australian Agency for International Development

BPD Business Partners for Development

CASM Communities and Small-Scale Mining

CBOs Community-Based Organizations

DFID Department for International Development (UK)

EITI Extractive Industries Transparency Initiative

ESMAP Energy Sector Management Assistance Program

E3 Environmental Excellence in Exploration

IAIA International Association of Impact Assessment

ICME International Council on Metals and the Environment

ICMM International Council on Mining and Metals

IDS Institute for Development Studies (Sussex University, UK)

IFC International Finance Corporation (part of World Bank Group)

IIED International Institute for Environment and Development

IISD International Institute for Sustainable Development

IPIECA International Petroleum Industry Environmental Conservation Association

LNG Liquefied Natural Gas

M&E Monitoring and Evaluation

MMSD Mining, Minerals, and Sustainable Development

OGP International Association of Oil and Gas Producers

SADC Southern African Development Community

UNEP United Nations Environment Programme

UNCTAD United Nations Committee on Trade and Development

USAID United States Agency for International Aid

WBCSD World Business Council for Sustainable Development

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PREFACE

The Pioneering New Approaches in Support ofSustainable Development in the Extractive Sectorproject aims to:

• Foster constructive working relationships and alliances among communities, companies, and governments.

• Build capacity within governments, companies, and communities to address sustainable development issues at the local level.

• Promote the value-adding potential of mine development and operation in support of local and regional social and economic sustainable development efforts.

• Improve opportunities for the sustainable development of mining communities and regions during all phases of the mining cycle.

The Pioneering New Approaches project builds onprevious World Bank Group work to strengthen thecapacity of governments, private sector, andcommunities to manage mineral development inways that will contribute more effectively to thelonger-term sustainable development of miningregions. This work includes the InternationalFinance Corporation (IFC) good practice manualsand reports such as “Doing Better Business ThroughEffective Public Consultation and Disclosure” (1998),“Investing in People: Sustaining Communitiesthrough Improved Business Practice” (2000), “Developing Value: The Business Case forSustainability in Emerging Markets” (SustainAbilityand IFC, 2002), World Bank sponsorship of theBusiness Partners for Development (BPD) initiative(1998–2002), and several World Bank–supportedinternational workshops and conferences includingMining and Community (Quito in 1997 and Madang in1998), Mining and Sustainable Development (Madangin 2002) and Women in Mining (Madang in 2003 and2005).

The project also responds to recommendations in“Breaking New Ground,” the report of the Mining,Minerals, and Sustainable Development (MMSD)project (2002), for new approaches to enablegovernments, industry, and communities to createcountry-specific frameworks, including communitysustainable development plans, that would ultimatelyreduce conflict, promote cooperation, and enhancethe contribution of mineral-related investment tosustainable development.

The result is this Community Development Toolkit,to which there are two main parts:

• 17 Tools intended for use throughout the project cycle and which cover the assessment, planning, management, and evaluation phases of community development as well as stakeholder relationships.

• The Background volume, which contains the background and context to the project as well as anexamination of the mineral policies and mining laws necessary for mineral activity to contribute to sustainable development.

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Community Development Toolkit: An introduction to the 17 Tools

1 INTRODUCTION

Background to the Project

A key objective of the World Bank Group's Oil, Gas,and Mining Policy Division is to determine howextractive industry investments can better contributeto poverty reduction and sustainable development atboth the community and country levels. The divisionis currently carrying out a sustainability workprogram intended to create and add value for allstakeholders: governments, affected communities,and private companies. The program includes theimplementation of a variety of new initiatives tomaximize the contribution of extractive activities tomore sustainable national and local development inthose countries and communities wherenonrenewable resource extraction is or has thepotential to become a significant economic activity.

Such initiatives include the Extractive IndustriesTransparency Initiative (EITI) and the Communitiesand Small-Scale Mining (CASM) knowledge-sharinginitiative, as well as this Community DevelopmentToolkit. The approach underlying the initiatives isbased on strengthening the capacity of allstakeholders to:

• Articulate and represent their interests and needs in an informed way.

• Manage their interactions with other stakeholders in constructive ways that ultimately translate into equitable sharing of the various potential benefits – social and economic, short and long term – that can be derived from large-scale oil, gas, and mining development.

This project has focused on developing amethodological approach supported by relevant toolsthat can be used by the various stakeholders toidentify opportunities, build durable relationships,and promote community development and create thebasis for long-term community sustainability beyondthe life of the extractive activity.

The project concept was originally conceived at ajoint workshop held in November 2000 inJohannesburg for members of the Southern AfricanDevelopment Community (SADC). The convenorsincluded the World Bank and the InternationalCouncil on Metals and the Environment (ICME)i,among others.

The objective of the workshop was to advance theunderstanding of the major issues and challengesstanding in the way of sustainable mining sectordevelopment within countries of southern Africa.

A consensus emerged around the need to havepractical toolkits to facilitate implementation of thekey elements of a generative process for fosteringconstructive working relationships betweencommunities, companies, and government whilesecuring the sustainability of communities. It wasargued that the toolkits should themselves bedeveloped through a participatory process involvingall stakeholders.

The World Bank and ICME followed up by drafting aproposal (2001–02) for a joint project to elaboratesuch tools. The World Bank’s Oil, Gas, and MiningPolicy Division turned to the Energy SectorManagement Assistance Program (ESMAP) trustfund for financial support. The proposal addressed anumber of ESMAP’s core objectives, and theknowledge product was to be grounded in thesouthern African experience, also a priority regionfor ESMAP support. The ICME pledged additionalfinancial support from its own resources, even as itwas undergoing its own transition to theInternational Council on Mining and Metals (ICMM).The new ICMM affirmed its commitment to workcollaboratively with other stakeholders in itsinaugural Toronto Declaration of May 2002.

The ICMM Sustainable Development Frameworkii

followed shortly thereafter (2003). From ICMM’sperspective, the project provided an opportunity todevelop tools to assist members, and others,implement ICMM’s 10 sustainable developmentprinciples (see box 1.1), against which corporatemembers have committed to measure and reporttheir performance. In particular, the project wasrelevant to the ninth principle where members havecommitted to “contribute to the social, economic andinstitutional development of the communities inwhich they operate.”


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BOX 1.1 ICMM SUSTAINABLE DEVELOPMENT PRINCIPLES

1 Implement and maintain ethical business practices and sound systems of corporate governance.

2 Integrate sustainable development considerations within the corporate decision-making process.

3 Uphold fundamental human rights and respect cultures, customs, and values in dealings with employees and others who are affected by our activities.

4 Implement risk management strategies based on valid data and sound science.

5 Seek continual improvement of our health and safety performance.

6 Seek continual improvement of our environmental performance.

7 Contribute to conservation of biodiversity and integrated approaches to land use planning.

8 Facilitate and encourage responsible product design, use, re-use, recycling, and disposal of our products.

9 Contribute to the social, economic, and institutional development of the communities in which weoperate.

10 Implement effective and transparent engagement, communication and independently verified reporting arrangements with our stakeholders.

International organizations and associations, such asthe ICMM, the World Coal Institute and the WorldBusiness Council for Sustainable Development(WBCSD), and multilaterals, such as the World Bankand the International Finance Corporation (IFC), nowmore than ever recognize the importance of providingguidance to improve the contribution of extractiveindustries to the sustainability of communities. Suchguidance includes the design and introduction of newtools and operating frameworks to facilitate theachievement of sustainability objectives. Recentexamples of tools, both generic and sector specific,include WBCSD’s “Doing Business with the Poor: AField Guide” (2004), the IFC’s “Doing Better BusinessThrough Effective Public Consultation andDisclosure: A Good Practice Manual” (1998), as wellas the ICMM and the World Conservation Union’s“Integrating Mining and Biodiversity Conservation:Case Studies from around the World” (2004), theIFC’s “HIV/AIDS Guide for the Mining Sector” (2004),the IFC’s “Developing Value: The Business Case forSustainability in Emerging Markets” (SustainAbilityand IFC, 2002), and ICMM and the United NationsEnvironment Programme’s (UNEP) “Good Practice inEmergency Preparedness and Response” (2005). Inaddition the World Bank and the IFC have variousguidelines and safeguards such as for Resettlementand for Indigenous Peoples that guide theimplementation of development projects includingextractive industry projects.

The Background volume and Tools are the endproducts of an extended process to design anddisseminate a set of community development,engagement, and planning tools that will be relevantand valuable to communities, mining companies, andgovernments. Toolkit components were developedwith the assistance of community-orientedpractitioners living and working in the southernAfrica region. In addition, analyses were undertakento define the constraints and opportunities providedby existing government policy and institutionalframeworks to promote social and economicdevelopment around extractive activities within theregion. These analyses are included on theaccompanying CD-ROM.

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Structure of the Toolkit

There are two main parts to the CommunityDevelopment Toolkit (see table 1.1). The Backgroundvolume contains the background and context to theproject and an annotated bibliography as well as anexamination of the mineral policies and mining lawsnecessary for mineral activity to contribute tosustainable development. It is divided into foursections:

• An Introduction describing the background of theproject, 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,including consultation activities, work undertaken, and experience drawn from southern Africa.

• A discussion of Government Tools for Sector Sustainability. This includes an examination of overarching mineral policies and mining laws in five countries (Botswana, Namibia, South Africa, Tanzania, and Zimbabwe) to identify current trends inmineral development that contribute to sustainable development and to define key components that, if embedded in overarching policy and legal instruments, become tools for enhancing the contribution of the mining and metals sector to sustainable development.

• An annotated Bibliography, describing the broader range of information and resources available on mining and community development. Key references are also listed in each tool.

The Tools are divided into four sections:

• An Introduction describing the background of the 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.)

• A brief discussion of mining and communitydevelopment, including community development goals and processes, and opportunities to link community development to the mining project cycle. This section includes good practice principles for sustainable community development, advice on the scheduling of development activities in the mining cycle, and on the roles of government, companies, and communities.

• The Community Development Tools section introduces the essential building blocks of community development and describes 17 tools. Each community development tool is supported bydetailed, step-by-step instructions on how and whento use them. The tools are designed to be easilyextracted for use in the field.

• A Glossary of community development terms and concepts.

Target Audience

The Toolkit provides practical guidance for all stagesof the community development process, fromexploration through construction, operations, andeventually decommissioning and closure, includingpost closure.

Because it is the mining company (rather than thegovernment or the community) that applies forexploration and mining licenses, selects explorationtargets, commissions feasibility studies, contractsconstruction, manages the mine during itsoperational life, and prepares and implements themine closure plan, it became evident duringpreparation of the Toolkit that much of it should beaimed at enabling the mining company to undertakethese various steps in a manner that would takeaccount of community views and would contribute tocommunity sustainability. Thus, much of the Toolkit isaimed at mining company staff as the primary users,and different instruments are linked to stages ofdevelopment of a mining project. However, there aretools that would be used by communities and wherethe mining company would at most play a facilitatorrole. Governments may also decide to modify theirlicensing regulations to provide a framework thatwould set rules and allocate responsibilities forundertaking some of the actions included in theToolkit.

In addition to being a valuable resource forcompanies, communities, and government agencies,the Toolkit should also be a valuable resource andguide for civil society groups such asnongovernmental organizations (NGOs) andcommunity-based organizations (CBOs), academics,training and education providers, trade unions,business associations, and mining servicescompanies. In fact, the Toolkit is for anyone who isinterested in facilitating community development.Ideally, most of the tools will be used by severalparticipants together.


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While the work that supported the development ofthe Toolkit took place in southern Africa, and waslargely focused on coal mining operations, the Toolkithas a broader applicability, both regionally and interms of different types of operation. The Toolkit isdesigned to be applicable for projects in all parts ofthe world, with the important proviso that it does notaddress the unique characteristics of IndigenousPeoples’ communities. The World Bank hasoperational policiesiii in relation to IndigenousPeoples that apply to any projects (not just miningprojects) that affect them.

Section Key Points

TOOLS

1 Introduction Background, objectives and target audience for the Toolkit. The Introduction is the same for both volumes

2 Mining and Community Definition of community development, key principles for Development sustainable community development, phases of the mining

project cycle, and stakeholder roles and responsibilities

3 Community Development Tools 17 practical tools for community development supported by step-by-step guidance to assist in using them

Assessment ToolsPlanning ToolsRelationships ToolsProgram Management ToolsMonitoring and Evaluation Tools

4 Glossary A guide to some important community development terms and concepts

BACKGROUND VOLUME

1 Introduction Background, objectives and target audience for the Toolkit. The Introduction is the same for both volumes

2 Toolkit Development Process Work carried out to develop the Toolkit, including initial work in southern Africa and consultation activities

3 Government Tools for Sector Analysis of the elements of legislation and regulations that canSustainability enable a government to create an environment conducive to

sustainable mineral development

4 Bibliography A guide to additional information and resources on community development in mining communities

ICMM recognizes that relationships withcommunities are often complex and this isparticularly the case in relationships with IndigenousPeoples. As a result, ICMM commissioned anindependent reviewiv of the issues surroundingIndigenous Peoples and mining and metalsoperations to assist in facilitating more meaningfulrelationships in these areas.

Last, while the initial work focused on coal mining,the Toolkit is considered useful also for other miningand metals activities, and most if not all of theinstruments would also be relevant for other energyprojects (for example, oil and gas investments).

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TABLE 1.1 COMMUNITY DEVELOPMENT TOOLKIT AT A GLANCE

2 MINING AND COMMUNITYDEVELOPMENT

Relationship Between Mining andSustainable Community Development

Community development is the process of increasingthe strength and effectiveness of communities,improving people’s quality of life, and enabling peopleto participate in decision making to achieve greaterlong-term control over their lives. Sustainablecommunity development programs are those thatcontribute to the long-term strengthening ofcommunity viability.

Often, the most sustainable beneficial legacies thatcommunity development programs around a miningoperation may leave are in the skills and capacitiesthat training, employment, and education programsfor local people provide. The essential element of asustainable community development program is thatit can survive without input from a mining company,especially after the mining project is finished. Thus,community sustainability can be supported by miningpractices that help convert one local asset,nonrenewable natural resource capital, into anotherlocal asset, sustainable human and social capital.

Role of the Mining Industry

The mining industry can play a central role incommunity development by acting as a catalyst forpositive change in areas that may otherwise havelittle if any opportunities for economic and socialdevelopment. This is especially true in situationswhere mining can be a catalyst to help to build upother (non-mining) sustainable income sources in theareas where the mines are located so thatcommunities are able to develop independently of themine and are thus able to survive the exhaustion ofthe ore reserves and the departure of the miningoperation. An important means of achieving this is tofoster dynamic linkages between communities andexternal support agencies.

During the mine life, there can be tensions involvingthe distribution of mining revenues in a country,between local and national levels. This is becausemineral wealth is usually vested in nationalgovernments rather than owned by people living inthe mining area, and national governments may havepriorities for development that differ from those ofthe communities neighboring the mine.

For companies that see sustainable communitydevelopment as a positive factor for their miningactivities, however, there is a pressing need toexpand the positive benefits and mitigate the harmfuloperational impacts in the local area, regardless ofwhether the central government chooses to return aproportion of royalty payments and other miningrevenues to the local community. Encouraging centralgovernments to invest mining revenues in the regionsmost affected by the mining is important, but it isequally essential to work with local and regionalgovernments on local development programs. Mostgovernments have their own national, regional, andlocal development plans. The most effective use ofcorporate investments in local communitydevelopment is in support of existing programs thatprovide additional skills and resources whereappropriate.

Community Development is Good forBusiness

Improved social performance generally leads tobetter financial returns. While the business case forcommunity development will always be specific to theindividual company or operation, some commonthemes are clear. If communities benefit greatly froma mining operation, then they have a significant stakein seeing the mine operate successfully and will helpto overcome obstacles that could adversely affect themining operation. By contributing to local communitywell-being and development, benefits to companiesmay include:

• Reputation: Enhanced reputation, in the financialcommunity, in government, and among otherstakeholders

• Resources: Improved access to resources, such asore bodies, in environments that are increasinglychallenging or remote

• Ease approvals processes and help resolvedisputes: Better relations with local governments,nongovernmental organizations (NGOs) andcommunities that can help ease approvals processesfor project development, expansion, and closure andhelp resolve disputes and avoid situations in whichlocal groups might hinder or even prevent miningfrom taking place

Community Development Toolkit: Introduction to the 17 Tools

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ENT• Reduced closure costs and liabilities: Resulting

from better management of social risk, bettermanagement of community expectations, andreduced community dependency on the operations

• Efficiency and productivity and local supportservices: Greater efficiency and productivity owing tothe availability of improved local support services

• Local workforce: Improved education and skilllevels of the local workforce enabling companies toreduce their dependence on expensive expatriatesand increase local knowledge in operations,knowledge that can save time, effort, frustration, andmoney

• Employees: Improved employee recruitment,retention, and engagement.

In other words, community development is areciprocal process. By helping communities todevelop themselves in a sustainable manner, amining company is simultaneously helping its ownbusiness to succeed. If we can all move beyond thedonor/recipient model of community relations andview mining operations and their communitydevelopment programs as a mutually beneficialpartnership process, the goal of sustainability willbecome more achievable.

Good Practice Principles for SustainableCommunity Development

The most effective and sustainable communitydevelopment activities reflect some basic principles:

• Adopt a strategic approach: Development activitiesat the operational level are linked to long-termstrategic objectives for the company and are alsoaligned with existing and future community and/orregional and national development plans.

• Ensure consultation and participation: Localcommunities are actively involved in all stages ofproject conception, design, and implementation,including closure and post-closure.

• Work in partnership: Private, governmental, NGO,and community organizations bringing different skillsand resources – but shared interests and objectives –can achieve more through working together thanindividually. Formal or informal partnerships canalso reduce costs, avoid duplication of existinginitiatives, and reduce community dependency on themining operation.

• Strengthen capacity: Programs that emphasizestrengthening of local community, NGO, andgovernment capacity are more sustainable in thelong-term than the supply of cash, materials, orinfrastructure without a properly designed forward-looking participatory framework. While infrastructureis often essential for the development of remotecommunities, it will only be sustained if there is anadequate maintenance program supported by a welldesigned participatory process including localcommunities and governments.

Mining Operations Support CommunityDevelopment

This is the focus of the Toolkit. While the tools havebroad applicability, there is no simple blueprint forhow they will be used at any particular site. Miningoperations’ support for community development isalways determined by local conditions; that is, by thenature and scale of the operation, local governmentresources, and local peoples’ specific needs andpriorities.

Conventionally, mining companies have wanted totake immediate measures to alleviate poverty theyobserved in the neighborhood of their miningprojects. Typically this has been by building schools,clinics, or hospitals and by sponsoring externalhealth and education service providers to create newprograms.

Often these efforts, although appreciated asgenerous gifts to local communities, have not lastedbeyond the life of the mine, and sometimes not evenbeyond the tenure of the particular company staffthat instigated the projects. The reasons for this arebecause the projects:

• Were chosen by the mining company people and/orthe local elites

• Were built or run by outsiders, with littlemanagement involvement from local communitymembers

• Were only accessible by the more affluentmembers of the community and not by the poorermembers

• Required technology or knowledge not locallyavailable to maintain them

• Or because the capacity of local people to managethe programs was not built up to a sufficient level.


The sum of these factors is that, with the best ofintentions, the projects were imposed upon localcommunities and they therefore did not feel anyparticular ownership of them nor did they have theneeded capabilities to sustain them, resulting in aprogressive decline once external support waswithdrawn.

Further, if local communities and governmentagencies become accustomed to mining companiestaking charge of the provision of infrastructure andservices, an unhealthy dependency relationship canevolve, which works against sustainability.

Mining companies should take a strategic andintelligent perspective and focus upon their ownareas of expertise to determine where thoseintersect with community needs. In that way there isa reduced chance of companies filling roles thatshould be the responsibility of others. For example,schools and clinics are the areas of expertise ofeducational and medical experts and theresponsibility of governments and are not corebusiness skills for mining companies. Certainly,companies have building expertise, but the buildingsare only the skeleton of the health and educationsystems, and are not much use without teachers,nurses, course materials, and medicines, none ofwhich are mining business specialties. Even wheremining companies are willing and able to put in placesuch health and education services, there remainsthe inherent risk that when the mining companyceases its activities and departs, these services willcollapse.

By contrast, mining operations do have skills toshare with communities, for instance, in trade,administration, management, finance, operating, andmaintaining mobile and fixed machinery, and inimproving local supplier and contractor capability.Partnership programs for local apprentices in theseareas of capacity building will be more beneficial inthe long term than the traditional list of buildings.

The challenge, however, is to not only build the skillsbut also facilitate the growth of other activities inparallel to mining. For example, the Lac La RongeIndian Band initially developed trucking and cateringskills with support from the local uranium mines innorthern Canada. Over time, they expanded theirbusiness away from the mines and now have anannual turnover of Can$65 million in 2005 supplyingservices in the surrounding region. This is anexample of how mining companies can localize someof their product and service procurement policies tohelp build local supply capabilities. In addition tohelping train local community members to providegoods and services, companies can also considersupporting micro credit schemes to help encouragesmall business.

Local agriculture development is also a key area ofcommunity sustainability. One of the sustainabilityrisks faced by communities is that income from amining operation results in the community being able

to purchase most of its food needs from outside, witha resultant decline in local agriculture production.The loss of local agriculture capabilities can be acause of severe problems at the time of mine closurefor a community when it no longer has the income topurchase most of its food from outside.

Acid Test for Sustainable CommunityDevelopment

When reviewing programs for communitydevelopment, mining companies should askthemselves how those programs will fare when themine has closed (and remember, this may happensooner than planned). If ongoing company support,leadership, and maintenance will be required to keepa program going in good order, then it is notsustainable and will need to be rethought. This iswhere the real contrast between highly visible,tangible projects, such as road building, and low-key,hard to display programs, such as women’s literacyprograms, is sharpest.

A road will be obviously useful, with people, bicycles,and buses using it every day while the mine is thereto maintain it. Picture the same road some yearsafter the mining operation has closed, and neitherthe local district government, the nationalgovernment, nor the local community feel theresponsibility nor has the capacity to continue itsupkeep. It may well be potholed, crumbling, andlikely to get worse, or rehabilitation requirementsmay have necessitated its removal, meaning that itshould never have been classified as a sustainablecommunity benefit at all. In either case, unless amajor construction project like a road is developed aspart of a community-centered program, withcommunity plans and capacity for ongoingmanagement and maintenance, or is part of apartnership initiative with the host government thatwill therefore take responsibility for its care andupkeep when the mine is gone, then it cannot becalled sustainable.

