Content uploaded by Emma Wilson
Author content
All content in this area was uploaded by Emma Wilson on Mar 23, 2017
Content may be subject to copyright.
INDIGENOUS PEOPLES AND RESOURCE EXTRACTION IN THE ARCTIC:
EVALUATING ETHICAL GUIDELINES
January 2017
What is Social Impact Assessment?
1
Social impact assessment (SIA) is the process of identifying and managing
the social impacts of industrial projects. It can also be applied to
policies, plans and programmes. SIA is used to predict and mitigate
negative impacts and identify opportunities to enhance benets for local
communities and broader society. Central to the principles and practice
of SIA is the involvement of aected communities and other stakeholders
in the process. SIA should inform decision-making by government and
companies from the early stages of a project. Equally important is the
role of SIA in the ongoing management of social issues throughout the
whole project cycle until decommissioning and closure. As such, the
social management plan that derives from an SIA is extremely important.
SIA is also an essential foundation for community agreements and in
processes of free, prior and informed consent (FPIC) conducted with
indigenous communities before the start of industrial development
projects. This brieng explores the core principles of SIA and the SIA
requirements of selected international instruments. It also considers
some of the key challenges to implementing SIA in practice and oers
some recommendations for future practice.
Why is SIA important for indigenous peoples and the
extractive industries?
SIA is an important tool to assess the social, economic and cultural impacts of
industrial activities on indigenous communities. This is particularly relevant
for the extractive industries, whose activities frequently encroach on the lands
and waters that indigenous peoples depend on for their traditional livelihood
activities. An SIA identies potential impacts on indigenous titled lands and
territories of customary resource use. As such, it helps to avoid potential
negative impacts on critical natural resources, such as water and forests, as well
as impacts on cultural resources, such as sacred sites. An SIA process also helps
to identify ways that indigenous communities could benet from a proposed
development, for example, through infrastructure development, job creation
or support for traditional enterprise, and should enable residents of that
community to shape the way the development moves forward.
SIAs are considered to be international good practice for managing the social
impacts of extractive industry projects, and are required by international
nancial institutions and corporate policies, often in the form of an integrated
environmental and social impact assessment or ESIA. These are then translated
into management plans for implementation throughout the life of the project.
• SIA is used to identify and
manage the social impacts
of extractive industry
projects. The aim is to
enhance positive benets
as well as to mitigate
negative eects.
• Good practice is to
integrate environmental
and social assessments.
Other types of assessment,
such as cultural, health
and human rights impact
assessments may also
be employed.
• Community engagement
and social assessment
should start as early as
possible in the planning
phases of a development,
and can address people’s
expectations, anxieties and
the causes of social tension.
• An SIA provides an essential
foundation for project-
related social management
plans, community
agreements, and processes
of free, prior and informed
consent (FPIC).
• Meaningful community
engagement is central to
the implementation of an
SIA and to the ongoing
management of social
issues throughout the
project life cycle.
HIGHLIGHTS
2
The process of giving or withholding free, prior
and informed consent (FPIC) and the negotiation
of community agreements require accurate
information about potential social impacts and
benets of a project. An SIA is therefore an essential
foundation for these other processes.
Which international instruments
require SIA?
The formal requirement for SIA originally arose
out of the US National Environmental Policy Act
(NEPA) (1969), which required environmental
impact statements for projects, policies, plans,
and programmes, incorporating a social element
to the studies and requiring public engagement
(Burge and Robertson, 1990). The practices of
environmental impact assessment (EIA) and SIA
have both evolved over the years and have been
adopted globally.
EIA has since become a legal requirement in
many countries, incorporating elements of SIA to
a greater or lesser extent (McCullough, 2016). In
Canada, for instance, social issues are generally
incorporated into an EIA rather than carrying
out a distinct SIA (Papillon and Rodon, 2017). In
Norway, SIA is not a mandatory requirement,
but is sometimes carried out alongside an EIA,
particularly in cases where indigenous peoples’
issues are especially prominent (Ibenholt et al.,
2016). In Greenland, SIAs are a legal requirement
of oil or mining companies in the planning and
exploration phases of development (Hansen et al.,
2016). In Russia, a distinct form of ethno-cultural
impact assessment has been developed specically
for assessing the impacts of industrial projects on
indigenous communities – the anthropological
expert review (etnologicheskaya ekspertiza). This is
written into national and regional legislation, but is
only a legal obligation in one region of the Russian
Federation – the Republic of Sakha (Yakutia)
(Novikova and Wilson, 2017).1
National legislation is not only inconsistent
between countries; it also frequently fails to
provide detailed guidance on the requirements
for SIA. In response to this and to the particular
requirements of certain constituencies, and
in the light of industrial development trends,
international standards have evolved to provide
protection especially for vulnerable ecosystems
and communities. Table 1 summarises the SIA
requirements in seven selected international
instruments that inuence extractive industry
practice in relation to indigenous peoples.
The OECD Declaration on International
Investment and Multinational Enterprises (1976,
last reviewed in 2011) is a policy commitment by
all 35 OECD countries and 11 non-OECD countries
that have subscribed to the Declaration. A
cornerstone of the Declaration is the commitment
to promote adherence to the OECD Guidelines
for Multinational Enterprises (1976, last revised
in 20 11) , which include guidance relating to due
diligence and environmental impact assessment,
focusing on environment, health and safety. The
latest (2011) version of the Guidelines incorporates
a section on human rights, and states that
enterprises should ‘carry out human rights due
diligence as appropriate to their size, the nature
and context of operations, and the severity of the
risks of adverse human rights impacts’ (Chapter IV,
recommendation 5). The OECD has also produced
detailed guidance on meaningful stakeholder
consultation (OECD, 2016).
The International Labour Organisation (ILO)
Convention 169 on Indigenous and Tribal Peoples
(1989) places the obligation on its 22 signatory
governments to ‘ensure that, whenever appropriate,
studies are carried out, in co-operation with the
peoples concerned, to assess the social, spiritual,
cultural and environmental impact on them of
planned development activities’ (Article 7(3). These
studies are expected to provide the foundation for
the way that the project is subsequently developed.
Article 14 (1a) of the Convention on Biological
Diversity (CBD) (1992) has a requirement for each
contracting party (i.e. the 149 states that have
ratied the CBD) to:
Introduce appropriate procedures requiring
environmental impact assessment of its
proposed projects that are likely to have
signicant adverse eects on biological diversity,
with a view to avoiding or minimising such
eects and, where appropriate, allow for public
participation in such procedures.
The Akwé: Kon Guidelines (2004)2 were developed
by the Secretariat of the CBD in order to provide
guidance for proponents of developments that are
likely to aect sacred sites, land and water bodies that
are traditionally used or occupied by indigenous and
local communities. The Guidelines provide detailed
guidance on conducting environmental, social and
cultural assessments (see below).
3
Instrument SIA requirements
OECD Guidelines on
Multinational Enterprises
(2 011)
Enterprises should ‘[c]arry out human rights due diligence as appropriate to their size,
the nature and context of operations, and the severity of the risks of adverse human
rights impacts’ (Ch.IV(5)); and ‘[a]ssess, and address in decision-making, the foreseeable
environmental, health, and safety-related impacts associated with the processes, goods
and services of the enterprise over their full life cycle with a view to avoiding or, when
unavoidable, mitigating them. Where these proposed activities may have signicant
environmental, health, or safety impacts, and where they are subject to a decision of a
competent authority, prepare an appropriate environmental impact assessment’ (Ch.V I (3)).
ILO Convention No.169
on Indigenous and Tribal
Peoples (ILO 169) (1989)
According to Article 7(3) ‘[g]overnments shall ensure that, whenever appropriate, studies
are carried out, in co-operation with the peoples concerned, to assess the social, spiritual,
cultural and environmental impact on them of planned development activities. The results
of these studies shall be considered as fundamental criteria for the implementation of
these activities’.
Convention on Biological
Diversity (CBD) (1992)
According to Article 14(1a), a state is obliged to ‘introduce appropriate procedures
requiring environmental impact assessment of its proposed projects that are likely to have
signicant adverse eects on biological diversity, with a view to avoiding or minimising
such eects and, where appropriate, allow for public participation in such procedures’.
