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Pioneering New Approaches in Support of Sustainable Development in the Extractive Sector:

A GUIDE FOR THE DESIGN OF PUBLIC PARTICIPATION PROCESSES

PREPARED BY COMMON GROUND

December 2003

PO Box 1828, Cape Town, 8000 20 Kloof St, Gardens, Cape Town, 8000

Tel: 021 424 5052, Fax: 021 424 2495 e-mail: admin @commonground.co.za

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Public Participation Design Guide

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Table of Contents

PREFACE............................................................................................................................... 2

1. INTRODUCTION ............................................................................................................. 3

2. PUBLIC PARTICIPATION BEST PRACTICE ................................................................ 7

3. THE OPERATIONAL CONTEXT .................................................................................. 12

4. THE REGULATORY CONTEXT ................................................................................... 15

5. THE STRATEGIC CONTEXT........................................................................................ 16

6. THE SOCIAL CONTEXT............................................................................................... 19

7. THE COMMUNICATION CONTEXT ............................................................................. 22

8. THE RESOURCE CONTEXT ........................................................................................ 23

9. SUMMARY AND CONCLUSION .................................................................................. 25

APPENDIX 1. THE REGULATORY CONTEXT.............................................................. 27

APPENDIX 2. PARTICIPATION POLICY AND GUIDELINES ....................................... 33

BIBLIOGRAPHY .................................................................................................................. 38

Figures 1 Basic Process Design Approach ................................................................................. 9 2 Components Identified During Participation Process Design .................................... 25


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Preface This design guide on public participation grew out of a process initiated by the International Council on Mining & Metals and the World Bank to pioneer new approaches in support of sustainable development in the extractive sector. Initial work on this project involved gathering and analysing a broad sweep of information on public participation within Southern Africa and beyond. It included an overview of key socio-political patterns within the region; a review of global, regional, and national policy and guidelines for participation; an overview of global best practices; discussion and debate with regional experts; and interviews with a small sample of key informants from business, civil society, and governments in the region that have an interest in the mining industry. The guide aims to help anyone designing public participation processes. It is also intended to help those who review the design of such processes. It therefore has two purposes: • It provides a framework to the process designer to enable the gathering of appropriate

information, to identify key objectives, and to debate and reflect on various design options.

• It provides a template for the process reviewer to assess whether a proposed public participation process has met the necessary requirements and standards of good practice.


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1. Introduction This design guide is based on, among other materials, an overview of public participation within the mining industry in Southern Africa that identified several key themes: • The political environment within the region is broadly permissive of participatory process,

although individual countries have placed significant restrictions on certain activities. • The political environment is supported by extensive policy and legislation that underpins

participatory activity. • Participation practice is highly complex, with diverse conditions across the region. • There are an impressive array of social groups and social conditions. • There are major challenges in establishing and maintaining capacity to facilitate public

participation within government, business, and civil society sectors. • The motivation for public participation is well established and supported by sustainable

development policies and other policies at international, regional, and national levels. • Numerous guides to public participation practice are available within the region, most of

which appear to reflect similar content. • Global best practice identifies the character of good public participation activity as being

rooted in values of accountability, transparency, relationship building, trust, and sustainability.

• The mining industry has complex and variable characteristics that will inform the approaches adopted for stakeholder participation.

From these finding we can make two observations critical to this guide. First, numerous manuals already cover the host of methods that can be applied in public participation activities. They are thorough expositions of the kind of techniques that might make up a practitioner’s toolbox. None of them, however, addresses the fundamental challenge of public participation process design in a variable and complicated industrial sector. Second, mining is a complex sector. There is also a great variability in the approach that can be adopted in the design and implementation of public participation processes. A ‘one size fits all’ approach to process design is thus inappropriate. A design guide is therefore needed that can come to terms with this variability. A Design Guide The design guide is based on six core contexts that need to be taken into account in the design of any public participation process: • operational context, • regulatory context, • strategic context, • social context, • communication context, and • resource context. The guide works from the premise that a close consideration of each of these contexts will facilitate the design process. It therefore considers each of them in three related ways:


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• It poses a set of basic questions about key information that is needed to understand

each context from a public participation perspective. • It suggests a set of public participation objectives for each context, drawn from a review

of best practice. • It reflects on the implications of each of these objectives for the design of a public

participation process. The process designer or the reviewer will be able to build a textured understanding of relevant issues, ideas, and objectives for each of the contexts. These parameters can then be combined, considered, and consolidated into an appropriate process design. They can also be used to assess the appropriateness of the particular process design. Figure 1 captures the basic approach adopted in this design guide.

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Public Participation Process Design Parameters

Public Participation Process Design

Figure 1. The Process Design Approach

The Six Contexts Each of the six contexts focuses on a key aspect relevant to the design of public participation processes. In the chapters that follow, in each case you will be able to reflect on the specific context by being: • asked a set of questions that will help you identify the major information requirements, • presented with a set of objectives for public participation drawn from best practice and

relevant to this context, and


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• challenged to reflect on the information and objectives through a discussion of key implications for the design of your public participation process.

Operational context Designing public participation processes in the mining industry requires a close understanding of the specific dynamics of the mining operational context. The mining life cycle includes a highly diversified set of processes and activities, time frames, scales, and scopes. Regulatory context Laws and regulations provide a crucial parameter in establishing what is both permissible with respect to public participation and what is required. National, state, provincial, and local laws and regulations vary greatly within Southern Africa. There are two key dimensions to the regulatory context. The first relates to basic freedoms. Effective public participation requires a political and rights context that allows civil society to be involved in policy and development processes. Good participation processes can take place in relatively repressive conditions. But this is not always the case. The second dimension relates to pertinent law and policy on stakeholder involvement, access to information, and access to justice. Within the region, an environment conducive to public participation seems to have emerged. It should not be concluded, however, that this necessarily translates into the presence of the most appropriate conditions for participation. A further key consideration is that most laws and regulations tend to be functionally oriented, formulaic in their prescription, and minimal in the standards they set. They are often narrowly focused on key activities or specific phases of the mining cycle. As such, they tend to militate against a strategic or long-term view. Best practice should seek to address these concerns while ensuring that processes are lawful and in the spirit of good governance. Strategic context There are a wide range of motivations for involving the public in mining processes. These reflect both short-term and long-term interests. Some motivations are based only on compliance with regulatory requirements, while others seek to go ‘beyond compliance’. Still others tend to focus on functional operational needs, as contrasted with those concerned with building good relations in the future between all stakeholders. This design guide encourages the longer-term view on building relationships with the public by those initiating public participation processes. Public participation processes can be designed to achieve all of the outcomes just described. It thus becomes crucial in the design process that the strategic context is closely examined and debated prior to taking significant process design decisions. Key considerations in the strategic context include understanding the underlying motivations and commitment to public participation, as well as the policies related to it. Social context The social context includes factors related to how we select and categorize stakeholders. This includes issues related to the geographic location of mining activities and the extent to


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which participants in any processes are area-specific rather than drawn from beyond the immediate locale of mining operations. A further key factor is the role of power and power relationships. Relevant issues here include representivity, inclusivity, and the exclusion of key groups and individuals. Power influences can manifest themselves among stakeholder groups, between stakeholders and mining operators, and between stakeholders and public decision-makers. Appreciating the relative importance and influence of stakeholders consequently becomes a core exercise in public participation process design. Material conditions and the capacity of stakeholders to become practically involved in participation processes is also a key design determinant. Other key features include tradition and culture, gender, perceptions and expectations, and the lessons of prior processes. Communication context Process designers often overlook the inclusion of an explicit communication programme as a core component in the design of public participation processes. The use of diverse media and other communication channels provides a fundamental underpinning to successful participation exercises. Good communication is based on a good understanding of target groups and literacy as well as of available communication channels and media. Resource context Public participation is an intensive activity in terms of both finances and human resources. It is necessary to design processes within the limits of available resources. Limited funds and human capacity may require a trimming of activities to be in keeping with reduced design parameters. In addition to finances, it is necessary to ensure that there are appropriate levels and quality of internal and external personnel.