By comparison, women’s literacy and numeracyprograms may yield much more modestdemonstrable results. There may not have been anyfollow-on enrollments in adult education classes norwomen achieving high school diplomas. However, if anumber of women became able to read, write, andmanage bank accounts, which helped them to savemoney and helped them establish and operate smallbusiness enterprises to benefit themselves and theirfamilies, then those skills will not be lost. Further, ifsome of the women value education more as a resultof their experience of learning, and encourage theirchildren to complete their schooling so that schoolretention rates are raised, then the benefits oftraining those women will multiply and continue.Thus, there is no need for the mining company tomaintain a presence to sustain the benefits of theprogram after closure. Although on a smaller scale,this sort of development is sustainable.


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ENTRoles and Responsibilities for Community

Development

Community development needs clearly defined rolesand responsibilities of government, companies,NGOs/community-based organizations (CBOs), andcommunities (table 2.1), and shared commitmentfrom all levels within an organization.

Government

• Strategic leadership

• Strategic coordination

• Provide policy and regulatory framework for project development, operation, closure, andpost-closure

• Support capacitybuilding at the local levelincluding monitoringcapabilities

• Deliver local services

• Leverage state andexternal resources

• Monitoring andevaluation

Companies

• Manage exploration,construction, operation,and closure of mines inaccordance withregulatory requirements

• Catalyst for action atthe community level

• Stakeholdercoordination aroundproject site

• Financial, material, andfacilities support for localcommunity

• Transfer of technicaland management skillsand expertise to localcommunity


NGOs/CBOs

• Local needsassessment

• Local capacity buildingand institutionalstrengthening

• Community projectdesign andimplementation

• Leverage externalfunding for communitysupport


Community groups

• Local needs definitionand prioritization

• Local knowledge andvalues

• Community planningand mobilization

• Mobilization of localassets and resources


• Internal organizationand conflict resolution

TABLE 2.1 TYPICAL ROLES AND RESPONSIBILITIES OF STAKEHOLDERS


The precise roles of the various participants dependon local circumstances and change during the courseof both the mine and the community developmentprocess. However, some broad principles are clear:

• Government: Has the primary responsibility forensuring that communities benefit from developmenton their land or in their region. Governments shouldtake the lead in setting policy and standards toensure development takes place at the local level,planning the development of social and physicalinfrastructure and land use, developing systems forproject monitoring and evaluation, and protecting therights and interests of citizens.

• Companies: Can also play an active role to supportcommunity development, but they should not assumethe role of government at the local level. Wheregovernment capacity is insufficient, companies maybe forced to take a leadership role but to the extentpossible it should be shared with NGOs andcommunity organizations. In the longer-term,however, they should focus on ensuring that localinitiatives work constructively alongside regionalgovernment development programs and on buildingpartnerships to help develop sustainable communitycapacities and resources. Most importantly, theyshould foster skills transfer and encourage thedevelopment of small businesses.

• NGOs/CBOs: Can play an important role inadvocating on behalf of local communities and indelivering local services. NGOs need, however, toclearly define their roles and to identify where theirinterests may be different to those of the localcommunity. NGOs involved directly in communityissues need to respect different communityperspectives toward proposed development and workon building their capacity to articulate localperspectives and to determine that the full range ofdevelopment options are available to communities.

• Community groups: Play the central role.Community development is essentially the processthrough which communities address locally definedneeds and achieve improvement in quality of life.Development reflects their needs, priorities, andaspirations; is achieved largely through theirownership and commitment to locally defineddevelopment goals; and is sustained when they havethe capacity, confidence, and opportunity to planappropriate strategies and mobilize resources tofulfill their development goals.

In addition, international development agencies mayalso play a role in community development in themining sector, although they are not always presentin areas where mining takes place. Donors haveunique influence and responsibility, particularly inharmonizing the standards by which communities aretreated and in bringing influence to bear on publicand private-sector development actors. They providean important source of development resources,expertise, and experience and can advisegovernments, companies, NGOs/CBOs, andcommunities of good practice as well as helpingmobilize financial resources for local developmentprojects.

Community Development in the MiningProject Cycle

Community development activities span all phases ofthe mining project cycle. All present particularchallenges. It is important to remember that therelationships between mining companies, localcommunities, and other stakeholders begin longbefore construction of a mine commences, andcompanies would be wise to invest in establishinggood local relationships at the earliest stagespossible.

While the Toolkit includes guidelines on whendifferent tools are applicable, as a practical rule ofthumb the sooner you start, the better. Processes canmore easily be slowed down than speeded up to meeta community’s needs. Additional guidance for theexploration phases of project development is providedin Environmental Excellence in Exploration (E3)v: anonline reference (an e-manual) of best practices inenvironmental management and communityengagement practices for minerals explorationglobally. Where leases or projects are acquired fromother companies, an assessment of relationshiplegacies must be made at the earliest possible stageand steps toward amelioration taken as soon aspossible, if needed.

Special attention is needed at the construction stage,which can be most traumatic for communities. Thereis often an influx of construction workers fromoutside the region, typically with little affinity for localpeople, their customs, or their needs. This is thestage when community incomes change drasticallywith “haves” and “have nots” starting to emergeaccording to which individuals and families receiveemployment and/or compensation and which do not.It is also a time when local prices for food, goods, andservices typically rise as money flows into thecommunity, and making the plight of “have nots”even worse. It is also a time when traditionalauthority structures and family relationships can beweakened and domestic violence can increase inresponse to community stresses.


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ENTThere can also be unintended consequences,

especially at the construction stage. For example, theconstruction of a mine in a remote location can resultin all the local transportation being contracted tomeet the needs of construction. Pressure foraccommodation and land increases, and demand forfood and supplies rises to meet the needs of theconstruction site, causing price increases that benefitsuppliers and farmers. Unintended consequencescan be that local people no longer have easy accessto transportation to other locations, the delivery ofsupplies to local stores is disrupted, and the priceincreases for food and suppliers harms those withlittle or no income – typically women and children –who are least able to protect themselves.

The importance of involving local people inemergency planning has been identified in workcarried out by the International Council on Miningand Metals (ICMM) and the United NationsEnvironment Programme (UNEP). The ICMM andUNEP publication, Good Practice in EmergencyPreparedness and Response (2005), presents the 10steps of UNEP’s Awareness and Preparedness forEmergencies at Local Level process and otherelements of a best practice emergency plan. It coverseverything from identifying who does what in anemergency to training and proper liaison with thelocal community. This is followed by and linked to aseries of case studies gathered from across theindustry that illustrate some of the principlesinvolved and how they might be effectively applied.

The importance of monitoring and evaluation cannotbe overstated, especially since relationships with andimpacts on local communities will continue after themine is finished. It is essentially important to ensurethat all planning takes post-closure aspects intoconsideration. This is particularly the case wherelong-term post-closure monitoring will be required,which is becoming more common.

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ENTTable 2.2 shows the sequence of community

development tools and activities throughout themining project cycle. But remember:

• Many of those activities will be repeated throughoutthe project cycle. Never stop assessing localcommunity or regulatory conditions, identifyingstakeholders, or developing human resources andcapacities.

• The earlier it is started, the better, but it is never toolate to start applying community development toolsand approaches. If it has not been done so already,begin at any time and follow the sequence of activitiesset out in the matrix at the beginning of the Toolkit.


• For sustainability, always consider how acommunity development program will cope withoutsupport from the mine, whether the mine closes in 5or 50 years. All stakeholders should start planningfor closure from the earliest opportunity. Taking intoaccount closure needs and implications can wellaffect the initial mine design and infrastructureprovision. Planning for closure should becomeprogressively more detailed as the mine lifeadvances.

Phase

Explorationa

Feasibility

Construction

Operations

Decommissioning and closure

Post closure

Description

• Highly competitive and structured within very short time horizons.

• The nature of the relationship between company and local communities is establishedand generally sets the tone of relationship from then forward. This is a challenging timesince, in the earliest stages at least, there is an inbuilt mismatch between the interestsof communities that want full information disclosure and a long-standing relationshipand the interests of exploration teams who want to keep their data confidential and whowill move on if there are no promising prospects for follow up.

• Extensive technical studies and consultations with government and local stakeholders.

• Important opportunities for the company to engage with local communities toestablish, for example, clear understanding of social, environment, development needs,priorities, and concerns as well as inform communities about possible mine developmentscenarios and timing.

• Relatively short, but typically brief and intense, set of activities in the constructionphase potentially with a large and/or temporary workforce.

• The influx of construction workers can be highly traumatic for the community. Thisphase 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.

• Opportunities to implement long-term community development programs, focusing onlocally identified development needs and community participation and stakeholderpartnerships in program design, implementation, and monitoring.

• May be according to a long-term plan or may occur prematurely. Need for closureplanning throughout the mining project cycle to ensure that programs can survive mineclosure.

• Role and development of local partners is critically important in planning for closure.

• Even well planned and implemented closure will likely cause significant decline incommunity income and tax base of local government.

• Long-term time horizon. Includes monitoring of environmental impacts and socialconditions following closure.

• Requires clear allocation of responsibilities for monitoring and remediation of any postclosure impacts.

• Support for post-closure alternative income generation measures and sustaining thedelivery of social services.

TABLE 2.2 DESCRIPTION OF PHASES OF THE MINING PROJECT CYCLE ANDCOMPANY/COMMUNITY INTERACTIONS

aDetailed online guidance on best practices in exploration is available from E3 at www.e3mining.com

http://www.e3mining.com

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3 COMMUNITY DEVELOPMENT TOOLS

Using the Tools

The tools are designed for government officers, minesite managers, and community relations staff andcommunity officials and members in mining regions.They briefly provide and simply explain someessential tools for community development in a waythat makes them easy to learn and to use,particularly for people who have limited time fordevelopment jargon or theory.

By following the step-by-step approach – anddetailed guidance on the use of simple and effectivetools – the community development process will bebetter understood and community developmentactivity in and around mining operations will bebetter supported.

The tools have six specific objectives:

• To improve understanding of local communitydevelopment processes

• To support lasting improvement in the quality of lifeenjoyed by mining communities

• To facilitate community empowerment throughparticipatory development processes

• To build local capacities and developmentresources

• To foster constructive working relationships amongcommunities, companies, and governments

• To reduce conflict in mining communities andregions.

The tools provide practical guidance for all stages ofthe community development process, from firstcontacts between exploration geologists and localcommunity members, or the acquisition of existingprojects, through to construction, operations, andeventually decommissioning, closure, and post-closure.

Much of the tool content is aimed at mining companystaff and linked to stages of development of a miningproject. This is because the tools are designed foruse in the mining and metals sector.

However, the tools should also provide a valuableresource for government agencies, NGOs, trainingand education providers, trade unions, businessassociations, and mining services companies, in fact,anyone who is interested in facilitating communitydevelopment.

Ideally, most of the tools will be used by severalparticipants together in some type of formal orinformal partnership. For example, communityproblem ranking workshops may be organized by themining company in conjunction with communitymembers, with the participation of local governmentofficers and facilitated by a local NGO.

Some other tools may be used by differentparticipants from slightly different perspectives.Strategic planning and stakeholder analysis tools, forexample, may be used by each of the company,government, and NGOs in a similar fashion but withvarying results owing to the different viewpoints ofeach group. In the introduction to each category oftools, the use by different stakeholders is explained.Anybody can use any of these tools when they need toassess local conditions or plan, manage, or evaluatelocal development activities.

The tools are a reference and a guide to help youwork more effectively in community development.The Toolkit is designed to provide the tools you need,when you need them.

Initially, you may wish to look briefly through thetools to review the range of development approachesdescribed. As you begin to work through some ofthose development approaches, you may wish tofocus on specific tools to ensure you understandwhen and how those tools may be most effectivelyapplied.

They are not all-encompassing (or they would be toobulky to use). Other useful sources of advice will befound, including those noted in the Bibliography.These are particularly relevant when faced withissues requiring separate and specific treatment,such as resettlement, and references to the WorldBank guidelines on this and other topics are providedin the Bibliography. The tools also do not remove theneed for knowing and observing laws and regulationsthat apply to an operation.


Using the tools will not mean that you will neverneed help from others. Certain aspects of communitydevelopment require expertise that you may not have.The tools should help you decide when you needassistance and what kind of assistance that shouldbe.

Gender and Inclusion

Underlying the use of the Toolkit is an importantgender dimension. Typically mining development hasa gender bias whereby most of the benefits(employment, income, royalties, and infrastructureprojects) tend to accrue to men, and the negativeimpacts (cultural disruption, social stress,environmental harm, and domestic violence) affectwomen and children. Corrective actions are availablethat can redress this situation and improve theeconomic and social empowerment of women andimprove the well-being, safety, and security of bothwomen and children. Each stakeholder group(government, companies, communities, and civilsociety groups) should examine their own activitiesthrough a gender prism to see how well women arerepresented and how much their views and concernsare taken into account in using the tools and inassociated monitoring and evaluation activities.

Categories of Tools

The tools have been divided into several categoriesaccording to their main uses, which are also themain elements necessary in a healthy communitydevelopment program:

• Assessment tools: For assessing the environment;that is, who the people are who live there, how theylive, whether there are any existing conflicts, andwhat resources will be need to build and support acommunity development program in this setting.

• Planning tools: To design development programsdesired by all and therefore with an opportunity tobecome sustainable. Some plans may be internal tospecific organizations, such as a company or NGO.Other plans may be developed by coordinated effortsby many groups.

• Relationships tools: For building and maintaininggood relationships between all stakeholders, such asgovernment, community members, companyrepresentatives, and local organizations.Relationships are the foundation of all cooperativeactivities and therefore essential for soundcommunity development programs.

• Program management tools: For supporting andimplementing the plans developed with the planningtools. These management tools include means forensuring that plans are realistically resourced andscheduled and that there are people takingresponsibility for implementing them. Plans are justpieces of paper until they are put into motion.

• Monitoring and evaluation tools: For measuringprogress toward program goals. Some evaluationsmay be internal to individual organizations, butideally all participants will work together on someevaluation tools so that any modifications required toplans will be developed in a coordinated andcooperative manner.

Some Advice

Be patient. Let people develop at their own pace. One of the greatest challenges of providing goodcommunity development support is working to thetimetable of the community. Community leaders andmembers will likely be fully aware of this. If you are amining company manager, government official, orNGO representative, you may have project deadlines,annual reports to complete, and budgets to utilize.These imperatives, coupled with the temptation tosee immediate results from your work, can be strong.

Remember that development is a long-term process.It is about building local capacities and strengtheninglocal organizations and not necessarily theimmediate or visible outputs of your developmentactivity. Development is the process of change in localpeople’s capacities and resources, in how theyorganize themselves, and in how they relate to theoutside world.

For those who are not community leaders ormembers, your role is to facilitate that process and totake a back seat or supporting role. You probablyhave special skills, knowledge, and abilities andaccess to resources, all of which could achieve thetangible aspects of community development projectsmore quickly than people just learning the ropes can.

However, you will really have achieved the goal ofsustainable community development when thecommunity feels that it can manage well without you.


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ENDNOTES

i On May 21, 2001, the Board of Directors of the International Council on Metals and Environment(ICME) agreed to broaden the groups’ mandate and transform itself into the International Council onMining and Metals (ICMM), and to move its headquarters from Ottawa, Canada, to London.

ii See www.icmm.com/sd_framework.php.

iii World Bank Revised Operational Policy and Bank Procedure on Indigenous Peoples (OP/BP 4.10)available atweb.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 atwww.icmm.com/library_pub_detail.php?rcd=175.

v See www.e3mining.com

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http://www.icmm.com/sd_framework.php

http://www.icmm.com/library_pub_detail.php?rcd=175

http://www.e3mining.com

COMMUNITY DEVELOPMENT TOOLS IN THE MINING PROJECT CYCLECATEGORY OF TOOL NAME AND NUMBER WHEN TO USE THEM WHO MIGHT USE THEMCOMMUNITYDEVELOPMENT Exploration Feasibility Construction Operations Decommissioning, Government Community NGO CompanyTOOL closure and post closure

ASSESSMENT 1 Stakeholder Identification

2 Social Baseline Study

3 Social Impact and Opportunities Assessment

4 Competencies Assessment

PLANNING 5 Strategic Planning Framework

6 Community Mapping

7 Institutional Analysis

8 Problem Census

9 Opportunity Ranking

RELATIONSHIPS 10 Stakeholder Analysis

11 Consultation Matrix

12 Partnership Assessment

PROGRAM MANAGEMENT 13 Conflict Management

14 Community Action Plans

MONITORING & EVALUATION 15 Logical Framework

16 Indicator Development

17 Goal Attainment Scaling

KEY: Start activity Ongoing Repeated Primary user Support userThis matrix provides a general guide to the tools includingwho might use them and when during the project cycle.

List of Assessment Tools in this Toolkit

1 Stakeholder IdentificationFor identifying all the people with an interest in the project or who may be affected by the project.

2 Social Baseline StudyFor drawing up a profile of the community surrounding the project area and its regional and national setting.

3 Social Impact and Opportunities AssessmentFor assessing the impacts, both positive and negative,that the project may have on host communities and how to manage them.

4 Competencies AssessmentFor determining the attributes your team has and whether other skills, knowledge, and understanding may be required.

ASSESSMENTTOOLS

Guidance for Using Assessment Tools

Assessment is the first thing you need to do whenstarting work in a new environment to determineyour needs and those of others. Communities,shareholders, regulators, and other stakeholdersare increasingly demanding that baselineassessments be undertaken for projects, so thatthere is a background profile against whichmonitoring and evaluation measurements may bemade. (See table below for assessment tools andwho might use them.)

• Government officer: As a government officer youmay have been transferred to a new district andneed to assess your new environment or a newmining project may have come to your district, soyou need to assess their plans. By learning who allthe stakeholders are with an interest in the project,whether any conflicts exist between the project andthe community, and how the company intends toaddress its social impacts, you will be better placedfor identifying opportunities for government plans todovetail with community and company plans.

• Community member: As a community memberyou may have moved to a new home and need toascertain what activities are taking place in the newneighborhood or a new project may have announcedits intention to start up locally so you need to assesstheir intentions. You may not be inclined to conducta stakeholder identification exercise or socialimpact assessment yourself but, by identifyingyourself as a stakeholder and participating in impactassessment activities, such as community meetingsand focus groups, you will be shaping the process tosuit your community.

You will also be getting to know the otherstakeholders, which will help you to participatefurther later.

• Community organization or NGO: As a member ofa community organization or NGO you may need toassess the plans of a new project or a new companymay have acquired an existing project and you maywant to evaluate how different that new companymay be from the former owners. Your organizationmay want to conduct a stakeholder identificationexercise to make sure that you are consulting all therelevant people in the community, government, andcompany.

• Mining company staff: As a member of the miningcompany staff you may have started work on a newmining project and need to assess the potentialimpacts that the project might have on localcommunities, or your company may have bought anexisting mine, so you need to determine what thelegacies are from the previous owners and learnabout the surrounding social and economicenvironment. Assessment tools provide valuableinformation on demographic and economicconditions and trends, political structures, localorganizations, cultural traits, and other factors thatcan influence the way in which affectedcommunities will respond to anticipated changesbrought about by the project.

Assessment Tools and Who Might Use ThemParticipant Assessment Needs Appropriate Tools Tool No.

Government To know new stakeholders Stakeholder Identification 1Officer

Understand project impacts Social Impact and Opportunities 3Assessment

Understand the local community Social Baseline Study 2

Community To know new stakeholders Stakeholder Identification 1Member

To identify own needs and priorities Social Impact and Opportunities 3Assessment (participation)

NGO Member To contribute to assessment data Social Impact and Opportunities 3Assessment (participation)

To know new stakeholders Stakeholder Identification 1

Mining Company To know new stakeholders Stakeholder Identification 1Staff

Understand project impacts Social Impact and Opportunities 3Assessment

Understand the local community Social Baseline Study 2

Ensure adequate skills, knowledge Competencies assessment 4and attitudes for community development staff

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Description

Stakeholder Identification is the discovery of a project’s stakeholders; thatis, of their interests and the ways in which those interests affect aproject’s viability. Stakeholder Identification contributes to project designby learning about the goals and roles of different groups, suggestingappropriate forms of engagement with those groups.

Stakeholders are persons or groups who are affected by or can affect theoutcome of a project. Stakeholders may be individuals, interest groups,government agencies, or corporate organizations. They may includepoliticians, commercial and industrial enterprises, labor unions,academics, religious groups, national social and environmental groups,public sector agencies, and the media.

1

1Stakeholder Identification


How to use this tool

Your initial objective is to identify absolutelyeveryone and every group that might have aninterest in the project in order not to miss anyone.Later, you will ascertain who has an enduring ordeep interest in the project, but to start with aim forinclusivity.

• Step 1: Brainstorm existing stakeholders. This is best done by a team of people who haveinteractions with parties external to theorganization. Every project already has existingrelationships. List those first. Use the table oppositeas a checklist, and name the stakeholders for theproject you are working on. Some stakeholders areeasily identified, such as people in the neighborhoodof the project, interest groups in the country wherethe project is located, local and regional governmentpeople, and so on. These may be termed directstakeholders. Other, indirect, stakeholders may bemore difficult to identify, and you need to think morelaterally about how you establish and maintainrelationships with them. Examples of these may beNGOs or academics situated in locations remotefrom the project but nonetheless with an interest init.

• Step 2: Network to expand the list. Ask thestakeholders you already know to suggest otherpeople with an interest in the project. Be inclusive.Do not worry about numbers. They will even out inthe end. Worry more about leaving people out.

• Step 3: Check that you have included all thepossible stakeholders that you and your colleaguescan think of. A question to ask yourself for ensuringthat all key stakeholders are included in the list is:Whose support or lack of it might significantlyinfluence the success of the project?

Purpose

The purpose of this tool is to identify acomprehensive list of people and groups with aninterest in your project. This can be used forconsultation purposes, impact assessment, andpartnership assessment as the project evolves.Stakeholder Identification provides a starting pointin building the relationships needed for successfulcommunity development; that is, finding whichgroups to work with and how they might mosteffectively be engaged.

It is especially important to seek out stakeholderswho may be marginalized or not represented informal structures (for example, Indigenous Peoplesor women). You cannot assume that their interestswill be covered. They need to be consideredseparately to ensure that their voices will be heard.

When to use this tool

From the earliest prefeasibility stages of a projectstart to build the stakeholder list, and then revisethe list whenever there are any changes in projectdesign, scope, social environment, or activity, rightthrough to closure. In the context of closure,employee consultation needs to be undertaken as adistinct closure activity. Revise the listsystematically at least once per year or more often ifchanges are observed.

The following process is aimed at company staff, butcould be applied just as easily to stakeholderidentification by government or NGO representativesor community members.

Stakeholder Identification is a dynamic process; thatis, some stakeholders disengage and others join inat different stages of project development. There isno such thing as a static list that can be filed awayonce all stakeholders have been successfullyidentified. Take care to remember internalstakeholders. For example, your own employeesform an essential part of the community and shouldbe kept informed and listened to just as much asexternal stakeholders. This will enhance employees’feeling of ownership. In addition, many externalstakeholders gain knowledge of your activitiesthrough interactions with your employees, so itmakes perfect sense to keep your own staffengaged.