International Finance
Corporation (IFC)
Environmental and Social
Performance Standards
(2012)
Performance Standard 1(5) states: ‘The client … will conduct a process of environmental
and social assessment, and establish and maintain an ESMS [Environmental and Social
Management System] appropriate to the nature and scale of the project and commensurate
with the level of its environmental and social risks and impacts. The ESMS will incorporate
the following elements: (i) policy; (ii) identication of risks and impacts; (iii) management
programs; (iv) organisational capacity and competency; (v) emergency preparedness and
response; (vi) stakeholder engagement; and (vii) monitoring and review.’
Where the client proposes to locate a project on lands traditionally owned or used by
indigenous peoples, they should employ a process of FPIC, including the following steps:
‘1) Document eorts to avoid and otherwise minimise the area of land proposed for
the project; 2) Document eorts to avoid and otherwise minimise impacts on natural
resources and natural areas of importance to Indigenous People; 3) Identify and review
all property interests and traditional resource uses prior to purchasing or leasing land;
4) Assess and document the Aected Communities of Indigenous Peoples’ resource use
without prejudicing any Indigenous Peoples’ land claim …’ (Performance Standard 7(14)).
United Nations Declaration
on the Rights of Indigenous
Peoples (UNDRIP) (2007)
According to Article 8(2), ‘States shall provide eective mechanisms for prevention of, and
redress for: … (b) Any action which has the aim or eect of dispossessing them of their
lands, territories or resources.’ Article 32(1) states: ‘Indigenous peoples have the right to
determine priorities and strategies for the development or use of their lands and territories’.
The requirement for impact assessment and further due diligence actions is implicit in the
requirement for consultation and free, prior and informed consent (Article 32(2)).
UN Guiding Principles on
Business and Human Rights
(2 011)
Principle 3 requires governments to establish laws and regulations to ensure businesses
respect human rights, including in relation to due diligence. Principle 15 states that
business enterprises should have in place ‘a human rights due diligence process to
identify, prevent, mitigate and account for how they address their impacts on human
rights’. Principle 17 requires companies to carry out human rights due diligence, by
‘assessing actual and potential human rights impacts, integrating and acting upon the
ndings, tracking responses, and communicating how impacts are addressed.’ Principle
18 requires ‘meaningful consultation with potentially aected groups and other relevant
stakeholders’. Principle 19 requires companies to ‘integrate the ndings from their impact
assessments across relevant internal functions and processes, and take appropriate action’.
International Council on
Mining and Metals (ICMM)
Position Statement on
Indigenous Peoples and
Mining (2013)
Commitment 2 states that ICMM member companies commit to: ‘Understand and respect
the rights, interests and perspectives of Indigenous Peoples regarding a project and its
potential impacts. Social and environmental impact assessments or other social baseline
analyses will be undertaken to identify those who may be impacted by a project as well as
the nature and extent of potential impacts on Indigenous Peoples and any other potentially
impacted communities. The conduct of such studies should be participatory and inclusive
to help build broad cross-cultural understanding between companies and communities …’
TABLE 1. Summary of SIA requirements in selected international instruments
Sources: Texts of the relevant instruments
4
The World Bank Group (including its private sector
lending arm, the International Finance Corporation
or IFC) has been developing social safeguard
policies since the 1980s, in response to controversial
lending issues such as dam construction that
resulted in displacement of communities. The IFC’s
Environmental and Social Performance Standards
(last updated in 2012) require its clients (companies
receiving nance from the IFC) to carry out an
SIA as part of an integrated environmental and
social impact assessment (ESIA) and as the basis
for environmental and social management plans
for the life of the project (Performance Standard
1). This requirement applies to ‘all projects that
have environmental and social risks and impacts’
(Performance Standard 1, clause 4). In addition
to these SIA requirements, IFC’s Performance
Standard 7 (Indigenous Peoples) requires the client
to complete an indigenous peoples’ development
plan and to obtain the FPIC of aected indigenous
communities if a project is likely to have negative
impacts on their livelihoods or territories. Required
steps in implementing an FPIC process (clause 14)
include the documentation of eorts to avoid and
minimise impacts on indigenous land use and
natural areas of importance to indigenous peoples,
and provision of appropriate compensation and
benet-sharing arrangements.
Other international nancial institutions, such as the
Asia Development Bank (ADB) and the European
Bank for Reconstruction and Development (EBRD),
also require SIAs for all projects with social risks and
impacts, and additional specic requirements for
operations likely to aect indigenous communities.
The Equator Principles were launched in 2003 as a
set of voluntary principles for the private nance
industry and include a commitment to follow the IFC
Performance Standards. The World Bank updated its
Environmental and Social Framework in 2016, for the
rst time incorporating a commitment to FPIC.3
The adoption of the UN Declaration on the Rights
of Indigenous Peoples (UNDRIP) (2007) and the
growing international attention paid to indigenous
rights and FPIC have further increased the need
to consider indigenous rights in SIA practice.
According to Article 8(2), ‘States shall provide
eective mechanisms for prevention of, and redress
for … [a]ny action which has the aim or eect of
dispossessing them of their lands, territories or
resources.’ The requirement for impact assessment
and further due diligence actions is also implicit in
the requirement for governments to seek the free,
prior and informed consent of indigenous peoples
prior to the approval of any project aecting
their lands, territories and resources (Article
32(2)). The former UN Special Rapporteur on the
Rights of Indigenous Peoples, James Anaya (2013,
p.21) has also emphasised that the state has due
diligence obligations whether or not FPIC is a strict
requirement in a particular case:
[T]he State remains bound to respect and protect
the rights of indigenous peoples and must ensure
that other applicable safeguards are implemented
as well, in particular steps to minimise or
oset any limitation on the rights through
impact assessments, measures of mitigation,
compensation and benet sharing. … Companies
should conduct due diligence to ensure that their
actions will not violate or be complicit in violating
indigenous peoples’ rights, identifying and
assessing any actual or potential adverse human
rights impacts of a resource extraction project.
UNDRIP conrms indigenous peoples’ rights
to ‘determine priorities and strategies for the
development or use of their lands and territories’
(Article 32(1)). The relevance of this clause to SIA
lies in the extent to which indigenous communities
might determine the nature of the SIA process and
wider decision-making processes related to an
industrial development, as discussed below.
The adoption of the UN Guiding Principles on
Business and Human Rights (2011) has brought
human rights due diligence to the centre of SIA
practice, as well as the evolution of human rights
impact assessments (HRIA) as a distinct form of
impact assessment (IFC, 2009; Abrahams and Wyss,
2010; Natour and Davis Pluess, 2013; Felner, 2013;
Götzmann et al., 2016; IPIECA, 2016). Principle 3 of
the UN Guiding Principles requires governments to
have in place appropriate legislation and regulation
to ensure business respect for human rights, and
to provide guidance, including on due diligence
practices, as stated explicitly in the commentary.
Principle 15 states that companies should have
in place a ‘human rights due diligence process to
identify, prevent, mitigate and account for how
they address their impacts on human rights’.
This includes assessing impacts, acting upon the
ndings and communicating how impacts are
addressed. Principle 18 states that the impact
assessment process should ‘[i]nvolve meaningful
consultation with potentially aected groups and
other relevant stakeholders’. Principle 19 requires
companies to ‘integrate the ndings from their
impact assessments across relevant internal
functions and processes, and take appropriate
action’. Although the UN Guiding Principles do
not explicitly refer to indigenous peoples, the
commentary to Principle 12 states clearly that
companies need to take into account other UN
instruments that do relate to indigenous peoples.
5
Industry associations and initiatives have also
developed guidance on SIA and in some cases
specic requirements that are binding on their
members. The International Council on Mining
and Metals (ICMM)’s Position Statement on
Indigenous Peoples and Mining (2013) states that
its member companies commit to undertaking
‘social and environmental impact assessments or
other social baseline analyses’ to identify potential
impacts on indigenous peoples and other aected
communities. The Position Statement emphasises
the participatory and inclusive nature of impact
assessments and the importance of ‘building
cross-cultural understanding between companies
and communities’. The UN Global Compact
requires its member companies to abide by ten
principles, the rst of which is to ‘support and
respect the protection of internationally proclaimed
human rights’. The UN Global Compact’s Business
Reference Guide to UNDRIP (2013) references ILO
169 Article 7(3) in emphasising the importance of
implementing social, environmental, spiritual and
cultural impact assessments as part of the process
of project-related due diligence.
