Table of Contents. PART ONE: Key Concepts and Principles of Stakeholder Engagement

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1 iii Table of Contents Introduction Towards a broader concept of engagement About this handbook Tips for successful engagement PART ONE: Key Concepts and Principles of Stakeholder Engagement Stakeholder Identification and Analysis Information Disclosure Stakeholder Consultation Five Steps for Iterative Consultation Informed Participation Consultation with Indigenous Peoples Gender Considerations in Consultation Negotiation and Partnerships Grievance Management Stakeholder Involvement in Project Monitoring Reporting to Stakeholders Management Functions PART TWO: Integrating Stakeholder Engagement with the Project Cycle Project Concept Feasibility Studies and Project Planning Construction Operations Downsizing, Decommissioning, and Divestment

2 iv STAKEHOLDER ENGAGEMENT APPENDICES Appendix 1: Appendix 2: Appendix 3: A Road Map to IFC s Performance Standards and Policy on Disclosure of Information Stakeholder Engagement Strategies for Different Project Scenarios Stakeholder Engagement Plan (Sample Contents) Appendix 4: Sample of Stakeholder Log Appendix 5: Pro Forma for Advertising the Disclosure of the Draft Environmental and Social Assessment Report Appendix 6: Useful Resources FIGURES Figure 1: Spectrum of Stakeholder Engagement Figure 2: Key Components of Stakeholder Engagement BOXES Box 1: How to Identify Stakeholders Through Impact Zoning Box 2: Core Values for the Practice of Public Participation Box 3: What Makes Communities Trust a Company? Box 4: Tips for Engaging when Authorities do not Allow Communities to Organize Themselves Box 5: Useful References on Participatory Methods and Techniques Box 6: Consultation Requirements Under ILO Convention 169 on Indigenous & Tribal Peoples Box 7: Useful References on Gender and Engagement Box 8: Using Software Programs to Track Stakeholder Consultation and Commitments Box 9: International Standards for Reporting Stakeholder Engagement. 91 Box 10: GRI Indicators Box 11: Examples of Regulatory and Lender Requirements for Stakeholder Engagement Box 12: IFC s Approach to Determining Whether a Project has Broad Community Support Box 13: Pre-qualification Appraisal Criteria for the Main Construction Contractors Box 14: Topics to Include in Stakeholder Perception Surveys Box 15: Stakeholder Groups Relevant to Effective Planning and Management of Downsizing, Decommissioning, and Divestment Box 16: Kelian Equatorial Mining - Agreements Reached with Local Stakeholders on the Management of Mine Closure in Indonesia.. 156

3 TABLE OF CONTENTS v TABLES Table 1: Good Practices for Meeting Requirements for ESIA Disclosure and Consultation Table 2: Common Concerns of Stakeholders During Construction EXAMPLES Manila Water Company: Reaping the Benefits of Stakeholder Engagement Glamis Gold: Stakeholder Analysis in the Marlin Gold Mine Project Western China: Confirming the Legitimacy of Stakeholder Representatives Guatemala: Stakeholder Engagement at a National Level The Role of Government Sasol, Mozambique: Disclosure of a Background Information Document Adastra Minerals: Adapting Disclosure and Consultation to the Local Context Siberian-Urals Aluminum Company: Capacity-Building to Enable Stakeholder Participation Sakhalin Energy Investment Company: A Participatory Process for the Sakhalin Indigenous Minorities Development Plan Indo Egyptian Fertilizer Company: Gender-Sensitive Community Engagement India: Negotiating a BEST Environmental Standard for Lead Battery Manufacturing and Collection Holcim, Vietnam: Stakeholder Partnerships for Habitat Conservation Lonmin, South Africa: Toll-Free Telephone Hotline Minera Yanacocha: Dialogue Roundtables as a Mechanism for Conflict Resolution

4 vi STAKEHOLDER ENGAGEMENT ExxonMobil: Multi-Party Commission to Address Grievances on the Chad-Cameroon Pipeline Project ExxonMobil: External Monitoring of the Chad Cameroon Pipeline NGO Monitoring in Azerbaijan and Georgia Lonmin, South Africa: Reporting Back to Affected Stakeholders on Key Monitoring Data Manila Water Company: Reporting to Stakeholders Sasol, Mozambique: Establishment of a Stakeholder Database for the EIA Process Keeping Track of Commitments Made in the ESIA Cosan SAIC: Establishing a Community Consultation Plan as Part of an Environmental Management System Lonmin, South Africa: Strengthening Company Management of Stakeholder Relations Mineral Exploration in Peru: Challenges and Benefits of Early Stage Consultation with Communities Lafarge Cement: Involving Affected Communities in Site Selection Targeted Engagement at Different Stages of the Exploration Phase Disclosure of ESIA Documents

5 TABLE OF CONTENTS vii Philippines: Consultation on a Draft ESIA Report Minca: Short-term Strategic Community Development Partnership Prior to Project Approval Sasol, Mozambique: Good Practices in Stakeholder Engagement During the ESIA Process Grievance Mechanism Malampaya Deep Water Gas to Power Project, Philippines: Maintaining Community Engagement During Implementation and Operations Rössing, Namibia: Communication and Consultation in the Context of Mine Closure.. 157

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