Checklist of possible stakeholders

Use this generic list to jog your memory

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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• Professional and trade associations• Others

Internal

• Board of directors• International advisory board• Top management• Shareholders• Legal people• Health, safety, and environment people• Employees• Retirees• Families of employees• Human resources/employment department• Others

Specially concerned people/groups

• With interest in your site (small-scale miners)• With interests in your company (existingpartners)• 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

Communities

• The local community near your site• The local community near your head office• The regional community• The national community• The international community

Specially impacted

• Nearest neighbors• Elderly/ill/incarcerated/disabled• Indigenous Peoplesa

• Racial minorities/oppressed groups• Children/schools/orphanages• Others

Government officials

• Local officials• Regional officials• State officials• National officials• Opposition officials• Others

Industry

• Individual companies• Competitors• Suppliers• Customers• Industry associations• Business associations• Others

Regulators

• Local agencies• Regional agencies• State agencies• National agencies• International organizations• Others

Environmental Non-GovernmentalOrganizations and Community BasedOrganizations

• Local groups• Regional groups• State groups• National groups• International groups• Individual green activists• Others

a For a detailed examination of the issues in relation to mining and indigenous peoples, see ICMM’s Mining and Indigenous PeoplesIssues Review, available at www.icmm.com/library_pub_detail.php?rcd=175 .

http://www.icmm.com/library_pub_detail.php?rcd=175

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: SustainingCommunities Through Improved Business Practice. A Community Development Resource Guide forCompanies (section 2: Defining Community).

Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications

IFC Environment Division: Good Practice Notes: Doing Better Business Through Effective PublicConsultation and Disclosure (section C, Guidance Note 2: Stakeholder Identification).


http://www.iied.org/mmsd

http://www.ifc.org/ifcext/enviro.nsf/Content/Publications


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2Social Baseline Study


Description

The gathering and compilation of baseline data that describes the state ofthe social and economic environment and the characteristics of thepopulations living in the area around a mining project is usually known as asocial baseline study. A social baseline study investigates:

• Demographic factors: Numbers of people, their location, population density, age, ethnicity, health, income and so on

• Socioeconomic determinants: Factors affecting incomes and productivity, land tenure, access to productive inputs and markets, family composition, kinship reciprocity, and access to wage opportunities, and labor migration

• Social organization: Organization and capacity at the household and community levels affecting participation in local-level institutions as well as local decision-making processes and access to services and information

• Economic organization: Local and regional businesses and commercial structures, infrastructure supporting economic activity, government, and other economic/industrial development plans for the area

• Sociopolitical context: Stakeholder organizations’ development goals, priorities, commitment to development objectives, control over resources, experience, and relationship with other stakeholder groups

• Historical context: Historical issues and events (migration, relocation)

• Needs and values: Stakeholder attitudes and values determining whether development interventions are needed and wanted, appropriate incentives for change, and capacity of stakeholders to manage the process of change

• Human rights context: Prevailing human rights issues and country risks and so on

• Institutions: Role, governance, resources, and capacities of local institutions as well as regulatory framework

• Cultural background: Cultural norms and practices and places of high cultural value

Another important time to update baseline socialand economic data is at mine expansion or closure.This will help both to plan appropriately forexpansion or closure and to provide a baselineagainst which to measure post-closure changes oran adjusted baseline to measure post-expansionchanges against.


A baseline survey is a large undertaking, frequentlyrequiring a large team of field surveyors, and istherefore beyond the capacity of most companies toconduct with in-house resources. Usuallyconsultants are engaged to gather and analyze thebaseline data, including information alreadyavailable in a variety of sources, such as universitiesand government departments. Ideally, experiencedconsultants with a familiarity with internationalsocial assessment standards will team with localconsultants and researchers to conduct the socialbaseline study process. Even better, if time andresources permit, participatory research methods,where community members conduct their ownanalysis, may be used.

In general, however, as participatory methods aremuch more time-consuming than the data-gathering efforts of professional researchers, andcompanies are pressured by project deadlines tofinalize their reports, community-directed researchtends to take place as part of participatory planningprograms, such as described in tools 6–9.

• Step 1: Desktop social profile; that is, engageresearchers to locate available data in cooperationwith local officials and community leaders to drawup a social profile (this could be part of a duediligence assessment).

• Step 2: Decide what further information needs tobe acquired through primary research.

• Step 3: Engage experienced social scientists andlocal tertiary institutes or research organizations todesign a survey to capture both quantitative(questionnaire of many people) and qualitative(focus groups and key informant interviews)information.

• Step 4: Draw comprehensive community profile.Test with community participants and adjust asneeded.

• Step 5: Use the completed social and economicbaseline study as the basis for conducting a SocialImpact and Opportunities Assessment (tool 3) andfor monitoring and evaluation activities (tools15–17).

Purpose

The purpose of this tool is to enable projectproponents to understand the local communities’situation, their hopes and fears surrounding theproject, and the potential impacts, both positive andnegative, of the project. It is used also to gather datathat can be used for measuring future change.

Without good understanding of the local social andeconomic context, program facilitators mayunderestimate project risks, fail to identifyopportunities for contributing to social andeconomic development, introduce program activitiesthat are culturally or socially inappropriate, or fail tounderstand local causes of poverty and inequality.

A good baseline study also provides the groundingdata needed for assessments of change after aproject has been initiated. By measuring conditionsat the outset of a project, it is possible to take latermeasurements, compare them with the baselinedata, and determine whether change has takenplace. For example, it would be possible to ascertainwhether there are more local businesses since thestart of a project.


A baseline study, by definition, needs to beundertaken prior to the beginning of a project. If anexisting project is acquired, and no baseline studywas conducted by the previous project managers,then it is a good idea to do a baseline study from thetime you start with a project, perhaps to be termeda delayed baseline.

Some leading companies are already including aless complex assessment of the likely costs ofprograms to mitigate potential social problems intheir due diligence process (that is, not a full SocialImpact Assessment, but a rough estimate). Theresults of the desktop study (step 1) could be usedfor this purpose. Conceivably, if the costs ofimplementing adequate social programs willoutweigh the potential profits of a mine, as assessedat a high level at this early stage, then it may beprudent to walk away from the project.

If the initial desktop estimate does not deterinvestors from proceeding with the project, then thegathering of primary data to complete the baselinesurvey should commence as soon as possible afterthe go-ahead decision is made. The baseline studyis not, however, the end of the process of knowingyour local community. Development facilitators needto update their understanding of local socialconditions—to identify emerging concerns andchanging need—throughout the life of the project.

The following examples of social baseline studiesare adapted from actual examples, one from a minein Africa and one from a mine in Australia. Thepurpose of including two examples is to illustratethat, although the basic structure of a baselinestudy is fairly standard, the emphasis and prioritygiven to other elements will vary according to thecircumstances.

In example 1, the mine had been in existence forsome years before a new company bought it anddecided to do a baseline study. There had beensome conflict between the previous owners and thelocal community. Hence, community relationsbecame the first topic for discussion after thefundamental demographic profile was presented. In example 2, the majority of the local communitynear the mine were Indigenous Peoples, whosedemographic trends and structures differ from themajority of the national population, so emphasiswas given to explaining this before dealing withother issues such as health, education andemployment.

The point is that there is no fixed template forbaseline studies, although the fundamentalelements will be common to all societies.

Example Social Baseline Studies Tables of Contents

Example 2

Project descriptionExisting data and gap analysisPrimary and secondary data covering:

• Population trends• Age/gender distribution• Employment and income• Education standards• Health standards• Housing standards• Regional economy• Infrastructure• Community life

Example 1

Project descriptionExisting data and gap analysisPrimary and secondary data covering:

• Demographics• Community relations• Education• Health• Economic development• Resettlement• Community development• Infrastructure• Agriculture/forestry

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Key references

World Bank: Social Analysis Sourcebook: Incorporating Social Dimensions Into World Bank Operations(chapter 4: Social Assessment; chapter 5: The Way Forward).

Available: www.worldbank.org/socialanalysissourcebook/

IFC Environment Division: Good Practice Notes: Addressing the Social Dimensions of Private SectorProjects (all sections).


Social Baseline Survey in Progress in Tanzania Social surveyor (right) collecting baseline data from community member, Tanzania

http://www.worldbank.org/socialanalysissourcebook


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Description

There is a concern among some community development commentatorsthat the process of Social Impact Assessment (SIA) limits itself toidentifying negative impacts and mitigating them rather than alsoconsidering positive aspects of the presence of a project. SIAs shouldidentify positive as well as negative impacts and look for methods ofenhancing the opportunities that can flow from the positive impacts aswell as offsetting the negative ones. These opportunities can form thebasis for a sustainable community development program if harnessed in acooperative participatory planning program with full engagement fromthe local community, government, and other stakeholders. In addition, thepurposeful identification and enhancement of opportunities that can addvalue to a project’s presence within a community from the start will makethe challenges of engagement, local participation, and a morecollaborative and sustainable community development effort throughoutthe life cycle of the project easier.

3

3Social Impact and OpportunitiesAssessment


Criteria applied for the determination of an impactshould include the likelihood of an impact occurring,how widespread the impact will be (how manypeople will it affect), and, after managementmeasures have been developed, whether it can bemitigated reasonably or not. Management measuresare then proposed for the impacts identified, eitherto enhance the positive impacts (opportunities) or tomitigate the negative impacts. Closure planningshould also form part of the planning for impactmanagement measures from the earliest stage.That is, the impact management programs shouldbe designed to be sustainable, to survive thecessation of mining operations and not simply be apositive measure during the life of the mine, leavingpeople no better off when the mine closes.

Impacts should ideally be assessed twice, oncewithout the ameliorative effect of mitigationmeasures and then again after proposedmanagement measures are included in theequation. This should be done to determine whethera project is able not only to manage its negativeimpacts through good community developmentprograms but even to have a positive contribution tosustainable development. This comparativeassessment will highlight the importance of goodcommunity development and encourage companiesto invest in social programs. (See table opposite foran example of impacts.)

For example, a large mine may have a significantnegative impact on local employment for small-scale miners who will no longer be able to mine thedeposits they used to. However, if employmentprograms are implemented to provide alternativelivelihoods for these miners, then the impact maybe neutral or even positive. Going further, if themine is able to put in place, in cooperation withgovernment and employment and training agencies,an effective training and education program thatallows local people to acquire skills that enablethem to obtain lifelong employment from a variety ofsources, then the overall impact of the project onemployment and income may be positive. Theproject, in partnership with government agencies,will then have created opportunities for the broadercommunity.

Purpose

The purpose of this tool is to assess the potentialsocial and economic impacts of the proposedproject upon stakeholders. Having identified likelyimpacts, it can then be used to propose measures tooffset potential negative impacts and maximizepositive impacts. Going beyond the basic SIA model,a community-development–focused SIA approachshould include opportunity assessment to enhancepositive development impacts of the project as wellas identifying impacts that need to be mitigated.


Ideally, an SIA should be conducted as soon aspossible after the Social Baseline Study (see tool 2).Indeed, they usually form part of the same largeexercise, although, in some cases, a baseline maybe conducted as a separate undertaking.

Assessments should be made of the impacts likelyat each stage of the project, from feasibility throughto relinquishment, including transitory phases suchas construction, when a large, temporary workforcemay be present. It is particularly important that thesocial impacts of a project at closure and beyond aretaken into account when assessing the feasibility ofa proposed project. As a site approaches closure, aspecific SIA on the impacts of closure should beconducted, and closure mitigation programs shouldbe developed accordingly. The cost of exit strategiesshould be factored into the financial modeling whenexamining the feasibility of a project. If the costs ofmanaging social impacts in a responsible andsustainable manner are too high, it might be betterfor project proponents to consider not proceeding.An environmental impact assessment (EIA) mayalso be underway at the same time and it isimportant to consider any overlaps betweenenvironmental and social impacts, such as those inrelation to community health.


The assessment would normally be undertaken byexperienced social scientists with a goodunderstanding of mining projects and their potentialeffects, as well as sound knowledge of communitydynamics and the local population. If good baselinedata have been collected (see tool 2), then theassessment will be based on a solid foundation. Theparticipation of local, regional, and nationalstakeholders, through interviews, focus groups, andsurveys will also provide information about localvalues and experiences, invaluable for acomprehensive assessment. These surveys andinterviews are not just for the purposes of datacollection to populate the baseline study, but shouldcapture people’s hopes, fears, and expectations togive life to the assessment of impacts andidentification of opportunities.

• Step 1: Review social baseline study anddetermine areas of concern to the communities,potential impacts, as well as areas where theproject might present opportunities.

• Step 2: Assess potential impacts andopportunities and identify areas needing impactmanagement programs.

• Step 3: Propose measures to manage and, ifnecessary, mitigate the identified impacts andenhance opportunities.

• Step 4: Reassess the impacts and opportunities,taking the proposed management measures intoaccount.

• Step 5: Work with community and other partnerson participatory development plans that addresscommunity priority programs (enhancingopportunities) as well as required mitigationprograms (mitigating impacts). Tools 6–9 and tool 14can be used to develop impact management plansin cooperation with community members and otherpartner agencies.

• Step 6: Review management measures andprograms regularly, and adjust as required (seetools 15–17 for monitoring and evaluation methods).

Example Summary Table of Impacts

Impact area Positive or negative Significance impact (severity/number of

people affected)

Livelihoods• Predicted impacts Negative Low• Predicted impacts after mitigation measures Positive High

Community relations• Predicted impacts Neutral High• Predicted impacts after mitigation measures Positive High

Education• Predicted impacts Positive Medium• Predicted impacts after mitigation measures Positive High

Health• Predicted impacts Positive Low• Predicted impacts after mitigation measures Positive High

Infrastructure• Predicted impacts Positive Medium• Predicted impacts after mitigation measures Positive Medium/high

Community development• Predicted impacts Positive Low• Predicted impacts after mitigation measures Positive High

Note: This is a summary table. The significance level of positive impacts progresses to a higher level when programs are made availableto more people (that is, the impact becomes more positive).

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Key references

There are many references on SIA, and it is frequently a rather detailed process. This tool intends to givean 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: SocialEcology 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 SectorProjects (all sections).


IPIECA: Guide to Social Impact Assessment in the Oil and Gas Industry.

Available: www.ipieca.org/downloads/social/SIA_Document_Final.pdf

http://www.dog-eared.com/socialecologypress

http://www.iaia.org


http://www.ipieca.org/downloads/social/SIA_Document_Final.pdf

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Description

Good community development is dependent on having people withsuitable skills and understanding to run programs and on givingcommunity development staff the training support they need to performtheir jobs well. If responsibility for managing community development isgiven to people whose primary duties and expertise are in other areas (forexample, environmental science or human resource management), it isunlikely that community development programs will run properly. Thecompetencies assessment is a process for measuring and recording theskills of an individual or group. It is a highly flexible tool that can beperformed through a facilitated workshop process, on a one-to-one basis,or an individual basis.

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4Competencies Assessment



The tool can be used by an individual or collectivelyby a team to list required skills, estimate the level ofexpertise needed for each skills area, and assessthe current level of skills against requirements.Then steps can be taken to fill any gaps identified.

• Step 1: Individually (for example, if you are asingle community development worker) or in a team(if there are several), think about the predictedimpacts of the operation and the baseline conditionsof the local communities (from tools 2 and 3) andconsider what areas of community developmentprograms you expect to become involved in (forexample, mechanical training, women’smicroenterprises, and agricultural extension).

• Step 2: Having listed likely program areas,consider the role that could best be played by yourteam (for example, would your team actually runtraining programs for mechanics or would you workwith a local vocational training school to help themupgrade their services). Decide whether you needtechnical skills, training skills, or organizationaldevelopment skills, and then list the full range ofskills your team will need.

• Step 3: Write the list of required skills in thecentral column in the Competencies Assessmentworksheet on the opposite page.

• Step 4: Estimate the level of expertise desired inthose required skills and record it in the left columnin the worksheet.

• Step 5: Assess the levels of skills and knowledgepossessed by you and your colleagues in the rightcolumn in the worksheet.

• Step 6: Compare the results of the left and rightcolumns and make note of discrepancies (forexample, you may have estimated that you need asmall business expert, with level 3 knowledge andskills, but your team has only level 1 knowledge inthis area, or none at all). This means that you mayneed to either hire an extra team member or aconsultant or have one of your existing team trainedin extra skills. You might also decide that it would bebest to team up with a local organization that offersthe requisite skills, such as a vocational trainingschool, rather than hiring the expertise yourself.

• Step 7: Collate the gaps identified and then makean assessment of what actions need to be taken tomake the team effective and ensure that thenecessary support for the programs is available.

• Step 8: Prepare a training needs list and a humanresources request list to be presented to therelevant administration people in your organization.In addition, list the range of consultants you willneed to hire for temporary inputs and the kinds oforganizations you might need to form links with.

Purpose

The purpose of this tool is to identify additionalresources, either permanent or temporary, that maybe needed over time. This tool can be used forselecting consultants for short-term or intermittentinputs to programs as well as for choosingpermanent staff. This tool helps in identifying anddeveloping the knowledge, skills, and attitudesneeded to ensure the right team and resources areassembled to achieve community developmentgoals, whatever the size of the organization. It canalso help in assessing the skills available in analready existing team or that the local communitypossesses so that training and development needscan be recognized for staff and communitymembers as well as gaps to be filled by additionalpersonnel.

A range of knowledge and skills will be needed inthe team to achieve development objectives. Ingeneral, look for people with humanities or socialscience training or community organizationexperience. Direct knowledge of the localcommunity and cultural context would be beneficial,but more important is experience in working wellwith communities and the ability to grasp quicklythe local issues. An assessment of a person’s skillsneeds to include more than formal training, assomeone with appropriate experience may be moresuitable than someone with the right degree butlittle experience. Types of knowledge, skills andattitudes are outlined in the table at the top of thepage opposite.


This tool is needed when forming the communitydevelopment team, as early as possible, ideally atthe same time that project construction plans arebeing made. If resettlement of local communities isrequired for the construction of the mine and itsinfrastructure, then community developmentexpertise will be required to plan and manage therelocation process. Then, as the scale of operationalactivities increases, it may be necessary to expandthe team to cover additional areas of communitydevelopment activity (for example, you may need tohire a small business development expert).Additional expertise when planning for closure maybe needed, and certainly when implementingclosure plans when a combination of experience andlocal knowledge is essential. In other words, usethis tool as early as possible. Then, re-evaluate theteam as needs evolve.

Knowledge, Skills, and Attitudes for Community Development

Description

Key points

Knowledge

Community developmentdemands a broad base ofknowledge in many areas: forexample, local social conditionsand dynamics of change,institutional development,economic development, andprogram design andmanagement. It includes bothbasic information, how toacquire information, and theways in which information canbe applied.

Understanding of: • Community needs, priorities,

and values• Social and economic

development and natural resource management

• Partnership brokering and maintenance

• Group processes and dynamics• Project management• Financial management• Team building and team

management• Problem solving and decision

making• Training and skills

development• Organizational development

and design

Skills

Skills help move from knowledgeto action. Skills are learned,practical, and repeatableprocesses through which positiveoutcomes are achieved. Skills donot need to be well-developed atthe beginning of the communitydevelopment process, but, asplanning becomes implementingand sustaining action, thedemands on skills will increase.

Demonstrated capacity in:• Planning and program design• Research, assessment,

analysis, and evaluation• Team building, staff, and

financial management• Communications, consultation,

and facilitation• Problem solving and conflict

resolution• Organizational design and

development

Attitudes

The spirit or perspective fromwhich community development isapproached shapes decisions andactions. It is critical to buildingtrust and in empowering localcommunities. Attitude may beindividual, may be evident withingroups, or may be commonthroughout the organization.

Respect for:• Local people and communities• Development as a social

process, not simply dependent on technical skills and expertise

• The value of process and sustainability; not quick results

• Local empowerment and development

• Local knowledge and perspectives

• Facilitation and not leadership• New ideas, approaches, and

opportunities• Patience, flexibility, resilience,

and perseverance• Constructive criticism and

self-evaluation

Competencies Assessment Worksheet

Required skill level

Level of expertise, knowledge, orunderstanding required to performeffectively in role

No expertise High expertise

0 1 2 3

√

√

√

√

√

√

Skills

Skills area (there may be others)

Planning and program design

Research, assessment, analysis, andevaluation

Team building, staff, and financialmanagement

Communications, consultation, andfacilitation

Problem solving and conflict resolution

Organizational design and development

Existing skill level

Actual level of expertise, knowledge,or understanding


0 1 2 3

√

√

√

√

√

√

The example above lists general skills forcommunity development staff. The results of thatteam assessment would be that additional expertiseis required in the problem solving and conflictresolution area, so a consultant may be required forthat. In addition, either a new team member withhigher level skills in communications, planning, andorganizational design may be needed, or currentstaff may need additional training in those fields.

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An example for a person or organization with aspecific technical skill, such as the small businessexpertise mentioned in step 6, might look like theone shown below.

Sample Worksheet for Small Business Enterprise

Required skill level

From new team member orconsultant


0 1 2 3

√

√

Skills

Skills area

Small business development

Training and skills transfer

Existing skill level

In current team


0 1 2 3

√

√

It is likely that a new team member or long-termconsultancy or partnership may be needed to fillthis gap. Upgrading current staff skills from level 1to level 3 by training would probably take too long tobe effective.

Key references

DFID: Tools for Development: A Handbook for Those Engaged in Development Activity.

Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf

http://www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf

List of Planning Tools in this Toolkit

5 Strategic Planning FrameworkThe process through which you (a) understand why you want to contribute to community development, (b) define and plan your development objectives and how to achieve them, and (c) determine how you will know when you have succeeded.

6 Community MapThis is an exercise in which local people map out theircommunity'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.

7 Institutional AnalysisThis is an exercise to evaluate the variety, strength, and linkages of institutions within and around a community.

8 Problem CensusThis is to allow a full range of participants to decide upon priority development issues in the community rather than the views of only a few being noted. It is a workshop process that enables a broad range of community participants to define and explain the importance of obstacles to development in their community.

9 Opportunity RankingThis is a process to help community members decide which projects to start implementing first by sorting the projects according to priority and feasibility. This is accomplished by taking into accountthe locally available resources, skills, and capacities.

PLANNINGTOOLS

Guidance for Using Planning Tools

Good planning in community development,especially participatory planning, whichincorporates the wishes, needs, and efforts ofprogram beneficiaries as central to the planningprocess, can make the difference between anaverage and an excellent program. Workingtogether, thinking ahead, marshalling resources,allocating responsibilities, fitting in with thebudgeting and planning processes of other majorstakeholders in the region, such as donor agencies,companies, government departments, are allimportant factors of good plans. (See table below forplanning tools and who might use them.)

