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Task 7 – Update the social management plan

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Task 7 – Update the social management plan

Task 8 – Develop stakeholder accountability report (SAR)

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The primary output of Social Performance Review and Planning is a comprehensive Social Management Plan (SMP). The SMP is the go-to document for a clear overview of the site’s social performance context, issues, and objectives. Anyone who has read the SMP should have a clear understanding of the site’s social performance priorities, plans and management approach.

The SMP defines and drives progress towards the site’s long-term social performance objectives. The SMP is subject to a substantial refresh every five years as a result of a review/update of the baseline and context analysis, or more frequently owing to significant changes in the LoAP , or in the internal or external context.

The SMP also includes an annual implementation plan, which should be updated every year as it reflects the priorities and activities for the forthcoming year.

The SMP does not have to duplicate detailed information that is already captured in other documents (such as a detailed overview of stakeholder engagement activities, which is captured in the Stakeholder Engagement Plan), but it should provide a high-level summary or highlight key points as indicated in Table 2.3 and make reference to the other documents.

The process of developing the SMP should be cross-functional. In part, this happens through internal discussions around several of the component elements, notably Stakeholder Engagement (see Section 3A) and SHIRA (see Section 3C) but the process should also include the SPMC (see Section 1). A draft of the SMP should be presented and discussed at the SPMC and the final version agreed by the SPMC.

The SMP should include the sections listed in Table 2.3. Guidance on the monitoring and evaluation component is provided in CHECK and in Section 1.

Table 2.3 - SMP Sections

Section Content Frequency of update and review
Purpose and objectives Summary of the purpose and key objectives of the SMP. As relevant
Regulations and other requirements Summary overview of relevant laws, corporate standards and international standards that affect social performance activities. As relevant
Cross-references A list of policies, other plans and documents that are cross-referenced in the SMP and that are relevant to the SMP . As relevant
Reporting An overview of internal and external reporting requirements; i.e. what should be reported to whom and when. As relevant
Review Frequency of review of the SMP. As relevant
Sign-off The SMP should be signed off by the General Manager. As relevant. The General Manager should sign off the SMP once it has been significantly updated.
Sections to be thoroughly updated every five years
Internal context Provide a summary analysis of operational plans and activities and how they affect social performance management and objectives. Thoroughly updated every five years.
Reviewed more frequently as needed, for example in case of significant changes to the LoAP.
Internal context Provide a summary analysis of operational plans and activities and how they affect social performance management and objectives. Thoroughly updated every five years.
Reviewed more frequently as needed, for example in case of significant changes to the LoAP.
External context

Provide a summary of the screening exercise and an analysis of the baseline data.

Include a map of the site’s Area of Influence showing the site’s physical footprint and extent of (potential) impacts.

 

 Thoroughly updated every five years.
Reviewed more frequently as needed; for example, in case of significant changes to the Area of Influence.
Stakeholder mapping

Provide a high-level overview of the communities/ stakeholders within the site’s Area of Influence. Identify priority stakeholders (those most affected by the site) and detail the most vulnerable communities and sub-groups.

Detailed information about stakeholders is included in the SEP. The objective of the SMP is not to duplicate all the information from the SEP, but rather to identify and list priority stakeholders and the most vulnerable communities and sub-groups. Details are provided in the SEP, which should be referenced in the SMP.

 Thoroughly updated every five years when the baseline and context analysis are updated.
Reviewed more frequently as needed; for example, in the case of significant changes to the LoAP and/or external context, which may have altered the site’s Area of Influence and potential stakeholders affected.
Long-term, strategic social and human rights impact and risks management approach

Summarise and briefly describe long-term strategic social and human rights impact and risk management approaches and priorities, any changes to the approach and priorities and the reasons for these changes, and any emerging issues and how these will be dealt with. A bullet point list suffices.

The full scope of impacts and risks is covered in SHIRA / the Baseline WRAC, as well as in in-depth plans (as required in Section 4A Risk and Opportunities Management). The objective of this section of the SMP is not to duplicate all the information from the SHIRA / Baseline WRAC and in-depth plans, but rather to identify and summarise long-term strategic social and human rights impact and risk management approaches. Details are provided in SHIRA and in topic-specific management plans, both of which should be referenced in the SMP.

