Is there regional and national legislation related to all phases of emergency management?

Are procedures for declaring and terminating a state of emergency at all jurisdictional levels defined in the legislation?

Does the regional and/or national structure for emergency management and co-ordination consist of a multi-sectoral committee or a national level entity with clearly defined roles and responsibilities?

Is there a national emergency preparedness, response and recovery plan?

If so, has it defined at-risk populations and facilities?

Is this plan/ programme up to date?

Is the plan tested through exercise, drills and simulations? Are these exercises, drill and simulations undertaken and lessons are learned?

Does the development of the plan include input from external stakeholders, including potentially affected communities?

Is the plan publicly available?

Does the plan define a crisis communication protocol?

Has a regional or national emergency risk-reduction programme been established?

Are national and regional resources identified and consulted to support emergency preparedness, planning and implementation in the event of response and recovery efforts?

Are the roles and responsibilities, capacities and mandates of regional and national governmental agencies captured and agreed?

Do mechanisms and resources exist for carrying out a rapid impact assessment for disasters?

Is there a mechanism to easily engage and mobilise subject matter experts to conduct the rapid impact assessment?

Do existing mechanisms of emergency co-ordination and partnership agreements (such as a MoU) exist with entities in the public/private sector and civil society?

Do procedures exist for integrating national and international volunteers into service delivery in emergency situations? Are there any potential regulations relating to the entry of foreign first responders to provide emergency services that could potentially inhibit (such as emergency passports, visas) the implementation of the EMP and its procedures?

Do training programmes exist for responding to potential emergency scenarios and, if so, are they developed based on needs assessments?

Are mechanisms in place to ensure monitoring of the health status of people living in temporary settlements?

Are mechanisms in place to ensure adequate water, sanitary and personal hygiene for displaced populations?

Do fire engines/trucks and ambulances exist within the local area?

Are first-responder vehicles in good working condition and maintained?

Have transportation and fuel requirements for emergencies been considered in planning?

Are first responders able to respond to current conditions in a timely manner?

Do first responders have the space in their general response day to accommodate extra pressures?

Are first responders trained to respond to potential emergency scenarios identified?

Are first responders able to transport victims to a primary care facility in an appropriate time?

Is there a system in place for medical evacuation and dispatch to appropriate health facilities?

Do search and rescue procedures exist?

Do hospitals have plans for emergency response and recovery?

Do the local hospitals and/or clinics have the human resources and medical equipment and supplies to treat victims?

If not, has other medical facilities in the region been identified and assed with regards to their human medical equipment capacity?

Do guidelines exist for the establishment and operation of temporary health facilities?

Are resources available for establishing temporary health facilities?

Does the local and provincial emergency service providers have procedures in place for:

• Victim identification and tracking missing persons
• Storage and release of corpses
• Informing the next of kin about the deceased
• Forensics and mortuaries

Is there sufficient capacity with respect to forensics and mortuaries?

Do procedures and facilities exist for the safe disposal of medical waste in emergencies?

Are mechanisms in place to assure displaced populations have access to essential health programmes?

Are funds available for the multi-sectoral preparedness, and management of emergencies at the national and regional level?

Are procedures available for the request, acceptance and utilisation of international financial assistance?

Do financing mechanisms include effective and rapid recovery for loss and damage to critical facilities (e.g. health facility)?

Does a system exist for the collection, management, analysis, storage and dissemination of data for conducting rapid impact assessments, monitoring and evaluation, and performing emergency preparedness, response and recovery planning and implementation?

Are communication strategies in place that target minority and vulnerable populations?

Does a protocol exist to guide the type, format and level of detail of information communicated to external stakeholders informed by relevant legal and insurance obligations?

Is there a communication protocol in place with internal and external government activated by specific triggers/ early-warning mechanisms in the EMP’s procedure / TARP?

Have information protocol been established at the community level to communicate potential triggers/ early warnings to the designated site representative?

