Meaningful Stakeholder Engagement in the

Extractive Sector – from Policy to Practice

15th May 2018

Kwale, Kenya
 Today’s session
• Introduction and short review of achievements so far
• Overview of different stakeholder engagement tools
and processes
• Strategic communication planning
• Presentation of the Community Guide to Large
Scale Mining in Kenya
• Presentation of an example of stakeholder
engagement in the mining sector in Mozambique
• Presentation of a paper on community engagement
in extractive industries in Kenya
• Group discussions in country teams
Core Human Rights Principles

• Equality/non-discrimination

• Transparency/accountability

• Participation/inclusion
 Key principles of good governance

• Transparency and access to information (A2I)

• Accountability

• Rule of Law

• Integration

• Coordination and Coherency

• Responsiveness

• Participation

Source: The Role of governance for improved environmental outcomes, Swedish EPA, 2012
 Conditions for the effectiveness of
information initiatives

Condition 1 Condition 2 Condition 3

Transparency Publicity Accountability

makes makes makes
information information information
available accessible actionable

Source: WDR, Governance and the law, WB, 2017

 Participation is embedded in
political realities and struggles

• The key defining element of participation is power

• Participation is situated in particular processes,

localities and actors

• Participation is invitational and not imposed

• Participation is contingent and dependent on how

we ´think participation´

Source: Evaluating communication for development, J, Lennie and Jo Tacchi

Meaningful stakeholder engagement

• Two-way

• ‘Good faith’

• Responsive

• Ongoing

Source: OECD Due Diligence for Meaningful Stakeholder Engagement in the Extractive Sector, 2016
 Entry points for stakeholder engagement
Planning

Post-Closure Exploration

• Key Activities/Events
• Stakeholders
• Needs Closure Stakeholder Feasability

• How to engage Engagement

Expansion Construction

Operation
 Three key messages

• Participation is a core human right principle

• There can be no participation without

communication

• Failing to plan is planning to fail

Overview of different stakeholder
engagement tools and processes

Casper Sonesson
UNDP
Strategic Communication Planning

Mats Kullberg
SEPA
 Some conclusions from previous WS and
Technical Meetings
• Kenya – go beyond compliance and define stakeholders broadly

• Mozambique – improve coordination and communication between

institutions and parties involved in the mining life cycle

• Stockholm - multi-stakeholder engagement in the mining cycle can reduce

conflicts of interest

• New York – participation relies on trust, which is one of the first goals that
governments and mining companies need to achieve
 Some conclusions from RoLPA-SESA
• Existence of differences in access by the various stakeholders to the legal
norms which guide licensing - lack of knowledge/access to the existing norms
either by the staff or by the proponents.

• Mining acts and regulations - Mining (Proactive Public Disclosure and Access
to Information) Regulations (weakness – public disclosure of royalties paid by
mining companies)

• Stakeholder recommendations – Social Environment - Empower local

communities to effectively participate in the mining sector.

• For mining EIAs - Convincing stakeholder engagement plans especially with

regard to the number and locations for consultation meetings.
 How do we achieve change?
Several instruments for change
• Enforcement (legal instruments: laws,
rules, ordinances and regulations)
• Economy (economic instruments: taxes,
charges, support and grants, emissions trading)
• Engineering (spatial planning: sustainable
planning of infrastructure )
• Education (informative instruments:
awareness-raising, communication,
knowledge exchange, partcipation)

A combination of instruments is usually required!