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2. Public Participation Best Practice Before describing the six contexts in detail, it is helpful to review the literature on global best practices in this field. This reveals two key areas that provide a background for the design guide: the motivations for public participation and the core values and lessons from current practices. Motivations for Public Participation Drawing on the public participation literature as well as on local and international experience, a good number of motivations for public participation can be identified. Building democracy and accountability Public participation in business and government processes is an important basis for building democracy and corporate accountability and for fostering a strong and vibrant civil society. Not only does public participation increase accountability, it gives people opportunities to learn about their rights, to develop a range of skills central to democracy (including negotiation and organizational skills), and to mobilize community resources. These qualities are central to political, economic, and social development in general and to addressing inequalities and alleviating poverty in particular. Improving relationships Participation can build trust between partners and lead to long-term collaborative relationships that facilitate working together. Each successive opportunity for public participation builds on the successes or reinforces the failures of past processes. Building consensus at various stages of the participatory process helps reduce the potential for destructive conflict. Addressing inequality Public participation processes that explicitly seek to involve marginalized stakeholders (including historically disadvantaged groups, women, youth, and those with disabilities) help to overcome the deep inequalities that exist in developing countries, such as those found in Southern Africa. Promoting transparent governance Public participation fosters open and transparent decision-making and operational processes, thereby holding government and companies accountable and ensuring that the public interest is more effectively served. Determining needs and priorities There is widespread recognition of the failure of historical top-down, prescriptive approaches to identifying and addressing basic needs. It is imperative to involve the public in determining their needs, interests, priorities, and concerns. Only then can governments and businesses be sure that scarce resources are being optimally allocated to meet the real priorities of local communities.


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Promoting sustainable development The pursuit of sustainable development has been adopted as a central objective of governments around the world and is increasingly endorsed by leading corporations as essential to their business. Sustainable development requires the integration of environmental, economic, and social considerations in planning and operations. It is increasingly apparent that any development effort requires the active involvement and support of civil society to be truly sustainable. Involvement through public participation in planning and decision-making processes introduces a broader range of ideas, experience, and expertise, and it encourages the development of alternative solutions that are more likely to contribute to sustainable development. Fostering integrated approaches to planning and development Sectoral planning and decision-making can generate negative externalities because they fail to take into account wider social implications. There is widespread recognition of the need to foster more integrated approaches to planning and development. But doing so requires that role-players from different sectors of society cooperate. Public participation creates an opportunity to integrate citizens’ needs and aspirations into planning and development, to coordinate the activities of different sectoral interests, and to foster collaboration between various sectors. Improving the quality of decisions Involving the public in planning, decision-making, and operational processes ensures that the local knowledge and lived experience of the public contributes to more informed decision-making. Decisions that are informed by public opinion are also much more likely to be actively supported by the public and are therefore more likely to succeed. Increasing the prospects for effective implementation The development literature is full of examples of well-intentioned ‘third party’ efforts to meet community needs that do not work in practice. Examples range from large infrastructure projects, such as dams and roads, to smaller-scale initiatives such as well points, latrines, or taps. Many of these efforts have been unsustainable simply because they lacked community support, and inadequate consideration had been given to the skills and resources required to maintain the infrastructure. In other instances, significant delays and costly legal disputes have been avoided by building agreement among key stakeholders. In addition, participatory processes have the potential to garner more resources than any one stakeholder can muster. Creating meaningful opportunities for public participation is therefore an important strategy for improving the prospects that plans and decisions are implemented effectively. Core Values and Some Key Lessons The involvement of the public in planning and decision-making processes has been common around the world for several decades. However, the circumstances in which participatory processes have been carried out differ considerably, and efforts to involve the public have varied correspondingly. Notwithstanding differing viewpoints and approaches, the practice of public participation involves a core set of values. The ones described here were developed by the International Association for Public Participation (IAP2) over two years, with broad international input to ensure that a wide range of national, cultural, and religious perspectives would be taken into account (IAP2, 2003).


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• The public should have a say in decisions on actions that affect their lives. • Public participation includes the promise that the public’s contribution will influence the

decision. • The public participation process communicates the interests and meets the process

needs of all participants. • The public participation process seeks out and facilitates the involvement of those

potentially affected. • The public participation process involves participants in defining how they participate. • The public participation process communicates to participants how their input affected

the decision. • The public participation process provides participants with the information they need to

participate in a meaningful way. The purpose of these core values is to help make better decisions that address the needs of interested and affected parties. While there is no ‘blueprint’ on how to conduct public participation processes, experience accumulated over the last few decades suggests a number of insights and instructive lessons. Public participation is not a neutral endeavour Involving interested and affected parties in planning, decision-making, and operational processes can bring about a change in the allocation or use of resources that affects and may threaten the status quo. Including and addressing the interests of historically disadvantaged and marginalized groups, in particular, can pose a serious threat to those who hold power and influence. The extent to which public participation brings about changes in existing power relationships will be viewed differently, depending on an individual’s vantage point. Understanding the power relationship context within which participatory processes take place is therefore of crucial importance. The relationship between participatory processes and formal decision-making structures and processes must be clear Participatory processes play a crucial role in forging links and building constructive relationships between communities and role-players in government and industry. The focus here falls mainly on the civil society–government relationship, although the dynamics discussed may be pertinent to certain aspects of the relationship between companies and communities. At least two issues deserve attention. First, the public needs to develop an understanding of how formal government structures and processes work, along with the skills needed to engage with government. And government officials and elected representatives need to learn about communities’ needs and practices and to develop skills in the practice of cooperative governance. Public participation can help to improve understanding and build these skills. Second, inflexible, top-down bureaucratic practices hinder public participation. Transforming such practices, however, takes time. A transition is therefore typically required in moving from a prescriptive to a participatory mode of governance. Making this transition does not depend on having the ‘perfect’ policies and structures in place. Much can be achieved with the right motivation and leadership: the core values described earlier provide a solid foundation in this regard. Participatory processes should be inclusive Participatory processes should provide opportunities for the involvement of all those who have an interest in the outcome of the process as well as those more directly affected by the