Are co-ordination mechanisms in place for involving stakeholders in the formulation of information for the public and media to ensure consistency in messaging?

Is there a mechanism in place to provide data from relevant stakeholders to the site?

Do emergency communication systems such as radio, satellite phones, back-up generators, etc. exist?

National and regional governance

Human resources

Financial resources

Supplies and equipment

Information sharing and communication

Emergency service delivery

Gap identified

Description

Risk rating using ORM

Management actions

Responsibility

Schedule

1

Rules of Interpretation

Provides guidance in general interpretation of clauses, referencing, use of certain terminology, etc.

2

Acronyms and Definitions

Describing expressions that bear the meaning assigned to them and similar expressions corresponding meanings

3

Introduction

Details:

• Introduction summary of the site, its operations and geography
• Direction and distances to neighbouring towns
• Summary on the sites business continuity programme

4

Purpose

Describe the purpose of the MoU to formalize the working relationship between site and government agency/ies relating to pre and post disaster management in its jurisdiction.

5

Scope and Duration

The scope of the MoU to be guided by local legislation with regards to disaster management

Stating the date the MoU will come into effect by all signed parties and stipulates the duration of the MoU

6

Policy

Stated the Site’s commitment to maintaining a vigilant state of disaster preparedness, response, rehabilitation and reconstruction within a safe and sustainable framework for the residents, staff, stakeholders and neighbours, because all are susceptible to disaster

7

Structure to Manage the Agreement

Guides the establishment of a MOU Disaster Management Committee to manage disaster and emergency related activities between the organizations, proactively and reactively. This also stipulated the function of the Committee

8

Roles and Responsibilities of the Parties

Define the roles and responsibilities, and mandate of the parties in relation to planning, co-ordination and monitoring of training and exercises, implementation of response and recovery efforts in the case of an emergency

9

Records and Data Facilities

Define record keeping and information share agreement, including roles and responsibilities, and mandate for the dissemination of information

10

Financial Obligations

Define financial expectation and/ or obligations or its exemptions thereof towards each other

Define responsible contribution towards pre- and post-disaster, when parties are working together such as training, capacity building programmes, procurement of disaster relief material, process for registering volunteers and insurance cover for volunteers

11

Responsibility for Standard Operating Procedure (SOP Compliance)

Ensure that standard operating procedures are developed in compliance with the said MoU and country-specific legislation

12

Indemnity

Define indemnity considerations between the parties

13

Variation

Defines procedure for managing variation in terms of the MoU

14

Dispute Resolution

Defines the procedure for dispute resolution

15

Force Majeure

16

General Terms

Are policies and mandates established, that generate the use of RIAs and sharing of produced data information with key stakeholders?

Is a coordinated response of EMPs in place that identifies/defines areas, communities, households, and individuals that have been affected?

Is there determination on pre-defined immediate response and relief priorities for search and rescue, evacuation, emergency shelter, food, medical care, water and sanitation, trauma and/or bereavement counselling, as well as livelihood support and protection?

Are there agreements in place that enhance capabilities through sharing of skills and resources for immediate response to assist, minimise the severity and impact through human resources, logistical capacities (procurement), communications and organisational capabilities possible?

Are there mechanisms in place that identify potential future impacts on communities, areas?

Are there procedures in place that continuously build on a comprehensive baseline dataset, to develop an understanding of the damage as well as the development of reconstruction efforts?

Are there procedures in place that allow the gathering of reference data that can be used to simulate damage at relevant scales and assess estimated costs?

(Nice to have): Does the site have access to satellite imagery through fostering partnerships with data providers?

National data sets, baseline data, external context information

Pre-emergency baseline information includes national, socioeconomic, demographic, and geographical data relevant to the affected areas, Hazards are location-based, and to correctly evaluate the impact of hazards it is necessary to maintain and integrate national baselines in geospatial formats.

Noted that gaps in baseline data should be identified and addressed in the preparedness phase.