SIA in practice
To provide guidance for implementing NEPA
in the US, the Inter-Organisational Committee
on Guidelines and Principles for SIA developed
the Guidelines and Principles for Social Impact
Assessment (1994), which were updated in 2003
(Esteves et al., 2012). The guidelines comprise six
principles focusing on: understanding local and
regional settings; dealing with the key elements
of the human environment; using appropriate
methods and assumptions; providing quality
information for decision making; ensuring that
environmental justice issues are addressed; and
establishing mechanisms for evaluation, monitoring
and mitigation. They emphasise the value of
incorporating local knowledge into decision making
on projects, policies, plans and programmes.
The International Principles for Social Impact
Assessment (Vanclay, 2003) were subsequently
produced in broad consultation with practitioners
and other experts. These were presented in a
discussion paper commissioned by the International
Association for Impact Assessment (IAIA),
including a statement of the core values of the SIA
community. The principles are meant to provide
a basis for participatory development of sector
and national guidelines. They highlight the goals
of sustainability, equity, community development
and empowerment, and the core values of justice
and human rights protection. They underscore the
right of people to be involved in decision-making
on matters that aect their lives, and emphasise
that the objective of SIA is to contribute to positive
change: ‘The focus of concern of SIA is a proactive
stance to development and better development
outcomes, not just the identication or amelioration
of negative or unintended outcomes’ (ibid., p.6).
In 2015, building on the 2003 International
Principles, the IAIA produced a comprehensive
guidance document, Social Impact Assessment:
guidance for assessing and managing the social
impacts of projects (Vanclay et al., 2015). This
document oers advice on good practice in SIA
for practitioners, project developers, regulators,
communities and others. It incorporates a section
specically focusing on indigenous, traditional,
tribal and other land-connected peoples (pp.16-18).
Among other things the guidance emphasises the
importance of respecting indigenous peoples’
ability to say no to a project (whatever the legal
requirements); respecting legal and customary land
rights and protecting sacred sites; and incorporating
indigenous values, interests and worldviews when
designing baselines and monitoring programmes.
The 2015 IAIA guidance identies four phases of SIA
(Vanclay et al., 2015, p.8) (see Box 1).
SIA practice has evolved particularly in the
context of international projects in response to
the project nance requirements of the IFC and
other international nancial institutions. SIA and
EIA are frequently carried out as an integrated
environmental and social impact assessment (ESIA)
or incorporating a health impact assessment (ESHIA).
SIA has evolved from being a tool for predicting
impacts prior to development and now includes
a social management plan and related plans to
monitor, evaluate, report, review and respond to
change throughout the project lifecycle (Franks,
2012). Depending on the nature and severity of
project impacts, the IFC might require a stakeholder
engagement plan, a community health and safety
plan, a resettlement action plan, a local procurement
plan (creating local jobs and business opportunities),
an indigenous peoples’ development plan, and a
company-community grievance mechanism. These
documents need to cover the whole project cycle
(including decommissioning and post-closure) and
should feed into a company’s internal management
systems. International good practice is for a
company to establish an integrated management
system certied to the International Organisation for
Standardisation’s ISO 140001 standard.4 A renewed
SIA process is recommended at key project phases,
including construction, operations and closure
(Vanclay et al., 2015).
6
BOX 1. The four phases of social impact assessment
Phase 1: Understand the issues
1. Gain a good understanding of the proposed project.
2. Clarify all roles and responsibilities, including relationships to other studies being undertaken; identify relevant
national laws and/or international guidelines.
3. Identify the preliminary ‘social area of inuence’ of the project, likely impacted and beneciary communities (nearby
and distant), and stakeholders
4. Gain a good understanding of the aected communities by preparing a Community Prole (stakeholders; socio-
political setting; local needs, interests, values, aspirations; gender analysis; historical experience; community assets/
weaknesses; optional opinion survey).
5. Fully inform community members about the project; experience from similar projects; how to be involved in the SIA;
procedural rights; access to grievance/feedback mechanisms.
6. Devise inclusive participatory processes and deliberative spaces to help community members understand and
evaluate impacts/benets; make informed decisions; discuss desired futures; contribute to mitigation and monitoring
plans; and prepare for change.
7. Identify the social/human rights issues that have potential to be of concern.
8. Collate relevant baseline data for key social issues.
Phase 2: Predict, analyse and assess the likely impact pathways
9. Determine the social changes/impacts likely to result from the project and its alternatives.
10. Carefully consider the indirect (or second and higher order) impacts.
11. Consider how the project will contribute to the cumulative impacts on host communities.
12. Determine how the various aected groups and communities will likely respond.
13. Establish the signicance of the predicted changes (i.e. prioritise them)
14. Contribute to design and evaluation of project alternatives, including no go and other options.
Phase 3: Develop and implement strategies
15. Identify ways of addressing potential negative impacts (e.g. avoid, mitigate, compensate).
16. Develop and implement ways of enhancing benets and project-related opportunities.
17. Develop strategies to support communities in coping with change.
18. Develop and implement appropriate feedback and grievance mechanisms.
19. Develop an Impacts and Benet Agreement (IBA) between communities and developer.
20. Develop a social impact management plan to implement the IBA.
21. Establish partnerships (government, industry, civil society) for implementation/monitoring.
22. Develop and implement ongoing social performance plans
Phase 4: Design and implement monitoring programmes
23. Develop indicators to monitor change over time.
24. Develop a participatory monitoring plan.
25. Implement adaptive management and a social management system.
26. Undertake evaluation and periodic review (audit).
Source: Based on Vanclay et al., 2015, p.7
7
A key distinguishing feature of SIA is that it focuses
not only on mitigating negative impacts, but also
on enhancing the benets provided by a project.
Community agreements, known variously as
benet-sharing agreements, impact and benet
agreements (IBAs) or community development
agreements (CDAs), are frequently negotiated for
extractive industry projects and incorporate an
analysis of impacts as well as an agreed plan for the
distribution and enhancement of benets (Wilson,
2017). While twenty years ago the linkages between
agreement-making and SIA were rst starting to be
explored (O’Faircheallaigh, 1996), now a community
agreement is more frequently included into the
main objectives of an SIA process (Hansen et al.,
2016; Vanclay et al., 2015).
SIA is seen as an essential foundation for a process
of FPIC. For instance, the UN Committee on
Economic, Social and Cultural Rights (CESCR) and
the UN Committee on the Elimination of Racial
Discrimination (CERD) have claried that obtaining
FPIC requires systematic impact assessments to
determine the extent to which indigenous peoples’
rights may be infringed upon by extractive industry
projects (Doyle and Whitmore, 2015). Esteves et al.
(2012) believe that with the rise in calls for FPIC, the
purpose of SIA potentially shifts to being the process
that enables FPIC to occur, with the outcome being a
negotiated agreement.
In practice, SIAs may dier in their detail from the
outline provided in Box 1, but the phases of the
assessment tend to be the same. Increasingly,
ESIAs and environmental and social management
plans are being made available online. This helps
in understanding how they are put together, and
what kinds of issues emerge as thematic chapters
in an impact assessment. This is particularly useful
in considering how a particular context might
inuence what is incorporated into an ESIA (see
Annex 1 for a list of projects and links to the online
assessments). Box 2 provides an indicative list of
thematic sections that might constitute a typical SIA.
In some SIAs ‘indigenous peoples’ might form a
separate chapter, but in many cases it is better if
indigenous issues are addressed throughout, so as
to encourage integrated consideration in related
management plans e.g. cultural heritage, as well
as comparison of relevant statistics (e.g. education
levels, mortality rates).
BOX 2. Indicative thematic sections for an SIA
1. Regulatory framework (relevant international standards, national/regional legislation, sector specic legislation,
customary law)
2. Administrative divisions and governance structure (national, regional, local levels of governance, international relations)
3. Population/demographics (gender/age/ethnicity, migration trends, religion, vulnerable groups)
4. Economy (employment, key sectors, business environment, nancial services institutions, labour rights/working
conditions, informal livelihoods, income, poverty/inequality)
5. Infrastructure (utilities, electricity, telecommunications, waste management, housing, transport infrastructure,
markets/trade links, recreational facilities)
6. Community health, safety and security (health of population, mortality rates, health services, water/sanitation, road
safety, re services, disaster management services, police/security services, access to justice)
7. Education (literacy, education levels by gender, education and training institutions/services)
8. Social problems (crime, alcohol/drugs, prostitution, child/forced labour, employment inequalities, social tensions
and conict)
9. Land tenure and use (types of land and natural resource use, water use and availability, private/customary forms of
use and ownership, types of agriculture/livestock ownership)
10. Cultural heritage (archaeological nds, indigenous sacred sites, historical buildings)
11. Civil society (trust, civic involvement, press freedom, freedom of association, civil society activism, trade unions, mass media,
social media, indigenous rights groups, environmental groups, non-governmental community support organisations)
Source: Based on: existing published/non-published SIAs
8
BOX 3. Elements of a cultural impact assessment
• Consider possible impacts on continued customary use of biological resources: The loss of genetic diversity that is
maintained and fostered by such customary use may lead to a loss of associated traditional knowledge, innovations
and practices.