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issue, including those who might have responsibilities for implementing the decision as well as those who might not realize they have a stake in the outcome. Extra effort should be made to include special interest groups and marginalized groups. The public needs to be involved early in the process The earlier the public is involved in planning and decision-making processes that affect their well-being, the more likely they are to ‘own’ the outcome. Participatory processes need to be tailor-made Circumstances and the parties involved vary from place to place and change over time. The design and management of meaningful participatory processes therefore needs to be informed by context-specific characteristics, including the cultural, educational, socio-economic, and prior participatory experience of participants. Different role-players enter participatory processes with different needs, interests, and expectations. They also have different ‘participatory capacity’, which affects the extent to which they can engage in the process. Determining how best to tailor a particular participation process to suit the prevailing circumstances can be considerably enhanced by involving interested and affected parties in the design. For example, they can help to identify who the interested and affected parties are and how best they can be reached. The choice of public participation approach can aid or hinder the participation of stakeholder groups. Participatory processes are exercises in building trust Overcoming historical differences and moving towards relationships in which there is mutual respect and cooperation requires trust. Building such trust takes time and effort. One way of formalizing participation and building long-term relationships is to establish community representative forums. Conflict is a normal part of participatory processes Conflict is a normal part of social relationships, with both positive impacts (such as highlighting an issue that requires urgent attention) and negative ones (violence, in the worst case). Conflict is not a problem in itself; in fact, if managed correctly, conflict can lead to more grounded decision-making. Participatory processes bring together parties with divergent interests. The inevitable consequence is some degree of conflict during the process. Conflict management mechanisms therefore need to be built into the design of public participation processes. The establishment of good relationships with stakeholders, as well as a good understanding of local dynamics, assists with conflict management. Participatory processes present opportunities for capacity building and learning Successful participatory processes require capacity building on a number of levels: from technical information and listening and negotiation skills to material support for meeting attendance. The nature of the capacity building required will vary with the needs of different participants. Everyone, however, will have the opportunity to learn from the experience. They will have a chance to learn about the needs and interests of other participants. They will also be able to develop a better understanding of the issues under discussion as well as new insights about the challenges and opportunities for achieving a satisfactory outcome. Participants need accessible information in plain language and with regular feedback Meaningful participation necessitates access to information. A common criticism of participatory processes is that information is either not readily available (placed in


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inaccessible libraries or on the internet, which is typically not accessible to poor people), or it is not easily understood because of complicated language, jargon, and technical detail. In addition to requiring accessible information, participants need regular feedback to know how their input is informing the process. Participatory processes take time and resources The time and resources required to conduct successful participatory processes are frequently underestimated. Participants often complain that insufficient time is provided for review of information and comment. Furthermore, because of the importance of responding to the needs and interests of participants, it is often difficult to predict just how long such processes might take and what level of resources will be required. Making a commitment to see participatory processes through to their logical conclusion may appear to involve extravagant costs, at least in the short term. But securing public support may prove to be a cost-effective means for addressing a particular issue in the longer term. Experienced facilitators are one key to successful participation Experienced facilitators who are widely trusted can play a vital role in bringing diverse and often contending stakeholders to the table and maintaining their interest and active participation. Independent facilitation is often required in circumstances where needs and interests are divergent. It is also important that a principle-based approach, as opposed to a ‘recipe’ approach, is adopted in designing and managing public participation processes. Facilitators with a proven track record of practical experience are better equipped to design and manage processes on this basis than are facilitators with limited real-world experience or those who tend to follow a predetermined ‘recipe’. Outcomes will vary, depending on the depth and extent of participation The outcomes of participatory processes will vary, depending on a range of factors, including the socio-cultural and physical characteristics of different places and the associated variations in participatory practice (ranging from who participated, and in what manner, to the nature and scope of the issues being addressed). There is no blueprint for realizing the potential of participatory processes. But the more thoroughly these processes are carried out—deepening and extending opportunities for participation—the more likely it is that this potential will be realized. The outcomes are then likely to have more profound and lasting impacts, extending beyond relatively mundane matters (such as gathering data) to more profound considerations (such as developing a common understanding and building new relationships). Participatory processes are not ‘one-off’ exercises It is important to view project-specific participatory processes as part of a broader agenda of strengthening civil society and promoting democracy and sustainable development. The efforts made to build ‘participatory capacity’ will thus be rewarded over time. It is, however, important to develop a critical and reflective participatory practice, systematically reviewing past experience with a view to improving future efforts.


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3. The Operational Context

Key Operational Informants

What phase of the mining cycle is under consideration?

What are the operational objectives of the activity under consideration?

What are the critical path, key milestones, timing, and resource parameters of the activity under consideration?

What is the scope and scale of the activity?

At what stages of the activity is public participation an operational requirement?

Are there other operational initiatives or activities that may have an impact on the activity under consideration?

Operational Best Practice Objectives

Process Design Implications

Public participation processes should be designed to align with the operational requirements of the mining activity under consideration

• A core informant is the phase of the mining cycle under consideration. For purposes of public participation design, there are six broad phases of this cycle:

- Policy, Strategy, Target Generation, and Acquisition: This phase would generally take place at a high level, either within government or within business. Within government, it could be initiated at an inter-governmental level within the region or at a national, state, or provincial level. Within industry, it could be initiated industry-wide or within a single business. The emphasis at this stage of the process would be to develop broad direction to guide the industry or business to future opportunities. Being at a high level, it would imply that stakeholders operating at a high level, capable of engaging with the policy process, should be involved. Methodologies for participation could, however, be developed that allow proposals to tested at a local level, drawing on the involvement of ‘grassroots’ stakeholders.

- Exploration: Exploration entails the physical search for minerals that could be exploited. It is largely a technical exercise calling on the skills of highly specialized professionals who can play an important role in relationships with the public, both over the short term as well as the long term. It could entail a possible need for negotiation around exploratory activities. Where exploration raises the possibility of any group or community being affected at some point in the future, the need to consider mechanisms for the participation of stakeholders is suggested. At the very least, participation at this stage would entail informing possibly affected parties of the potential for mining.

- Feasibility: This phase is dedicated to establishing the feasibility of mining operations as well as its possible impacts. It calls for the extensive involvement of stakeholders in establishing impacts and mitigating measures through an impact assessment exercise. Being site-specific, it allows for the identification and engagement of specific stakeholder groups in the locality of potential operations. Relationships established at this stage of the process will be crucial to the future life of the mine. At this stage, processes for


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engaging stakeholders in operational plans, local community development plans, and mine closure and post-mine plans can be initiated. These relate to long-term relationships and processes well beyond the immediate circumstances of this particular phase.

- Construction and Commissioning: These stages follow the decision to proceed with a project but precede formal operation by the owner or management company. Often these stages are undertaken outside contractors. As such, they are significant from a participation point of view as they need to be closely aligned with the ongoing public participation programme and need to be consistent with approaches developed in prior and subsequent phases. The company commissioned to undertake these stages would need to follow an approach that will allow for a seamless and productive shift to subsequent phases of public participation activity.

- Operations: The operational stage of the process is a decades-long exercise that will be affected by a wide range of developments and changing conditions over time. Activities may include cutback, expansion, major alterations, unplanned closure, and temporary care and maintenance. The prior planning will come into effect during this stage, as will new plans developed with stakeholders from time to time. Regular reflection, monitoring, and evaluation of progress would be undertaken and activities amended accordingly. This stage of the mining cycle also entails extensive activities in working with communities on local development activities beyond the immediate operation of the mine. While driven by clearly determined and rational plans, there will be an organic quality to this phase of the process from a participation point of view, as it will be driven by circumstances that emerge over time.

- Closure and Post-Closure: This stage relates to the termination of mining operations and the subsequent impact on the life of associated communities. Careful planning and the initiation of long-term developmental activity early in the mining cycle will allow for a smooth transition to this stage. Unforeseen closures pose a particular challenge, in that plans may not anticipate the disruptive effects adequately. The impact on stakeholders is often profound in such cases and requires special consideration.

• Within each phase of the mining cycle, the process designer must have clarity on key technical information, which can form the basis for the timing and phasing of public participation. This would include information on critical paths, milestones, timing, and resource parameters.

• Often more than one activity is occurring at once, either a mining operation or public participation. Confusion can be created for public stakeholders in such circumstances. Where possible, parallel processes of this nature should be coordinated, aligned, or integrated.