Understanding the impact of an event is built on a solid baseline dataset. Determining the impact of an event across sectors provides reliable updated baseline information across sectors.

Data-collection aggregation must be done in the preparedness phase, in order to have a clear understanding of the pre-emergency situation. During an emergency, there will be very little time to bring together and clean up of baseline data sets.

Windshield survey

Assessment Teams driving through or flying over the affected area to assess numbers of homes and businesses affected.

Quick, efficient early estimate to capture rough damage numbers and locations.

Interior damage, structural damage, underground damage not seen. Difficult to translate into human / environmental impacts.

Door-to-door inspection

Trained Team inspecting area with door-to-door approach.

More accurate than windshield survey. Relies on human resources, their perception and training

Might not access hard to reach places,

Inconsistency in training and data collection.

Professional inspections

Professionals with specific expertise assessing the impacted area.

Can accurately assess structural damage above ground.

Structural damages might be underground. Similar challenges to reach hard to access areas.

Satellite Imagery

Can provide greater insight about exposure and localization of impact on a macro-level. Freely available sets of secondary data in GIS-ready format can be accessed (e.g. Global Urban Footprint).

Can assess damages in remote areas. Such rapid assessments can provide valuable information for their response planning and resource allocations.

Satellites cannot screen the inside of buildings.

Crowdsourcing

Collaborative mapping, social networking and crowdsourcing are fast evolving interconnected.

Changes are rapid and innovation continues to occur and has proven to give a great amount of contextual information.

Changes are rapid, data reliability on invalidated sources, depends on functioning internet.

Field data collection and mobile forms

Smartphones can capture a wide range of data (video, audio, text, geolocation.

Modern data-collection tools yield better quality data and provide real-time and direct integration with a central database. Many of these data collection tools are provided free of charge (e.g. United Nations Adaptive System for Image Communication over Global Networks (UN-ASIGN),

Freeboard on TSF reducing TSF containment

Water level stable and below maximum operating level (below yellow marker in green zone)

Water level exceeds maximum normal operating level (between orange and green markers in the yellow zone)

Water level exceeds 50% of the maximum emergency storage volume (between yellow and red markers in the orange zone)

Water level exceeds the maximum emergency storage volume (above red marker)

TSF

Pool >50m from edge of top of beach

Depth of water at penstock not exceeding 800mm

Pool >50m from edge of top of beach

Depth of water at penstock exceeds 800mm but below 1400mm

Pool >50m from edge of beach

Depth of water at penstock exceeds 1400mm but below 1900mm

Pool <50m from edge of beach

Depth of water at penstock exceeds 1900mm

Social performance team

Normal work practice (community engagement; government engagement; determining and agreeing roles and responsibilities of internal and external stakeholders; conducting a capacity assessment; building capacity as needed; conducting emergency drills; determine recovery efforts needed; participate in risk assessment and identify controls, etc.)

Notify and work with authorities as required

Maintain situational awareness with community

Support risk assessment for ongoing operation and identify whether there is a need for additional controls

Notify and work with authorities as required

Notify community as required

Notify partner organisations and key suppliers for emergency response and recovery, and put them on standby

Prepare communities in case of an evacuation

Support risk assessment for ongoing operation and identify whether there is a need for additional controls

Notify and work with authorities as required

Notify community as required

Commence community evacuation using established protocols and procedures

Initiate response actions for communities (including food, water, temporary shelter)

Conduct rapid impact assessment using established process

Work with authorities to manage potentially affected public infrastructure

Evoke partner organisations and suppliers MoUs for emergency response and recovery

Mobilise Resettlement project team if failure leads to economic and/or physical displacement

Support assessment of risk and implementation of additional controls for dam to re-establish control

Incidents that require all the resources of the site and the activation and participation of external services (Police, Fire and Rescue, Ambulance) to control the incident. It also requires the activation of the Emergency Management team to coordinate and implement the devised response plan and the Group and Business Unit Crisis Management teams to support the site response and business continuity.