• Consider possible impacts on the respect, preservation, protection and maintenance of traditional knowledge,
innovations and practices: Due consideration should be given to the holders of traditional knowledge and the
knowledge itself. Customary laws governing ownership, access, control, use and dissemination of traditional
knowledge, innovations and practices should be observed. Protocols should be followed regarding disclosure of
secret or sacred knowledge. In the event of such disclosure, prior informed consent and proper protection measures
should be ensured.
• Establish protocols to facilitate proper conduct on sacred sites and traditional lands: These may include behaviour
when visiting communities, particular sites, or when dealing with members of indigenous and local communities.
Protocols should respect regulations already existing under relevant national, sub-national or community self-
government legislation.
• Consider possible impact on sacred sites and associated ritual or ceremonial activities: Project personnel should
recognise that many sacred sites, and areas or places of other cultural signicance may have important functions with
respect to the conservation and sustainable use of biological diversity and, by extension, the maintenance of the
natural resources upon which such communities rely for their well-being. If a sacred site is likely to be aected, the
assessment should include selection of an alternative site for development, in consultation with the site custodians
and the aected community as a whole. Where no law exists to protect the site, the community may wish to develop
protocols regarding the site in the context of the proposed development.
• Respect the need for cultural privacy: Privacy should be respected especially with regard to important rituals
and ceremonies, such as those associated with rite-of-passage and death, and also to ensure that the activities of
companies do not interfere with the daily routines and other activities of such communities.
• Consider possible impacts on the exercise of customary laws: If the development requires the introduction of
an outside work-force, or requires changes in local customary systems (e.g. regarding land tenure, distribution of
resources and benets), conicts may result. It may therefore be necessary to codify certain parts of customary law,
clarify matters of jurisdiction, and negotiate ways to minimise breaches of local laws.
Source: Abridged from Akwé: Kon Guidelines (2004), Section IV
In some cases a more targeted cultural impact
assessment may be required. The Akwé: Kon
Guidelines (2004) were specically aimed at
protecting indigenous rights and traditional
resource use practices in the face of commercial
interventions, including extractive industry
projects, that will have an impact on biodiversity.
The guidelines include steps for carrying out
environmental, social and cultural impact
assessments, and they advocate an integrated
assessment process incorporating all three of these
elements. Clause 24 identies the issues that are of
particular interest in a cultural impact assessment:
Through the cultural impact assessment process,
and particularly during the screening and scoping
phases, the issues that are of particular cultural
concern should be identied, such as cultural
heritage, religions, beliefs and sacred teachings,
customary practices, forms of social organisation,
systems of natural resource use, including
patterns of land use, places of cultural signicance,
economic valuation of cultural resources, sacred
sites, ceremonies, languages, customary law
systems, and political structures, roles and
customs. The possible impacts on all aspects of
culture, including sacred sites, should therefore be
taken into consideration while developing cultural
impact assessments.
The Akwé: Kon Guidelines suggest the following
scope for a cultural impact assessment (Box 3).
9
What are the main challenges?
Scope, timing and integration
It is well recognised that social impacts (unlike
environmental impacts) start long before project
approval is required, even at the stage where the
presence of a mineral resource is just a rumour,
or when a project is only anticipated (Vanclay,
2012). Perceptions and expectations can lead to
real consequences such as anxiety and tension
(Burge, 2004). Therefore meaningful community
engagement, the gathering of social baseline data,
and the management of social issues need to start
as early as possible, and continue throughout the
project lifecycle.
The rst activities of an extractive industry project
to physically aect communities often relate to
exploration, especially if the development is to
take place on land. This often means that the
company carrying out the consultation is not a
major corporation but a smaller junior company
with less experience and fewer resources (IFC, 2014).
Frequently such companies carry out exploration with
a view to selling the project on to a larger company
later, and so have less interest in building a long-term
relationship with the community. SIAs are generally
required by law only prior to project construction,
with some exceptions such as Greenland, which
requires an SIA for exploration activities (Hansen
et al., 2016). Government regulation rarely requires
consultation for exploration activities, despite
evidence that this could help to avoid community
tension and conict (Wilson, 2016).
SIA is generally viewed as a one-o activity for the
purpose of securing project approval (including
regulatory approval or FPIC). Yet it may not be
possible to identify all project impacts prior to the
construction phase of a project, and some may arise
later in project development (Markussen-Brown and
Simms, 2011). As such, SIA should be an ongoing
element of management plans and impact-benet
agreements, with new assessments carried out if
there are changes in project plans or if new issues
arise in the course of project implementation (Vanclay
et al., 2015). Social management plans need to be
exible enough to accommodate the results of
additional studies and to modify practice in response.
Social management plans cannot be the sole
responsibility of the project operator. During
construction, in particular, it is often the project
contractors who are working closest to communities
and need to have heightened awareness and
strategies to manage social impacts, both predicted
impacts and those that may arise in the course of the
construction. International good practice requires
contractors to develop their own social management
plans to guide their activities, and this involves good
communication with (and accountability to) both the
communities and the project operating company
(Wilson and Kuszewski, 2011).
A further challenge is the lack of consideration of the
cumulative eects of multiple projects taking place
in the same area (Esteves et al., 2012; Markussen-
Brown and Simms, 2011) or the eects of a number
of developments in one place over time bringing
signicant social and economic changes and aecting
people’s resilience (positively or negatively) (Ross,
1990). Many SIAs (and ESIAs) cover only a single
project, without a thorough analysis of the potential
cumulative impacts. Hansen et al (2016) identify the
need for a comprehensive framework and plan or
regulatory strategy to evaluate and manage the
cumulative eects of projects from the earliest stages.
Building shared understanding of issues
and approaches
Eorts by Vanclay and others to build shared
understanding of terminology and methods have
had some success, notably with the publication of
IAIA’s 2015 guidance document (Vanclay et al., 2015).
Further shared understanding has been developed
as international nancial institutions have established
a standard requirement for an integrated ESIA for
projects with signicant environmental and social
impacts. SIAs and social assessment guidelines
developed for dierent contexts tend to incorporate
broadly comparable sets of activities. National
legislation is also evolving, including in countries
less experienced with resource development. For
example, Greenland has incorporated the 2003
International Principles into law (Hansen et al., 2016).
SIA design and methods have evolved through
the implementation of guidelines and principles
in practice. Companies and consultancies learn
from and apply their own previous experience,
and increasingly this experience is being made
accessible online (see Annex 1), although this still
does not constitute common practice. There is an
emerging consensus around the linkages between
SIA, FPIC and community agreements, along with an
understanding that contextual factors will require a
certain amount of exibility in approach. Practices
have evolved further through protest, conict and
court cases (Doyle and Cariño, 2013).
Nevertheless, there is still some disagreement, or
lack of understanding, about certain aspects of SIA
terminology and practice. SIA ‘eectiveness’ can be
interpreted in dierent ways by dierent people: for
example, a company may see ‘project approval’ or a
‘social licence to operate’ as the target outcome of an
10
SIA, while an indigenous community may consider
eectiveness in terms of the degree of control
they have over the subsequent outcomes (e.g.
impact mitigation and creation of socio-economic
opportunities) (O’Faircheallaigh, 2009). This kind of
fundamental mismatch of vision can greatly aect
the SIA procedures, the weight given to dierent
risks identied in the assessment, and the nature
of the management plans established to manage
longer-term outcomes. This also has an eect on the
‘social licence’, i.e. the extent to which the project
itself is accepted by the community.