Public participation processes should be guided by the scope and scale of the mining activity under

• Very often mining activities are confined to a particular area that becomes the focus of stakeholder participation. Increasingly, stakeholders drawn from outside the immediate mining area are being drawn to participatory processes. These groups, often protecting or promoting special interests, need to be accommodated in the design and implementation of participatory


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consideration, and broadened if this serves a longer-term strategic purpose

processes.

• Many activities calling for participation can be seen as being exclusive to only one phase of the mining cycle. An example of this might be the impact assessment activity, which is part of the feasibility phase. Participation processes for such activities can be designed narrowly to serve the short-term impact assessment purpose, satisfying immediate functional or operational ends. It is strongly recommended, however, that long-term and strategic interests also be considered in the design of public participation processes. In such an approach, the way in which stakeholders are involved in the process will be informed as much by the immediate operational requirement as by the longer-term strategic consideration. This matter is discussed in greater detail in the chapter on Strategic Context.


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4. The Regulatory Context

Key Regulatory Informants

What are the prescribed laws and regulations governing public participation processes?

Do the prescribed laws and regulations set out minimum, maximum, or recommended standards of behaviour?

Is the broader constitutional and legislative context conducive to productive and substantial public participation, notably with respect to conditions relating to democracy and basic freedoms?

Are there laws specific to particular phases of the mining cycle that need to be taken into account, such as impact assessment regulations pertinent to the feasibility phase of the cycle?

Regulatory Best Practice Objectives Process Design Implications

Public participation practices should at all times be within the letter and spirit of the law

• Appropriate laws and regulations to give general guidance to participatory activity exist in most jurisdictions within the region. (See Appendix 1 for an overview of these.)

Public participation processes should be designed and implemented in a way that goes beyond mere compliance with minimum legal requirements

• Regulations for public participation tend to be minimal, with strategic participation considerations not necessarily covered. It is strongly advised that the existing regulatory context be treated as a point of departure, and that process designers constantly seek to develop processes that go beyond compliance.

Where appropriate laws do not exist, public participation processes should be designed and implemented in accordance with international best practice standards

Government authorities should be encouraged and supported to develop appropriate laws and regulations to guide public participation processes where such regulatory devices do not exist

• A broad array of guidelines and policy documents can be drawn on to develop appropriate regulatory instruments for specific jurisdictions within the region. (See Appendix 2 for an overview of participatory policy and guidelines.)


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5. The Strategic Context

Key Strategic Informants

What are the relevant policies of the body initiating the public participation process?

What operational and/or strategic objectives does the body initiating the process have with respect to public participation?

What status will be accorded to the outcome of the public participation process? Will it be for information purposes, be advisory, or require a particular course of action?

What is the nature of support given to the public participation exercise by the organization’s leadership?

What flexibility is there to design public participation processes so that they serve more than immediate functional or operational purposes?

What other public participation processes, either completed, to be initiated, or already under way, are there that may be of influence?


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Strategic Best Practice Objectives


Public participation process design should be explicit about the purpose of the process and the status of its outcome

• Public participation can include a range of activities and approaches, ranging from persuading the public of a particular view to the delegation of authority to the public. IAP2 has synthesized much thinking into what is termed the continuum of public participation. Each of the points along the continuum represents different approaches with distinct outcomes. The approaches are not necessarily mutually exclusive, and a process designer could effectively combine approaches as appropriate. The points on the continuum are:

- Persuade: Techniques such as paid advertisements can be used to change public attitudes without creating opportunities for or even raising expectations about involvement. Such approaches provide no opportunity for public participation and may better be described as ‘public manipulation’.

- Inform: Information can be distributed to improve public awareness of and understanding about a project or issue. There is no public involvement in the planning, decision-making, or operational processes; the public is simply more informed about the decision.

- Consult: Public input and feedback can be sought before a decision is made, letting the public influence the decision-making process. Such input can be obtained through such techniques as surveys, focus groups, or workshops. The intention is to keep the public informed, listen to their concerns and views, and take them into account in the planning and decision-making process. But the extent to which the public influences the outcome is determined by the group initiating the process, which retains final decision-making authority.

- Collaborate (joint planning and decision-making): The public is represented in the planning and decision-making process and is given voting and decision-making authority. This involves shared responsibility, with the main players jointly exploring alternatives and identifying and even implementing the preferred solution. Collaboration can be achieved through a variety of techniques, including the establishment of joint committees and of participatory processes, such as mediated negotiation, that build consensus.

- Empower (delegated authority or self-determination): The public assumes responsibility for the planning and decision-making process, with other organizations, including government, accepting the outcome. Government still has a crucial role to play in providing the constitutional and democratic framework within which this can take place and in enabling civil society to assume this responsibility.


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Strategic Best Practice Objectives


Public participation processes should strive to fulfil long-term strategic objectives aimed at promoting sustainable relationships with the public and affected communities

• Participatory approaches that promote collaboration and empowerment are encouraged. There is a need to design processes that seek long-term participation outcomes and that address the long-term role, involvement, and development of stakeholders and communities in relation to the mining industry. This approach would recognize that the public is an ‘asset’ to the industry that needs to be developed and nurtured. This is contrasted with those who see external stakeholders as liabilities that need to be avoided, or at best contained. (See Appendix 2 for an overview of participatory policy and guidelines and Appendix 3 for an overview of global best practice.)

Public participation process design should be based on organizational policies that make the purpose of public involvement explicit

• The point of departure in the design of public participation processes should be a relevant organizational policy. Such policies should explicitly set out the motivation for and value of public participation and why the organization seeks to pursue it. Policies should be oriented towards a long-term view on public participation that recognizes the community and stakeholders as assets.

Public participation processes should carry the support of the leadership of organizations initiating them

• Ideally, political or board-level endorsement and support should be given to public participation policies and practices. At the operational level, line managers should be directly involved in participatory activity in order to project the organization’s endorsement of the process. Organizations need to adopt an internally coherent and consistent approach to public participation across line functions and departments.

Public participation processes should be designed to be coordinated and aligned with other participatory activities

• Stakeholder fatigue and confusion is a common phenomenon. It is particularly present in contexts where parallel participation activities are conducted that could be coordinated and aligned. Practical steps need to be taken to integrate participatory activities within and between companies, as well as within and between spheres of government.


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6. The Social Context

Key Social Informants

Who are the stakeholders to be involved, both organized groups and individuals?

How does the geographic location of the mining operation affect the selection of stakeholders?

What is the character of the organizations to be involved in terms of representivity, capacity, and networks?

What are the dynamics of power within the organizations to be involved with respect to leadership, influence, importance, and patterns of conflict?

What role do traditions and local cultures play in the participation of stakeholders?

What role does gender play in the participation of stakeholders?

What are the perceptions and expectations of stakeholders with respect to public participation processes?

What lessons can be learned from prior participation processes relevant to the same group of stakeholders?

Social Best Practice Objectives


All relevant stakeholders should be effectively involved in participatory processes

• Public participation processes need to be inclusive of all stakeholders. The exclusion of any stakeholders is likely to give rise to conflict or to minimize the possible public contribution to the process and diminish the quality of the outcome. The following questions can help identify the stakeholders relevant to a particular process:

- Who will benefit from the exercise?

- Who might be negatively affected?

- Who might obstruct or oppose the process?

- Who might have resources to contribute to the process?

- Who will take decisions in the process?

• Appropriate technologies should be put in place to keep records of all stakeholders and to assist in the process of maintaining contact with them.