• Government officer: As a government officer youmay not be accustomed to observing communitiesmaking their own plans and learning about programpriorities from the grassroots level instead of fromcentral or regional government. Becoming involvedin participatory planning activities, as a facilitator,support person, or observer, may prove to beeffective in furthering government programs,especially if they are developed with communitymembers and match their aspirations. You also havea crucial role to play in aligning communitydevelopment plans with regional and nationaldevelopment programs.

• Community member: As a community memberyou may not have ever been consulted before aboutyour development priorities, and you may not knowthat all the skills required for communitydevelopment planning already exist in yourneighborhood, but just need encouragement andsupport.

This is an opportunity for your community to leadthe development planning process and to work withpartners such as mining companies, governmentdepartments, and NGOs to realize communityaspirations.

• Community organization or NGO: As a member ofa community organization or NGO you have anopportunity to play a central role in facilitating theparticipatory planning process. Your role can be toensure that community needs and wants arerecognized by authorities and donors so thatdevelopment funds are spent where the communitywants them. By building the community’s capacity tomanage itself, with support from companies andgovernment, you can leave a lasting positive legacy.

• Mining company staff: As a member of miningcompany staff you may be used to communityprograms that consisted largely of donations or ofthe construction of buildings deemed necessary bymine management and a small section of thecommunity. With program planning tools you canlearn how to work with a broad range of communitymembers to help them make their own plans,ensuring that any development activities will bewanted by the recipients, and that they will want to“own” them. You can also learn how to fit yourcommunity development programs into theoperation’s management processes, so that you willhave a reliable budget to work with and collegialsupport and not just random funding and isolatedprograms.

Planning Tools and Who Might Use ThemParticipant Planning Needs Appropriate Tools Tool No.

Government Support community’s planning efforts Participatory Planning (facilitate) 5–9officer

Understand community priorities Problem Census (observe) 8

Identify opportunities for community Opportunity Ranking (participate) 9development

Community Build confidence in own ability to plan Participatory Planning 5–9member

Understand own institutions Institutional Analysis 7

Identify opportunities Opportunity Ranking 9

NGO member Support community’s planning efforts Participatory Planning (facilitate) 5–9

Understand community priorities Problem Census (facilitate) 8


Mining company Understand community priorities Problem Census (observe) 8staff Learn how to work with community Participatory Planning 6,7


Plan for long term, including closure Strategic Planning Framework 5

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Explanation of Participatory Planning Methods


Apart from the Strategic Planning Framework, thetools described in this section are from a suite oftools known as Participatory Planning*. These toolsare widely used approaches for the development ofan understanding of community capacity andmotivation. They have been used internationally formore than 20 years, and are highly effective inidentifying development needs, setting priorities,and designing development programs in acooperative and participatory manner.

People participate in local development every daythrough their family life, livelihood activities, andcommunity responsibilities. Previously, communitydevelopment planning was undertaken by outsideexperts, who then informed communities of whatprograms were available for them and sought theiragreement. By involving community members in theactual planning stages of development programs,the likelihood of developing appropriate andsustainable plans is greatly increased.

Some of the costs and weaknesses of participationmay include increased time necessary to permitparticipation of significant stakeholder groups (forexample, women, youth, and ethnic minorities, all ofwhom tend to be overlooked in conventionalplanning processes) and to build capacity of thesegroups to take advantage of participatoryapproaches. There is no doubt that participatoryplanning methods take longer to develop andimplement than authoritarian methods. However,the initial outlay in time and inconvenience will berepaid many times over when communities begin toassume control of their own destiny. This isfundamental for sustainable development.

Participatory Planning is a methodology that coversa variety of useful tools rather than being a tool initself. The four community development toolsselected for this Toolkit, Community Map (tool 6),Institutional Analysis (tool 7), Problem Census (tool8), and Opportunity Ranking (tool 9) are four of themost useful for engaging with communities nearmine sites in joint planning exercises. These fourtools enable a community to consider its physicaland institutional structures and their strengths andweaknesses and to identify areas they wish toimprove in their community and then to assess theoptimal means for achieving their developmentgoals.

Each of these tools will be explained in detail. Thereare also many other Participatory Planning toolsthat can prove useful when working withcommunities unused to managing their owndevelopment futures. Several of these are listed inthe table overleaf.

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 andwhere it might be headed. Useful in that many younger people andnewer arrivals may not have heard the community history before.

Asks people to consider how aspects of community life have changed forbetter or worse over extended time periods and how the aspects maychange in the future.

Graphically describes busy work periods, celebration periods, and timesof plenty and scarcity. Encourages people to make linkages betweensome of these occurrences, such as many months of celebration leadingto hard times later. It can also highlight important gender differences(for example, tendency for men to spend longer periods of time incelebration and less time working than do women).

Very useful for initiating discussions of men’s and women's productionand domestic workloads and the different responsibilities of differentfamily members.

Note: Many reference works about PRA methods can be found at www.clarku.edu/departments/idce/publications.shtml.

*Most commonly known as PRA or Participatory Rural (or Rapid) Analysis. In the community development approachadvocated in this Toolkit for the minerals sector the analysis or research aspects of PRA are of less importance than thecooperative planning aspects, so it is more accurate to use the term Participatory Planning.

http://www.clarku.edu/departments/idce/publications.shtml

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Description

Community development should be an integral component of mining andmetal 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 withminimizing negative impacts and maximizing opportunities associatedwith the operation. The Strategic Planning Framework (see table on theback page of this tool) will help clarify the project’s communitydevelopment objectives and relate those objectives to the broader goals ofthe organization. Strategic planning is the process through which youunderstand why you want to contribute to community development; todefine your development objectives, how you plan to achieve thoseobjectives, and how you will know when you have succeeded. Initially, youneed to conduct strategic planning internally within your organization. As you establish closer working relations with local and regionalstakeholders, and progress toward detailed activity planning, you willneed to share and review your strategic plans in consultation withregional partners to ensure consistency with regional plans.

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5Strategic Planning Framework



Strategic planning includes five key elements:

• Vision statement: Defines objectives, values, andprinciples

• Mission statement: Describes what is going to bedone and why it is going to be done

• Strategic objectives: Describes the resultswanted to be achieved in the medium to long term

• Strategies: Describes the means by which theobjectives will be achieved

• Goals: Lists the measures to be achieved byimplementing strategies in pursuit of the definedobjectives

Strategic planning will provide the foundation fordetailed program planning as you improve yourunderstanding of your local environment andexplore opportunities for partnership with regionalstakeholders. This is where you begin to addresscritical management issues related to resourceallocation, deadlines, budgets, responsibilities, andperformance. Program planning is described indetail later in the Toolkit (see tool 14).

• Step 1. Develop vision statement: Your visionreflects your understanding of the ideal conditionsfor your community or for the part your project playsin the community (for example, how things mightlook if community development were perfectlyaddressed and there were harmonious and mutuallysupportive relationships between the miningcompany and other sectors of the community). Thisis best articulated and communicated through avision statement that clarifies, first for yourself andthen for your team and organization, your deepestobjectives, values, and principles. Vision statementsshould generally be (a) easily understood bymembers of the community and shared by all teammembers, (b) broad enough to include a diversevariety of perspectives, (c) inspiring and uplifting toeveryone involved in your effort, and (d) easy tocommunicate.

Purpose

Strategic planning takes fundamental decisions andactions that shape how your communitydevelopment program operates, what it does, andwhy it does it, with a focus on the future. Thismeans:

• Preparing the best way to respond to changingand sometimes hostile environments

• Being clear about your organization's objectivesand resources, and consciously incorporating bothinto your response to a dynamic environment

• Setting goals (planning a desired future),developing an approach to achieving those goals,and measuring whether they have been achieved.

The strategic planning process applies a sequenceof questions that help you examine experience, testassumptions, gather and incorporate informationabout the present, and anticipate the environment inwhich you will operate in the future.

Strategic planning will lead to a set of decisionsabout what you want to do, why you want to do it,and how you do it. Naturally, some decisions andactions are more important than others. Much ofstrategic planning lies in making the toughdecisions about what is most important to achievingsuccess.


This tool should be used as early as possible whenbuilding your community development team (seetool 4) and starting to make program plans. Theseshould take place at the same time thatconstruction plans are being developed. Do notforget to take post-closure sustainability intoaccount when defining strategies. The real measureof success in your strategic plans will be in seeingcommunity development programs that cancontinue independently when the mine has ceasedoperation.

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• Step 2. Develop mission statement: The missionstatement grounds your vision in practical termsand describes what you are going to do and why youare going to do it. It is similar to a vision statementin that it also looks at the big picture, but it is moreconcrete and more action-oriented. The missionstatement may identify broad objectives and indicatein broad terms how you might reach your goals.Mission statements generally are (a) concise (not asshort as vision statements but must still get thepoint across in one sentence), (b) outcome oriented(fundamental outcomes your organization isworking to achieve are explained), and (c) inclusive(key goals are described but the goals are describedin very broad terms). Good mission statements arenot limiting in the strategies or sectors of thecommunity that may become involved in the project.

Clearly-defined vision and mission statements areimportant for a number of reasons. They help yourorganization focus on what is really important. Theylet other individuals and organizations have asnapshot view of who you are and what you want todo. They are helpful in having members who arefocused and bound together in common purpose.They provide a basis for developing the otheraspects of your action planning process; that is,objectives, strategies, and action plans.

• Step 3. State your objectives: The next element isto state your objectives; that is, the results you wantto achieve in the medium to long term. Objectivesshould reflect the expectations and requirements ofall major stakeholders and the underlying reasonsfor establishing the development initiative. Theseobjectives could cover, for example, coordinationand service delivery, capacity building, andinstitutional development. These are, however, theunderlying objectives. Your detailed short-termobjectives will be developed later in the programplanning phase.

• Step 4. Develop strategies for achievingobjectives: These are the guidelines by which yourmission, objectives, and so on may be achieved.They can cover the community developmentprogram as a whole including such matters ascoordination, participation, and sustainability, orthey can relate to primary matters in key functionalareas such as, for example, health provision,education, and training of community leaders.

• Step 5. Define goals: The goals are specificinterim or ultimate time-based measurements to beachieved by implementing strategies in pursuit ofyour defined objectives (such as to establish aregional development partnership with keystakeholders within the next three years). Examplesinclude achieving 100 percent vaccination in threeyears’ time or increasing school completion rates by20 percent. Goals should be quantifiable, consistent,realistic, and achievable. Goals in this tool areunderlying, high-level goals. They should be basedon the impacts and opportunities identified (tool 3)and therefore grounded in knowledge gatheredthrough the social baseline study (tool 2). Detailed,program-specific goals will be developed inconjunction with community members whenCommunity Action Plans (tool 14) are designed.

• Step 6. Develop program: The final element is thedevelopment program itself, which sets out theimplementation plans for key strategies. This isdescribed in detail later (see tool 14), and coversresources, objectives, time scales, deadlines,budgets, and performance targets.

Participatory Planning in Tanzania Village women in Tanzania engage in participatory planningexercises with the help of an external facilitator. Here, theyare drafting their Seasonal Calendar on the ground beforetransferring the final version to cardboard.

Step-by-Step Strategic Planning Framework Process

Action

Learn what is important to people in yourcommunity

Decide on the general focus of your program

Develop your vision statement

Develop your mission statement

Obtain consensus on your vision and missionstatements

Decide how you will use your vision andmission statements

Description

Knowing the important issues in your community is vital for theestablishment of a strong, effective, and enduring developmentprogram. Your first step in developing your vision and mission is todefine the issues that matter most to people in your community. Do sothrough consultation, surveys, or facilitated focus groups. Identifywhat is important to the community and what local people perceive tobe the community's strengths and problems and what people wish thecommunity was like. As all of these activities should have beenundertaken in the baseline study and SIA (tools 2 and 3), you shouldalready have this information available.

Once you have heard what the community has to say, decide thegeneral focus of your program. What topic is most important to yourorganization and your community? What level will you work at, thevillage, local area, or broader region?

Now that you have a clearer understanding of what you want to do andwhy, you can develop the statements that will capture your ideas.

Remember it may require several vision statements to fully capturethe vision of those involved in the community development program:You do not need—or even want—just one “perfect” phrase. Encouragepeople to suggest all of their ideas, and write them down, possibly onposter paper at the front of the room so people can be further inspiredby the ideas of others. After you have brainstormed a lot of ideas, yourgroup can discuss critically the different ideas. Oftentimes, several ofthe vision statements will just jump out at you. Someone will suggestit, and people will just instantly think, “That's it!” You can also askyourselves the following questions about vision statements: Will itdraw people to common work? Does it give hope for a better future?Will it inspire team members to realize the community’s dreamsthrough positive, effective action? Does it provide a basis fordeveloping the other aspects of your action planning process?

The process of developing your mission statement is much like thatfor developing your vision statements. Remember, though, that unlikewith vision statements, you will want to develop a single missionstatement. After having brainstormed for possible statements, you willwant to ask of each: Does it describe what you will do and why you willdo it? Is it concise (one sentence)? Is it outcome oriented? Is itinclusive of the goals and people who may become involved in theorganization?

Your next step is to learn what other members of your organization orcommunity think of your vision and mission statements before youstart to use them regularly. Talk to the same community leaders orfocus group members you spoke to originally. Ensure they agree thatthe statements together capture the spirit of what they believe anddesire. You might find you have omitted something very important bymistake.

Finally, remember that all of your hard work in developing your visionand mission statements will count for nothing if you do notcommunicate them and incorporate them in your action planning. The point is to get the message across to your internal and externalstakeholders, and to begin living your expressed values and goals.

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.


IFC Environment Division: Investing in People: Sustaining Communities Through Improved BusinessPractice. A Community Development Resource Guide for Companies.


http://www.ausaid.gov.au/ausguide/ausguidelines/ausguidelines-1.pdf



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6Community Map


Description

A Community Map is a visual representation of what the communityperceives as its community space. This includes showing the boundary ofthe community as understood by community members and all theelements recognized by them as part of their area. Most of the spatialinformation is obtained through direct observation, and facilitators shouldfamiliarize themselves with the area sufficiently to be able to assist thecommunity in drawing the map. However, it is the community membersthemselves who must decide what does and does not go on the map. Someitems of importance to the community, and which they may choose to markon the map, may not be noticeable to outsiders, such as sacred sites orclan boundaries. (See the figure over for an example of a Community Map.)

Purpose

Community mapping is an ice-breaking exercise inwhich community groups sketch out theircommunity's physical layout. It is designed to startpeople recognizing that they are the experts abouttheir own community and to get discussion andcooperation going. Separate groups of men andwomen are often used if that is appropriate andpractical because they frequently draw maps withdifferent features, which can lead to interestingdiscussions about community dynamics. Theobjective of this exercise is not to produce anyparticular kind of map, but to engage communitymembers, unused to being involved in planningexercises, in mapping out their own community asthey see it and to start analyzing for themselves howtheir community functions. It is also very instructiveto the facilitators, company, and government peopleto learn about how the community functions fromthe inside and to observe community dynamics andcapabilities.


This tool should be used as the first exercise in aParticipatory Planning workshop (see section at thebeginning of the planning tools on “Explanation ofParticipatory Planning Methods”).


Gather interested community members together fora community development planning workshop. Tryto ensure that as many people as possible feelencouraged and welcome to attend, although no oneshould be pressured to join in. Ask them to dividethemselves into groups, which they often do alonggender lines, and then to draw a map of theircommunity as they see it. People are often shy andstate that official maps are better than they canproduce. Some may prefer to do rough sketches, inthe sand or on rough paper, before committing thedrawing to cardboard. Once people realize that theyare being asked to draw their picture of theircommunity, not for someone else’s use, they usuallyenjoy the process. This exercise is usually done in acommunity workshop, when all communitymembers are invited to participate in planning forcommunity development.

Example of Community Sketch Map From Kenya

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Source: PRA Handbook for Participatory Rural Appraisal Practitioners, Njoro, Kenya, 1994, p. 22.

Key references

IFC Environment Division: Investing in People: Sustaining Communities Through Improved BusinessPractice. A Community Development Resource Guide for Companies (section 2: Defining Community).


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 ElizabethOduor-Naoh and Isabella Asamba, National Environment Secretariat, Ministry of Environment and NaturalResources, Kenya; Richard Ford and Lori Wichhart, Program for International Development, ClarkUniversity; and Francis Lelo, Egerton University, Njoro, Kenya)


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Description

Institutional Analysis is a process for discussing what institutions arepresent in and around a community, how important each institution is,how they relate to each other, and who participates in them. Institutionscould be, for instance, schools, churches, mosques, sports teams, fishingor farming cooperatives, women’s groups, youth groups, companies, orgovernment offices.

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7Institutional Analysis


Purpose

In this exercise, facilitators ask communitymembers to describe the institutions that exist intheir community, describe their function, howimportant they are in relation to other institutions,and how central or peripheral they are to thecommunity’s life. This exercise is immensely usefulfor planning purposes because it becomes apparentwhich community institutions are vibrant enough toplay an active role in development activities andwhich may need strengthening.


This tool should be used in a participatory planningworkshop (see section at the beginning of theplanning tools on “Explanation of ParticipatoryPlanning Methods”). This should be done whencommunity development programs are beingconsidered so that active community engagement inthe planning process can be encouraged.


This is best done with a form of Venn diagram, inwhich different-sized circles of paper are used torepresent each institution. Members of thecommunity choose a circle to represent aninstitution that is important to them. They thenexplain the role of that institution and why they havechosen a particular size of circle to represent itsrelative importance. Different community membersoften challenge the size of circles chosen and livelydiscussion ensues. Once all institutions arerepresented by a circle whose size has been agreedupon, then a large circle can be drawn on theground representing the community andinstitutional circles are placed either inside thecircle, outside the circle, or straddling the boundary,indicating how central each institution is to thecommunity. The relationship between variousinstitutions may also be described by the distancebetween the circles.

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Source: International Institute of Rural Reconstruction. 1998. Participatory Methods inCommunity-Based Coastal Resource Management. Vol. 2. Silang, Cavite, Philippines, p. 122.

In the example illustrated below, the groupassessed that the local development council (BDC)and the community leader (Barangay captain) werethe central actors in the community resourcemanagement program. They also assessed that theFishers’ Association and the Cooperative werefurther toward the periphery of the program’ssphere, which may indicate a lack of participationfrom some potentially key players. This informationcould then be used to evaluate the program todetermine whether adjustments were needed toenable the fishing community to assume a morecentral role.

Institutional Analysis Diagram From a Community Resource ManagementProgram in a Philippines Fishing Community

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 CoastalResource Management.

Available: www.iirr.org/publicationbdate.htm

http://www.livelihoods.org/info/info_toolbox.html

http://www.iirr.org/publicationbdate.htm

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The Problem Census is developed in a small group setting, conducted inthe community or village where stakeholders live. It is a nonthreatening,focused discussion that uses small group dynamics to elicit (a) a completeand ranked census of the real and perceived problems of individualhouseholds and the village as a whole and (b) the community's proposedsolutions to these problems.

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8Problem Census



This exercise is usually done in a communityworkshop and led by experienced facilitators, whomay come from the community, from NGOs, fromlocal government agencies, or be consultants hiredby the mining company. Facilitators should notcontribute to the discussion other than to explainthe process. This approach provides the setting inwhich all participants can contribute. No problem isrejected. All solutions are considered. Communitymembers are the only contributors. The finalranking of problems and preferred solutions istheirs. The facilitator’s contribution is confined tocreating the setting in which the Problem Censusmeeting can be conducted. See the table over for astep-by-step process.

Purpose

The purpose of this tool is for community membersto articulate the problems they consider needaddressing in their community, to discuss thoseproblems as a community, and then to collectivelydecide upon priority problems to be tackled. Theseproblems will not be confined to those that themining project may have a bearing upon but can beany issues of concern to the community.


This tool can be used in a participatory planningworkshop (see section at the beginning of theplanning tools on “Explanation of ParticipatoryPlanning Methods”). This should be done whencommunity development programs are beingconsidered so that active community engagement inthe planning process can be encouraged.

Step-by-Step Problem Census Process

Step 1

Step 2

Step 3

Step 4

Step 5

Step 6

Action

Initiate meeting with communityleaders

Begin Problem Census meetingwith the whole community

Individuals respond to singlequestion

Small groups develop consensusresponse to the same question

Plenary session rankscommunity-level ProblemCensus

Meeting close

Description

Facilitator makes initial contact with villages or communities. Ideallythis would be someone known to the community. Discussions with thevillage leader, elders, or key individuals in each community willevaluate interest and capacity of each community to participate incommunity development planning activities. If there is interest andsufficient labor, resource, and financial capacity to effectivelyparticipate in activities, plans would be made to conduct a ProblemCensus with that community. The importance of the inclusion of menand women, youth and the elderly should be emphasized from theoutset of discussions.

The Problem Census begins with the coming together of thecommunity. If segregation is preferred, men and women will meet inseparate locations. The facilitator introduces and explains the processand, with other members of the team, facilitates the meeting. At thispoint it is emphasized that the facilitator does not intend to solve theproblems to be identified in this process. Once participants aresettled, a single question is posed as the focus of the Problem Censusmeeting. Typical questions are: What are the priority problems foryour family? What are the priority development needs for yourcommunity?

Participants are asked to work as individuals and record theirresponses to the single question posed by the facilitator. This can bedone either with paper and pencil or through the facilitator. At thisstage individuals should be encouraged to respond at a family orindividual level rather than a whole community scale.

As individuals complete this task, they are assembled into smallgroups of up to 10 people, although 6 or fewer is ideal. Each group isasked to discuss the problems identified by individual participants inresponse to the question posed by the facilitator. The group is asked toreach consensus on the priority problems they collectively considerimportant at the village or community level. They record thisconsensus outcome on a large piece of paper, ready for presentationto other participants.

Each small group elects a spokesperson who reports the rankedproblems to other participants in a plenary session. These arerecorded by the facilitator on a blackboard or large wall charts. Thisrecord of problems remains with the participants, with a record beingmade by facilitators. Participants then regard the lists of rankedproblems from small groups and collectively prioritize these problemsto form a ranked Problem Census for the village or community.Consensus is sought on the top 5 or top 10 (to be decided by thecommunity) priority problems. The facilitator records this.

Participants are thanked for attending and for making a contribution,and invited to join the facilitator for refreshments, either lunch orafternoon tea, depending on the timing of the meeting.

For the development of an overall communitydevelopment plan, in which a mining company,community members, and other developmentpartners (government, NGOs, and developmentagencies) agree upon an integrated program ofdevelopment activities for a future period of time,perhaps one year or several, it is essential that allparties decide upon their relative frameworks ofinterest. For communities, this will be the priorityproblems identified as part of the Problem Censusexercise.

