seat toolbox - Anglo American

1 Se attoolboxSocio-Economic Assessment toolbox Version 3toolboxse at Anglo American would like to thank the following organisations for their advice and assistance in producing this third version of SEAT: CARE International Fauna and Flora International International AlertAnglo American remains responsible for any errors and omissions. For further information: CORPORATE OFFICE GOVERNMENT AND SOCIAL AFFAIRS 20 Carlton House Terrace, London, SW1Y 5AN, UK T +44 (0) 20 7968 8888 F +44 (0) 20 7968 8637 member of the Anglo American plc groupWinner of the International Association for Impact Assessment s 2012 Corporate Initiative Award: SEAT .. is a unique attempt by a major company to incorporate impact assessment into the ongoing management of major operations.

2 118/05/2012 10:221 CONTENTSSEAT BRIEFINGSTEP 1 INTRODUCTION TO PROFILING THE 3 Anglo American OPERATIONTool 1A: Profiling the Anglo American Operation 5 Tool 1B: Evaluating Economic Impacts 11 Tool 1C: Evaluating Existing Corporate Social 19 Investment InitiativesSTEP 2 INTRODUCTION TO THE PROFILING 23 AND ENGAGEMENT TOOLSTool 2A: Profiling the Local Area 25 Tool 2B: Developing a Stakeholder Engagement Plan 45 STEP 3 INTRODUCTION TO THE IMPACT 59 IDENTIFICATION AND ASSESSMENT TOOLTool 3A: Assessment of Issues and Impacts 61 STEP 4 INTRODUCTION TO THE SOCIAL 69 PERFORMANCE MANAGEMENT TOOLSTool 4A: Complaints and Grievance Procedure 71 Tool 4B: Stakeholder Engagement in Emergency 81 PlanningTool 4C: Conflict Assessment and Management 89 Tool 4D: Resettlement Planning and Implementation 97 Tool 4E: Planning for the Social Dimensions of 111 Mine ClosureTool 4F: Contractor Management 119 Tool 4G: Indigenous Peoples 133 Tool 4H: Voluntary Principles on Security and 141 Human RightsSTEP 5 INTRODUCTION TO THE 147 SOCIO-ECONOMIC BENEFIT DELIVERY TOOLSTool 5A: Approaches to Socio-Economic Benefit 153 Delivery Tool 5B: Local Procurement 163 Tool 5C: Local Workforce Development and Training 169 Tool 5D: Local Infrastructure Development 179 Tool 5E: Local Institutional Capacity Development 185 Tool 5F: Developing Alternative Livelihoods 191 Tool 5G: Micro-Credit for SME Development 201 Tool 5H: Supporting Small Scale Water and 207 Sanitation Service DeliveryTool 5I: Supporting Sustainable Energy Delivery 215 Tool 5J.

3 Supporting Community Health 223 Tool 5K: Supporting Low Cost Housing 235 STEP 6 INTRODUCTION TO DEVELOPING A 255 SOCIAL MANAGEMENT PLANTool 6A: Developing a Social Management Plan 257 STEP 7 INTRODUCTION TO SEAT REPORTING 265 Tool 7A: SEAT Reporting 267 Tool 7B: Sharing Results of the SEAT Process 281 with StakeholdersACKNOWLEDGEMENTS 285 GLOSSARY 287 CONTENTS Anglo American Services UK Ltd 2012 All rights part of this publication may be reproduced in any material form, stored in a retrieval system, or transmitted in any form or by any means (electronic, mechanical, photocopying, recording or otherwise) without acknowledgement and the written permission of the copyright owner.

4 Applications for the copyright owner s written permission to reproduce any part of this publication should be addressed to:Head of Social Performance Anglo American 20 Carlton House Terrace London SW1Y 5 ANTel. +44 (0) 20 7968 8888 Warning: The doing of an unauthorised act in relation to a copyright work may result in both a civil claim for damages and criminal 1 INTRODUCTION TO PROFILING THE Anglo American ObjectivesStep 1 contains a suite of tools designed to build an understanding of each operation and the impacts of the implementing the step 1 tOOlsStep 1 provides guidance on gathering key information about an operation, its economic impacts and the impacts associated with Corporate Social Investment (CSI). The tools in Step 1 are: 1A Profiling the Anglo American Operation; 1B Evaluating Economic Impacts; and 1C Evaluating Existing Corporate Social Investment the end of Step 1 the issues and information requirements criteria in Box should be InformatIon requIrements for step 1 Basic information about the operation Location of the operation Future capital investments and expansion plans Existing closure plans Existing management plans ( social management plans, environmental management plans, etc.)