Public participation processes should be conducted in ways that provide all stakeholders with equitable access to effective participation

• Almost by definition, social processes will give rise to the exercise of power. Public participation processes are not excluded from this, and every effort needs to be made in the design and implementation of processes to restrict its negative potential. Inter- and intra-group conflicts need to be recognized and accommodated in the design of processes, as well as through the use of practitioners skilled in managing disputes and conflict. The following are key concerns in this respect:

- Authoritarianism: Every effort needs to be made to avoid the exercise of an authoritarian attitude and controlling behaviours by company or


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government representatives. It undermines and diminishes the value of participation processes when one party comes to dominate them.

- Access to Information: If one of the parties has exclusive access to crucial information, that party will retain power and control. It follows that free access to information for all participants should be encouraged as far as possible.

- Bias: Often bias manifests itself in the running of participation processes. This can take the form of proposals being presented without alternatives or motivated to the exclusion of competing views. The role of anyone facilitating public participation processes should be to create opportunities for and encourage debate. This can only be done if there is an active attempt to overcome bias.

- Intellectual domination: The use of inaccessible jargon or languages unfamiliar to participants and an intellectually arrogant attitude can damage the participation process. They serve to sway the balance of power and need to be avoided.

- Gatekeeping: One problem in participatory processes is controlling the involvement of civil society groups by self-appointed leaders. This serves to create an imbalance of power and prevents fair access to the process by members of the public.

• In analysing stakeholder groups, it is necessary to distinguish between groups that are influential and those that are important to the process. Often these two considerations do not coincide.

• A common factor that can militate against equitable access to participation processes is the restricted capacity of civil society groups to participate. This can take various forms, including a lack of knowledge, a lack of appropriate skills in participation and communication, and a lack of access to basic material resources, such as communication technology and transport. Process design needs to be founded on an understanding of the dynamics associated with this consideration and to address them directly.

Public participation processes should be conducted in ways that respect local languages, traditions, and cultures

• Southern Africa manifests a great diversity of languages, cultures, and traditions. These need to be understood and integrated into the design and implementation of participation processes.

Public participation processes should be conducted in ways that actively promote gender equity

• Public participation process design needs to explicitly recognize the marginalization of women in many Southern African societies and explicitly identify mechanisms for addressing this concern.

Public participation processes should be designed on the basis of a sound understanding of

• Public participation process design exercises should be preceded by exercises to learn from related previous activities.

• There should be an ongoing process of monitoring and evaluation of public participation processes within the region, and lessons need to


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experience of prior exercises, as well as stakeholder perceptions and expectations

be extracted for incorporation into future process designs.


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7. The Communication Context

Key Communication Informants

What information needs to be communicated to stakeholders? What information will aid their participation?

What is the nature of stakeholder groups from a communication perspective—levels of literacy, language, and knowledge levels?

What are the appropriate media and channels for communication with stakeholders? Communication Best Practice

Objectives Process Design Implications

Public participation processes should include a communication strategy that aims to provide appropriate information on time

• A communication strategy should be designed to accompany each public participation process and should be guided by the objectives and stages of the process design.

Public participation processes should provide equitable access to relevant information in a way that promotes participation

• The communication strategy should set out clear and appropriate channels and media for communication. It should also indicate how the information would be made accessible to the target group.


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8. The Resource Context

Key Resource Informants

What financial and human resources are required to undertake the process in question?

What financial and human resources are available?

Resource Best Practice Objectives


Public participation processes should be designed within the limits of available resources

• Establish the available funds and human resources.

The requisite levels of resources, both financial and human, should be provided to ensure that public participation processes of the highest quality are conducted

• Organizations initiating public participation processes should set aside sufficient resources in order to implement appropriate processes. It is in the nature of public participation that it can lead to unforeseen outcomes. So it is also necessary to make provision for contingencies.

• The mining cycle includes activities undertaken by diverse bodies. This is the case, for example, in the outsourcing of exploration, impact assessment, and construction functions. External bodies may implement public participation activities during these phases. It is necessary to ensure that there is a consistency of approach to public participation processes across these phases and that the relevant mining company or relevant government body retains oversight wherever appropriate.

• Public participation calls on a diverse range of skills and capabilities. There are several key capabilities required of those tasked with responsibility for various public participation facilitation functions:

- High ethical and professional standards: Of crucial importance is the need for practitioners to act with confidence in their role in a process. In many cases, new entrants to the field lack this confidence and would benefit from the mentoring and support of more experienced colleagues.

- Analytical capability: Facilitators require a keen understanding of the political and socio-economic dynamics within the area or the industry. The ability to analyse and integrate information of this nature is of crucial importance in guiding the work of the facilitator.

- Design skill: Facilitators need the ability to design participation processes for diverse circumstances.

- Research: Facilitators need the ability to conduct research on the social profile of the affected stakeholder groups, as well as to compile databases of stakeholder information.

- Project management and administration: The ability to ensure that the diverse range of activities in a participation process are delivered on time, within budget, and of the needed quality is a vital attribute of a facilitator.

- Liaison ability: The facilitator needs to be able to comfortably and freely


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Resource Best Practice Objectives


liaise with a wide range of stakeholder groups. This requires adaptability, flexibility, and good communication skills.

- Group Facilitation: The ability to facilitate groups of both similar and diverse stakeholders is a vital attribute required of a facilitator or mediator. The facilitator requires an understanding of the range of facilitation approaches and tools.

- Mediation: The ability to mediate in situations of dispute is an additional capability that would be welcome. It should be recognized that many facilitators, however, are not trained to engage in mediation. In cases where it is required, an external mediator may be needed.

- Documentation: A wide range of documents need to be drafted in a public participation process. The facilitator needs the ability to be able to generate high-quality documentation. Documents include minutes of meetings, reports, correspondence, and media releases, as well as articles, brochures, and other communication media. The ability to write in an accessible way is crucial.

- Public Speaking: The facilitator often needs to be able to present complex ideas to groups of stakeholders in an immediate and accessible way. Skills in public speaking and accessible language use are thus important.

- Communications: Communication activities are crucial to successful public participation. In many cases the activities associated with communications, such as media liaison, editing, and publishing, can be provided by others. But it adds value to the process when the facilitator has a good understanding of these aspects of the participation process and is able to provide oversight.


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9. Summary and Conclusion This participation process design guide is based on a combination of six contexts, each of which is considered from the point of view of information, best practice objective, and implications. The task of the process designer or process reviewer is to work through each of these contexts and draw together a set of key parameters. These should be put together and debated in order to consolidate an appropriate public participation process design. Figure 2 summarizes the components to be considered.

OperationalC

ontext

RegulatoryC

ontext

Strategic C

ontext

Social C

ontext

Com

munication

Context

Resource C

ontext

Public Participation Process Design Parameters

Public Participation Process Design

This context will identify:• Regulatory minimums• Potential for beyond–compliance• Need for new regulation

This context will identify:• Stakeholders• Power and other relationships• Language, tradition and culture• Gender issues• Lessons learned from experience

This contextwill identify:

• Financialrequirements

• Humanresourcerequirements

This context will identify:• Phase of the mining cycle• Operational critical paths,

milestones, timing andresource parameters

• Related Activities• Scope and Scale

This context will identify:• Purpose of the process• Status of outcome• Broad participation

approach• Potential for long-term

strategic outcome• Organisational policy and

support• Need for coordination with

other processes

This context willidentify:

• Communicationmedia and channels

• Accessibilitystrategy

Figure 2. Components Identified During Participation Process Design


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In conclusion, we make the following recommendations: • The mining industry should set indicators of public participation performance for the

mining sector, as well as goals and time frames to achieve these. • The guidelines and methods in this design guide should be pilot-tested in an appropriate

selection of case examples over two to three years. The results of the pilot exercises should be used to refine and revise the guidelines.