Mining companies will usually decide internallywhich programs in the community developmentsphere they view as priority issues for socialinvestment. The results of the SIA (tool 3) shouldhelp the company to make these decisions.Governments will normally already have local orregional development plans that list their prioritydevelopment programs. Many NGOs and CBOs focuson specific areas and will therefore prioritizeprograms in their field of interest. For all partiesthen, an overlapping framework of interest can beidentified in a joint meeting. Other problemsidentified by the community, which do not happen tooverlap with the frameworks of interest of any of theother parties, can still be priority issues for thecommunity to solve, but they may need to seekalternative sources of support or act independently.See the table and figure below.

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Steps in Identifying Overlapping Regional Frameworks of Interest

Step 1

Step 2

Step 3

Action

Community framework ofinterest

Introduce regional stakeholders’frameworks of interest

Identify overlapping frameworksof interest

Description

The top priority problems identified by the community during theProblem Census exercise represent the community framework ofinterest.

The facilitator now introduces senior miningcompany/government/NGO leaders to present their respectiveframeworks of interest.

The facilitator compares the community and other frameworks ofinterest. Overlapping interests are identified, and, ideally, several willbe chosen to be developed as Community Action Plans (tool 14).

Example of Overlapping Frameworks of Interest

Community interests:• Income• Training• Infrastructure

Company interests:• Good community relations• Economical supplies• Reliable staff

Government interests:• Education• Health• Roads

Overlapping framework of interests:• Employment at mine• Small business training and operation• Transport operator training and operation• Machinery maintenance and supply• Primary produce supplies• Uniform and clothing tailoring supply

NGO/CBO interests:• SME building• Microfinance• Capacity-building training

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: Problemand Situational Analysis).


Sartorius, R. Social Impact: Training Manuals – Managing the Project Cycle.

Available: www.socialimpact.com/resource-center/training-manuals.html



http://www.socialimpact.com/resource-center/training-manuals.html

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Options for dealing with problems can be identified once problems havebeen ranked with tool 8. A list of potential opportunities for solving eachproblem should be drawn up from community discussion. Eachopportunity should then be ranked for its suitability as a solution using anagreed set of criteria, many of which are tried and tested. The beauty ofthis process is that problems that require little outside input or financeoften score higher than those dependent on assistance. This can beenlightening for a community by helping them realize the power of self-management.

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9Opportunity Ranking


• Equitability: Will the project benefit a broad crosssection of the community?

• Cost: Will large amounts of external funding beneeded?

• Technical feasibility: Does the project requirespecialized expertise both to start and maintain?

• Social/cultural acceptability: Does the project fitwithin the community’s norms?

• Time needed: Will it take a long time for thecommunity to reap the benefits of the project?

When a number of options have been identified inthis way, an action plan can be developed, usually bya representative committee of local communitymembers. In the example below, communitymembers have identified a significant problem(water shortage), defined an objective (increasedwater availability), and assessed four options(boreholes, roof catchment, shallow wells, andsurface dams) for achieving the objective. In thisinstance, the action plan would focus on roofcatchment options for the community, as that wasassessed as the number one option.

Purpose

The purpose of this tool is to help communitymembers and other development partners decidewhich projects to start implementing. This is donetaking into account the locally available resources,skills, and capacities. A scoring system is used forranking the options against agreed sustainabilitycriteria, such as cost and the need for externalexpertise and finance. It is important to rememberthat community feelings about options are moreimportant than any so-called objective score.


This tool should be used when the community hascompleted its Problem Census exercise (tool 8),either as the next stage of an ongoing participatoryworkshop or on a subsequent occasion.


By using the ranked problems from tool 8, thecommunity should agree upon a list of criteria touse for assessing the various opportunities forproblem solving available for each priority problem.Commonly used criteria for ranking opportunitiesare:

• Sustainability: Can the community keep theproject running by itself after outside assistance hasgone?

• Productivity: Will it substantially increase theavailability of needed resources?

Participatory Assessment of Water Options Criteria/option

Boreholes

Roof catchment

Shallow wells

Surface dams

Sustainability

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Points

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Equitability

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Key references

World Bank: Participation Sourcebook (appendix 1: Methods and Tools for Social Analysis).

Available: www.worldbank.org/wbi/sourcebook/sbpdf.htm

Rietbergen-McCracken, J., and Deepa Narayan. 1998. Participation and Social Assessment: Tools and Techniques. Washington, DC: IBRD/World Bank.

Key: 0 = nil; 1 = low; 2 = average; 3 = high

http://www.worldbank.org/wbi/sourcebook/sbpdf.htm

List of Relationships Tools in this Toolkit

10 Stakeholder AnalysisHaving identified the project’s stakeholders (with tool 1), it is useful to analyze their level of interest in the project, whether they are very interested or only marginally interested.

11 Consultation MatrixAfter analyzing the stakeholders, it is important to develop a system to ensure that they are consulted asoften as they would like and at an appropriate level to their interest in the project.

12 Partnership AssessmentA tool for analyzing potential partners, their suitability for partnering with the organization, and what areas of mutual interest are shared in regional community development programs.

RELATIONSHIPSTOOLS

Guidance for Using Relationships Tools

Relationships are the most important element ofany successful community development program.The best designed plans will falter if there isinsufficient trust between the various stakeholdersinvolved. It is therefore essential that all partiesknow who the other stakeholders are, know whythey are involved with the project, and learn to knoweach other so that they can work together todevelop programs acceptable to all of them.Consultation is both the best means of coming tounderstand other stakeholders and of building goodrelationships with them. It is therefore the mostpowerful and crucial tool in this section, althoughboth the Consultation Matrix and the PartnershipAssessment will assist in determining the natureand extent of consultations with variousstakeholders. (See table below for relationshipstools and who might use them.)

• Government officer: As a government officer youmay have been transferred to a new district andneed to learn who the people are in communitiesand institutions, or a new mining project may havecome to your district, so you need to learn about it.Your relationships with the various stakeholdersinvolved in community development programsaround the mining project will determine how muchthe government can leverage its own programs forgreater success. Combining government programswith activities sponsored by the mine or initiated bythe community is much more effective than going italone.

• Community member: As a community memberyou may have moved to a new neighborhood andwant to know who the key stakeholders are forcommunity development activities, or a new projectmay have announced its intention to start up locallyso you need to assess the intentions. If you areconcerned about the impacts of a mining project, itwill be beneficial to become involved with communityforums or reference groups so that you can influencehow issues are managed. In addition, if you wish tobecome involved in community developmentactivities, participating in mining project-centeredconsultation activities will enable you to participateand help design any new programs.

• Community organization or NGO: As a member ofa community organization or NGO you may need toassess the plans of a new project that wants toestablish itself in your area, or a new company mayhave acquired an existing project and you want toevaluate how different they may be from the formerowners. Engaging in consultation activities withmining company people, and with government andcommunity participants will enable you to influencethe way issues are managed. Your involvement canensure that the views of your organization and thepeople that it represents are heard.

• Mining company staff: As a member of the miningcompany staff you may have started work on a newmining project and need to know who all the project’sstakeholders are. You will also need find out if thereare legacies from previous owners or earlierinteractions in the area, so that you can amelioratethem and develop sound and positive relationships.Building good relationships with all stakeholders willbe a central part of the mine’s communitydevelopment team’s responsibility.

Relationships Tools and Who Might Use ThemParticipant Relationships Needs Appropriate Tools Tool No.

Governmentofficer

Communitymember

NGO member

Mining companystaff

Understand new stakeholders

Establish good relations


Identify potential program partners

Exchange information and learn







Stakeholder Analysis

Consultation Matrix


Partnership Assessment

Consultation Matrix


Consultation Matrix



Consultation Matrix


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Once stakeholders have been identified with tool 1 (and remember thatyou will constantly encounter new ones; this is not a static process), it isoften helpful to consider what their interests are in the project and howmuch they might like to be involved. The stakeholder analysis tool uses aseries of questions to enable you to assess how important the projectmight be to each stakeholder and also how much they might want toparticipate in community development programs. Understanding howstakeholders relate to each other will also help in understanding the webof relationships surrounding the project.

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10Stakeholder Analysis



Ask the questions provided in the matrix on theopposite page for each of the stakeholders beinganalyzed and then assign them to one of the threecategories of interest and impact. The result will bethree lists of stakeholders, according to theassessed importance of the project to them andtheir likely level of interest.

• Step 1: Obtain a list of stakeholders from usingtool 1.

• Step 2: Either individually or in a team, considereach of the questions in the matrix and decidewhich stakeholders are least or most interested inor impacted by the project or which ones have anaverage interest.

• Step 3: Arrange the lists of stakeholders into thethree categories depending on how often theyappear in each category. Ideally, each stakeholderor group should only be in one category at the end,although different lists for different issues might bedrawn.

• Step 4: Use the category lists to assign prioritiesto stakeholders for engagement activities in theConsultation Matrix.

Purpose

The purpose of this tool is to refine understanding ofidentified stakeholders further, by:

• Defining the characteristics of stakeholders tounderstand their level of interest in the project

• Drawing out the interests of stakeholders inrelation to the key development issues and programobjectives

• Identifying conflicts of interests betweenstakeholders to help manage such relationshipsduring the course of the project

• Identifying relations between stakeholders thatmay facilitate development partnerships

• Assessing the capacity of different stakeholdergroups to participate in development activities

• Assessing appropriate levels of engagement withdifferent stakeholders (for example, informing,consulting, and partnering) at different stages of theproject cycle.

The identified level of interest of each stakeholderhelps you to design your Consultation Matrix (tool11) and to decide how much time to devote toengaging with each stakeholder or group. Theengagement levels required by each group ofstakeholders as revealed through this analysis maybe more than consultation. They may includepartnership or involvement in communitydevelopment plans. It is important to always askstakeholders how much involvement they desire andto learn about their views and expectations. Themore known about various stakeholders, the moresuccessful you are likely to be in building goodrelationships with them.


The stakeholder analysis tool should be used whendesigning the Consultation Matrix and should berevised each time the list of stakeholders (from tool1) is revised. The initial analysis should beundertaken for national and internationalstakeholders in the prefeasibility stage and then atleast by early in the construction phase for localstakeholders, depending on how early on-grounddisturbance activities commence at the site (that is,earlier if resettlement is needed).

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Stakeholder Analysis Matrix

Stakeholders

Most Average Least

Questions to ask

Who will be affected by negative impacts of theproject?

Who will benefit from the project?

Who will be responsible for implementingmeasures to mitigate the negative impacts?

Whose cooperation, expertise, or influence wouldbe helpful to the success of the project?

Who are the most vulnerable, least visible, andvoiceless for whom special consultation effortsmay have to be made?

Who supports or opposes the changes that theproject will bring?

Whose opposition could be detrimental to thesuccess of the project?

Who might have resources to contribute?

Who will make decisions?

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).


IFC Environment Division: Good Practice Notes: Doing Better Business Through Effective PublicConsultation and Disclosure (section A: IFC’s Requirements Regarding Consultation and Disclosure;section C, Guidance Note 6: Consultation and Disclosure on the Draft EA Report).


Sartorius, R. Social Impact Training Manuals – Managing the Project Cycle.

Available: www.socialimpact.com/resource-center/training-manuals.html

http://www.iied.org/mmsd




Description

There is a significant difference between relationships in whichstakeholders are engaged in consultative or participatory ways and those inwhich stakeholders are seen as passive beneficiaries of developmentprograms. Understand these distinctions to decide what level ofengagement you would really like to undertake – and how successful thatlevel of engagement might be – with project stakeholders.

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• The lowest levels of engagement involveinformation provision.

• A moderate level of engagement is represented byfacilitators and stakeholders working together onprojects of mutual benefit.

• The highest level of engagement is partnership,where the facilitator relinquishes control of theengagement process and all parties work togethertoward shared goals.

The Consultation Matrix is the basis for developing acomprehensive, well-thought through consultationplan. It is a helpful tool for ensuring thatinformation gets to the people who need it at theright times, that feedback from stakeholdersreaches the right people in the company andgovernment, and that stakeholders are informed ofthe results of their inputs.

Stakeholders should be asked what level ofconsultation they desire: information provision,involvement in meetings, or partnership oncommunity development programs. Matching thelevels of interactions with stakeholders’ wishes willguarantee an effective program. Ideally,consultations between all stakeholders should befrequent, open and mutual. Consultation is not aone-way street. Key principles for achievingcomprehensive consultation are:

• Consult often

• Consult everyone who wants to be consulted

• Listen as much as you talk

• Record your interactions in a database, includingcomments and responses from stakeholders

• Step 2: Consider stakeholders’ consultation needsaccording to their assessed levels of impact andinterest in your community development project,based on the Stakeholder Analysis.

• Step 3: Identify appropriate consultation methodsfor each stakeholder or group. The consultationmethods you apply are likely to fall within a broadcontinuum; that is, from simply informingstakeholders of your activities to partnering withthem in program design or placing final decision-making powers in their hands. Consultationmethods should always be determined bystakeholders’ levels of impact and interest in theproject. Appropriate formats should also be utilized(for example, using audiovisual methods for peoplewho are not highly literate). Local languages shouldalways be used, through an interpreter if necessary.

• Step 4: Use the Consultation Matrix to plan forconsultation throughout the life of the program,recognizing that stakeholders’ needs and interestsare likely to change. Monitor and evaluate theeffectiveness of your consultation activities. Revisethe Consultation Matrix to reflect changing needs,circumstances, and experience. Remember thatconsultation is an interactive process and thatmessages coming in from stakeholders are just asimportant as those going out.

• Step 5: Keep a record of consultation activities,including messages from and feedback tostakeholders. This will help you to keep track of whoyou have consulted and ensure you do not neglect orfatigue stakeholders. When agreements are reachedthrough consultation with stakeholders, it is alwaysuseful to generate a signed record of this, whetherminutes of a meeting or a formal agreement. Allparties should receive copies of such records, andthe company should ensure that one is kept in itsdatabase.

Lists of stakeholders contacted, records of the datesand nature of the contact and feedback should besystematically documented and filed in a database,whether electronic or paper-based. People shouldconsent to notes or recordings being taken ofmeetings. Otherwise it would be inappropriate to doso. Privacy legislation must be adhered to, ensuringthat stakeholder data are not passed on or used forany purpose other than keeping track ofinteractions. If people provide confidential orpersonal information that is entered in thedatabase, it should be marked as confidential andtreated as such.

Purpose

The purpose of the tool is to establish acomprehensive system for project consultation andcommunications and to ensure that consultationactivities are appropriate to the specific needs ofdifferent stakeholder groups. For example, if youdiscover during early consultations that areas ofcurrent or potential conflict exist between yourgroup and other stakeholders, you should makenote of that to ensure that efforts are made to try toresolve and manage these conflicts (see tool 13,Conflict Management). The tool should also enableyou to keep up to date with consultations withstakeholders. You will be able to tell when you lastspoke to a stakeholder and what you or yourcolleagues talked about. Often, this information isstored in field officers’ heads. Unfortunately, if thoseofficers move on to other jobs, the information intheir heads goes, too, so it is important to keeprecords to enable constancy and continuity inrelationships with stakeholders.


This tool should be used whenever stakeholderengagement activities begin, which usually meansprefeasibility, for indirectly affected stakeholderssuch as financiers, government agencies, NGOs,and other institutional bodies. For stakeholders whoare directly affected by the initiative, such as peopleliving in the project area, the plan should be madefor consultations prior to commencing any ground-disturbing activities (exploration). Employees alsobecome an important stakeholder group that needto be consulted from the commencement ofoperations and especially in the context of closure.The plan should be revised at least annually, orwhenever the scope of activities changes.


The analysis of stakeholders and how great a levelof engagement they require has already beenconducted with tool 10 (Stakeholder Analysis). Usingthe Consultation Matrix opposite you can plan thenature of communications with each stakeholderand ensure that the level of engagement correlateswith the level of interest and impact assessed in tool10. The matrix is the framework for the plan.Schedules need also to be drawn for the frequencyof each type of consultation (for example, site toursonce a month or press releases quarterly), and thenrecords need to be kept of which stakeholders areengaged by which method and how often. Recordsshould also be kept of responses to stakeholders,especially if project or program modifications aremade due to stakeholder inputs.

• Step 1: Make sure all key stakeholders areincluded on the list from tool 10. Revise yourStakeholder Analysis whenever changes in theproject or community occur.

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Key references

CARE International: Community Resources Management Guidelines (section 4: Mobilizing the Community). Available: www.careinternational.org.uk/resource_centre/livelihoods/comm_resources_management_guidelines_zimbabwe.pdf

Consultative Forum on Mining and Environment: Public Participation Guidelines for Stakeholders in theMining Industry. Available: www.goodpracticemining.org/documents/jon/CMSA-PPGuide.pdf

IFC Environment Division: Doing Better Business Through Effective Public Consultation and Disclosure: AGood Practice Manual. Available: www.ifc.org/ifcext/enviro.nsf/Content/Publications

World Bank: Participation Sourcebook. Available: www.worldbank.org/wbi/sourcebook/sbpdf.htm

Source: Rössing Uranium Mine and Rio Tinto

Rössing Uranium Mine – Communication and Consultation

The Rössing mine was first established in Namibia in 1976. Rössing’s production currently accounts for 10.2 percent ofNamibia’s exports and contributes 1.9 percent to the gross domestic product. As one of the major investment projectsin Namibia and a significant contributor to the Namibian economy during the early stages of the country’sindependence, the mine is historically, politically, and economically significant to the country.

The average length of service of its employees is approximately 14 years, and a significant percentage of employeeshave spent their entire career working for Rössing.

Rössing is currently assessing two options: expansion (that will considerably extend mine life) or closure. Thecommunication program developed by Rössing to introduce the closure option serves as a model example for earlycommunication through which an effective long-term communication strategy can evolve and a consultation processwith regard to closure can ultimately be built.

Open house sessions were held in three towns where Rössing has a substantial presence: Arandis (residents),Swakopmund (business community), and Windhoek (government). Rössing committed three days in each town, andinvolved the participation of more than 30 Rössing senior employees with whom stakeholders could engage.

The environment impact assessment of the proposed expansion and closure was discussed. A follow up process is alsoin place with regard to establishing a more formal forum. This forum will meet on a routine basis for regular contactbetween Rössing and its stakeholders.

Key features of the communications approach adopted by Rössing include:

• Timing: Rössing seized an opportunity where closure could be introduced as merely an option in covering differentaspects of the operation (expansion, environmental impact assessment). As a result, discussions on closure were heldin a relatively positive environment rather than one dominated by fear, insecurity, and anxiety.

• Taking information to the stakeholders: By holding open day forums in its three primary areas of impact thecompany was seen to be proactive, transparent, and genuinely keen to engage and communicate with its stakeholders.

• Involvement of Rössing employees: By holding these forums not just with external stakeholders but also with itsemployees and union members Rössing established both an internal and external communication process.

• Two-way process: By involving more than 30 Rössing employees in the open house sessions an opportunity wasprovided for comprehensive two-way communication between stakeholders and company personnel.

• Following up on questions: Rössing followed up on questions either verbally or in writing when needed.

• Providing opportunities for the less vocal: Using an open house, in addition to presentations and questions,stakeholders were able to communicate one-on-one company personnel. This provided an avenue for the less vocal toexpress their views and concerns.

• Identification of stakeholders: By starting very early, Rössing has the opportunity of identifying representativestakeholders and has a strong chance of correctly identifying the “right” to participate in a consultation process.

• Building of a consultation process: This early broad-based communication process can serve as a forerunner inbuilding a mature consultation process.

• Ownership of communication: Even though a professional company was contracted to design the materials andliterature for the communication program, the program is wholly owned and managed by Rössing.

• Open and transparent: While specific stakeholders were specially targeted and invited to the open house sessions, itwas also advertised in the local newspapers for any interested parties to attend.

http://www.careinternational.org.uk/resource_centre/livelihoods/comm_resources_management

http://www.goodpracticemining.org/documents/jon/CMSA-PPGuide.pdf



Description

The sustainability of community development activity demands effectivepartnerships between government, business, and civil society. None ofthese groups possess the full range of resources required to promotecommunity development at the local level. Each has distinctive roles andresponsibilities within the community development process. Each hasdistinctive skills and capacities. Working together they can makesignificant and sustainable contributions to the local development processthat will outlive the closure of the mining project. Successful partnershipsare built on a shared commitment to address regional developmentneeds.

12Partnership Assessment


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The World Bank's Business Partners forDevelopment (BPD) initiative broughtgovernment, industry, and civil societyrepresentatives together to explore opportunitiesfor partnership around resource developmentprojects and to produce practical guidance onhow those partnerships could generatesustainable benefit in local communities. Much of this tool is based on the BPD initiative.Partnerships offer a model of participatorydevelopment involving all sectors of society. They bring together unique resources andqualities:

• Government contributes credibility topartnership arrangements, strategic coordinationthrough local development plans and publicinvestment and can act as catalyst, broker, andmediator.

• Business contributes employment andinfrastructure opportunities, financial resources,capital equipment, a results-led work ethic, andattention to performance quality.

• Community organizations and NGOs contributelocal knowledge, capacity to mobilize communityparticipation, and tools and methods to ensurerelevance to local conditions.

The greatest opportunities for communitydevelopment—and best hope for programsustainability—lie in bringing together thedevelopment capacities and resources availablecollectively within the region. This ensures bettercoordination of development activities, moreefficient use of development resources, and theactive support and participation of keystakeholder groups. See the table over forpartnership benefits.

Purpose

The Partnership Assessment framework enables anassessment of the development capacities andresources available within the region, anticipatedfuture capacity needs, and any critical gaps. Theframework can help in the assessment of the needfor—or success of—capacity building initiatives toimprove regional development performance andpartners to work with in achieving those goals. It isused to assess existing and future partnershipcapacity needs; anticipated benefits of thepartnership to the organization, programs, orprojects; and the sustainability of potential partnerorganizations. Over time, an institution may beconsidered sustainable if it can fulfill its functionson a permanent basis with decreasing levels ofexternal support. Specifically, that is if it is able tosecure necessary inputs and support, provide acontinuing stream of development activities andservices that are valued by its stakeholders, andsurvive for as long as it is needed.


This tool should be used during the constructionphase so that partnerships will be in place by thetime community development plans are made andoperations commence; during operations, whenactively planning community development programsto ascertain what other skills and capacities existlocally and avoid duplication of effort; and forclosure planning purposes to ensure that thepartnerships invested in are likely to be sustainableand to continue to benefit the local community afterthe mine has finished.

Partnership Benefits

For Government

• Alignment of private sector infrastructure with government development plans

• Greater visibility of government discharging its civic duties

• Coordination between government departments

• Cost sharing, risk sharing• Improved capability, resources, etc.,

to deliver development programs

For Business

• Greater efficiency of production, reduced delays, facility downtimes, and security costs

• Greater return on investment • More robust social license to operate• Better management of community

expectations• Meeting compliance requirements for

social management• Direct cost savings in managing

social issues• Enhanced local reputation and

competitiveness• Shareholder and investor confidence• Improved recruitment, retention, and

employee engagement

For Community

• More participatory design of community projects

• Transparency and accessibility of company and government

• Relevance of interventions closer to true livelihood needs

• Greater sustainability of community projects


Analyze potential partners for suitability to teamwith your organization and for capacities incommunity development by using the PartnershipAssessment Worksheet provided.