There is also a great deal of variability around
the implementation of SIA in practice. Much of
this relates to the inuence of contextual factors;
some of it relates to dierent requirements and
ways of working. The nature of an SIA written by
a professional consulting company on behalf of
a multinational corporation will be dierent from
one undertaken by a development agency, or one
commissioned independently by a community with
much greater local participation (Vanclay, 2003). The
variability also relates to the levels of experience and
competence of the practitioners hired to implement
the process, the lack of eective review processes
in many cases, and a tendency throughout the
system for social issues management to be taken less
seriously than more technical environmental matters
(Wong, 2015; O’Faircheallaigh, 2009). The quality
of social science and the results produced should
not be dependent on who pays the bills. Indeed,
consultants generally have sucient integrity not to
work to achieve the preconceived results of whoever
has commissioned the assessments. Unfortunately,
though, this is the perception that many
communities have when they are not consulted
or when consultants fail to take into account their
needs, concerns and opinions.
Esteves et al. (2012, p.40) observe that ‘[o]ne of
the barriers to innovative, positive development
outcomes is the limited understanding and skills of
those who commission SIAs.’ There is often a lack of
clarity about the purpose of an SIA, and the methods
and assumptions used are often unclear. Social and
cultural issues are rarely prioritised adequately and
SIA ndings are often poorly integrated with other
elements of an ‘integrated’ ESIA.
The ability to source adequate data for the analysis
also depends very much on the context. In some
jurisdictions it is dicult to nd reliable public
statistics or to use participatory methods to involve
the community in the assessment process. A starting
point in addressing this challenge is to work with
local decision-makers and industry partners to
develop a common understanding of the purpose
of the ESIA before starting on the work – and seek to
overcome social and cultural barriers to participation
from the outset, by explaining the purpose of the
close community engagement required. Yet even
where community participation is socially and
culturally feasible, it is still rarely carried out to its full
potential (see below).
Enabling meaningful community participation
According to the 2003 International Principles,
and international good practice experience, SIA is
meant to be a participatory process. As Vanclay et
al. (2015) note, the process of conducting an SIA
and developing associated plans is an iterative one:
information from stakeholders is incorporated into
project planning and should inuence decisions
made. Even more desirable is for the planning
itself to be inclusive or participatory and for
aected communities to have control over the
process of impact assessment and its outcomes
(O’Faircheallaigh, 1996; Burge, 2004; Vanclay et al.,
2015; Doyle and Whitmore, 2015).
It is widely understood that greater participation by
local residents generates trust in the SIA process and
leads to better quality information and understanding
about the community and their aspirations and
values, as well as potential impacts and development
opportunities (Burge and Robertson, 1990). The
impact assessment process itself can be a way of
developing relations and trust directly between
community and developer; yet it often fails in this
regard (Papillon and Rodon, 2017; Hanna and Vanclay,
2013). There is a lack of consistency in standards and
expectations of what public participation might
entail, ranging from provision of information and a
space for public comment, to the active involvement
of stakeholders in shaping the SIA process and the
inclusion of indigenous people in decision-making
(Esteves et al. , 2012).
In a 1996 study, O’Faircheallaigh noted that
indigenous people had often been excluded from
SIAs of projects or activities which aected them,
or they had faced nancial and cultural barriers to
eective participation and diculties in having
their values acknowledged and their perspectives
accepted as legitimate (O’Faircheallaigh, 1996).
Even when it had taken place, greater inclusion of
indigenous people in SIA processes had failed to
enable them to shape the outcomes of development
projects, reecting a wider failure of decision-
makers to integrate SIA eectively into decision
making (ibid.). This state of aairs has not changed
considerably over the past 20 years (Markussen-
Brown and Simms, 2011; Esteves et al., 2012).
11
ESIA consultations are often poorly adapted to
indigenous cultures, because of their very formal and
often adversarial nature, as well as the dominance of
formal scientic expertise and the lack of translation
during hearing processes (Rodon and Papillon, 2017).
Hansen et al. (2016) suggest that a consultation
process needs to be led by an impartial consultation
entity rather than by the company itself or
consultants selected by the company. While this may
be appropriate in some cases, it is also important
for the process to encourage direct engagement
between company technical experts (not only their
public relations experts) and local people in order to
address particular technical concerns (Wilson, 2012).
There may be reluctance to make the nancial
resources available or diculties organising logistics
for the community to gather and hold consultations,
especially if members of the community are
dispersed across a wide area practicing dierent
types of livelihood activity (Doyle and Cariño,
2013). Community consultation can result in
‘consultation fatigue’ among communities and
local governments, especially if there are multiple
projects. This can be addressed to a degree through
joint surveys and engagement processes (Franks
et al., 2009; Hansen et al., 2015). Moreover, the
institutional and legal arrangements in many
countries tend to favour developers. The rights of
industrial companies are often given precedence
in negotiations or regulatory decisions. Indigenous
peoples frequently need to bargain from a position
of disempowerment in order for their rights to be
respected (Doyle and Cariño, 2013).
Indigenous communities have emphasised the
importance of them not only participating in, but also
positively inuencing the SIA process, for example
by choosing the consultants, determining the data
to be used, the priorities to be set and the scenarios
to be considered, and employing methods that
they can identify with (Ross, 1990; O’Faircheallaigh,
1996). Eorts have been made to tailor consultation
processes and research techniques to be culturally
appropriate and to enable maximum participation of
the community, sometimes successfully, for example,
in public consultation processes related to the
Mackenzie Valley Pipeline in Canada (Nuttall, 2010;
Novikova, 2014).
In some cases SIAs have been commissioned and led
by indigenous groups themselves, often in response
to an inadequate impact assessment process, as a
submission to a public consultation (Ross, 1992; Chase,
1990). A framework for community SIA was developed
in one aboriginal community in Australia, which was
facing gold mining development. The community,
working with a trusted external expert, chose
storytelling and oral history as a core method for
conducting the assessment (Ross, 1990). This served to
identify spiritual ties to place and customary land use
practices over time, and provided a historical sense of
the cumulative impacts on the community (ibid.).
There is growing experience of communities drawing
up community protocols in advance of negotiations
relating to industrial projects, so as to establish the
ground rules for engagement and communication
(Gibson Macdonald and Zezulka, 2015; Doyle and
Cariño, 2013; Swiderska et al., 2012). The process of
developing this kind of protocol allows a community
to build consensus around their priorities and
favoured consultation and decision-making
processes in advance of project development. For
developers, a community protocol provides clarity
about matters such as appropriate procedures and
who is to represent community interests.
Yet, even if a local community can take control
of the ‘social’ elements of an impact assessment,
their interests may not be recognised adequately
in the context of the larger assessment process,
within wider political and institutional structures
and policy processes (Markussen-Brown and
Simms, 2011). Indigenous peoples often lack
status in wider impact-assessment and decision-
making processes, and this status depends on
the prevailing corporate and government policies
(O’Faircheallaigh, 1996). However, SIA nonetheless
has the potential to contribute to the realignment
of political structures and the balance of power,
not least due to the process of information sharing,
which can serve to empower communities (ibid.).
The increased use of social media worldwide also
has great potential to inuence the processes and
outcomes of SIAs (Bers et al., 2014).
Building trust in the assessment process
Over the past 20 years, despite evolution in
SIA techniques and communication practices,
indigenous peoples (and other local communities)
continue to express cynicism and a lack of trust in
SIA processes. Sometimes this is because they do
not trust the consultants hired by companies to
carry them out, or because they feel that aspects
important to them are not recognised in the scientic
approaches taken in the studies, or because they feel
isolated from the process altogether (Markussen-
Brown and Simms, 2011). Indigenous communities
regularly challenge the conclusions of impact
assessment processes and deny their legitimacy as
participatory decision-making processes (Papillon
and Rodon, 2017). People may also lack faith in the
capacities of government to provide a neutral view
on a project and to defend the interests of the local
community (Hansen et al., 2016).
12
Many of these challenges arise due to the lack
of expertise among SIA practitioners (and EIA
practitioners responsible for managing the overall
process of which SIA is an integral part). From an
indigenous peoples’ perspective, ESIA consultants
may not take enough time to understand and make
plans to mitigate the impacts that are most important
for indigenous people themselves, or the signicance
of impacts may be underestimated by consultants
(Markussen-Brown and Simms, 2011). Even a desire for
opportunities, such as job creation, can be mistakenly
assumed. For instance, while many people assume
that local people want to benet from jobs created
by a project, Hansen and Tejsner (2016) found that
local Greenlanders frequently want to continue their
traditional way of life rather than taking jobs in the
extractive industries. This does not necessarily mean
a local community will oppose a project, as some
people see that the ability of a project to enliven the
wider economy, or targeted support to traditional
enterprises, are viable forms of extractive industry
support for traditional economies (Wilson, 2012).