Incidents that cannot be adequately managed by first on scene and require additional internal support (resources and manning) to effectively manage the incident including the use of site-based emergency response teams. A level 2 requires the activation of the Emergency Management Team and the notification and potential activation of the Business Unit Crisis Management team.

• i. Cover page
• ii. List of authors and reviewers
• iii. Abbreviations and acronyms
• iv. Glossary
• v. Table of contents, list of figures, tables and appendices

Abbreviations and acronyms: should provide a table listing all abbreviations and acronyms used throughout the Plan, these should be consistent with internationally accepted definitions and conventions

Glossary: should provide a definition of terms and key concepts used throughout the Plan. It is advisable that definitions are as far as practically possible based on definitions proposed by the Social Way and good practice guidance such as IFC PS 5.

No additional guidance.

• 1.1 Site land access needs
• 1.2 Purpose, scope and objectives
• 1.3 Process for preparing/approving Planning documentation
• 1.4 Framework status and structure

Refer to the site’s land access and displacement strategy (Task 1) in which the resettlement project(s) for the site are defined and motivated.

Outline the purpose, scope and content (structure) of the displacement framework.

Reference the site-induced emergencies that may result in physical or economic displacement.

Reference, and as appropriate link to, the displacement framework for planned resettlements where relevant.

• 2.1 Site context
• 2.2 Requisite land access and displacement
• 2.3 Strategies to minimise and/or avoid displacement

Describe the site in terms of its administrative and regional setting, indicative land access schedule, required land rights and expected duration of land access (as set out in the site’s land access and displacement strategy).

Document existing or planned measures to avoid and/or minimise displacement. Where appropriate this section should include any pre-feasibility, screening/scoping or impact assessment studies that resulted in revision of the footprint and reduction in likely displacement. Any project alternatives that will be considered to minimise displacement should also be noted.

Make reference to the Procedures that consider the site-induced emergencies that will give rise to displacement.

Summarise the potential displacement impacts per site-induced emergency considering if temporary measures will need to be put in place through the Response phase. Temporary measures (e.g. temporary accommodation, provision of emergency food) should be summarised.

• 3.1 Description of national legislation
• 3.2 Traditional land administration and customary tenure systems
• 3.3 Overview of applicable international standards
• 3.4 Overview of The Social Way
• 3.5 Gap analysis and corrective actions (preferably presented in the format of a table).

All Anglo American projects have to comply with host country legislation and meet international requirements for land acquisition and displacement, in particular IFC PS 5. The purpose of the legislative review is to identify differences between these two sets of requirements and describe how such differences will be addressed – typically by adopting the stricter requirement.

The chapter should summarise applicable national legislation, regulations and policies related to land acquisition, safety protection zones/buffer zones, expropriation, resettlement and livelihood restoration. A good point of departure is to refer to legal reviews contained in planning documentation disclosed by international institutions.

Traditional land administration and customary tenure systems should be described where these are not formalised in legislation.

International standards addressed in the document should include IFC PS 1, 5, 7 and 8; and human rights policies.

It is advisable that the gap analysis should not focus only on land-related legislation, but should also include other applicable legislation (e.g. on social housing, employment, social welfare, gender and human rights, health, etc.) as these sometimes contain stricter provisions than those in land-related legislation, and can assist in narrowing the gap between national and international requirements.

Consider legislation related to displacement management in the event of an emergency, which may be distinct from legislation related to planned land acquisition.

In additional to complying with host country legislation the Recovery Resettlement Plan for Emergencies should seek to realise post emergency outcomes that meet the policy requirements of IFC PS5, particularly related to realising an improved standard of living and restoring or improving livelihoods.

The displacement framework for emergencies should summarise the legislative context (with reference to the planned displacement framework as relevant). The displacement framework for emergencies should also summarise the roles and responsibilities for the management of displacement in the event of an emergency, clearly delineating the roles of government agencies, AA and other parties. It is noted that this information should be fully documented in the EMP including assessment of the capacity of third parties.