• A system for monitoring and evaluating public participation processes within the mining sector in Southern Africa should be initiated in order to keep up with current trends, learn lessons, and improve practices.


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Appendix 1. The Regulatory Context This Appendix provides a brief and preliminary overview of pertinent legislation and applicable policy in Southern Africa. In particular, the review highlights legislation and policy pertaining to requirements for stakeholder involvement, access to information, access to justice, and various environmental laws as well as mining laws and policies.


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TABLE 1: Summary of Legislation and Policy

COUNTRY LEGISLATION EXPLANATION Angola • Mining Law of 1992 (1/92)

• The Basic Law of Environment • A section within the Mining Law addresses environmental protection during operations and after closure. • Chapter 5 of Angola’s Basic Law of Environment grants citizens access to information as well as capacity

building to ensure effective participation. It is intended to ‘define(s) the concepts and the basic principles of protection, preservation and conservation of the environment, promotion of the quality of life and the national use of natural resources’.

Botswana • Natural Resources Protection Law • Mines and Minerals Act, 1999 • Environmental Impact Assessment

Bill • National Conservation Strategy • National Policy on Natural

Resources on Conservation and Development

• The Environmental Impact Assessment Bill proposes that ‘interested parties such as decision makers or local people are consulted to canvass their views on the proposed development in order to determine the important issues to be addressed in the assessment’.

• The Mines and Minerals Act requires that an EIA be undertaken for a mining concession area. • Access to participation, education, and community awareness form part of the National Conservation

Strategy. • The government is currently preparing an Environmental Impact Assessment Bill as well as a National

Conservation Strategy Act (Environmental Management Act) that will meet the guidelines and objectives of the National Policy on Natural Resources on Conservation and Development; this policy ‘seeks to increase the effectiveness with which natural resources are used and managed, and to integrate the efforts of ministries and non-governmental interest groups to maximise the conservation of natural resources in the country’ (UNDP in Botswana, undated).

Democratic Republic of Congo

• Environmental Protection Act • Draft Constitution of the Transition

for the DRC

• Articles 29 and 16 of the Draft Constitution of the Transition promotes access to information. Articles 30 and 31 attempt to create an environment for stakeholder involvement, while Article 51 stipulates that women need to be given an opportunity to participate. The right to a healthy environment is also made a constitutional right.

Lesotho • Lesotho Environmental Policy • EIA Guidelines Lesotho • Mining Rights Act (Act 43 of 1967)

• The Lesotho Environmental Policy states that: ‘Participation will be promoted through activities in the following programme areas:… 4. public participation in decision making and programme implementation processes; 5. environmental education and public awareness.’

• Currently revising the Mining Rights Act as it does not address issues related to the environment (Mbendi Lesotho, 2003).

• Section 4.21 of Lesotho’s National Environmental Policy provides specific guidelines for the mining industry, although these are not directly related to participation.


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COUNTRY LEGISLATION EXPLANATION Malawi • National Environmental Action Plan

(NEAP) • District Environmental Action Plans

(DEAP) • Environmental Management Act • National Environmental Policy • Constitution of Malawi • Mines and Minerals Act (1981)

• NEAP has been given the key role in the implementation of national environmental planning and development programmes; it aims to:

- ‘improve communication patterns with communities and various organisations - disseminate public information and raise awareness on environment - create awareness in communities about environmental issues - effectively disseminate information to the rural sectors - develop an effective method for disseminating information to the public’.

• The DEAPs need to consider local concerns as well as the dissemination of information to the public. • The National Environmental Policy states: ‘provide a framework for encouraging maximum participation of

individuals, communities and the private sector in the development of policies, laws and plans for the management of the environment’.

• Access to environmental information as well as access to public participation is provided for through the Environmental Management Act. The DEAPs are also intended to ensure the efficient distribution of information within communities, while section 37 of the Malawian Constitution grants access to all government information.

• Mechanisms for access to justice in environmental matters are addressed through Section 5 of the Environmental Management Act, which also authorizes the appointment of an Environmental Appeals Tribunal to consider any appeals related to the process of environmental governance. Access to justice is considered a principle in the Malawian Constitution and is addressed in Sections 41, 43, and 46.

Mozambique • 1986 Mining Act, as updated by amendments introduced in 1994

• Framework Environmental Law, Act No. 97 of 1997

• Mining and Geological Policy • 1990 Constitution of Mozambique • Environmental Impact Study

Regulations • Mining Law

• Environmental Impact Study Regulations: The Framework Environmental Law makes provision for environmental licensing of activities based on an Environmental Impact Study. It states that ‘public consultation is required as an integrated part of the impact study. Public consultation must include mechanisms for receiving petitions and must be publicised by a proponent so that it reaches all affected stakeholders who have the opportunity to be informed’.

• Access to information guaranteed through Article 74 of the 1990 Constitution of Mozambique. This was reinforced in the Press Law (1991), which contains detailed provisions to ensure this right.


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COUNTRY LEGISLATION EXPLANATION Namibia • National Integrity Strategy

• Environmental Assessment Policy (1994)

• Environmental Assessment Act (draft)

• Nature Conservation Regulation • Minerals (Prospecting and Mining)

Act (Act No. 33 of 1992) • Diamond Act • Policy for Prospecting and Mining

in Protected Areas and National Monuments (1999)

• EIA guidelines for mining onshore and offshore

• Access to participation is granted through the Draft Environmental Management Act, which lists community involvement and public participation as principles of environment management. It also gives statutory effect to the Environmental Assessment Policy of Namibia.

• Specific EIA guidelines for onshore and offshore mining have been developed. • Although not a constitutional right, access to information is provided for through Namibia’s Information Policy.

A National Integrity Strategy, which seeks to emphasize access to information and a right to participation, is presently being drafted.

South Africa • Environment Conservation Act (No. 73 of 1989) (ECA)

• National Environmental Management Act (No. 107 of 1998) (NEMA)

• The Minerals Act (Act 50 of 1991) • The Mine Health and Safety Act

(Act 29 of 1996) • The Constitution (Act 108 of 1996) • Promotion of Access to

Information Act (Act 2 of 2000) • Mineral and Petroleum Resources

Development Act (Act 28 of 2002) • Promotion of Administrative

Justice Act (Act 3 of 2000)

• EIA regulations promulgated in terms of the ECA make provision for the assessment of activities that are potentially detrimental to the environment.

• NEMA is the cornerstone of environmental governance. It: - sets out principles that must be applied throughout South Africa to the actions of all organs of state that

may significantly affect the environment and - discusses Integrated Environmental Management, including procedures that should be followed for the

investigation, assessment, and communication of the potential impact of activities that require authorization by law or that may significantly affect the environment.

• The Minerals Act regulates prospecting for and the maximum exploitation of minerals and the rehabilitation of the surface of land during and after prospecting and mining operations. This Act seeks to ensure that the State fulfils its responsibility towards the community in respect of the mineral industry.

• The Mine Health and Safety Act protects the health and safety of workers and other persons at the mines. • The right to information was further cemented in the promulgation of the Promotion of Access to Information

Act. • Section 30 of the Mineral and Petroleum Resources Development Act provides for participation and refers to

sections of the National Environmental Management Act for all prospecting and mining operations. • Access to justice is a constitutional right and is further emphasized in the Promotion of Administrative Justice

Act. With particular reference to mining, Section 95 of the Mineral and Petroleum Resources Development Act provides for access to justice and adheres to the Promotion of Administrative Justice Act. The National Environmental Management Act also provides access to justice.