The provision of information itself is often
problematic. Companies may fail to provide
accurate or full information about a project and its
impacts, while communication problems can arise
for communities when dealing with companies or
governments due to language barriers, dierences in
speech register, and dierences in perspectives and
worldviews (Doyle and Cariño, 2013). It is important
that information be provided in the language of the
local community and with respect for local traditions
of information sharing (for example, in the case of
predominantly oral societies). However, translation of
assessment documentation can be very cumbersome
and it may be better to combine summarised printed
information with in-depth question and answer
sessions and focus groups. Communities need time
to read, analyse and understand any documentation
provided. In some cases, civil society groups can help
communities to understand impact assessments
but this cannot substitute for direct engagement
between community representatives and the experts
who have prepared the material (Wilson et al., 2016).
Inuencing outcomes
According to the 2003 International Principles, SIA
is meant to help decision-makers understand the
potential social consequences of their decisions
before making them, and to enable indigenous and
local communities to participate in shaping project
outcomes. Yet these goals are rarely achieved by
an SIA process (Hansen et al., 2016). O’Faircheallaigh
(2009) concludes that SIA can be eective only if
its political nature is recognised and appropriate
strategies are developed, and if its ndings and
recommendations can be adequately translated into
action, not just through project approval, but by
inuencing project performance on an ongoing basis.
Indigenous commentators are concerned about
the risk that the mitigation measures designed
during an ESIA will not be adequately implemented
during project construction, operation and
decommissioning (Markussen-Brown and Simms,
2011). To address this risk, international nancial
institutions such as the IFC employ a system of
regular audits of projects likely to cause signicant
environmental and social impacts. The ESIA is
translated into a series of actions plans and progress
on developing these is audited several times a year
by auditors representing the interests of the lenders.
In general, an impact assessment alone is not
sucient to create and build a relationship
between indigenous communities and companies,
or to provide an adequate foundation to secure
the support (or the consent) of an indigenous
community if there is no guarantee that they will
succeed in shaping the actual decision-making
process (Vanclay et al., 2015; Papillon and Rodon,
2017). Increasingly the negotiation of community
agreements is therefore seen as an important step
in an SIA process. This enables the community to
negotiate the next steps, and sets a framework for
ongoing management and monitoring of impacts
and the delivery of benets.
There are other forms of inuence that indigenous
communities can employ to ensure that a project
follows up on the commitments in an SIA, or
more broadly the human rights and indigenous
rights commitments established in international
instruments. An SIA process, particularly where
it leads to a community agreement, can serve to
balance power relations, but it can also have the
opposite eect and limit the power of an indigenous
community. O’Faircheallaigh (2013) observes that if
communities are in a weak position or are unable
to exploit opportunities oered through the SIA
and community agreement processes, they can
end up being worse o than before, as the signing
of an agreement might preclude other avenues for
inuencing project outcomes, such as litigation or
direct action.
13
Recommendations
Social impact assessment (SIA) is a participatory
process of assessing and mitigating the negative
impacts of a project and identifying and creating
positive opportunities. It has been evolving since the
1970s; good practice is increasingly well understood
and is being incorporated into international
standards and national legislation. Where practice
falls short is often in relation to the extent of local
community involvement in providing insights,
gathering data and setting priorities for an SIA; in the
data analysis and development of conclusions; and
in setting the framework and next steps to inuence
overall project outcomes in the longer term. The
process is inherently political, as well as technical,
and a key challenge is to balance power relations in
the engagement and decision-making processes.
Practical recommendations that arise from this
analysis include the following:
• Community engagement and analysis of social
issues should start early: Social impacts are
there from the earliest stages of a project, even
when the rumours of a possible development
start in a community. It is therefore essential for
engagement and analysis of impacts (including
community tension, anxiety, the building of
expectations) to be well understood by those
seeking to promote and implement a project.
Government legislation should incorporate a
requirement for community consultation at
the phase of exploration, something which is
surprisingly rare in regulations. Incorporating
social assessment more into strategic planning
processes would be also a good way to ensure that
social issues are highlighted in the earliest stages.
• SIA needs to be integrated eectively into
wider assessments and decision-making
processes: An SIA is frequently carried out as part
of a wider ESIA or as an additional requirement
to an EIA. The social element needs to be taken
as seriously as the environmental element, in
the way it is funded, written and produced, and
in its status for policy planning and decision-
making on further steps. Cumulative impacts
need to be considered at the stage of strategic
planning and project level impact assessment,
from a geographical and historical perspective.
Elements of cultural impact assessment should
also be incorporated into SIAs in indigenous
communities, or separate (and integrated)
cultural impact assessments carried out.
• SIA is most eective as the basis for long-term
plans and agreements: Good practice requires
social management plans to be implemented over
the life of an oil, gas or mining project, including
decommissioning and post-closure. It is not
enough to gather information and assess impacts
on a one-time basis, and there needs to be
exibility in the system for repeated assessments,
as required, and for these to lead if necessary to
changes in practice. Increasingly, SIAs are leading
directly to community agreements and are seen as
an important foundation for a process of free prior
and informed consent (FPIC).
• There is a need for greater control by
indigenous communities over SIA and
related decision-making processes: It is
well-understood that participatory processes
provide better information, create trust and
reduce risks. Participatory processes require
greater involvement of aected indigenous
communities in the setting of priorities, the choice
of consultants, in supporting the data gathering
and analysis, and in agreeing solutions and the
nature of the future development. Indigenous
communities might also commission their own
impact assessments, implemented through a
combination of trained local impact assessment
experts, local resource users, and carefully
selected external experts.
• Transparency and accountability are essential
elements of an SIA process: The availability of
SIAs online has helped a great deal with learning
among the practitioner community, and in
establishing shared standards and practices. For
communities, it is often more important to have
information in a more accessible form, in local
languages, often with a combination of written
summary documentation and face-to-face
meetings to discuss the ndings and next steps.
It is important that commitments made in an SIA
are transparent, so that aected communities
can later hold companies and governments to
account. Negotiated agreements are one way to
ensure a greater degree of commitment, provided
communities have been given enough leeway
for genuine negotiation. Independent audit of
social management plans can also serve to ensure
delivery of the commitments made.
14
Annex 1. Some oil, gas and mining project ESIA documentation available online
Project Location Link
Amulsar Gold Project Armenia http://www.lydianinternational.co.uk/projects/amulsar/
environmental-and-social-impact-assessment-esia
Baku-Tbilisi-Ceyhan Pipeline Azerbaijan,
Georgia, Turkey
http://www.bp.com/content/dam/bp-country/en_az/pdf/ESIAs/
BTC-ESIA/BTC-ESIA-Azerbaijan-main-part.pdf
Gatsuurt Gold Mine Project Mongolia http://www.ebrd.com/work-with-us/projects/esia/centerra-global.html
Krumovgrad Gold Mine Project Bulgaria http://www.ebrd.com/work-with-us/projects/esia/krumovgrad-
gold-mine-project.html
Mackenzie Gas Project Canada http://www.mackenziegasproject.com/theProject/regulatoryProcess/
applicationSubmission/Applicationscope/EIS.html
Öksüt Gold Mine Turkey http://www.ebrd.com/work-with-us/projects/psd/centerra-turkey.html
PNG-LNG
(liqueed natural gas project)
Papua New Guinea https://pnglng.com/Environment/Environmental-Impact-Statement
Prinos Oshore Development
Project
Greece http://www.energean.com/wp-content/uploads/2016/03/ESIA-Full-
Main-Report.pdf
Sakhalin-2 Project Russia http://www.sakhalinenergy.ru/en/library/folder.
wbp?id=e15e01ea-ec75-4821-87d3-e1aa3a0d736c
Trans Adriatic Pipeline Greece, Albania,
Italy
https://www.tap-ag.com/resource-library/reference-documents/
esia-documents
Tullow Oil (various activities) Kenya http://www.tullowoil.com/operations/east-africa/kenya/
environmental-social/esia
Yamal LNG
(liqueed natural gas project)
Russia http://yamallng.ru/403/docs/ESIA%20ENG%20.pdf
1. Also translated as ethnological exper t review (Martinova and Novikova, 2011).
2. These guidelines are known in full as the Akwé: Kon Voluntary Guidelines for the Conduct of Cultural, Environmental and Social Impact
Assessment regarding De velopments Proposed to take place on, or which are Likel y to Impact on, Sacred Sites and on Lands and Waters
Traditionally Occupied or Used by Indi genous and Local Communities (2004). Akwé: Kon (pronounced agway- goo) is a Mohawk term meaning
‘everything in creation’ and was provided by the Kahnawake community near Montreal, where the guidelines were negotiated.