• Step 1: Based on existing knowledge ofstakeholders, develop a list of all possiblecommunity development partners.

• Step 2: Using the Worksheet identify whereparticular partners have a leadership role in specificdevelopment initiatives and where initiatives falloutside a given partner’s mandate, interest, orsphere of influence.

• Step 3: Identify where partners have sharedmandates, interest, and influence over possibledevelopment initiatives.

• Step 4: Make a list of potential partners identifiedas having common interests and capacities withyour organization.

• Step 5: Approach potential partners with a view toreaching broad level agreement to explore ways ofaddressing priority development initiatives throughpartnership.

Source: Business Partners for Development

Source: Marie Hoadley, Daniel Limpitlaw, and Bren Sheehy 2003 (see Background Volume).

Effective Partnerships: The Titirheleni Community Gardens Project

The Titirheleni Community Gardens project in South Africa provides a useful example of a mining company—thePalabora Mining Company—working in partnership with local people to promote local economic development.

The project was established when local women presented proposals to the Palabora Foundation’s CommunityDevelopment Committee. The project had existed for about two years, but faced collapse. The women had few tools, noinfrastructure, and no financial, technical, or marketing skills.

The Palabora Foundation sourced R150,000 from an external donor for pumps, pipes, and other infrastructure, andprovided training in financial management and technical skills. Women were given plots to cultivate. This providedincomes, produce to feed their families, and vegetables and seedlings to sell to local residents. Each woman pays R50 amonth to cover electricity, pesticides, equipment, and fertilizer. The women are currently planning to diversify intomaking preserves from their produce and to expand their market, with the adjacent Namakgale Township a possiblemarket for fresh vegetables.

The Palabora Foundation’s involvement in the initial stage of the project was intense, but was gradually scaled down asthe project became more established. In September 2003 the foundation ceased funding the project and handed it overto the community. The foundation will continue to offer advice and mentoring with the local department of agriculture. This project was so successful that a second vegetable gardening project was started on adjacent land. A group hadwatched the progress of the first garden and the benefits it brought to the local women involved. Although the PalaboraFoundation expected the second group to approach it for assistance, learning-by-watching had made the second groupself-reliant.

Among the lessons learned are:

• Women are a valuable but underused community resource. The project provided the women with the skills to maketheir own decisions, to earn incomes, and to ensure food security for their families.

• Learning by example is a useful way of transferring skills and knowledge, especially in communities where illiteracymay constrain capacity building.

• Small projects that provide quick benefits to poor communities can get community buy-in and support for moremedium- and long-term projects.

• Projects that promote self-reliance free up resources for other projects.

• Community gardens like this provide nutritious vegetables for people that are infected/affected by HIV/AIDS.

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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

http://www.corcom.org/Publications/PVO-NGO-Report.pdf

http://www.wbcsd.org/templates/TemplateWBCSD5/layout.asp?type=p&MenuId=Nzc5&doOpen=1&

http://www.bpd-naturalresources.org/html/tools_train.html

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Partnership Assessment Worksheet

Elements of assessment

1 Which program areas would be served by the partnership? (List relevant community development program areas.)

1.1

1.2

1.3

2 What is the partnership’s likely impact on our core interests?

2.1 Financial resources

2.2 Mandate

2.3 Operational effectiveness

2.4 Operational efficiency

2.5 Outreach

2.6 Capacity

2.7 Human resources

2.8 Legitimacy

2.9 Sustainability

2.10 Any negative impacts

3 Internally, how do you assess the following critical elements?

3.1 Support of key internal stakeholders

3.2 Internal opposition to partnership proposal

3.3 Financial resources availability for partnership

3.4 Key staff support and availability

3.5 Technical resources availability

3.6 Level of agreement on purpose and outcomes

3.7 Level of agreement on how to proceed

3.8 Level of understanding of partnership planning effort required

4 Externally, how do you assess theavailability of the following in the partner organization?

4.1 Financial resources for community development

4.2 Technical resources for community development

4.3 Human resources for community development

4.4 External development resources

4.5 Common development goalsamong government, business, and civil society

High Low Comments

Comments

6 Once you have completed your internal assessment, assign responsibilities and deadlines for consultation with stakeholders to assess the likelihood that suitable partner organizations will be available and willing to work with you. Action6.1 Establish communications with potential partners6.2 Validate, with external stakeholders, assumptions in your

internal assessment6.3 Explore possible roles and resource commitments

of prospective partners6.4 Assess potential partners’ capacity to contribute and

maintain support for the partnership6.5 Develop process through which partners can negotiate the

terms of the partnership (see key references)

Responsibility Deadline

Partnership Assessment Worksheet continued

High LowElements of assessment

4.6 Willingness to participate in partnerships

4.7 Strategic planning resources for community development

4.8 Operational capacity for community development

4.9 Community development performance

4.10 Participation in community development

4.11 Legitimacy of community development actors

5 What are the principal strengths of your potential partners?

5.1 Government5.11 Financial resources5.12 Mandate5.13 Operational effectiveness5.14 Operational efficiency5.15 Outreach5.16 Capacity 5.17 Human resources5.18 Legitimacy5.19 Sustainability5.2 Business5.21 Financial resources5.22 Mandate5.23 Operational effectiveness5.24 Operational efficiency5.25 Outreach5.26 Capacity 5.27 Human resources5.28 Legitimacy5.29 Sustainability5.3 Civil Society5.31 Financial resources5.32 Mandate5.33 Operational effectiveness5.34 Operational efficiency5.35 Outreach5.36 Capacity 5.37 Human resources5.38 Legitimacy5.39 Sustainability

List of Program Management Tools in this Toolkit

13 Conflict ManagementConflict Management is a means for identifying, understanding, and managing conflicts through resolution so that they do not disrupt the activities of the various stakeholders, especially where communitydevelopment programs are concerned.

14 Community Action Plans (CAPs)The Community Action Plan (CAP) is a detailed plan for implementing solutions to the problems that have been identified during the participatory planning process. It will become the management plan both forthe community and its development partners, and willbe adjusted to suit circumstances and changing community priorities as time passes.

PROGRAM MANAGEMENTTOOLS

Guidance for Using Program ManagementTools

Managing community development programs afterthe community and partners have designed them isvery important. Plans not well managed may failalthough well designed. The beneficiaries of theplan, the community members, must be wellrepresented in the management structures forcommunity development plans, indeed they mustmanage the plans, with appropriate support fromdonors, companies, government agencies, and soon. This may be by means of a multistakeholdercommunity development committee or communitiesmay establish their own management groups andconsult with external supporters as needed.Ownership of the plans, time-bound commitmentsand actual people agreeing to take responsibility arekey factors of success. In a similar fashion,managing conflicts which may arise betweenstakeholders will help programs to run smoothly.(See table below for program management toolsand who might use them.)

• Government officer: As a government officer youhave a crucial role to play in advising and supportingcommunities in their efforts to manage theircommunity development plans. By identifyingregional and national development funds andprograms that can support community efforts, youcan do much to ensure program success. You canalso play a key role in helping manage conflicts.

• Community member: As a community memberthis is an opportunity for your community to lead thedevelopment process and to work with partners likemining companies, government departments, andNGOs to realize community aspirations. By takingownership and responsibility for managingcommunity development plans, you will ensure thatyour community will get the kind of development itwants and not what someone else thinks it shouldhave.

• Community organization or NGO: As a member ofa community organization or NGO you have a key rolein ensuring that community development plans arewell managed. By building the community’s capacityto manage itself, with support from companies andgovernment, you can leave a lasting positive legacy.

• Mining company staff: As a member of the miningcompany staff you must work with communitymembers to help them manage their own plans.Providing opportunities for management capacitybuilding and moral as well as financial support forcommunity efforts are major roles that companiescan play. Training programs in managementmethods are essential elements for buildingcommunity and company staff capacity whereneeded. Learning how to manage conflict withproject neighbors is of great benefit to both projectand community development program success.

Program Management Tools and Who Might Use ThemParticipant Program Management Needs Appropriate Tools Tool No.

Governmentofficer

Communitymember

NGO member

Mining companystaff

Help resolve conflicts by identifying amediator if needed

Assist community with plans,budgets, resources, responsibilities


Develop own plans, with budgets,resources, responsibilities

Help resolve conflicts

Support community’s planning efforts


Assist community with plans,budgets, resources, responsibilities

Conflict Management (support)

Community Action Plans (support)

Conflict Management

Community Action Plans

Conflict Management (participate)

Community Action Plans (facilitate)

Conflict Management

Community Action Plans (facilitate)

13

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Description

Conflict can exist in all relationships, and the relationships betweenmining operations and their neighbors and other stakeholders are noexception. It is important to accept that conflict is a normal part ofrelationships and occurs whenever people or groups have differentexpectations of joint or intersecting activities. Instead of seeking to avoidconflict at all costs, which would be unrealistic, it is better to learn torecognize and manage conflict as part of good relationship building andmaintenance. It is very likely that any existing conflicts will have beenidentified through the use of tools 1 and 10 (Stakeholder Identification andAnalysis) and tools 2 and 3 (Social Baseline and Impact Assessment).Through ongoing consultation activities and regular review of theConsultation Matrix (tool 11), conflicts arising during the course of themining project’s development should also be identified.

Conflict Management is a process that may be useful throughout aproject’s development. Conflicts can arise at any stage in a relationshipand can exist between a number of stakeholders of a project. If conflictsare resolved early in a project’s life, they may never grow into majorobstacles in the relationship between the mine and other stakeholders.Not all conflicts can be resolved, but methods for managing differencesbetween stakeholders so that projects can continue are possible. A basictypology of the range of conflicts that may involve a mining project isdescribed in the table over.

13

13Conflict Management


Other groups, such as NGOs, may also becomeinvolved in conflict with any or all of these parties.Frequently, NGOs side with local communities, butnot always, as they may have different objectives tofulfill. For example, an environmental NGO deeplyopposed to mining may not agree with a communitythat wants to see a mine built in its area in order tobenefit from the accompanying economicdevelopment.

Purpose

The purpose of this tool is to identify, understand,and manage conflicts through resolution so thatthey do not disrupt the activities of the variousstakeholders, especially where communitydevelopment programs are concerned. This processcan be undertaken by any party that finds itself in aconflict situation. If a conflict resolution process canbe agreed upon by major stakeholders very early inthe project cycle, then it may be possible to preventconflicts affecting relationships.


As conflict management is a normal part ofrelationships, it should be included in planningprocesses for all stages of a mining project, frominitial encounters and stakeholder identificationthrough all phases of construction and operationand after a mine has closed. Ideally, a means forresolving conflicts should be devised during earlyconsultations with stakeholders (the IFC advises theinstitution of a grievance mechanism as part of thePublic Consultation and Disclosure Plan; that is,access to an agreed means of mediation orarbitration in case of conflict fulfils an equallyimportant role). Remember that relationshipsbetween the project site and stakeholders willcontinue after the mine has ceased operation, sothe continuation of a conflict resolution processshould be an integral part of planning for closureand beyond.

Basic Typology of Possible Conflicts at Mining Projects

Parties

Company

Local community

Local community

Sectors of community

Other Parties

Host government (local, regional, or national)

Company

Host government (local, regional, or national)

Sectors of community

Resolution Choices

Courts, official arbitration, internationalconventions (for example, ICSID)

Courts, alternative dispute resolution



For example BP Plc in relation to its Tangguhliquefied natural gas (LNG) project in Bintuni Bay,West Papua (a high conflict province in Indonesia),has appointed a four-member panel of high levelexperts, the Tangguh Independent Advisory Panel(TIAP), to advise on how best to help localcommunities protect the environment, and preventconflicts with locals and environmentalists. Thepanel reports directly to the corporate leadership inLondon and is not subject to the organizationalstructure of BP in Indonesia. TIAP’s reports aremade available to the public. One of the conflictsidentified by TIAP is that between villages on thenorth shore of Bintuni Bay, close to where many ofthe gas fields are located, and those on the southshore, who have been resettled to allow theconstruction of the LNG plant. The resettledcommunity members have all received new, high-standard housing and community facilities as part ofthe relocation package. This has sparked jealousyfrom the north shore villagers who feel that the gassomehow “belongs” to them because it is in theirpart of the bay and that they are therefore just asentitled to new houses. TIAP has strongly advisedBP and its joint venture partners to increasecommunity development program funding in thenorth shore villages as soon as possible to reducethe inter-village conflict.*

Three main stages of conflict management can bedefined as conflict identification, conflict mapping,and conflict resolution.

*TIAP, Third Report on Tangguh LNG Project, February 2005. Available at: www.bp.com/genericarticle.do?categoryId=2011067&contentId=2019320

http://www.bp.com/genericarticle.do?categoryId=2011067&contentId=2019320

Conflict identification: In the case of miningprojects, the existence of conflicts should bediscovered as part of the Stakeholder Analysisprocess (tool 10) and Social Impact andOpportunities Assessment (tool 3). Conflicts thatarise after a project has begun operation should bediscovered in the course of consultation (see tool11). Stakeholders paying close attention to theinterests of others and learning about their views ofa project should be able to detect any potential oractual conflicts without needing to apply specialmethods; that is, disagreements or issues likely tolead to disagreement should become apparent whenstakeholders spend time discussing project-relatedmatters during consultation and relationship-building conversations.

Conflict mapping: Having identified conflict areas, itis important to try to understand the origins, theparties involved, and as much as possible about whythe various parties have come to be in conflict. Eventhe simplest interpersonal conflict has manyelements. Conflicts involving multiple parties, largenumbers of people, and complex organizations suchas governments can be enormously complicated.For this reason, it is helpful to draw a conflict mapto help in understanding all the elements of aconflict.

Conflict resolution: There are many ways to dealwith conflicts: surrendering, running away,overpowering the opponent with violence, filing alawsuit, and so on. The movement towardalternative dispute resolution, sometimes referredto simply as conflict resolution, grew out of thebelief that there are better options than usingviolence or going to court. Today, the terms“alternative dispute resolution” and “conflictresolution” are used somewhat interchangeably andrefer to a wide range of processes that encouragenonviolent dispute resolution outside of thetraditional court system. Common forms of conflictresolution include:

• Negotiation: A discussion among two or morepeople with the goal of reaching an agreement.

• Mediation: A voluntary and confidential process inwhich a neutral third-party facilitator helps peoplediscuss difficult issues and negotiate an agreement.Basic steps in the process include gatheringinformation, framing the issues, developing options,negotiating, and formalizing agreements. Parties inmediation create their own solutions and themediator does not have any decision-making powerover the outcome.

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• Arbitration: A process in which a neutral third-party, after reviewing evidence and listening toarguments from both sides, issues a decision tosettle the case. Arbitration is often used incommercial and labor/management disputes.

• Mediation-arbitration: A hybrid that combinesboth of the above processes. Prior to the session,the disputing parties agree to try mediation first, butgive the neutral third-party the authority to make adecision if mediation is not successful.

• Step 4: Agree on a conflict resolution process.This can be done through a facilitated workshopinvolving the broadest range of stakeholderspossible. There may be existing conflict resolutionprocesses available, such as a public defender’soffice or ombudsman, but these avenues may seeminaccessible or ineffective and people may prefer todevelop their own process. In general, a nonformalmeans, such as third-party mediation witharbitration as a final resort, is preferable because itis quicker, less costly, and more cooperative thanusing litigation. Agree upon a mediator and rules forinvoking the conflict resolution process and for useduring the mediation. The mediator conductsconfidential discussions with all parties, and maynot pass information from one group to another, soit is essential that this person be above reproachand trusted by all. Suggest some people that yourespect to the other parties, and they shouldrespond with their own list until an acceptable andwilling mediator can be found. It may well be that anexternal mediator will be required to assureparticipants that they are not linked to any of theconflicting parties. Suitable candidates may beretired judges or senior diplomats, people who havehad long careers in public life, perhaps throughinvolvement in community organizations, orreligious leaders, in short, eminent personsappropriate to the communities involved.

• Step 5: Appoint the mediator, and ensure that allparties have copies of the rules and proceduresagreed upon.

• Step 6: Review the process whenever projectactivities or major stakeholders change, at leastonce a year. If the annual review reveals that asignificant number of the participants who agreed tothe conflict resolution process are no longerinvolved, then a new workshop should be convenedto ensure that a majority of stakeholders are stillsatisfied with the procedure. This may not happenoften if there is a relatively stable communityinvolved both at the mine and around it. It isessential that a procedure for conflict resolutionprior to cessation of operations be agreed to, asconflicts may continue to arise over post-closureuses of assets or rehabilitation programs.


• Step 1: Take note of any conflicts or potentialconflicts which you identify during assessment andrelationship building activities (tools 1–4 and 10–12).Include the need to address these issues with therelevant stakeholders in your Consultation Matrix(tool 11).

• Step 2: Map the conflicts identified. When talkingto other stakeholders, try to discover the followingelements of any conflict or potential conflict: (a)history of the conflict (does it derive from otherconflicts or is it related to others); (b) the physicaland organizational settings of the conflict (howwidespread is it and what aspects of the communitydoes it envelop); (c) the parties involved (that is,primary parties are those who oppose one another,are using fighting behavior, and have a direct stakein the outcome of the conflict, secondary partieshave an indirect stake in the outcome and are oftenallies or sympathizers with primary parties but arenot direct adversaries, and third parties are actorssuch as mediators and peacekeeping forces thatmight intervene to facilitate resolution); (d) identifythe causes of conflict, although it is not alwayspossible to distinguish a cause of a conflict from aconsequence. Common causes are perceived goaland interest incompatibility and identity defense.Distinguishing between parties’ positions in aconflict and their interests can be very helpful.Focus on position means only one party can winwhereas focus on interests may reveal areas ofoverlap and commonality.

• Step 3: Choose a resolution method inconsultation with other parties, if possible. This maybe scoped during stakeholder consultations whenthe views of all stakeholders can be ascertained.

Important Points to Note

Mediation is dependent upon all parties agreeing toparticipate and accept the results, a mediatoracceptable to all parties being available, andmutually agreed rules being developed in aconsultative manner by all parties.

Remember, conflict will arise, as it does in allrelationships. Therefore, it would be best for allparties to agree upon a conflict resolution procedurebefore serious conflicts emerge. If agreementcannot be reached upon using mediation, then it islikely that formal means of resolution, such as thecourts, will need to be used.

In the case of pre-existing conflicts, perhaps in thecase of legacies of previous project owners in thecase of an acquisition, then it would be worth tryingto engage all parties initially in choosing aresolution method such as mediation rather thandirectly trying to solve the actual conflict.

One of the hardest parts of many mediationprocesses is just getting people to agree toparticipate. The only way to overcome this problemis to demonstrate that negotiation is likely to yield abetter outcome than the alternatives. This is easiestonce the conflict has reached a point of stalemate—once both sides have won what they can, and theparties are at a standoff, neither able to win more,yet not willing to give up either. This is when aconflict is said to be “ripe” for resolution, and this isusually the best time to “get people to the table.”*

People with less power in a negotiation may also beafraid of being overpowered in mediation. It iscrucial for the mediator to be able to convince allparties that their interests and needs will be fairlyconsidered and that they will not be disadvantagedin the mediation process. This emphasizes theimportance of finding a mediator who is acceptable,impartial, and neutral. If all parties cannot trust themediator to fulfill his or her role in a fair andbalanced manner, then the process cannot work.

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*www.colorado.edu/conflict/peace/treatment/totable.htm

http://www.colorado.edu/conflict/peace/treatment/totable.htm

Flowchart of Conflict Management Processes

COMMUNITY DEVELOPMENT ACTIVITIES CONFLICT MANAGEMENT PROCESS

>>

>>

STAKEHOLDER IDENTIFICATION: TOOL 1

SOCIAL BASELINE STUDY: TOOL 2

SOCIAL IMPACT ASSESSMENT: TOOL 3

STAKEHOLDER ANALYSIS: TOOL 10

CONSULTATION MATRIX: TOOL 11

Review as circumstances change

>>

Step 1: Conflict identification

Step 2: Conflict mapping

Steps 3 and 4: Select conflictresolution method with otherstakeholders

Step 5: Appoint mediator anddistribute mediation procedurerules

Step 6: Review procedure at least annually

CONFLICT MANAGEMENT PROCESS

>>

>>

STAKEHOLDER IDENTIFICATION: TOOL 1

SOCIAL BASELINE STUDY: TOOL 2

SOCIAL IMPACT ASSESSMENT: TOOL 3

STAKEHOLDER ANALYSIS: TOOL 10

CONSULTATION MATRIX: TOOL 11

Review as circumstances change

>

>

Step 1: Conflict identification

Step 2: Conflict mapping

Steps 3 and 4: Select conflictresolution method with otherstakeholders

Step 5: Appoint mediator anddistribute mediation procedurerules

Step 6: Review procedure at least annually

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

http://www.colorado.edu/conflict/peace/treatment/cmap.htm

http://www.acrnet.org/about/CR-FAQ.htm

http://www.mediate.com/articles/Mediationfaq.cfm

http://www.bpd-naturalresources.org/media/pdf/bn/Bnote6final.pdf

http://www.international-alert.org/publications/28.php

14Community Action Plans


Description

Participatory planning exercises aim to establish detailed CommunityAction Plans (CAPs). Taking community members through the steps ofparticipatory planning (see tools 6–9) enables them to analyze theirsituation, gain confidence in their own ability to understand the cause oftheir problems and devise solutions to them, and design a detailed plan forfuture action. CAPs not only list actions that need to be taken forcommunity development, but also state who should undertake thoseactivities (both community members and external partners) and the datesby which actions need to be undertaken. CAPs also provide a reality checkfor excessive community expectations, as the process of allocatingresponsibilities, deadlines, and resources required should make it quiteplain when too much is being expected from one person, one donor, or intoo short a time span. CAPs provide detailed work programs both for thecommunity, which owns the plan, and for development partners.

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This tool should be used following on from theparticipatory planning exercises detailed in theprevious section (tools 6–9). Specifically, the resultsof the Problem Census (tool 8) and OpportunityRanking (tool 9) feed directly into the CAP process,as action plans need to be developed for theimplementation of the priority opportunitiesidentified. CAPs should be reviewed as frequently asany other development plan (that is, ascircumstances change or at least once a year). Theproject’s monitoring and evaluation system (seetools 15–17) should check whether CAPs are beingimplemented and suggest whether revisions arerequired.


This exercise is usually done in a communityworkshop, when all interested community membersare invited to participate in planning for communitydevelopment. Experienced facilitators whounderstand how to encourage community membersto take the lead are the best people to manage theproduction of CAPs. (See the tables opposite for anexample of a CAP.)