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COUNTRY LEGISLATION EXPLANATION Swaziland • Swaziland Environment Action

Plan (SEAP) • The Environment Management Act

(Act Number 5 of 2002) • Environment Authority Act (No. 15

of 1992) • Environmental Audit, Assessment

and Review Regulations (2000) • The Mining Act, (No. 5 of 1958)

• SEAP provides a policy for holistic development with an environmentally sound basis within Swaziland, including:

- Maximum input by communities in operation and maintenance of systems - Accessibility of information to communities - Informing, consulting, and involving all affected parties - Making all planning and construction of infrastructure subject to EIA - Education and public awareness - Developing new partnerships on an equitable basis and involving all stakeholders in the decision-making

process • Section VIII (51) of the Environment Management Act requires that a registry of information be kept that is

accessible to the public, although the Minister retains a right to exclude information from this registry. • Access to Justice is legislated for in terms of section VIII (55, 56, and 57) of the Environment Management

Act. • The Environment Management Act Part VIII – Public Participation governs the release of information, public

hearings, and the decision-making process. • The Environment Authority Act aims to establish EIA guidelines, in order to integrate environmental

considerations in the planning process. • Part D of the Environmental Audit, Assessment and Review Regulations emphasizes pubic participation.

Tanzania • National Environmental Management Act (1983)

• Mining Act 1998 • Constitution of Tanzania • National Environmental Policy

(NEP) • Mineral Policy of Tanzania (1997)

• Access to information is enshrined as a constitutional right in the Constitution of Tanzania and includes the right to information on the environment and natural resource management. It is also a requirement of the National Environmental Policy.

• The National Environmental Management Act promotes general environmental education, with the aim of creating a discerning public regarding the environment.

• The Tanzanian NEP and National Environmental Management Act establish public participation as a requirement for decision-making.

• The Mining Act attempts to incorporate EIA requirements into planning and decision-making processes within the mining sector and makes strong provision for environmental considerations within mining activities. It mandates EIA requirements as a condition of various mining licences.

• The Mineral Policy (1997) states that ‘Government's objective is to ensure that there is greater involvement and participation of local communities in the implementation of mining projects’.


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COUNTRY LEGISLATION EXPLANATION Zambia • Mining Policy

• Mines and Minerals Act • National Environmental Action Plan

(NEAP - 1994) • Environmental Protection and

Pollution Control Act • Zambian Constitution • Environmental Protection and

Pollution Control (EIA) Regulations

• The Zambian Constitution aims to create an environment in which people have the ‘freedom to receive ideas and information without interference, freedom to impart and communicate ideas and information without interference’ (Republic of Zambia, 1996).

• The NEAP has the following objectives: - ‘i) direct investments in resource management activities and conservation that either mitigate against or

improve environmental resources; - ii) strengthen institutional mechanisms for enforcement of environmental standards and sustainable

management of natural resources; - iii) create public awareness on environmental issues; - iv) establish effective environmental information system to facilitate monitoring and enforcement of

environmental standards; - v) support environmental research; and, - vi) formulate and implement environment policy and legislation’.

• The EIA Regulations of 1997 require the consultation and comment of communities through advertising and the release of documents for review.

• The NEAP recommends actions to improve the quality of the environment in various sectors, one of which is mining. Other legislation relevant to the mining industry includes the Zambia Mining Policy and the Mines and Minerals Act. An environmental policy for Zambia is currently being prepared by authorities.

Zimbabwe • The Mines and Minerals Act • Zimbabwe Constitution • Zimbabwe Mining Policy • The Environmental Management

Bill • District Environmental Action Plans

(DEAPS) • Public Order and Security Act

(2002) • The Access to Information and

Protection of Privacy Act

• Access to information is listed as a constitutional right in Section 20 (1) of the Zimbabwe Constitution. Legislation has recently been amended (or introduced), however, that limits this right. This includes the Public Order and Security Act, which renders it illegal to make any ‘false’ comment or level any criticism at the President.

• The Access to Information and Protection of Privacy Act, which contravenes the Constitution and has been declared illegal by the Zimbabwean Parliament's Legal Committee, requires journalists to be accredited by government annually and that fees be paid for government-owned information, and it grants officials the authority to deny access to information on any grounds. The legislation also gives authorities the power to stop demonstrations.

• The Mines and Minerals Act is noted to prevail over most other pieces of legislation, including environmental District Environmental Action Plans (DEAPS) as a way of implementing Agenda 21.

• District Environmental Action Plans ‘broadened [the] concept of sustainable development: uniting economics and ecology in decision making, while also addressing the quality of social and cultural development.…This programme mandates community involvement both in identification of problems and in design, execution and follow-up of plans. Planning and intervention will take place at the district level, the smallest unit with the capacity to spend funds while still allowing community involvement.’


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Appendix 2. Participation Policy and Guidelines Public participation processes take place within international, regional, and national contexts. This Appendix looks at those contexts in order to identify key trends. It is structured to consider broad policy positions that support participatory approaches, as well as guiding principles, policies, and practical guidelines for participation activity. The Appendix is based on a review of a sample of public participation policy and practice materials. It does not attempt to be comprehensive but rather to indicate important trends. Thinking on sustainable development provides the broadest context for an orientation towards participatory approaches. Prime examples of this can be found in Agenda 21, which governments adopted at the Earth Summit in 1992, as well as the Plan of Implementation approved at the 2002 World Summit on Sustainable Development. Agenda 21 is a comprehensive plan of action and blueprint for sustainable development that calls for a ‘balanced and integrated approach to environment and development’ (United Nations, 2003). Raising public awareness, as well as capacity building and education, are linked to almost all the areas covered by Agenda 21. Section III focuses on Strengthening the Role of Major Groups, while Section IV introduces concepts such as capacity building and public awareness. Specific reference to public participation is found in Section III, Chapter 23, which states that ‘critical to the effective implementation of the objectives, policies and mechanisms agreed to by Governments in all programme areas of Agenda 21 will be the commitment and genuine involvement of all social groups’ and that ‘one of the fundamental prerequisites for the achievement of sustainable development is broad public participation in decision-making’ (United Nations Division for Sustainable Development, 1992). The Plan of Implementation summarizes the outcomes of the World Summit on Sustainable Development, held in Johannesburg in 2002. It advocates women’s rights to information and equal access to participation, the enhancement of corporate environmental and social responsibility by encouraging industry dialogue with surrounding and other stakeholders, and the ensuring of access to information and public participation. It places an emphasis on enhancing ‘the contribution of the industrial sector, in particular mining, minerals and metals, to the sustainable development of Africa by supporting the development of effective and transparent regulatory and management frameworks and value addition, broad-based participation, social and environmental responsibility and increased market access in order to create an attractive and conducive environment for investment’ (WSSD, 2002). Context within Africa is provided at a continental level by the Constitutive Act of the African Union. Adopted at that body’s formation in July 2002, it places a requirement on members to ‘promote democratic principles and institutions, popular participation and good governance’. It also proposes as a principle the ‘participation of the African peoples in the activities of the Union’ (African Union, 2002). The Southern African Development Community Treaty provides a policy context at the regional level. It identifies sustainable development as a key objective. It also identifies gender capacity building as a major concern and encourages participation of people within