https://www.cbd.int/doc/publications/akwe-brochure-en.pdf
3. Earlier iterations of the World Bank’s safeguards extended only to free, prior and informed consultation, not consent. The new
Environmental and Social Framework can be found at: http://www.worldbank.org/en/news/feature/2016/08/05/the-new-environmental-
and-social-framework
4. See http://www.iso.org/iso/iso14000
15
References
A. Legal documents and standards
Convention on Biological Diversity (CBD) (1992) https://www.cbd.int/convention/text/
Equator Principles http://www.equator-principles.com/
International Labour Organisation (ILO) Convention 169 concerning Indigenous and Tribal Peoples in
Independent Countries (ILO 169) (1989)
http://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_INSTRUMENT_ID:312314
International Finance Corporation (IFC) Environmental and Social Performance (2012) Standards
http://www.ifc.org/performancestandards
International Council on Mining and Metals (ICMM) Indigenous Peoples and Mining Position Statement (2013)
http://www.icmm.com/en-gb/publications/indigenous-peoples-and-mining-position-statement
ISO 14001:2015 Standard http://www.iso.org/iso/iso14000
National Environmental Policy Act (NEPA) (USA) (1969) https://www.epa.gov/nepa
OECD Guidelines for Multinational Enterprises: https://www.oecd.org/corporate/mne/48004323.pdf
UN Declaration on the Rights of Indigenous Peoples (UNDRIP) (2007)
http://www.un.org/esa/socdev/unpi/documents/DRIPS_en.pdf
UN Global Compact https://www.unglobalcompact.org/
UN Guiding Principles on Business and Human Rights (UN Guiding Principles) (2011)
https://business-humanrights.org/en/un-guiding-principles
World Bank Environmental and Social Framework (2016)
http://www.worldbank.org/en/news/feature/2016/08/05/the-new-environmental-and-social-framework
B. Papers and reports
Abrahams, D. and Wyss, Y. (2010) Guide to Human Rights Impact Assessment and Management. Washington:
International Finance Corporation, UN Global Compact and the International Business Leaders Forum.
http://www.globalgovernancewatch.org/docLib/20140206_hriam-guide-092011.pdf
Anaya, J. (2013) Report of the Special Rapporteur on the rights of indigenous peoples, James Anaya: Extractive
industries and indigenous peoples. UN General Assembly. Report No. A/HRC/24/41.
http://www.ohchr.org/EN/HRBodies/HRC/RegularSessions/Session24/Documents/A-HRC-24-41_en.pdf
Bers, C., Krywkow, J., Bakkes, J., Vinke-de-Kruiif, J., Hordijk, L. and Pahl-Wostl, C. (2014) Enhancing social impact
assessment methods. In TIAS Quarterly, Vol.1 (2014). Osnabruck, Germany: The Integrated Assessment Society.
Birley, M. (2012) Health Impact Assessment: Principles and Practice. Oxford: Routledge.
Burge, R. and Robertson, R. (1990) ‘Social impact assessment and the public involvement process.’ In
Environmental Impact Assessment Review, Vol.10, pp.81-90.
Burge, R. (2004) The concepts, process and methods of social impact assessment. Wisconsin, USA: Social Ecology Press.
CBD (2004) Akwé: Kon: Voluntary guidelines for the conduct of cultural, environmental and social impact assessment
regarding developments proposed to take place on, or which are likely to impact on, sacred sites and on lands and waters
traditionally occupied or used by Indigenous and local communities. Montreal: Secretariat of the Convention on
Biological Diversity. https://www.cbd.int/doc/publications/akwe-brochure-en.pdf
Chase, A. (1990) ‘Anthropology and impact assessment: development pressures and indigenous interests in
Australia.’ In Environmental Impact Assessment Review, Vol.10, No.1-2, p p.11-23.
16
Doyle, C. and Cariño, J. (2013) Making free, prior and informed consent a reality: indigenous peoples and the extractive
sector. Indigenous Peoples Links. http://solutions-network.org/site-fpic/les/2012/09/Making-Free-Prior-
Informed-Consent-a-Reality-DoyleCarino.pdf
Doyle, C. and Whitmore, A. (2014) Indigenous peoples and the extractive sector: towards a rights-respecting
engagement. Baguio City, Philippines: Tebtebba Foundation. https://www.google.co.uk/search?q=doyle+and+
whitmore+2014&ie=utf-8&oe=utf-8&client=refox-b&gfe_rd=cr&ei=DL8cWISQEYn38Af977n4Aw
Esteves, A.M., Franks, D. & Vanclay, F. (2012) ‘Social impact assessment: the state of the art.’ In Impact Assessment
and Project Appraisal, Vol.30, No.1, pp.35-44.
Felner, E. (2013) Study on Human Rights Impact Assessments: a review of the literature, dierences with other forms of
assessments and relevance for development. Washington: World Bank.
http://siteresources.worldbank.org/PROJECTS/Resources/40940-1331068268558/HRIA_Web.pdf
Franks, D. (2012) Social impact assessment of resource projects. Crawley, Western Australia: International Mining for
Development Centre. http://im4dc.org/wp-content/uploads/2012/01/UWA_1698_Paper-02_Social-impact-
assessment-of-resource-projects1.pdf
Franks, D., Fidler, C., Brereton, D., Vanclay, F. & Clark, P. (2009) Leading Practice Strategies for addressing the Social
Impacts of Resource Developments. St Lucia: Centre for Social Responsibility in Mining, Sustainable Minerals
Institute, The University of Queensland.
http://www.csrm.uq.edu.au/docs/Franks_etal_LeadingPracticeSocialImpacts_2009.pdf
Gibson Macdonald, G. and Zezulka, G. (2015) Understanding successful approaches to free, prior and informed
consent in Canada. Part 1. Boreal Leadership Council, Canada.
http://borealcouncil.ca/wp-content/uploads/2015/09/BLC_FPIC_Successes_Report_Sept_2015_E.pdf
Götzmann, N., Vanclay, F. and Seier, F. (2016) ‘Social and human rights impact assessments: what can they learn
from each other?’ In Impact Assessment & Project Appraisal, Vol.34, No.1, pp.14-23.
http://dx.doi.org/10.1080/14615517.2015.1096036
Hanna, P. and Vanclay, F. (2013) ‘Human rights, indigenous peoples and the concept of free, prior and informed
consent.’ In Impact Assessment and Project Appraisal, Vol.31, No.2, pp.146-157.
Hansen, A.M., Vanclay, F., Croal, P. and Hurup Skjervedal, A-S. (2016) ‘Managing the social impacts of the rapidly-
expanding extractive industries in Greenland,’ in The Extractive Industries and Society, Vol.3, pp.25-33.
Hansen, A.M. and Tejsner, V.P. (2016) ‘Challenges and opportunities for residents in the Upernarvik district while oil
companies are making a rst entrance in Ban Bay.’ In Arctic Anthropology, Vol. 53, No.1, pp.84-94.
Hansen, A.M., Adamson, J., Christiansen, H.B., Garpestad, E. and Le Breton, H. (2015) Corporate collaboration:
drivers behind a joint industry social baseline study related to hydrocarbon exploration in Greenland. In Impact
assessment and project appraisal, Vol.33, No.4, pp.1-6.