 Thoroughly updated every five years, when the baseline and context analysis are updated.
Reviewed more frequently as needed; for example, in the case of significant changes to the LoAP and/or external context, which may have changed the key potential adverse social and human rights impacts and risks.
Long-term strategic SED priorities

Summarise and briefly describe the long-term desired SED outcomes and priorities. This should include a summary of measures to meet the education, health and well-being, and livelihoods Sustainable Mining Plan stretch goals and progress against these stretch goals. A bullet point list suffices.

The full scope of SED priorities and desired outcomes is captured in the SED Plan. The objective of the SMP is not to duplicate all the information from the SED Plan, but rather to identify and summarise the long-term goals, priorities, and programmes. Details are provided in the SED Plan, which should be referenced in the SMP.

 Thoroughly updated every five years, when the baseline and context analysis are updated.
Reviewed more frequently as needed; for example, in the case of significant changes to the LoAP and/or external context, which may have changed SED priorities and programmes.
Long-term social performance objectives Include long-term social performance objectives. This should also include an overview of progress towards and/or effectiveness in meeting the long-term objectives. Include the monitoring and evaluation framework and interim milestones (see CHECK). Describe any changes made to long-term social performance objectives and why these changes were made. Thoroughly updated every five years, when the baseline and context analysis are updated.
Reviewed more frequently as needed; for example, in the case of significant changes to the LoAP and/or external context, which may have rendered one or more of the objectives or milestones invalid.
Long-term social performance resourcing and training Summary of staff requirements, including additional specialist in-house expertise, consultancy time, budgets and responsibilities needed to achieve the long-term social performance objectives. Include a summary of planned and required training and capacity development. Thoroughly updated every five years, when the baseline and context analysis are updated.
Reviewed more frequently as needed; for example, in the case of significant changes to the LoAP and/or external context.
Annual Implementation Plan
Progress against long-term objectives A brief qualitative and quantitative outline of progress against the long-term social performance objectives, their monitoring and evaluation indicators and interim milestones, including significant obstacles in trying to achieve them and the measures (to be) taken to overcome those.Include Sustainable Mining Plan objectives. Annually
Objectives and activities for the year List annual objectives and activities to contribute to/reach long-term social performance objectives, incorporating the results of monitoring and evaluation and any lessons learned from the previous year. Annually
Stakeholder engagement Provide a summary of the previous year’s engagement activities in relation to successes, challenges and gaps. Summarise activities for the forthcoming year, incorporating any lessons learned from the previous year. A detailed overview of stakeholder engagement activities for the year is provided in the SEP, which the SMP should reference. Annually
Incident and grievance management Provide a summary of the previous year’s grievances and incidents in terms of number, type, close-out times, the most significant incidents and grievances by community, etc., and describe how this is used to inform and/or amend the grievance process and risk- and impact-control measures. Summarise activities for the forthcoming year, incorporating lessons learned from the previous year. Annually
Social and human rights impact and risk management

Summarise the previous year’s social and human rights impact and risk management activities, including main achievements, challenges, etc.

Summarise the main priority actions for the year ahead to manage the key potential social and human rights impacts and risks, incorporating lessons learned from the previous year.

The full scope of impacts and risks and the Monitoring and Evaluation framework are covered in SHIRA /the Baseline WRAC, as well as in in-depth plans (as required in Section 4 Impact and Risk Prevention and Management). The objective of the SMP is not to duplicate all the information from the SHIRA/Baseline WRAC and in-depth plans, but rather to identify the priority actions required for the year ahead. Details are provided in SHIRA and in topic-specific management plans, both of which should be referenced in the SMP. Sites may choose to include topic-specific management plans, where necessary, as an Annex to the SMP.

 Annually
SED projects

Describe previous year’s SED activities, including main achievements, challenges, etc. Summarise the main SED priorities and activities for the forthcoming year.

The full scope of SED activities is covered in the SED Plan. The objective of the SMP is not to duplicate all the information from the SED Plan, but rather to identify priorities and activities for the year ahead. Details are included in the SED Plan, which should be referenced in the SMP.

