2 Tool 1 – Screening Tool

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2 Tool 2 – Guidance for external context review

The list of data/prompts in the table below is not exhaustive and should be revised for the specific context and focused around the potentially significant impacts. Data should be collected to develop an understanding of regional and national averages, as well as local conditions, allowing for comparisons to be made.

Category	Description
Historical	Provide a brief description of the area and recent history, including any legacy issues attributed to the site or the mining industry more widely Provide a brief description of any legacy human rights issues reported in the Area of Influence. Is there a history of conflict e.g. critical events, mediation efforts, external interventions?
Legal and regulatory	List any laws or regulations relevant to social performance and SED Have there been any changes to legal or permit requirements of relevance to social performance? Describe the institutional framework for human rights protection e.g. status of ratification and implementation of international human rights law at the national level; level of implementation of national laws and regulations resulting in human rights enjoyment in practice; any laws applicable to companies that enable or constrain respect for human rights; effectiveness of judicial remedies; human rights bodies; access to dispute-resolution mechanisms
Land and natural-resource use	Land prices/ownership/tenure/use/occupation, including location of communities and households in the Area of Influence and near the site Describe land use in the area of influence, traditional/formal ownership/tenure/occupancy processes Are there any land disputes or speculation? What are land prices and have there been any major changes in the past five years? What is driving this? Natural-resource use including pasture, fishing, water, forest, minerals/subsoil etc. Natural-resource availability and quality and implications for people: Air – existing air quality Water – quantity and quality of surface and ground water Noise – existing noise levels Land – soil characteristics, land use and landscape Ecosystems services (B. Much of the ecosystem services data should be held by the SHE team as part of the Biodiversity Standard baseline data requirement) What natural resources do local communities currently rely on and to what extent (i.e. what are the alternatives)? Differentiate across different groups within the local area Are there seasonal patterns of resource use? Is resource access equal across communities? Who has control (decision-making power) over the most important resources? How does this impact others? Is there competition for control and/or use of natural resources? Has the availability or quality of these resources increased or decreased over time? If yes, how and why, and who has been most affected? Climate, seasonality, and effects of climate change and whether the area is prone to natural disasters.
Political and governance	Describe administrative areas and structures Describe formal and informal governance structures and processes Describe community decision-making processes Are governance structures perceived to be democratic, representative and legitimate? What forms of local governance are most accepted and recognised within the local area? What are the SED objectives of the area as defined by local government? Describe key political actors (in and outside government), their area of influence, and their main priorities, interests and concerns Describe government development-planning processes and priorities Describe local conflict-resolution mechanisms (formal/informal) Is the local media balanced and accommodating of different views? How much influence does the media have in opinion-making? Describe (barriers to) access to justice What are the emergent political issues e.g. elections, reform processes, decentralisation, mistrust between certain groups, leadership contestation?
Population and demographics	Describe the population characteristics and trends, including population size, growth rates, death rates, birth rates, gender composition, population density Are there indications that Indigenous Peoples are present on or near the site’s Area of Influence? What are the main ethnic/racial groups in the area? What are the main languages and religions in the local area? How does this compare to the country as a whole? What are the main aspects of cultural identity to local stakeholders? (e.g. shared belief system, common language, kinship, livelihoods, recreation, diet, household patterns) Describe traditional public and private gender roles and responsibilities Describe inter-community relations – are there any existing or historical tensions or conflict between different groups? Are there strong community networks? What are the levels of trust between different groups? Are there emerging social issues? Is there a large migrant population, and how has this group integrated into the wider community?
Personal and political security	What are the key contextual human rights issues and risks at a national and local level? (Based on published reports or identified by external experts) Describe any barriers to political representation or participation in decision-making. Is there discrimination based on religion, ethnicity, gender, race, cultural practices or beliefs? Describe any corruption (perceived or actual) within the local area and how is it perceived List crime rates, types of crime, causes of crime, perceptions related to security and crime Are any groups within the area particularly vulnerable to violence or other crimes? Describe labour and working conditions What is the history of labour relations in the local area? Is there evidence of any labour rights abuses in the local area (e.g., child labour, forced labour, etc)? Is the trafficking of people for labour or prostitution an issue? What are the characteristics of public security provision, and how are these security services viewed by the general population and local authorities?