Ibenholt, K, Rassmussen, I. and Skjelvik, J.M. (2016) Gruvedrift ved Repparorden – gjennomgang
av utredininger om samfunnsmessige konsekvenser. (Mining at Repparorden – review of
studies on social impacts) Oslo: Viste Analyse. https://www.vista-analyse.no/no/publikasjoner/
gruvedrift-ved-repparorden-gjennomgang-av-utredninger-om-samfunnsmessige-konsekvenser/
IFC (2014) A strategic approach to early stakeholder engagement: a good practice handbook for junior companies in
the extractive industries. Washington DC: International Finance Corporation.
https://commdev.org/userles/FINAL_IFC_131208_ESSE%20Handbook_web%201013.pdf
IFC (2009) Introduction to health impact assessment. Washington: International Finance Corporation.
http://www.ifc.org/wps/wcm/connect/a0f1120048855a5a85dcd76a6515bb18/HealthImpact.pdf?MOD=AJPERES
IPIECA (2016) Health impact assessment: a guide for the oil and gas industry. London: IPIECA the international oil and
gas industry association for environmental and social issues.
http://www.ipieca.org/resources/good-practice/health-impact-assessment-a-guide-for-the-oil-and-gas-industry/
17
Markussen-Brown, A. and Simms, M. (2011) Environmental and social impact assessments: a practical guide for
indigenous peoples in Guyana. Canada, Guyana and UK: The North-South Institute, the Amerindian Peoples
Association and the Forest Peoples Programme. http://www.nsi-ins.ca/wp-content/uploads/2012/10/2011-
Environmental-and-Social-Impacts-Assessment-Practical-Guide-for-Indigenous-Peoples-in-Guyana.pdf
McCullough, A. (2016) Advancing the governance of extractives at the local level: towards politically smart support.
London: Overseas Development Institute.
https://www.odi.org/publications/10373-advancing-governance-extractives-local-level-towards-politically-smart-support
Natour, F. and Davis Pluess, J. (2013) Conducting an eective human rights impact assessment: guidelines, steps and
examples. Paris: BSR. https://www.bsr.org/reports/BSR_Human_Rights_Impact_Assessments.pdf
Novikova, N.I. (2014) Okhotniki i neftyaniki: issledovanie po yuridicheskoi antropologii. (Hunters and oil workers:
research in legal anthropology.) Moscow: Nauka.
Novikova, N. and Wilson, E. (2017) Anthropological expert review in the Russian Federation. Ájluokta/Drag, Norway:
Árran Lule Sami Centre.
Nuttall, M. (2010) Pipeline dreams: People, Environment and the Arctic Energy Frontier. International Working Group
on Indigenous Aairs, Document 126. IWGIA, Copenhagen.
www.iwgia.org/iwgia_les_publications_les/0451_Pipeline_dreams.pdf
OECD (2016) Due diligence guidance for meaningful stakeholder consultation in the extractive sector. Geneva:
Organisation for Economic Co-operation and Development.
https://mneguidelines.oecd.org/stakeholder-engagement-extractive-industries.htm
O’Faircheallaigh, C. (1996) Making social impact assessment count: a negotiation-based approach for indigenous
peoples. Aboriginal Politics and Public Sector Management Research Paper No.3.
http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.458.5101&rep=rep1&type=pdf
O’Faircheallaigh, C. (2009) ‘Eectiveness in social impact assessment: Aboriginal peoples and resource
development in Australia.’ In Impact Assessment and Project Appraisal, Vol.27, No.2, pp.95-110.
O’Faircheallaigh, C. (2013) ‘Community development agreements in the mining industry: an emerging global
phenomenon.’ In Community Development, Vol.44, No.2, pp.222-238.
Papillon, M. and Rodon, T. (2017) Proponent-indigenous agreements and the implementation of the right to free,
prior and informed consent in Canada. In Environmental Impact Assessment Review. Vol, 62, pp.216-224.
Ross, H. (1990) Community social impact assessment: a framework for indigenous peoples. In Environmental
Impact Assessment Review, Vol.10, pp.185-193.
Ross, H. (1992) Opportunities for aboriginal participation in Australian social impact assessment. In Impact
Assessment, Vol.10, No.1, pp.47-75.
Swiderska, K. et al. (eds.) (2012) Biodiversity and culture: exploring community protocols, rights and consent.
Participatory Learning and Action, No.65. London: International Institute for Environment and Development.
http://pubs.iied.org/14618IIED.html
UN Global Compact (2013) Business reference guide to UNDRIP. New York: UN Global Compact.
https://www.unglobalcompact.org/library/541
Vanclay, F. (2003) International Principles for Social Impact Assessment. Impact Assessment & Project Appraisal Vol.
21, No.1, pp.5-11. http://www.iaia.org/uploads/pdf/IAIA-SIA-International-Principles.pdf
Vanclay, F. (2012) ‘The potential application of Social Impact Assessment in integrated coastal zone management’.
In Ocean & Coastal Management, Vol.68, pp.149-156. http://dx.doi.org/10.1016/j.ocecoaman.2012.05.016
Vanclay et al. (2015) Social Impact Assessment: Guidance for assessing and managing the social impacts of projects.
Fargo, USA: International Association for Impact Assessment.
http://www.iaia.org/uploads/pdf/SIA_Guidance_Document_IAIA.pdf
18
Wilson E. (2012) ‘The Oil Company, the Fish, and the Nivkhi: the cultural value of Sakhalin salmon’, in B. J. Colombi
and J. F. Brooks (eds.) Keystone Nations: Indigenous Peoples and Salmon across the North Pacic, SAR Press: New
Mexico, USA.
Wilson, E. (2016) ‘What is the social licence to operate? Local perceptions of oil and gas projects in Russia’s Komi
Republic and Sakhalin Island. In Extractive industries and society, Vol.3, pp.73-81.
Wilson E. and Kuszewski, J. (2011) Shared value, shared responsibility: a new approach to managing contracting chains
in the oil and gas sector. London: International Institute for Environment and Development.
http://pubs.iied.org/16026IIED/
Wilson, E. (2017) What is benet sharing? Ájluokta/Drag, Norway: Árran Lule Sami Centre.
Wilson, E., Best, S., Blackmore, E. and Ospanova, S. (2016) Meaningful community engagement in the extractive
industries. London: International Institute for Environment and Development. http://pubs.iied.org/16047IIED/
Wong, C.H.M. and Ho, W. (2015) ‘Roles of social impact assessment practitioners.’ In Environmental Impact
Assessment Review, Vol.50, pp.124-133.
19
Acronyms and abbreviations
ADB Asian Development Bank
CBD Convention on Biological Diversity
CDA community development agreement
CERD UN Committee on the Elimination of Racial Discrimination
CESCR UN Committee on Economic, Social and Cultural Rights
EBRD European Bank for Reconstruction and Development
EIA environmental impact assessment
ESHIA environmental, social and health assessment
ESIA environmental and social impact assessment
ESMS environmental and social management system
FPIC free, prior and informed consent
HRIA human rights impact assessment
IBA impact benet agreement (or impact and benet agreement)
IAIA International Association for Impact Assessment
ICMM International Council on Mining and Metals
IFC International Finance Corporation
ILO International Labour Organisation
ISO International Organisation for Standardisation
NEPA National Environmental Policy Act (USA)
OECD Organisation for Economic Cooperation and Development
OHCHR Oce of the United Nations High Commissioner for Human Rights
SIA social impact assessment
UNDRIP UN Declaration on the Rights of Indigenous Peoples
About the author and the project
Author: Dr Emma Wilson (emma.wilson@ecwenergy.com)
Dr Emma Wilson is an independent researcher and consultant, director of ECW Energy Ltd., and Associate of the Scott Polar
Research Institute, University of Cambridge. She has 20 years’ experience in energy and extractive industries, community
relations and corporate responsibility, including social impact assessment and anthropological eld research. She speaks
uent Russian and has worked in Russia and Central Asia, as well as Norway, Greenland, Nigeria and South Africa.
Review: Professor Frank Vanclay and Paul Lawrence
Series editor: Professor Piers Vitebsky (pv100@cam.ac.uk)
Copy editor: Niamh O’Mahony
Design: Eileen Higgins (ehdesign@virginmedia.com)
This paper is a product of the project Indigenous Peoples and Resource Extraction in the Arctic: Evaluating Ethical Guidelines
at the Árran Lule Sami Centre, Ájluokta/Drag, Norway (Project Leader Sven-Roald Nystø, Scientic Leader Professor Piers
Vitebsky, Research Coordinator Dr Emma Wilson) and funded by the Norwegian Ministry of Foreign Aairs. The project
also includes researchers from the Arctic Centre, Rovaniemi; the Institute of Ethnology and Anthropology, Russian
Academy of Sciences, Moscow; the Scott Polar Research Institute, University of Cambridge; University of Tromsø, the
Arctic University of Norway; ECW Energy Ltd; and Michigan Technological University.
Project contact: Sven-Roald Nystø (sven.roald.nysto@arran.no)
Árran Lule Sami Centre
Árran – julevsáme guovdásj/lulesamisk senter © Báhko ISBN 978-82-7943-061-2
ACKNOWLEDGEMENTS