 Annually
Social commitments A summary of the most important social commitments, including commitments that have been fulfilled in the preceding year, commitments overdue, a description of progress towards meeting major commitments and an analysis of any delays, challenges or constraints. Annually
Resourcing and training

Present the overall human resource and budgetary allocations required to deliver annual implementation plan. It should set out the reporting lines and cross-functional accountabilities within the operation and Business Unit as relevant.

Include a summary of planned and required training and capacity development. Include a summary of the SPMC , its members and objectives. Sites may choose to include the SMPC Terms of Reference (ToR) as an Annex to the SMP .

 Annually
Annex
Social commitments procedure and commitments register The social commitments procedure should be annexed to the SMP. A register detailing the full list of commitments made to external stakeholders can also be annexed to the SMP or can be held online and referenced in the SMP. Annually, as part of the annual update of the SMP Annual Implementation Plan.
Topic-specific management plans Sites may choose to include topic-specific management plans as required in Section 4 as an Annex to the SMP. Annually
Stakeholder Accountability Report Sites may choose to include the SAR as an Annex to the SMP. At least every five years.
Social Performance Management Committee Sites may choose to include the ToR of the SPMC as an Annex to the SMP. As relevant

BOX 2.11 - Commitments Management

External stakeholder trust in a site depends heavily on the fulfilment of promises made. Sites are therefore required to have a commitments procedure, which stipulates what type of commitments can be made to external stakeholders by whom, the approvals process for making commitments, and the requirement to register all commitments made.

Sites must compile and maintain a Commitments Register (CR) to register and track progress against commitments made. The CR is a critical tool in promoting accountability. It is a living document and sits as an Annex to the SMP or in an online register. The CR should have clear accountabilities, timelines, and budgets (where relevant) allocated to each commitment. Sites may maintain parallel functional commitments registers where different managers monitor commitments; they should, however, be aligned and reported in aggregation.

The CR should reflect all commitments made to external stakeholders, including on elements related to social performance, SED, environmental performance, health and safety etc:

  • Regulatory commitments
  • Permitting commitments
  • Commitments made in community agreements, such as Social and Labour Plans and Impact and Benefit Agreements
  • Verbal or written commitments made to stakeholders
  • Commitments related to impact management, including resettlement-related commitments where relevant.
  • Commitments related to operational activities such as a commitment to avoid blasting or dumping at certain times in certain areas

The CR should track all commitments made to external stakeholders and, typically, will extend beyond the social performance commitments made to local communities and include commitments made to external stakeholders by other functions. These could include commitments made to local communities about environmental monitoring and reporting, health and safety performance, as well as permitting commitments. It should be noted that the purpose of the CR is not to assess permit compliance, but rather to track any commitments made to local communities as part of the permitting conditions or process.

Progress against commitments should be tracked and analysed on a monthly basis and reported to site management on at least a quarterly basis, using suitable monitoring metrics, such as:

  • The number and type of existing and new commitments made
  • The number and percentage of commitments closed out on time and within budget
  • Progress against outstanding commitments in percentage completed
  • The number and type of commitments nearing the completion date
  • The number, percentage, and type of commitments overdue and over budget
  • The risk of not delivering on the commitment. This can be used to prioritise commitments
  • A review of whether the site is making commitments as per its commitments procedure, where deviations from the procedure occur, and why
  • A review of whether commitments are made strategically; i.e. to key stakeholders, contributing to risk and/or impact management, contributing to the long-term social performance objectives, etc.
  • A review of what type of commitments go over schedule and budget and why.

A summary of relevant commitments and progress status against commitments should be monitored and discussed regularly through the CEF or other relevant engagement mechanism and be included in the SAR.

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2.2 Guidance

Task 1 ‒ Conduct screening

Task 2 – Conduct internal context review

Task 3 – Determine the Area of Influence

Task 4 – Conduct external context review

Task 5 – Assess systemic vulnerability

Task 7 – Update the social management plan

Task 8 – Develop stakeholder accountability report (SAR)

Task 9 – Monitor and evaluate

Task 10 – Adjust

Task 11 – Report

2.3. Management and resources

2.4 Tools

2.2 Guidance | Do
2. Review and planning  |  2.2 Guidance  |  Do