5 Existing economic impacts The effectiveness, appropriateness and sustainability of existing and associated CSI initiativesstep 1 intRODUctiOn tO pROFiling the Anglo American OpeRAtiOn4 STEP 1 INTRODUCTION TO PROFILING THE Anglo American OPERATION5 Tool 1A: Profiling the Anglo American ObjectivesThe objective of this tool is to provide a standard format in which key information about the operation can be reported. Profiling the Anglo American operation is intended as a desk-based exercise to identify already-known socio-economic issues and impacts, including human rights impacts. The understanding of these issues and impacts will be further developed and enhanced through engagement with external stakeholders (see Tool 2B Developing a Stakeholder Engagement Plan).

6 The information collected will be used in the assessment of the operation s issues and impacts alongside the data gathered in Tool 1B Evaluating Economic Impacts and Tool 1C Evaluating Existing Corporate Social Investment Initiatives. This information will also be useful in the preparation of the Social Management Plan (SMP) (see Tool 6A Developing a Social Management Plan) and the preparation of the SEAT report (see Tool 7A SEAT Reporting). HumAn RigHts cOnsideRAtiOnsIn profiling the Anglo American operation it is important to identify any potential human rights issues and impacts. The United Nations (UN) Guiding Principles on Business and Human Rights (also referred to as the Protect, Respect and Remedy Framework) recommends that human rights due diligence should be carried out in order to proactively identify, monitor and mitigate any potential human rights issues and impacts.

7 Specific questions designed to identify and assess human rights impacts are detailed below. This analysis of operational human rights impacts is supplemented with stakeholder engagement (see Tool 2A Profiling the Local Area and Tool 2B Developing a Stakeholder Engagement Plan). Inclusion of human rights issues in the SEAT process is intended to meet the requirements for ongoing human rights due diligence as recommended in the UN Guiding Principles. tool 1A: Profiling the Anglo American Operation1. COMPANY DETAILSA nglo American business unit:Name of site / operation:Location:Name and position of author:Contact details:Tel:Email:Related Anglo American facilities ( those that process the operation s outputs or supply inputs):2. SEAT IMPLEMENTATION TEAMSEAT champion:Position:SEAT assessment leader:Position:Name of site / operation:Other key internal SEAT study particpants: Accounts / Finance: Supply Chain: Human Resources: Community Relations: Safety and Sustainable Development: Major project teams: Security: Communications / External Affairs: Other (specify):External advisors assisting with implementation of the SEAT process: NGOs / academics / consultants:6 Tool 1A: Profiling the Anglo American Operation3.

8 BASIC INfOrMATION ABOUT ThE COMPANY S OPErATIONSWhat is produced by the operation?Output ( tonnes or ounces / year) at the operation (US$ / year):Number of Anglo American employees (see Tool 1B Evaluating Economic Impacts for guidance on calculating non- Anglo American employees):Total wages paid (US$ / year):Numbers resident in company accommodation (employees and their families):Numbers provided with basic healthcare by the operation:Total pension payments (to public or private schemes, US$ / year):Budget for CSI (US$ / year):5. PLEASE PrOvIDE DETAILS Of PLANNED CAPITAL ExPENDITUrE, INCLUDING ESTIMATED CAPITAL COST4. BrIEfLY OUTLINE ThE hISTOrY Of ThE OPErATIONDate the operation started production:Date the operation joined the Group (if acquired):Date(s) of any significant expansion or downsizing activity:Description of any significant expansion or downsizing activity:Dates and details of any environmental or social impact assessments (EIAs and SIAs) and relevant action plans ( Resettlement Action Plan, Biodiversity Action Plan, etc.)

9 Associated with expansion projects:Yes / NoDateHas the operation ever won awards or commendations for social, economic, environmental or health impacts or initiatives?Has the operation ever experienced: Stakeholder objections to permit applications, EIAs or SIAs? Rejected permit applications, EIAs or SIAs? Adverse media reports on alleged environmental and health impacts? Adverse media reports on social and economic impacts? Criticism from non-governmental organisations (NGOs or CBOs)? Criticism from local governments, politicians or other authorities? Demonstrations against aspects of the operation s activities? Sabotage or persistent vandalism? Conflicts (violent or verbal) between groups of workers? Court action relating to environmental, social or economic issues?

10 Other adverse stakeholder reactions that have cost money or time, or damaged the operation s reputation?NB: In any SEAT report it is not necessary to report old issues that have been resolved to the satisfaction of stakeholders. However, the SEAT assessment process provides an opportunity to address any outstanding issues that have a social or economic dimension. If you do not believe that issues can be addressed then this should be highlighted as a risk to be managed during the SEAT assessment. You should also notify all members of the SEAT implementation team about such issues, particularly where some team members are new to the operation, or where external assistance is being 1A: Profiling the Anglo American Operation6. DESCrIBE CUrrENT APPrOAChES TO SOCIAL PErfOrMANCE MANAGEMENT, INCLUDING, BUT NOT LIMITED TO: policies and commitments (over and above Anglo American s requirements, as set out in the Anglo American Social Way); management systems ( stakeholder engagement, complaints and grievance procedures, resettlement planning, etc.)