Failing to plan is planning to fail
 Strategic Communication Planning

Assess Design Strategy Implement Monitor &

• Purpose/problem • Objectives • Workplan Evaluate
• Stakeholders • Target groups • Activities
• Needs/perceptions • Levels of change
• Media/channels • Channels/Messages
• Possible solutions • Indicators

Adopted from: Paolo Mefalopulos -

Development Communication Sourcebook
 Problem Analysis

Assess
• Purpose/problem
• Stakeholders
• Needs/perceptions
• Media/channels
• Possible solutions
 Stakeholders, needs and perception

Local
communities
Assess
Media Government
• Purpose/problem
• Stakeholders
• Needs/perceptions
• Media/channels
• Possible solutions
Local
CBOs
government

Mining
Cycle

NGOs Private sector

Government
Academia
agencies

Donors
Assess
• Purpose/problem
• Stakeholders
• Needs/perceptions
• Media/channels
• Possible solutions

Knowledge Interest

Mandate
 Channels/Messages
Assess
• Purpose/problem
• Stakeholders
• Needs/perceptions
• Media/channels
• Possible solutions • How do we best reach the stakeholders?

• What channels are in place?

• Are they effective? (Reach, cost, adaptability, interactivity)

• Do we need to develop new channels?

• Key messages?
 Possible solutions/Objectives
Assess
• Purpose/problem Very easy Easy Difficult Very Difficult
• Stakeholders
• Needs/perceptions
• Media/channels
• Possible solutions Simple Enforce existing Change a simple Convince against
knowledge to attitudes behaviour groupnorms
motivated

Simple know- Bring an issue Create

ledge to some- on the agenda complicated
what motivated behaviour

Change over
time

Keep an issue
on the agenda
 Strategic Communication Planning

Assess Design Strategy Implement Monitor &

• Purpose/problem • Objectives • Workplan Evaluate
• Stakeholders • Target groups • Activities
• Needs/perceptions • Levels of change
• Challenges • Channels/Messages
• Possible solutions • Indicators

Adopted from: Paolo Mefalopulos -

Development Communication Sourcebook
 Strategy Design

Design Strategy
• Objectives
• Target groups
• Levels of change
• A strategy is about achieving specific, feasible, and clearly
• Channels/Messages stated objectives, with available resources within an
• Indicators
establish timeline.

• Clear target groups/s

• A strategy may contain several different types of

communication and approaches.

Design Strategy
• Objectives
• Target groups
• Levels of change
• Channels/Messages
• Indicators
Naturvårdsverket | Swedish Environmental Protection Agency
Different types!
Type Purpose Main function
Internal Communication Facilitate the flow of Ensure timely and
information within an effective sharing
organisation
Communication for Support sustainable Induce behaviour and
Development change by engaging key social change
stakeholders
Advocacy Influence change at Raise awareness on hot
policy level development issues
Corporate Communicate the Use media outputs and
Communication mission, activities and products to promote the
achievements mission and values
2018-05-23 26
 3. DONORS 1. PPIMA PCC 3. GoR
Sida, Dfid, Norad, Care, NPA, GoR, Donors, Imp.Partners Minaloc, Minicofin,
Save the Children Office of the
Chaired by RSCP
Design Strategy Ombudsman, NISR

3. DEVELOPMENT
• Objectives PARTNERS 1.
• Target groups NPA/PPIMA
• Levels of change PIU
3. MEDIA
• Channels/Messages
• Indicators 1. TECHNICAL 1, 2. RWANDA
3. PP THINK SUPPORT UNIT
TANKS CIVIL SOCITEY
INGO + NGO + NISR PLATFORM (RCSP)

1, 2. IMPLEMENTING 3. LOCAL GOV

CSOs Districts, sectors, cells, villages-
DC, CDC, JADFs

1, 2. SELECTED
NETWORKS

2. DISTRICT 1- 2. DISTRICT 2 - 2. DISTRICT 3 - 2. DISTRICT 4 -

NORTH SOUTH EAST WEST
CMCs, Local NGOs, CMCs, Local NGOs, CMCs, Local NGOs, CMCs, Local NGOs,
CBOs, PTAs, Citizens CBOs, PTAs, Citizens CBOs, PTAs, Citizens CBOs, PTAs, Citizens
 Implementation

Implement
• Workplan
ACTION PLAN
• Activities
Date Activity Target Group Message Responsibility Status
 Why Monitoring&Evaluation?