There are six principal steps in developing a CAP fora specific problem. The same procedure should befollowed for each of the selected opportunities. Thespecific plans can then be combined to form anoverall CAP for the community.

• Step 1: State the specific objective that willcorrect the problem.

• Step 2: Develop a list of activities that must beundertaken to achieve the objective.

• Step 3: Decide who in the community or what unitor agency is most appropriate to undertake eachactivity.

• Step 4: Decide when the activities are to be done.

• Step 5: Decide what resource and budget will beneeded for each activity and who will contributeresources.

• Step 6: Name who will take responsibility forensuring that the plan is implemented.

The CAP then becomes the management tool forcommunity development activities, to be managedby the community with support from company,government, and NGO partners. CAPs fromadjoining communities may be combined to formthe basis of district or regional plans.

Initial CAPs, probably produced during an intensiveparticipatory planning workshop process, will befine tuned, modified, and updated, as communitiesand their program partners go through theimplementation process. Early versions of CAPs willlikely focus on problems requiring immediate action.As time passes and communities become moreconfident in their ability to manage theirdevelopment agenda in collaboration with programpartners, it would be a good idea to introduce anelement of post-closure planning. By the time amine closes, the communities’ development plansshould include the mining company as only one of arange of partners because they will have long sincemoved beyond dependency on the mining project forfinancial support.

Above all, participatory planning is an ongoingprocess and extremely interactive. CAPs are notdrawn up for development experts to implement norfor gaining community acquiescence in preordainedplans. As a dynamic system, participatory planningis subject to growing pains and setbacks as well assuccesses. It is these developmental stages,however, that enable participatory planning toeventually bring about a mutually respectful andcooperative working relationship betweencommunities and their partners in the developmentprocess; that is, government, NGOs, and resourcecompanies.

Purpose

The most important purpose of the CAP is to act asa process for future planning activities by thecommunity and to serve as a record of how muchthey have achieved during the participatory planningactivities. It is thus the basic management tool forthe community development program. The purposeof producing a CAP is to provide communitymembers with a set of goals, activities, andtimelines to enable them to achieve theirdevelopment objectives. The community owns theplan, and the plan also provides members with a listof partners to follow up with for help in achievingthose objectives and target dates to work toward.Simultaneously, the CAP provides developmentpartners with a clear understanding of communitypriorities and development objectives so that theydo not need to guess what the community needs.

Resources Needed

• Cattle• Carts• Logs• Bicycles• Hand hoes• Bags• Advice/expertise

• Hand hoes• Use of oxen• Improved seeds

(2 kgs at T Sh3000)• Money

Who Will Provide

• Households concerned

• Company/community, T Sh 50,000–150,000

• Agriculture and livestock department

• Community• Agriculture

department• Agricultural shops

Date To Start

Ongoing

December 2000

Who WillFollow Up

• James, A.• Tatu, M.• Petro, S.

• Mizi ya chuma• Wilson, N.

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Total cost, T Sh

4.5 million

12.5 million

22.5 million

9.0 million

Community contribution, T Sh

Villagers: 1.0 million

Village government: 0.5 million

3.0 million

2.0 million (alreadydone)

Cash: 2.0 million

Labor: 1.0 million

Opportunity

Construction of fourclassrooms (one in 2001)

Construction of schoolbuildings (one classroom,one staff room, onepreprimary)

Building (five) classrooms

Construction of twoclassrooms and onepreprimary

Percent of total

33

24

As required bythe nationalgovernment

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Example of Plans From Several Tanzanian Village CAPs Combined to Form DistrictEducational Action Plan

Total needed from donors: T Sh 13.0 million; from district council: T Sh 6.5 million; from nationalgovernment: T Sh 20.5 million. Note that the community has pledged to contribute between 22 and 33percent of the funds needed and the labor needed in some cases.

Actions

A. Use of manure

B. Other actions• Terracing

agriculture• Use of farm

inputs• Extension service

advice• Nongrazing

on farms

Problem:Low CropsProduction

OpportunityImproved farming

4.1a

4.1b

Example of CAP for Improved Crop Farming From a Tanzanian Village

Donations needed, T Sh

Donor: 2.0 million

District council:1.0 million

Donor: 6.0 million


Nationalgovernment: 20.5 million

Donor: 5.0 million


Problem:Pooreducation

Village 1

Village 2

Village 3

Village 4

Key references

World Bank: Participation Sourcebook (Appendix 1: Methods and Tools for Social Analysis). Available: www.worldbank.org/wbi/sourcebook/sbpdf.htm

Rietbergen-McCracken, J., and Deepa Narayan. 1998. Participation and Social Assessment: Tools andTechniques. Washington, DC: IBRD/World Bank. Available: www-wds.worldbank.org

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 NaturalResources, Kenya; Richard Ford and Lori Wichhart, Program for International Development, ClarkUniversity; and Francis Lelo, Egerton University, Njoro, Kenya).

Source: C. Macdonald, URS, and F. Kyessi, Resolute Mining Limited

Participatory Planning Near Golden Pride Mine in Nzega District, Tanzania

Resolute Mining Limited’s Golden Pride Gold Project in the Tabora region of western Tanzania was the first moderngold mine to begin operation in Tanzania when it began to produce gold in November 1998.

The communities close to Golden Pride in Nzega District depended on subsistence farming and suffered from a lack ofinfrastructure and income-generating opportunities. Resolute Mining Limited, an Australian company, took measuresto 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 toempower themselves and take responsibility for their own development plans. The company could then join in withcommunity-motivated and initiated projects instead of trying to ascertain from outside what the communities needed.

For this reason, Resolute Mining Limited decided to conduct a participatory planning program at the end of 2000 in thefour communities closest to the mine's perimeter – Isanga, Mwaluzwilo, Bujulu, and Undomo – to encouragecommunities to develop their own Community Action Plans (CAPs). Community members were delighted to be askedwhat they lacked, what they needed, and to be assisted to devise their own plans. Once they overcame their initialshyness with the unfamiliar process, each community embraced the opportunity to develop a CAP and put a great dealof effort into ensuring the project was completed.

These are the participatory planning methods used:

• Community Mapping

• History

• Seasonal Calendar

• Gender Daily Calendar

• Problem Ranking

• Options Assessment

• Community Action Plan


List of Monitoring & Evaluation Tools in this Toolkit

15 Logical FrameworkThis is a matrix that can be used for developing clear outputs and outcomes and that uses verifiable indicators to measure progress toward goals. It is a powerful system for program management and for monitoring and evaluation.

16 Indicator DevelopmentThis is a process for choosing indicators for program evaluation that can measure up to transparent scrutiny from any quarter. These indicators are especially appropriate for use in the logical framework and Goal Attainment Scaling methods outlined.

17 Goal Attainment ScalingThis is a useful means for measuring the degree to which outputs and outcomes are being met. It is particularly useful for social investment and community development projects where multiple stakeholders are involved and where there may be differing assessments about the degree of achievement of project goals. It enables evaluations tobe made by a range of stakeholders and observers, not just so-called experts. Another major advantage isthat the results can be presented in the form of simple graphs, which makes them more accessible topeople unfamiliar with qualitative, social science measurements, such as financial and technical managers at a mining project.

MONITORING & EVALUATIONTOOLS

Guidance for Using Monitoring andEvaluation (M&E) Tools

See table below for M&E tools and who might usethem.

• Government officer: As a government officer youwill be able to report on community developmentprogress in your area by taking part in evaluationprocesses.

• Community member: As a community memberthis is an opportunity for you and your neighbors tomake sure that your efforts are worthwhile and alsothat companies are fulfilling their undertakings.Participating in monitoring programs means thatyou will be able to influence the outcomes ofcommunity development programs.

• Community organization or NGO: As a member ofa community organization or NGO you canparticipate in monitoring activities to ensure thatprograms are achieving what they set out to do. Youmay also be required to demonstrate to managersthat resources are being used wisely.

• Mining company staff: As a member of the miningcompany staff you will likely have internal companydemands for monitoring and evaluation, todemonstrate to managers and shareholders thatcommunity development funds are being investedwisely, and achieving stated objectives. You shouldinvolve the community and other stakeholders in themonitoring process as much as possible becausethis will give you the most real feedback about yourprogress.

Monitoring and Evaluation Tools and Who Might Use ThemParticipant Monitoring and Evaluation Needs Appropriate Tools Tool No.

Governmentofficer

Communitymember

NGO member

Mining companystaff

Assist with developing management framework

Help with indicator development for evaluation

Provide feedback to the company

Develop management framework

Develop monitoring and evaluation indicators


Identify opportunities for evaluation

Assist with developing management framework

Help with indicator development for communitymanagement


Develop management framework withcommunity

Help with indicator development for communitymanagement

Learn how to listen to community responses

Logical Framework

Indicator Development

Goal Attainment Scaling

Logical Framework



Logical Framework



Logical Framework



15

16

17

15

16

17

15

16

17

15

16

17

Participatory Monitoring and Evaluation in Zambia At a community level, participatory Monitoring andEvaluation can be used to help motivate people tosustain local initiatives and manage conflicts.CARE Zambia, a nongovernmental developmentagency, wanted to implement projects in a moreresponsive manner, and to ensure they learnedbetter from their own project experience. CAREconducted a baseline assessment in dozens ofvillages using well-being ranking and otherparticipatory methods. Changes are now beingtracked in the best- and worst-off households toassess project impact and help plan new initiatives.Joint analysis has helped communities and CAREstaff define – rather than simply speculate about –changes and has encouraged communities to takeaction on their own.

Source: Institute of Development Studies Policy Briefing 12,November 1998.

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Overview of Monitoring and Evaluation Tools


Monitoring and evaluation (M&E) ensures thatdevelopment programs are going in the rightdirection to achieve their stated goals:

• Monitoring: The ongoing, methodical collectionand analysis of data on development activities,which provides program managers andstakeholders with early indications of progress andachievement of goals. Monitoring can be said to bethe measurement of outputs and is undertakenmore frequently than evaluation and is often done bypeople involved in the community developmentprograms.

• Evaluation: Primarily concerned with longer-termresults of development activity, or the measurementof outcomes. It aims to identify how and whyactivities succeeded, failed, or were changed toimprove the effectiveness of future undertakings.Many mining projects opt to have evaluation doneperiodically by independent, external advisors, butself evaluation is also worthwhile.*

Through M&E four fundamental questions areexplored:

• 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 thesequestions depends on the complexity of thecommunity development activities and the depth ofknowledge and understanding required. Evaluationsof community development are challenging becausethey have both quantitative and qualitativedimensions: basic information about what has beenundertaken is important but so too is informationabout community members’ perceptions of theprocess, the results achieved, and the overallbenefits of community development.

The benefits of effective M&E include:

• Improved management: It supports yourcommitment to stay on track and achieve results. It also gives you an opportunity to critically reviewyour management systems and processes and toidentify what is working well and what needs somedevelopment.

• Improved accountability: Your partners want toknow how you have used program resources andwhat you have achieved to assess whether theyshould continue to support your activities.

• Participation: M&E provides an opportunity tobring communities and other stakeholders into theprogram management process, to review programperformance from their own perspective, and toinfluence future program direction.

• Learning and development: M&E is an importantlearning process, enabling you to reflect on yourexperience and assess how that experience can beincorporated into other activities and longer termprogram development.

The M&E system recommended here builds on theLogical Framework (tool 15) program managementprocess and uses indicators developed by using tool16. By applying these indicators in the LogicalFramework process, using verifiable indicators tomeasure outputs for monitoring purposes andverifiable indicators for measuring outcomes forevaluation, project managers and stakeholders canassess the implementation of project activities andthe validity of assumptions and achievement ofagreed project goals. As an additional means ofassessing both short-term achievements(monitoring of outputs) and longer-term results(evaluation of outcomes), the Goal AttainmentScaling method (tool 17) is beneficial because itallows assessment to be undertaken by a widerange of stakeholders and permits comparison ofassessments given by different stakeholder groups.

M&E can be used at any time in the life of acommunity development activity or investment to measure:

• Changes resulting from investment in thecommunity relations activity

• Differences between expected and actualoutcomes

• Reallocation of remaining resources to improveoutcomes

• Justification for allocation of further resources

• The performance of the community developmentteam.

There are many other monitoring and evaluationprocesses available, and the references will lead youto discussions of some of those. If you use acombination of tools 15–17, however, you will have agood understanding of the progress of thecommunity development programs that you areinvolved with.

*Examples of external evaluation processes are the TIAP team for the Tangguh LNG Project (see tool 13, Conflict Management)and PEAK (Porgera Environmental Advisory Komiti) in Papua New Guinea, available at www.peak-pjv.com

http://www.peak-pjv.com

Description

The Logical Framework approach (often abbreviated to logframe) is ahighly effective and flexible method of planning, monitoring, andevaluating development activities. It is a time-consuming process, as itinvolves methodically moving through each step of a management planand checking that it flows logically from what precedes it and that it cancontribute to the outcomes expected from it. It is this meticulousness thatmakes the logframe process worthwhile. It is included here in the M&Esection because it is a most effective means of conducting both activities.However, the logframe process could also fit comfortably into theprogram management section because it is a powerful and usefulmanagement tool.

15Logical Framework


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Purpose

The logframe approach helps program facilitatorsto:

• Describe the goals that the activity is beingdesigned to deliver (these should follow from theProblem Census (tool 8) and Community Action Plan(tool 14)

• Think through and state the importantassumptions that need to be made about externalfactors that are likely to affect the achievement ofthe objectives

• State what indicators to use to measure theachievement of the objectives (see tool 16)

• State what measurement method will be used tomeasure each indicator

• Specify the activities that need to be undertakenand the timing of these activities to achieve theobjectives

• Specify the resources needed: personnel, training,equipment, and material inputs.


Planning a project and also for M&E as part of thelogframe process involves developing verifiableindicators. As with any other managementframework, a logframe matrix should be reviewedand updated as needed when programcircumstances (personnel or funding) change, or atleast annually).

Action (column numberrefers to Matrix opposite)

Define goal and elements(column 1)

Identify importantassumptions (column 4)

Identify measurableindicators (column 2)

Identify measurementmethods (column 3)

Check the logic

Description (refers to the Logical Framework Matrix)

Start with the narrative summary or description column first, working from the topdown. Describe the elements of your program, as defined in each box of column 1.Review what you have done several times until the vertical logic makes sense.Continue to ask “if and then” questions at each level, working from the bottom up:• If these inputs are provided then will these outputs be achieved? • If these outputs are achieved then will these outcomes be achieved? • If these outcomes are achieved then will it contribute to achieving the goal?When the answer is yes to these questions, you can be reasonably sure that thevertical logic is sound.

Work from the bottom up. Think of any external factors for which the project haslimited or no control over that need to be in place for the results to be achieved.Write these down for each level. Now check them by asking these questions.

• If the project provides these inputs and the assumptions relating to inputs hold true, then will the outputs be achieved?

• Will project outputs plus assumptions lead to the outcomes?• Will project outcomes plus assumptions lead to the goal?

For each level, identify indicators that are measurable that will indicate achievementof each objective. Start from the bottom and work up.

For each level, state how the indicators will be measured. Make sure that whatever isproposed is practical and can be done. Very often there are existing reportingsystems in place but which typically do not report on the right things, so improvingthese systems will make them more effective.

Ask the questions for steps 1 and 2 to check the vertical and horizontal logic of thelogframe and suggest improvements that could be made.


The logframe is presented as a 4 x 4 matrix. Using astep-by-step process of developing program goals,outcomes that will lead to the goals, moreimmediate results (outputs) that will contribute tothe longer term outcome, and the inputs oractivities required to achieve those results,appropriate indicators with specific targets andmeans of measuring progress against thoseindicators, an M&E framework is produced. (See the table below for the step-by-step process.)

A note on terminology and process

It is important not to become overly concerned withterminology. Different advocates of using logframesuse different words to describe the same basicfunctions. Do not be distracted by trying todetermine whether something should be called agoal or an objective. Instead, go through the logicchecking process described in step 1 to make surethat your planned activities will lead to the kind ofresults you hope for with your communitydevelopment program. If the logic works, then yourmanagement framework will also work.

Examples of equivalent terms used in logicalframeworks follow:• Goal = objective• Outcome = purpose (longer term)• Outputs = results (shorter term)• Inputs = activities

Step 1

Step 2

Step 3

Step 4

Step 5

Step-by-Step Logical Framework Development Process

Narrative summary(column 1)

Goal: The goal to which thecommunity developmentprogram contributes

Outcomes: The longer-termresults of the communitydevelopment program

Outputs: The directmeasurable results ofcommunity developmentprojects

Inputs: The activities andresources allocated to theimplementation ofcommunity developmentprojects

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Indicators(column 2)

Changes that will indicatethe goal has been achieved(higher level of skilledemployability in community)

Conditions that will indicateoutcomes have beenachieved (increased skillslevel in community)

Extent and nature of outputs(numbers of trained people)

Implementation activitiesand budgets (by type andquantity)

Measurement of indicators(column 3)

Statement of how data ongoal are to be collected andmeasured

How data on outcomes willbe collected and measured

How data outputs will becollected and measured(monthly reports structuredoutput indicators)

How inputs will be monitored

Important assumptions(column 4)

Assumptions for achievingthe goal

Assumptions for achievingoutcomes

Assumptions for achievingoutputs

Assumptions for providinginputs

The Logical Framework Matrix

Narrative summary

Goal: Raised standards ofskills-based education andemployability in the village

Outcome: Increased capacityof community members tomaintain and repair thevillage’s power generationand distributioninfrastructure and to seekemployment in this fieldoutside of the village

Output: People trained ingenerator and electricalmaintenance

Input: Generator andelectrical maintenancecourse

Outcome: Increased capacityof traditional birthattendants to provide basicbut competent advice andassistance to others duringpregnancy and child birth

Output: People trained inbasic midwifery/birthingassistant skills

Input: Basicmidwifery/traditional birthingassistant training course

Verifiable indicators

Numbers of people withincreased skills levels;numbers of people with jobs

Reported incidence of powerfailure in the village; one ormore community membersobtain employment in thefield of motor mechanicsoutside of the village

Six people successfullytrained

Cost of trainers, hall hire,course materials, per diemsfor attendees and staff

Reduced incidence ofcomplications duringchildbirth, perinatal, andneonatal mortality; increaseddetection and referral of highrisk pregnancies togovernment midwives

Six people successfullytrained

Cost of trainers, hall hire,course materials, per diemsfor attendees and staff

Means of verification(measurement of indicators)

Baseline skills andemployment register andperiodic reassessment

Number of reports of powerfailures to community liaisonofficers; periodicemployment survey

Training course reports

Invoices submitted by staffand students

Village/ward/district healthrecords

Training course reports

Invoices submitted by staffand students

Assumptions

Assumptions for achievingthe goal

Currently two 5,000 wattgenerators and overheadpower cables to bemaintained; should increaseas result of plannedrefurbishment

That there will be at least sixwilling and suitableparticipants available tocomplete the course (fouralready named in the CAP)

Company, governmentsponsors will provide thecourse support fees

Government healthmonitoring systems

That there will be at least six willing and suitableparticipants available tocomplete the course

Company, governmentsponsors will provide thecourse support fees

Activity 1. Generator and Electrical Maintenance Training

Activity 2. Basic Midwifery/Traditional Birthing Assistant Training

Note: The goal used came from an actual Community Action Plan (see tool 14)

Example of a Logical Framework Matrix for a Training Program for Community Members

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 NotesAvailable: www.socialimpact.com/resource-center/impact-notes.html

Source: Adapted from Kennedy, Tomas, and Steve Jones. 1997. Ethiopia Basic Education Project WorkshopReport 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 bescary 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 40participants—parents, teachers, local, regional, and national officials, and U.K. Department for InternationalDevelopment advisers – speaking three different languages. Over a period of one week the following questions wereasked. 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 wasshown how this information could be arranged into a logical framework. He presented the result to the otherparticipants. A logframe was produced, but the most important thing was that participants gained a shared vision andreached a consensus on what the project would deliver.




http://www.socialimpact.com/resource-center/impact-notes.html

Description

Effective management, monitoring, and evaluation depend on theidentification of effective performance indicators. Effective performancemeasurement needs to use appropriate units for measuring change; to beable to distinguish between inputs, outputs, and outcomes; to measureeffectiveness and efficiency; and to assess both qualitative and quantitativedimensions of change.

• Inputs: Input indicators measure inputs such as money or time contributed to, for instance, development activities and/or processesconducted, number of meetings held, or number of studies conducted. Inputindicators are important in managing resources and ensuring accountabilityof development facilitators but do not, however, tell us anything about howsuccessful, or otherwise, development activity has been.

• Outputs: Output indicators measure the direct results of communitydevelopment projects (for example, numbers of children vaccinated, numbersof people trained in agricultural methods, or school completion rates).

• Outcomes: Outcome indicators measure longer term changes that are thedesired return on investment in the project (for example, measurable changein the community’s quality of life, health, or economic well-being). Outcomeindicators are the best measure of how successful, or otherwise,development activity has been.

16Indicator Development


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Purpose

The purpose of this tool is to develop a set ofobjectively verifiable indicators to measureperformance of community development programs.


Frequent monitoring can enable programs to bereoriented if they are not succeeding at first. So, thistool should be used as often as possible, at leastonce a year, or whenever circumstances change. Aswith the Goal Attainment Scaling tool (tool 17),appropriate performance indicators are importantparts of a post-closure monitoring program as wellas useful during operation of the mine.


Similar to the Goal Attainment Scaling tool,development of program indicators is often bestdone as a group exercise. Performancemeasurement should be based on objectivelyverifiable indicators to ensure that measurements ofchange by one group are accountable to allstakeholders as well as being repeatable by othergroups if needed. The important point is that theremust be some objective means of verifying results(for example, test results for students or numbersof trainees completing a course).

• Step 1: Gather together people with knowledge ofand interest in the programs you want to developindicators for.

• Step 2: Brainstorm ideas for indicators, focusingon means of verification.

• Step 3: Prepare a list of indicators for eachprogram. These can be included in your logframemanagement matrix (tool 15) or used in any othermanagement framework that you use. Examples ofquantitative indicators may include (a) the frequencyof meetings, the number of people involved; (b)growth rates; (c) yields, prices; (d) up-take of activityinputs (loans, school enrollment, seeds, visits to theclinic, children vaccinated); and (e)adoption/implementation of activity outputs(technologies, manuals, newsletters, or guidelinesin use). An example is provided on the oppositepage. Qualitative indicators may relate to (a) thelevel of participation of a stakeholder group; (b)stakeholder/consumer opinions, satisfaction; (c)aesthetic judgments regarding local amenity orlifestyle choices; (d) decision-making ability; (e)attitudinal change; (f) emergence of leadership; (g)ability to self-monitor; (h) development of groupsand of solidarity; (i) behavioral changes; and (j)evidence of consensus. It is generally easier tomeasure behavior than feelings; behavior can beobserved. So if an objective is to increase people’sconfidence in meetings, it may be appropriate tomeasure this by observing how often they speak andwhether they speak clearly.