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the region in the implementation of development activities. It calls on member states to provide full support to and to foster ties with key stakeholders. These are defined in the treaty as the ‘private sector, civil society, NGOs and employees and Unions’ (SADC, 1992). More specific policy guidance is also provided for participation within the mining industry through guidelines and protocols at the global and regional levels. The Environmental Guidelines for Mining Operations, compiled by the United Nations Department of Economic and Social Affairs and the Industry and Environment Office of the United Nations Environment Programme, are designed to be a guide to environmental management in the mining sector. Section 5 focuses on participation and provides a model for access to information and introduces the Awareness and Preparedness for Emergencies at the Local Level (APELL) approach. The document acknowledges that the participation of stakeholders is essential for a sound environmental policy, as is effective access to information (United Nations, 1998). The Southern African Development Community Protocol on Mining calls on member states to encourage and facilitate the development of human and technological capacity. It proposes that members release information to the public and industry (SADC, 1997). Business within the region has addressed the issue of the need for stakeholder participation at the strategic level. Prime examples of this can be seen in two key South African policy documents—the King II Report on Corporate Governance and the Mining Charter. The King II Report aims to promote the highest standards of corporate governance in South Africa. It emphasizes the implementation of a participative corporate governance system. The report makes specific reference to the value system of ubuntu, which signifies ‘a commitment to coexistence, consensus and consultation’ (Financial Mail, 2003). One of the six sections of the report focuses on integrated sustainability reporting. It stresses the significance and overall importance of ‘non-financial issues’ such as social considerations, ethical performance, and environmental management. It also strongly recommends that businesses establish ties with stakeholders in order to determine ‘company standards of ethical behaviour’. It stresses the necessity of integrating these standards into the institution of the organization (Financial Mail, 2003). The Socio-Economic Empowerment Charter for the Mining Industry is intended to afford South Africans real benefits associated with the mining industry. Although not directly focused on participation, it attempts to create opportunities within the mining sector for previously disadvantaged South Africans. Notwithstanding this, the charter does call for participation of stakeholders and meaningful consultation of women, and it requests companies to report annually on their performance (Mining Charter, 2002). International best practice in policy approaches to public participation specifically can be found in the policy documents of the International Association for Public Participation, the European Union, and the International Finance Corporation. The International Association for Public Participation Core Values are referred to in numerous public participation guidelines, such as the South African Department of Water Affairs and Forestry Generic Public Participation Guidelines, the South African Department


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of Environment Affairs and Tourism Stakeholder Engagement guidelines, and the Public Participation Guidelines for Stakeholders in the Mining Industry. A fine example of international policy on public participation can be found in the U.N. Economic Commission for Europe’s Convention on Access to Information, Public Participation in Decision-Making and Access to Justice in Environmental Matters, which was adopted in Aarhus, Denmark, on 25 June 1998. It calls for European governments and organizations to interact with stakeholders by adhering to three ‘pillars’, namely: • access to information – bodies are called on to distribute environmental information to

stakeholders, • public participation – minimum requirements for public participation are set for the

various phases of projects, and • access to justice – stakeholders should have the right to review decisions in light of the

preceding points, as well as in cases where environmental legislation has been transgressed.

The Good Practice Manual: Doing Better Business Through Effective Public Consultation and Disclosure is a document prepared by the International Finance Corporation that recognizes the importance of open, transparent communication with stakeholders affected by a proposed project. The Good Practice Manual is based on practical experience as well as best practice experience in public consultation in private-sector projects worldwide (IFC, 1998). There are numerous guidelines and manuals to inform good participatory practice within the mining industry. Awareness and Preparedness for Emergencies at the Local Level for Mining provides a methodology for dealing with potential technical or industrial accidents and aims to increase community awareness of hazards and to improve emergency preparedness. The APELL process provides a checklist of ‘inputs for awareness raising’ and includes a recommendation to establish an APELL Co-ordinating Group. It is intended that this group will assist in improving communication, awareness, and involvement of all stakeholders in preventing or responding to emergencies. APELL also recommends that the community at large be involved in the process and provides guidance on how to do so (UNEP, 2001). The Public Participation Guidelines for Stakeholders in the Mining Industry were produced by a consultative forum on Mining and the Environment, with support from the Chamber of Mines of South Africa. They provide a detailed motivation for public participation in the mining industry, as well as a summary of key best practice methods in the implementation of participatory approaches relevant to South African and regional conditions (Consultative Forum on Mining and the Environment, 2002). The Australian Environmental Protection Agency: Community Consultation and Involvement guidelines aim to integrate stakeholder environmental concerns through all phases of mining activities. They were developed by the mining sector in Australia, with assistance from the Australian Environmental Protection Agency. They propose that achieving best practice or world standards within any development is possible only with the cooperation of the communities in which the activity is proposed. Community involvement


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and consultation would allow for the integration of environmental and community issues through all phases of mining activity. These guidelines are intended to provide practical techniques, guidance, and recommendations for community involvement in the mining sector (Environmental Protection Agency, 1995). Several companies within the mining industry have developed their own guidelines for community involvement. Anglo American requires its operations to develop a Community Engagement Plan (CEP). It has developed a set of guidelines to support this activity. The document sets out culturally and technically suitable methods to undertake stakeholder engagement. The CEP requires that operations set objectives; develop strategies; set timelines; allocate resources, roles, and responsibilities; and define ‘grievance mechanisms’ as well as measures for continual review, monitoring, and reporting on successes and failures (Anglo American, 2001).

BHP Billiton requires each of its operations to establish a Community Relations Plan as well as a complaints mechanism, in order to encourage open communication channels and understanding with all stakeholders. The company aims to comply and exceed the highest environmental standards with regards to communities and has set a target of ‘zero harm to people’. It also specifically recognizes the rights, culture, and traditions of indigenous people and aims to provide them with permanent benefits as a result of its operations (BHP Billiton, 2003). Rio Tinto has noted that ‘successful community relations are essential for [its] success as a business’. It aims to work closely with surrounding communities for ‘mutual benefits’ (Rio Tinto Explore, 2003). The Rio Tinto Communities Policy was established in 1998, requiring all operations to establish five-year community plans. The plans have a three-tier focus, beginning with a base-line survey of the area and community that aims to identify social, economic, and cultural issues, such as literacy levels, health, land tenure, traditions, population, and occupational skills. Stage two focuses on creating avenues for two-way communication and reaching agreement with communities on how consultation should occur and who would be required to participate; the aim here is to ensure that realistic expectations with attainable goals are set. Stage three focuses on community development based on the findings of the base-line study and consultation (Rio Tinto Explore, 2003). National government within South Africa has actively sought community involvement since the transition to democracy in 1994. Two departments have established useful guides for participatory practice. The Department of Environmental Affairs and Tourism Stakeholder Engagement booklet is part of a series of documents on integrated environmental management (IEM). It acknowledges that a negative perception of stakeholder engagement is common, and it attempts to focus on the definition and approaches to stakeholder engagement. It provides an overview of stakeholder engagement, addresses its objectives, discusses its application in IEM, identifies opportunities for it, and suggests roles and responsibilities. It provides a variety of approaches and facilitation techniques, identifies specific challenges and shortcomings of stakeholder engagement, and provides a summary of ‘lessons learnt’ from past stakeholder involvement processes (DEAT, 2002).


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Prepared by the Department of Water Affairs and Forestry in 2001, the Generic Public Participation Guidelines attempt to develop an understanding of the value of public consultation as well as provide thorough guidance on measures to implement public participation processes (Republic of South Africa, Department of Water Affairs and Forestry, 2001).


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