PLAN

The PLAN stage includes a scoping process to define the approach and level of effort required to assess CHS impacts and risks and to identify the kind of expert support needed, such as addressing data gaps and taking advantage of data-collection opportunities (Task 1). Projects/sites should then compile or obtain the required external context data (Task 2) and conduct the health impact and risk assessment (Task 3) and integrate the results into SHIRA (Task 4) as part of the first stage of the DO cycle.

Planned and incremental stakeholder engagement (Section 3A) is crucial to achieve the objectives of CHS management.

Task 1 – Define the appropriate approach through scoping

Identifying and managing CHS impacts and risks can be a complex task because they are related to:

• the internal context
• changes in the health determinants and health outcomes caused directly or indirectly by site activities
• the individual health determinants

• the external context.

Given this complexity, sites must conduct a scoping process to set the boundaries, define required resources and the level of HIA to ensure that relevant CHS impacts and risks are identified, assessed and managed.

The objectives of the CHS scoping process include:

• Understanding the potential CHS impact areas of concern that may be directly and indirectly associated with project/site activities in the area of influence (AOI).

• Describing the prevailing health conditions in the external context (within the AOI) to determine systemic vulnerabilities.
• Understanding what data is available on each CHS area, what data gaps exist on the potential CHS impact areas of concern and the opportunities for data-gap closure. This avoids collecting unnecessary data.
• Outlining potentially affected stakeholders in the AOI.
• Defining a consultation approach that avoids stakeholder fatigue or stress associated with over-consultation.
• Recommending next steps in the HIA process, including defining the level of HIA required: desktop, rapid or comprehensive HIA; stand-alone or integrated as part of a wider assessment.

The scoping process plays a central role in HIA with the general method described in Figure 4C.7. The scoping process is informed by, expands on and feeds into the information collected and analysed as part of Section 2 Review and Planning and Section 3 Engagement and Analysis, which includes collecting data from both the internal and external context, assessing systemic vulnerability, defining the AOI, engaging with stakeholders, reviewing CHS grievances/incidents and reviewing past or planned CHS interventions and programmes. In addition, available information or data collected as part of Section 4 elements of the Social Way 3.0 may be relevant to consider as part of the scoping process; e.g. data collected as part of SED planning, SIM assessment, Land Access Displacement and Resettlement (LADAR) assessment, etc.

Based on a review of the available information, the potential CHS impact areas of concern are identified. An analysis of data gaps indicates what additional baseline data needs to be collected to provide a more detailed understanding of the context (task 2) before an evidence-based assessment of CHS impacts and risks is undertaken (task 3). CHS data collection should be viewed as an ongoing process, from scoping to inform the impact and risk assessment and future monitoring and evaluation considerations. For CHS for which sufficient information may be available, a preliminary assessment of impacts and risks should be undertaken using the approach described in Task 3.

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FIGURE 4C.7 THE CENTRAL ROLE OF THE SCOPING PROCESS IN AN HIA

Guidance on managing the scoping process is described in 4C Guidance Note 1, but broad principles for consideration include:

• Inputs and resources: Ideally, the scoping process should be managed internally. However, the available technical requirements or the complexity of the HIA or CHS situation may require external expertise, even at the stage of scoping.
• Stakeholder engagement is a key component of CHS scoping:
  • The site Social Performance (SP) teams must retain a leading role in stakeholder engagement even if an external consultant is used to support different HIA activities. The SP team will retain the responsibility for outlining current/future project/site activities and managing questions/requests for support so that any commitments are managed and recorded, as well as for understanding and managing any grievances/comments.
  • However, sites should consider whether it is appropriate for site staff to participate directly in certain engagements where an independent consultant may be better placed to conduct the engagement; for example, in key informant interviews or where there may be controversy regarding responsibility for certain health impacts. Notwithstanding this, opportunities should be created for the site staff and at least the CHS lead to build relationships with health authorities, or to better understand issues that are emerging, and to build relationships that support future partnerships.
  • Sites should engage with institutions that can support health assessments or the provision of data/ information; e.g. local health-service providers, government social agencies, emergency-preparedness and response bodies, as they can be valuable resources of information and can possibly be contracted to support data collection or other related activities on a consultancy basis. As data collection is an ongoing iterative process that continues through the baseline data collection, impact assessment and CHS management plan phase, engagement at scoping will support and facilitate this.
• Methods for data review that support the data-gap analysis and further health baseline-data-collection opportunities/requirements are discussed in the Tool 4C.7 and 4C Guidance Notes 1 and 2 (noting the overlap to Section 2 (Review and Planning) and Task 2).

The scoping process should be formally documented to support the preparation of the terms of reference of the HIA, including the data collection, risk/impact assessment process and development of a CHS management and monitoring plan. This can also be used to support the development of scopes of work if elements of these activities need to be outsourced.

Box 4C.7 Anglo American health baselines

The Sustainable Mining Plan stretch goal on Health and Well-being will contribute to achieving the [UN] Sustainable Development Goals (SDG) targets for health in our local communities by 2030. In 2019 and 2020, sites worked with a consortium led by the London School of Hygiene and Tropical Medicine to develop community health baseline assessments (applying a mixed-method approach using quantitative and qualitative data) and define prioritised strategies to achieve targets relevant to their context.

The scope of these baselines focuses on secondary information required to address certain SDG targets, sometimes aggregated to the level of national or regional data. Nevertheless, the baselines are a good starting-point necessary to understand and manage site CHS risks and impacts and should be taken into consideration as part of scoping (see 4C.2 Task 1).

The scoping phase can also serve as a good opportunity to help determine the appropriate approach to the HIA, including the following considerations:

• Not all sites require a comprehensive HIA or a detailed or complicated baseline-data-collection effort. Determining the level of the HIA (desktop, rapid or comprehensive) related to the factors described in 4C Guidance Note 1 (Managing the scoping process) will support decisions related to the effort that will be required, particularly in relation to the collection of new community-level data and the extent of external stakeholder engagement.
• For activities related to a site, e.g. a new project or site expansion, an HIA may be commissioned and integrated as part of environmental and social impact assessment (ESIA) work.
• If ESIA work has already been completed that did not include an HIA, a stand-alone HIA may be necessary to identify and assess CHS impacts and risks. Importantly, HIAs do not need to be performed as part of an integrated assessment but are commonly performed in a stand-alone manner.
• If little or no information is available on specific CHS impact areas of concern, new studies on that topic may need to be conducted as part of the HIA process, often including additional data collection.
• Where sufficient data is available, detailed studies may not be needed to assess impacts and risks, but more disaggregated data may still be needed for monitoring to confirm the level of impacts on different people or populations (including vulnerable groups).

Refer to 4C Guidance Note 1 (Managing the scoping process) for practical guidance on undertaking the scoping process.