Public services and infrastructure	Describe access to, barriers to, and quality of social infrastructure and services, including water, sanitation, power, heating, cooking fuel, transport, roads, communication, waste treatment, recreation, law enforcement, justice, emergency services (differentiate according to demographic factors or community as relevant) Who is currently responsible for delivering these services? What are the primary infrastructure needs in the community? What are the main housing types in the local area and their quality (e.g. formal dwellings of sound construction, traditional types of home, informal/illegal dwellings)? Where appropriate, differentiate access to housing and housing types across different groups within the local area Is there adequate housing supply? Describe any new infrastructure in development or planned within the Area of Influence and the actors involved
Cultural heritage	Is there any tangible or intangible cultural heritage in the Area of Influence? Does an inventory of archaeological and cultural heritage for the site’s Area of Influence exist? Are there any ongoing or planned cultural heritage surveys within the Area of Influence? Describe any tangible or intangible cultural heritage including natural features/ objects that embody cultural values, or natural resources that have a cultural use, in the Area of Influence Are there any nationally or internationally recognised or legally protected cultural heritage areas, including existing or proposed World Heritage Sites? Describe cultural practices e.g. rituals, burials, ceremonies Describe the research, education and tourism uses (existing or planned) of cultural heritage resources   Do communities use, or have they used within living memory, the cultural heritage for long standing cultural purposes? Who is responsible for the preservation, protection and promotion of cultural heritage? Describe existing programmes designed to preserve, protect and promote cultural heritage.
Stakeholder perceptions	What are the priority concerns/problems that the local area faces according to local stakeholders? Do stakeholders feel that the standard of living in the local area is better, the same or worse than five years ago? What are the reasons for any perceived changes? Do stakeholders feel that there have been any changes to their way of life (positive or negative) in the past five years? What are the types of changes they have observed and what are the reasons given for these? What are the perceptions (issues and concerns) amongst stakeholders about mining in the local area?
Livelihoods	What is the economic wealth of the local area compared to the rest of the region and country? What economic sectors are the main contributors to employment and the local economy? How reliant is the local economy on primary commodities? Has there been any change in the characteristics of the local economy in the past five to 10 years (including informal sectors and activities, such as ASM or petty trade)? Are there any major economic development proposals for the local area or region? What is the profile of the local labour force? What is the local inflation rate and has this changed over time? Describe levels and patterns of employment, unemployment and under-employment Are certain groups excluded or favoured with regards to employment? Describe the main livelihood activities (income-generating and subsistence) – what is the most common activity and what is the most sought-after? Are there any seasonal changes to livelihood activities or employment patterns? Which groups are involved in these livelihood activities and what are their roles (e.g., women, men, socio-economic groups, ethnic groups, cultural groups, etc.)? What are the key challenges facing those practising these livelihoods? Describe any changes to livelihood patterns in the past five to 10 years What are the main trades and services in the local area? What types of small businesses are there? What type of support is available for small businesses? What are the main challenges facing the small business sector? (e.g. access to credit facilities, energy costs, supply of labour) Do producers and traders have good access to markets locally, regionally or nationally? If not, what are the barriers? What is average household income (differentiate according to group/location/sector where possible)? What are the main sources of household income? What is the average cost of living and has it changed in the past five to 10 years? How does it compare to regional or national trends? What is the average cost of manual labour and has it changed in the past five to 10 years? How does it compare to regional or national trends? Describe any public social security systems or customary support systems What types of savings, banking and credit facilities are available to individuals and businesses?
Health	Health status – Key health indicators and mortality and morbidity data ‒ life expectancy, maternal mortality, infant mortality, etc. Epidemiological profile (prevalence of diseases, including vector-borne, non-communicable and communicable diseases) maternal health, mental health, nutrition, road accident and other accidents and emergencies prevalence rates Factors affecting health – health-related behaviour, poverty, livelihood and working conditions, food security, nutrition, environment, crime rates and patterns, domestic violence, substance abuse, sex work, lifestyle indicators ‒ smoking, etc Health services and infrastructure – Health infrastructure and healthcare system. Clinics, hospitals, traditional medicine, etc., including availability, access, quality of services and affordability Perceptions of health – understanding priorities. Health concerns affecting specific aspects of the population (e.g. farmers, fishermen, etc). Self-reported health status and perceptions on overall well-being
Education	Literacy and numeracy – % of girls and boys able to read, write and understand basic maths – disaggregated by ethnicity, income status, age and gender Attendance – % of girls and boys attending school regularly Completion – % of girls and boys finishing primary, secondary and higher education Access/affordability – availability and cost of attending school, education infrastructure and facilities (nursery to tertiary education). Teacher-student ratios. Adult education, vocational colleges and training Quality – class sizes, teacher qualifications, teacher numbers

2 Tool 3 – Detailed Screening: Land access, displacement and resettlement (LADAR)

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2 Tool 4 - Commitments Procedure

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