Input

Midwifery trainingcourse

Output expected(indicator)

Six trained people

Actual Results(indicator)

Five trained people

Difference

One person failed tocomplete the course

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Observations(action to be taken)

Ensure that selectedtrainees are free toattend futurecourses

Monitoring Table Example: Monitoring of Basic Midwifery Training for January-June 2002

Project structure

Insert inputs from logframe

Insert outputs from logframe

Insert outcomes fromlogframe

Insert goal from logframe

Indicators

Insert indicators ofachievement from thelogframe for each input oractivity

Insert indicators ofachievement from thelogframe for each output

Insert indicators ofachievement from thelogframe for each outcome

Insert indicators ofachievement from thelogframe for the goal

Progress

Provide a report against each indicator




Comments/recommendations

Provide any comments; explainif progress is not as planned;provide time-bound actionpoints for program managersand participants




The table below is an example of how the detailedindicators used in the logframe process (tool 15) canbe used for M&E purposes. This M&E process canbe used by community development programparticipants or by external evaluators.

Source: Model adapted from Royal Institute for the Tropics/World Bank/African Network on ParticipatoryApproaches. 2000. Village Participation in Rural Development. Tool 16. Data adapted from logframeexample used in tool 15.

Format for Using Logistical Frameworks for Monitoring and Evaluation

Source: Adapted from DFID. 2002. Tools for Development: A Handbook for Those Engaged in DevelopmentActivity. Available: www.dfid.gov.uk/pubs/files/toolsfordevelopment.pdf


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 andTechniques. Washington, DC: IBRD/World Bank. Available: www-wds.worldbank.org

Sartorius, R. Social Impact Training Manuals – Managing the Project CycleAvailable: 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&



http://www.kit.nl/frameset.asp?/development/Default.asp&frnr=1&

Description

Goal Attainment Scaling (GAS) is a tool used to determine different – orchanging over time – levels of stakeholder satisfaction with developmentactivities. It is best used in conjunction with the program managementand monitoring and evaluation processes explained in the LogicalFramework (tool 15).

17Goal Attainment Scaling


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Purpose

GAS can be used to directly track progress towardan identified goal. GAS can be used to monitor theoutputs of community development activities, sayevery six months, or it can be used to evaluatedifferent stakeholder perceptions of outcomes of aprogram over a longer time period. The results ofthe surveys can demonstrate differences betweendifferent stakeholders’ perceptions of an issue ofshared interest.


This tool should be used whenever the views of oneor more groups of stakeholders are required on theprogress and achievements of a program. GAS canbe repeated at intervals and among differentgroups. This can be done at any stage frompreconstruction to post-closure, with the questionsbeing asked altered to match the prevailingsituation.


Activity or program goals are framed as keyquestions. The goals form a common framework forpersonal consultations, analysis of programperformance, and review of documentation. The keyquestions lead logically to a GAS framework thatenables the facilitator to determine the degree towhich program outputs or outcomes are beingachieved.

The table opposite presents an example GAS sheetfor the tracking of community and companyperceptions of an engagement program beingconducted with communities adjacent to a plannedmining project. In this example, the objective hasbeen defined as the degree to which theengagement program contributes to mutuallybeneficial relationships between company and localstakeholders. Five levels of achievement aresuggested against each question, and eachrespondent should select one description of thelevel of achievement for each question posed. Inother words, it is a five-point multiple-choice surveyand therefore fairly simple to explain torespondents.

Using this instrument with different stakeholdergroups can detect areas where the perception of theperformance of the engagement program differsbetween the parties. The results can also be used toestablish benchmarks that can be tracked forchange over time.

It is simple to represent the results in graphic formto make it easier for management and stakeholdersto analyze quickly changing trends in perceptions ofthe success of the programs being evaluated. This isbest done with a group or team of people involved inthe project and can be done for each indicator foroutputs and outcomes, as feedback desired.

• Step 1: Identify the objectives (outputs andoutcomes) for a project and their associatedindicators. Use the logframe developed in tool 15. Inthe example provided in the table opposite, one ofthe goals of the stakeholder engagement programbeing evaluated was defined as developing a goodrelationship between the company andcommunities. So, a central question to evaluatewas, Is the engagement program developing a goodrelationship between the company and localcommunities?

• Step 2: Decide on and write descriptors for thescoring scale for each indicator. Ideally this shouldbe determined by the project manager/coordinatortogether with key primary stakeholders. Definingand agreeing on GAS scales can take some timeoften because different participants have differentexpectations, perhaps stemming from differentunderstandings about what the project is about. This time, however is a useful investment to ensurea shared understanding of what the collectiveexpectations are for it. The descriptors for the 1–5scale are designed with the central question beingscale point 3 (that is, the average score), meaningthat your objective has been met. In this case, ascore of 3 was described as the engagementprocess is developing the basis for a sound andfruitful relationship between the parties. Thedescriptors for scale points 1 and 2 should describeevaluations that fall short of meeting the objective,with 1 being the lowest achievement. See rowsnumber 1 and 2 in the table opposite. Thedescriptors for points 4 and 5 on the scale shouldindicate results which exceed the objective, with ascore of 5 being the highest. See rows number 4and 5.

• Step 3: The method for using the GAS is that eachperson rates the program being evaluated with ascore of 1–5. In the example given, 60 people areasked to rate the program, 15 people from each ofthe four categories of stakeholders. So, looking atthe top row of the table, none of the government orcompany people gave the program the lowest score,but three NGOs and two community members did.At the other end of the scale, the bottom row revealsthat one person from each of the company andgovernment groups gave the program the mostfavorable outcome score, and none of the NGO orcommunity people did. The beauty of this process isthat the same questions can be asked of differentstakeholder groups, and the results can becompared. The survey can also be reported atintervals of time. Finally, the results are easy topresent in a graphical format. Weighting accorded tothe results obtained from different GAS results maydiffer depending on the importance of each group’sperspective to the project management.

• Step 4: Communicate results and display theresults in graphs.

Goal

Engagement program leads to a mutually beneficialrelationship between company and local stakeholders

Question: Is the engagement program developing agood relationship between the company and localcommunities?

The engagement program is poorly regarded with thelevel of contact between the parties being low andineffective.

The engagement program is regarded as generally wellrun, in that contacts are friendly, but are notprogressing far in establishing a sound relationship.

The engagement process is developing the basis for asound and fruitful relationship between the parties.

The engagement process has evolved into a solidrelationship, based on mutual trust, open exchange ofissues, and ideas and a shared framework of interests.

The relationship between the parties has beenformalized and is recognized as very important by bothparties.

Score (n = 60)

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GAS Sheet for Assessing the Engagement Program

In graphic representation (shown below), mostscores are around the middle, which means theprogram has attained its goal for building a goodrelationship. The highest ratings came from thegovernment and company people, and the lowestfrom NGOs with middling scores from thecommunities.

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Graphic Representation of GAS Sheet for Assessing the Engagement Program

2 3 4 5

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Government

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5

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NGOs

Communities

The scores could be agglomerated, to give a rawscore of how many people rated the program ashaving obtained its objective, but is most usefulwhen stakeholder group scores are kept separate.

X-axis key: 1, most unfavorable outcome; 2, less than expectedsuccess; 3, expected level of success; 4, more than expectedsuccess; 5, most favorable outcome.

Y-axis key: number of people giving that score. Maximum scorepossible per group is 15.

GAS scale

1

2

3

4

5

This example (on previous page) shows the resultsof only one question asked about a program, but aseries of questions or objectives could be evaluatedin just the same way, and repeated at intervals, aspart of a regular monitoring process that cancontinue even after the mine has ceased operationsas part of a post-closure monitoring program. If lowscores or wide discrepancies in scores are observedfrom different stakeholder groups, this should betaken as an indication that the program is notmeeting the expectations of certain stakeholders.Corrective action should be taken by consulting thedissatisfied stakeholders and working toward amutually agreed modification of the program.Because modifications may then affect otherstakeholders, the stakeholders should also beconsulted.

Using GAS for monitoring thus enables earlycorrective actions to be undertaken. For longer termevaluation purposes, the GAS process similarlyallows programs to be improved and enablesprogram managers to understand which sections ofthe community may not be satisfied with projectactivities.

Arbitration: A process in which a third-party neutral, afterreviewing evidence and listening to arguments from both sides,issues a decision to settle the case. Arbitration is often used incommercial and labor/management disputes.

Baseline data: Information gathered prior to a project thatdemonstrates the magnitude of the development problem, theextent to which the problem exists in the community, and, overtime, will enable a measurement of the progress in addressingthe problem. Baseline data can indicate the incidence of aproblem in the community (for example, the community has anadolescent pregnancy rate of 15.8 pregnancies for everythousand teenage girls). It can reveal the prevalence of aproblem (45 percent of teens in the community report that theydid not use contraceptives during the last time that they hadsex). It can also measure community attitudes toward a problem(65 percent of local people do not consider teen pregnancy to bean important problem for the community).

Capacity building: A managed process of (a) skill upgrading,both general and specific; (b) procedural improvement; and (c)organizational strengthening. Capacity building aims to developthe ability of individuals, groups, institutions, and organizationsto identify and solve development problems.

Civil society: The network of associations, social norms, andrelationships that exist separately from government or marketinstitutions. Civil society may include religious organizations,foundations, professional associations, labor unions, academicinstitutions, media, pressure groups, and environmental groups.Civil society reflects social diversity and may provide theintellectual, material, and organizational basis for communityinteraction with the state and business sectors.

Community: A social group possessing shared beliefs andvalues, stable membership, and the expectation of continuedinteraction. It may be defined geographically, by political orresource boundaries, or socially, as a community of individualswith common interests.

Community-based organizations: Groups of individuals within avillage or group of villages or residential area with similarinterests, established to work together to achieve commonobjectives. Can refer to organizations that provide care orservices in the neighborhood as well as initiatives by individualcitizens and groups within the community.

Community development: The process of increasing thestrength and effectiveness of communities, improving peoples’quality of life, and enabling people to participate in decisionmaking and to achieve greater long-term control over theirlives. Community development aims to empower and helpcommunities to improve their social and physical environments,increase equity and social justice, overcome social exclusion,build social capital and capacities, and involve communities inthe strategic, assessment, and decision-making processes thatinfluence their local conditions.

Community profile: A picture of the community that reflects thedemographic, economic, human, social, visual, and naturalresources and the needs and assets of the community.

Competency: An attribute that contributes to successfulperformance and achievement of organizational goals.Competencies may be defined organizationally or individually,and may include knowledge, skills, and abilities plus othercharacteristics such as values, motivation, legitimacy, initiative,and control.

Consultation: A tool for managing two-way communicationsbetween project developers and stakeholders. The goal is toimprove decision making, reduce risk, and build understandingby actively involving individuals, groups, and organizations witha stake in the project. Their involvement increases the project’slong-term viability and enhances its benefits to locally affectedpeople and other stakeholders. To be meaningful, consultationshould be carried out in a culturally appropriate manner, withlocally appropriate timeframes and in local languages.

Conflict resolution: The process by which the participantstogether with the assistance of a neutral person or personssystematically isolate disputed issues to develop options,consider alternatives, and reach a consensual agreement thatwill accommodate their needs.

Empowerment: Increasing peoples’ ability to participate indecision making; that is, the ability to negotiate with, influence,control, and hold accountable the institutions that affect theirlives. In its broadest sense, empowerment is the expansion offreedom of choice and action and implies transferring decision-making responsibilities and operational resources to projectbeneficiaries.

Evaluation: Systematic investigation of the worth, value, merit,or quality of an object. It is an assessment of the operation orthe outcomes of a program or policy compared to a set ofexplicit or implicit standards as a means of contributing to itsimprovement. Criteria for evaluation may include relevance,effectiveness, efficiency, impact, and sustainability.

Focus groups: A group selected for its relevance to a particulararea of investigation that is engaged by a trained facilitator indiscussions designed to share insights, ideas, and observationson the area of concern. Focus groups are typically open ended,discursive, and used to gain a deeper understanding ofrespondents' attitudes and opinions. A key feature is thatparticipants are able interact with, and react to, each other. The group dynamic often provides richer insights and data thanwould have been achieved by interviewing the participantsindividually.

Gender: The socially constructed roles ascribed to males andfemales and resulting socially determined relations. Genderroles are learned, change over time, and vary widely within andacross cultures. Gender is a key variable in social analysis. It isimportant to understand the social, economic, political, andcultural forces that determine how men and women participatein, benefit from, and control project resources and activities.Social analysis should highlight gender-specific constraints,risks, and opportunities.

Impact: Any effect, whether anticipated or unanticipated,positive or negative, brought about by a developmentintervention.

Indicator: Quantitative or qualitative factor or variable thatprovides a simple and reliable means to measure achievement,to reflect the changes connected to an intervention, or to helpassess the performance of a development actor.

Input: The activities and resources allocated to theimplementation of community development projects

Institutional Analysis: Analyzes the institutional capacities andrelationships critical to operational success, and identifies gapsor weaknesses in institutional resources, performance orsustainability. Over time, an institution may be consideredsustainable if it can secure necessary support, providecontinuing development activities and services that are valuedby its stakeholders, and maintain its functions with decreasinglevels of external support.

Logical Framework: A simplified chain of relationships thatdemonstrates the logic and assumptions underlying a programor intervention and how it intends to achieve its expectedresults. It states the logic of the program, identifies theassumptions on which it is based, and outlines the logicalconnections between the activities undertaken, the outputs tobe produced, the immediate or short-term outcomes that areexpected, and the ultimate or long-term impacts the program isdesigned to achieve.

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Mediation: A voluntary and confidential process in which aneutral third-party facilitator helps people discuss difficultissues and negotiate an agreement. Basic steps in the processinclude gathering information, framing the issues, developingoptions, negotiating, and formalizing agreements. Parties inmediation create their own solutions, and the mediator does nothave any decision-making power over the outcome.

Mediation-arbitration: A hybrid that combines both of theprocesses outlined above for “Mediation.” Prior to the sessionthe disputing parties agree to try mediation first, but give theneutral third party the authority to make a decision if mediationis not successful.

Mission statement: A brief statement outlining the specifictask(s) for which a group has charged itself.

Monitoring and evaluation: A management tool that providesmanagers with feedback on project effectiveness duringimplementation. This is important in enabling project managersto move away from prescriptive planning toward a more flexibleplanning approach that enables those in charge of projects tolearn and adapt to changing conditions and experience on theground. Managers use participatory monitoring and evaluationto systematically evaluate progress throughout the projectcycle, ensuring the incorporation of the perspectives andinsights of all stakeholders, beneficiaries, as well as projectimplementers. Stakeholder participation in the identification ofproblems and solutions helps to develop ownership andcommitment to any corrective actions that may be decided on.

Negotiation: A discussion among two or more people with thegoal of reaching an agreement.

Non-government organizations (NGOs): Private organizationsthat pursue activities to relieve suffering, promote the interestsof the poor, protect the environment, provide basic socialservices, or undertake community development. NGOs operateindependently of government, are often value-based and guidedby the principles of altruism and voluntarism. Broadly, NGOsmay be operational, when their primary purpose is the designand implementation of development-related projects, oradvocacy-focused, when their primary purpose is to defend orpromote a specific cause or seek to influence developmentpolicies and practices.

Objective: An expression of an effect that a program is expectedto achieve if completed successfully and according to plan.Objectives are often viewed as a hierarchy, beginning withstrategic goals, purposes, outputs, and activities.

Organization: Formal structures with designated roles andpurposes. Organizations and individuals pursue their interestswithin an institutional structure defined by formal rules(constitutions, laws, regulations, and contracts) and informalrules (ethics, trust, religious precepts, and other implicit codesof conduct). Organizations, in turn, have internal rules to dealwith personnel, budgets, procurement, and reportingprocedures that constrain the behavior of their members.

Outcome: The objectives of community development; that is, thelonger term results aimed for at the end of a program.

Output: The direct results of an intervention, a deliverable forwhich management is responsible.

Participation: A process through which stakeholders influenceand share control over development initiatives and the decisionsand resources that affect them. Participation can improve thequality, effectiveness and sustainability of projects andstrengthen ownership and commitment of government andstakeholders.

Participatory Rural Appraisal: A range of participatoryapproaches and methods that emphasize local knowledge andenable local people to conduct their own appraisal, analysis,and planning. It uses group animation and exercises to facilitateinformation sharing, analysis, and action among stakeholders.Although originally developed for use in rural areas, it can beemployed successfully in a variety of settings, enablingdevelopment facilitators, government officials, and local peopleto work together to identify and address local developmentneeds.

Partner: The individual and/or organization with which onecollaborates to achieve mutually agreed upon objectives.

Partnership: Negotiated relationships that exist between two ormore entities that have voluntarily entered into a legal or moralcontract.

Primary data: Qualitative or quantitative data that are newlycollected to address a specific research objective. Primary datamay include original information gathered from surveys, focusgroups, independent observations, and test results.

Problem Census: A tool used to gain a balanced andcomprehensive understanding of community needs. TheProblem Census is particularly useful in understanding thecauses of local development problems, identifying all possiblesolutions to those problems, and, by enabling the broadestcommunity participation, developing program goals andstrategies that reflect the needs and aspirations of all sectionsof the local community.

Program management: Management concerned directly withthe production and delivery of services. Skills and proceduresinclude project cycle management, program formulation,communications, financial and human resource management,and technical reviews and evaluation.

Quality of life: People's overall well-being. Quality of life isinherently subjective and difficult to measure (whether for anindividual, group, or nation) because it includes both materialwell-being and such intangible components as the amenity andquality of the environment, national security, personal safety,and political and economic freedoms.

Qualitative surveys: Research more subjective than quantitativeresearch and uses very different methods of collectinginformation, mainly a relatively small number of individual, in-depth interviews and focus groups. Qualitative surveys areexploratory and open ended, and allow respondents greaterfreedom to influence the research scope and design.Participants are asked to respond to general questions, and theinterviewer or group moderator probes and explores theresponses to identify and define perceptions, opinions, andfeelings about the topic or idea being discussed. The quality ofthe findings from qualitative research is directly dependentupon the skill, experience, and sensitivity of the interviewer orgroup moderator. Qualitative research is often less costly thanquantitative surveys and is extremely effective in understandingwhy people hold particular views and how they makejudgments. While qualitative research does not produce resultsthat are statistically reliable, its findings can, if participants arebroadly representative, be strongly indicative of the populationas a whole.

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Quantitative surveys: Research concerned with measurementof objective, quantitative, and statistically valid data. Simply put,it is about numbers. In quantitative surveys a relatively largeand scientifically calculated sample from a population is askeda set of closed questions to determine the frequency andpercentage of their responses. Quantitative surveys can be usedwith reasonable levels of confidence to assess communityattitudes across large populations. Weaknesses of quantitativesurveys, however, are that they are relatively expensive,questions are strictly ordered and determined by thequestioner, and are closed; that is, respondents cannotintroduce topics into the survey and cannot expand on or qualifytheir responses.

Ranking: An exercise in which respondents identify what ismost important to them (for example, in identifyingdevelopment needs, communities may rank livelihood as moreimmediately important than education). Ranking allowsfacilitators to understand local preferences and to understandhow values differ among different groups. Identifying localpreferences and priorities is critical to choosing appropriate andeffective development strategies and interventions.

Secondary data: Qualitative or quantitative information that hasalready been assembled, having been collected for some otherpurpose. Sources may include census reports, journal articles,technical or academic studies, and other publications.

Semi-structured interviews: Interviews that are partiallystructured by a flexible interview guide with a limited number ofpreset questions. The guide ensures that the interview remainsfocused on the issue at hand while providing enough flexibilityto allow participants to introduce and discuss topics that arerelevant to them. Semi-structured interviews are a deliberatedeparture from survey-type interviews with lengthy,predetermined questionnaires.

Stakeholders: Persons or groups who are affected by or canaffect the outcome of a project. Stakeholders may beindividuals, interest groups, government agencies, or corporateorganizations. They may include politicians, commercial andindustrial enterprises, labor unions, academics, religiousgroups, national social and environmental groups, public sectoragencies, and the media.

Stakeholder Analysis: A process that seeks to identify anddescribe the interests and relationships of all the stakeholdersin a given project. It is a necessary precondition to participatoryplanning and project management.

Standard of living: The level of well-being of an individual,group, or the population, as measured by the level of income orby the quantity of various goods and services consumed.

Strategic plan: An outline of the program or organization’slong-term goals, and of the specific strategies, approaches,methodologies, and resources through which those goals willbe achieved.

Strategic planning: A process by which a future vision isdeveloped for an organization, taking into account its politicaland legal circumstances, its strengths and weaknesses, and thethreats and opportunities facing it. Strategic planningarticulates the organization’s sense of mission and maps outfuture directions to be taken, given the organization’s currentstate and resources.

Strategy: A planned course of action undertaken with the aim ofachieving the goals and objectives of an organization. Strategymay be developed for any aspect of an organization’s activitiesor, at the broadest level, for the organization itself.

Sustainable development: Development that meets the needsof the present without compromising the ability of futuregenerations to meet their own needs. Progress measured insocial or economic terms is accomplished without irreversibleenvironmental degradation or social disruption. The benefitsshould not only outweigh the social and ecological costs butshould also be founded on a rational use of human and naturalresources that can be maintained indefinitely.

Sustainability: The ability of an organization to secure andmanage sufficient resources to enable it to fulfill its missioneffectively and consistently over time without excessivedependence on a single funding source. Sustainableorganizations have (a) the ability to scan the environment, adaptto it, and seize opportunities it offers; (b) strong leadership andmanagement; (c) the ability to attract and retain qualified staff;(d) the ability to provide relevant benefits and services formaximum impact in communities; (e) the skills to demonstrateand communicate this impact to leverage further resources; (f)community support and involvement; and (g) commitment tobuilding sustainable (not dependent) communities.

Survey: The collection of data from a population for the purposeof analysis of a particular issue. In a sample survey data arecollected from a representative sample of the population.

Triangulation: A process of using multiple data sources, datacollection methods, evaluators, or theories to study an issuefrom different perspectives, validate research findings, helpeliminate bias, and detect errors or anomalies in results.

Vision: A description of the large-scale development changes(economic, political, social, or environmental) to which theprogram hopes to contribute.

Vulnerability: Condition characterized by higher risk andreduced ability to cope with shock or negative impacts. It maybe based on socioeconomic condition, gender, age, disability,ethnicity, or other criteria that influence people's ability toaccess resources and development opportunities. Vulnerabilityis always specific to the particular location and time.Development initiatives should assess vulnerability and targetinterventions to particularly vulnerable and marginal membersof the community.

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