Where capacity of third parties requires strengthening, relevant capacity building activities should be identified and included in the EMP.

• 4.1 Resettlement principles and objectives
• 4.2 Description of envisaged resettlement planning and implementation process
• 4.3 Roles and responsibilities throughout planning and implementation

Outline the company’s commitments in respect of the approach to land acquisition (e.g. achieving negotiated settlements where possible), avoidance and/or minimisation of displacement impacts, consultation, participation and grievance management, compensation, livelihood restoration/improvement, vulnerability and gender, integration of resettlement into overall project planning, eligibility and entitlements, management of speculation and encroachment, etc.

Describe the LADAR process(es) to be followed at the site, distinguishing between the various resettlement projects as defined in the land access and displacement strategy, types of plans required (RAPs, LRPs, LAPs or corrective plans), as well as between planning and implementation phases for each project.

Specify the functions for which authorities, the resettlement project team and consultants will be responsible during the planning and implementation steps.

No additional guidance.

• 5.1 Socio-economic profile of communities
• 5.2 Land tenure regime
• 5.3 Land use, livelihoods and fixed assets
• 5.4 Vulnerability groups and criteria
• 5.5 Identified legacy issues related to previous resettlement

Using data from available sources (including the land access and displacement strategy, existing baseline profiles and previous impact assessment studies), describe land use and socio-economic conditions in the site’s Area of Influence. This description should be sufficiently detailed to enable: (a) accurate identification of expected displacement impacts and how these impacts might affect households/communities (which are documented in chapter 6 of the displacement framework) and (b) identification (in chapter 7) of suitable measures to compensate for losses and mitigate displacement-related impacts so as to comply with the resettlement principles and objectives cited in chapter 4, and identify who should be eligible to receive compensation and/or benefit from mitigation measures.

Sites should assume that a post event asset inventory would not be possible. Therefore, the level of data collected, and periodically updated in the displacement framework for emergencies, should be adequate for the preparation and implementation of the Recovery Resettlement Plan for Emergencies.

Sites may therefore decide to undertaken a pre-emptive inventory of assets that may be damaged. However, it is recognised that this may be challenging, and sensitive in the local context and data collection will need to be carefully considered. Use of remote sensing (e.g. GIS imagery) is strongly recommended and should be updated at least annually. Data collection for activities such as SED, can also consider collection of data that can inform the Recovery Resettlement Plan for Emergencies. This may be particularly helpful to provide information on vulnerability, livelihoods, quality of agricultural land, etc.

• 6.1 Displacement Impacts
• 6.2 Impacts on local authorities and host communities
• 6.3 Potential differential impacts on vulnerable persons/groups

Provide a high-level estimate of potential displacement impacts on affected persons, including displaced households, local authorities, host communities and vulnerable persons/groups. Impact categories may include permanent or temporary loss of land, loss of fixed assets (e.g. residential, business or community structures, etc.), loss of crops or economic trees, displacement of graves or cultural heritage resources, loss of natural resources, and loss of access to any of the above.

It is similarly recommended that high-level estimates of potential impacts on affected persons are provided for each site-induced emergency with off-site impacts, recognising that they may be significant uncertainty depending on the magnitude of the emergency.

• 7.1 Eligibility
• 7.2 Valuation approach
• 7.3 Compensation options and packages
• 7.4 Entitlement framework

Eligibility: Define the process through which eligibility will be determined and specify the mechanism/process through which a legitimate cut-off date will be instated. Also, define the categories of persons who will be considered eligible for compensation.

Valuation: Define the valuation methods that will be used to quantify the loss of assets and/or livelihoods as a result of displacement. The chapter should specify how selected valuation methods and associated compensation rates will ensure full replacement costs.

Compensation options and packages: May include monetary compensation, in-kind compensation of a combination of these, as well as allowances to be offered to displaced persons.