Monitor &
Evaluate
• Refine and fine tune the process of implementation
• Learn from past mistakes and make future
interventions more effective
• Ensure accountability of the resources dedicated
• Making future funding possible
• Demonstrate and quantify the effectiveness
 Communication is a tool to create

participation, to achieve objectives and to

contribute to dialogue and good quality.

What works? Some Key Issues

• Early planning (think it through in the planning stages)

• Two-way process (do not equate information and
communication)
• Have a tool-kit approach (different techniques in
different contexts)
• Combine media and interpersonal
communication
• People-based
(ensure that people involved get it right)
• Know your target group(s) (needs)
Community Guide to Large Scale Mining in Kenya

Gregory Kituku, Ministry of Mining Kenya

 Presentation of an example of
stakeholder engagement in the mining sector
in Mozambique

Antonio Sive, MIREME Mozambique

 Community Engagement in the
emergent extractives sector in Kenya

Wambua Kituku, UNDP Kenya

Group discussions
 Group 1 and 2 – Kenya

Building on the SESA observation / recommendation related to

strengthening and developing “convincing stakeholder
engagement plans”* for EIA processes, please discuss what
steps need to be taken to achieve this. The result of the group
discussion should be a list of proposed actions or next steps that
can be taken to address challenges to improved stakeholder
engagement in the EIA process. Questions to be discussed can
include:

*SESA Findings:
5.2. Mining EIAs - “The quality was very weak in terms of the overall quality of stakeholder engagement and consultations”
SESA Recommendations:
6.2.1.1 - “to introduce requirements for - Provision of Grievance Redress Mechanism (GRM) in the EIA mitigation strategies”
6.2.4. – “NEMA should tighten the rules considered in the approval of ToRs for mining project
EIAs to ensure the following:- Convincing stakeholder engagement plans especially with regard to the number and locations
for consultation meetings”
 Group 1 and 2 - Kenya

• Identify causes for why there is not sufficient or effective stakeholder

engagement in the EIA process

• Identify potential solution(s) for improving engagement in the EIA

process (related to communication)

• Transform possible solutions into possible concrete actions and identify

at least 3 next steps you can pursue.
 Group 3 - Kenya

Building on the Community Guide to large Scale Mining in Kenya,

please discuss how the Guide can be best put to practical use.
The result of the group discussion should be a list of possible
uses of the Guide and actions to be taken (and by who) to start
practically using the guide. Questions to be discussed can
include:
 Group 3 - Kenya
• Identify key stakeholders that would be involved in using and benefiting
from the Guide

• Brainstorm ideas for rolling out and starting to use the Guide.

• Identify how strategic communication planning can be part of the solution to

disseminate and use the Guide?

• Pick one or two of the best ideas and transform into possible objectives

• Define at least 3 proposed next steps for how to realize the ideas and who
needs to be involved
 Group 4 - Mozambique

Pick one of the following ROLPA / SESA recommendations to

focus the Group discussion on:
1) “Greater involvement of the communities in revising the legal framework.
Specifically, it is important to adjust the resettlement conditions envisaged
in the law based on studies and community hearings about what is the best
approach for the communities considering their habits and customs.”
(ROLPA). And the SESA recommends to
“define current understanding of resettlement issues and legal rights and
obligations amongst communities in potentially affected areas”. (SESA)
2) “Relative absence of non-government participants in the EIA process” –
requires to “enhance the role of non-government participants in EIA
process” (SESA recommendation)
 Group 4 - Mozambique
• If possible, identify a specific example and identify key stakeholders that
should be engaged

• Identify causes for why there is not sufficient or effective stakeholder

engagement

• Identify one idea for how strategic communication planning can be part
of the solution?

• Identify potential solution(s) for improving stakeholder engagement in

the process, including which actor (government institution, company,
other) is responsible for taking the lead.

• Transform the best solutions into possible actions and define at least 3
next steps to start implementing your idea/s.