Entitlement framework: Sets out compensation, and livelihood restoration and/or support measures to be provided for each category of eligible person. This framework will guide the formulation of a detailed entitlement matrix during development of the project-specific DMPs (Task 7).

Where there is a displacement framework for planned resettlements, this should be used as a basis for the development of this chapter.

A single entitlements matrix is recommended for each site-induced emergency with off-site impacts.

The valuation method of displacement caused by emergencies should generally be the same as for planned displacements.

Different compensation strategies may be relevant for different site-induced emergency with off-site impacts depending on their magnitude. For example, small losses in land-based livelihoods may be able to be compensated for in cash. However, more significant impacts are likely to require a combination of in kind and cash compensation. The compressed timeframes for implementation need careful consideration to ensure that compensation strategies are appropriate and implementable.

Where physical or economic displacement may require accessing new land for replacement housing or livelihoods, an assessment of options should be included. This should consider the ability to rapidly access and utilise land considering existing land uses and planning requirements.

• 8.1 Stakeholder engagement objectives and principles
• 8.2 Identification of stakeholders and engagement requirements
• 8.3 Stakeholder engagement framework

Describe the stakeholder engagement requirements during the various activities of resettlement planning and implementation. Also, establish the general stakeholder engagement principles adopted for the site and summarise any engagement undertaken previously. Describe the consultation and engagement structures to be established during detailed resettlement planning. This chapter will form the basis for the development of stakeholder engagement plan for each resettlement project at the site (Task 6).

No additional guidance.

• 9.1 Monitoring and evaluation objectives
• 9.2 Framework and indicators
• 9.3 Reporting requirements

Define M&E objectives and strategy and present a conceptual M&E framework describing internal and external M&E arrangements, and identify potential indicators to measure inputs, outputs and outcomes for resettlement/livelihood restoration activities.

No additional guidance.

• 10.1 Organisational roles and responsibilities for planning and implementation
• 10.2 Resources, individual roles and responsibilities within Anglo American
• 10.3 Indicative Schedule and
• 10.4 Estimated budget

Identify all role players that will be involved in the planning and implementation process, including affected people, company representatives or committees, regulatory authorities, service providers and other agencies/institutions (e.g. civil society). Describe the interrelation between these parties as well as their likely involvement during various stages of the planning and implementation process.

Provide an indicative schedule for preparation of DMPs, indicating underlying assumptions and key dependencies. Links to other processes (e.g. construction/development schedules, grave relocation, environmental authorisations, etc.) should also be indicated.

For each resettlement project covered by the displacement framework, provide an initial, high-level estimate of the required budget. This should be based on available information regarding the types and magnitude of displacement, as well as indicative costs and compensation rates. This should be followed by a description of the procedures to be applied during the detailed displacement management planning to finalise budget estimates for key components (e.g. how costs for land, structural assets, economic losses, livelihood restoration, implementation teams, etc., will be calculated).

As per a planned displacement framework this section needs to describe how the Recovery Resettlement Plan will be prepared and implemented in the event of an emergency.

For site-induced emergencies the displacement framework for emergencies should identify:

• All role players, clearly identifying support that will be required from BU / Resettlement SME to ensure that this will be rapidly provided by the Resettlement Project Team where needed;
• The schedule for preparation and implementation of the Recovery Resettlement Plan for Emergencies taking into account the potential need to provide temporary accommodation, subsistence and support to displaced persons until they can be implemented;
• Consideration of if / how further data will be able to be collected to accurately assess impacts in the event of an emergency;
• Initial, high level estimates of budgets considering worst case. Insurance / finance team should be consulted on any pre-requisites for release of these budgets.

Where there will be physical displacement, sites should undertake an initial assessment of potential relocation sites considering their suitability for physical housing and restoration of livelihoods (e.g. consideration land suitability, transport links to employment centres etc.). Resettlement sites should provide the potential for improvements to livelihood and quality of life.

It is further advised that outline building plans are prepared, including infrastructure and housing specifications are developed, that align with national requirements and international good practice.