Social'Impact'Assessment'as'a'tool'for'social'development' in'South'Africa:'An'exploratory'study'' Ilse'Carin'Aucamp'

Social'Impact'Assessment'as'a'tool'for'social'development' in'South'Africa:'An'exploratory'study'' Ilse'Carin'Aucamp'
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Social'Impact'Assessment'as'a'tool'for'social'development'
in'South'Africa:'An'exploratory'study''
by'
Ilse'Carin'Aucamp'
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A'thesis'submitted'in'partial'fulfilment'of'the'requirements'for'the'degree'
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Doctor'Philosophiae'
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in'the'Department'of'Social'Work'and'Criminology'at'the'
UNIVERSITY'OF'PRETORIA'
FACULTY'OF'HUMANITIES'
SUPERVISOR:'Prof'Dr'Antoinette'Lombard'
'
April'2015'
!
!
Abstract'
Social'Impact'Assessment'as'a'tool'for'social'development'in'South'Africa:'An'
exploratory'study'
Supervisor:'
Prof.'Dr.'Antoinette'Lombard'
Department:' Social'Work'and'Criminology'
Degree:'
DPhil'(Social'Work)'
South!Africa!faces!many!development!challenges,!of!which!poverty!and!inequality!are!the!
most! significant.! Social! development! is! one! of! the! mechanisms! used! in! an! attempt! to!
address!some!of!the!developmental!challenges.!The!South!African!government!adopted!a!
developmental! approach! to! social! welfare.! However,! a! history! of! institutional! human!
rights! abuse! in! the! form! of! Apartheid! has! left! a! legacy.! An! area! in! which! social!
development!is!failing!to!gain!traction!is!in!the!corporate!sphere.!Industrial!projects!often!
require!a!Social!Impact!Assessment!(SIA)!in!compliance!with!environmental!laws,!but!this!
is! demonstrated! to! be! a! grudge! expenditure! that! is! only! supported! to! obtain!
authorisation!for!the!development!rather!than!a!genuine!commitment!to!social!change.!
However,!SIA!and!social!development!have!common!traits.!The!goal!of!this!study!was!to!
explore! whether! SIA! can! be! used! as! a! tool! for! social! development! in! the! South! African!
context.!
The! theoretical! framework! of! the! study! is! embedded! in! social! development! which!
underpins!the!context!of!poverty,!human!rights,!developmental!social!work!and!a!social!
protection!floor.!An!exploratory!sequential!mixed!methods!design!was!used!for!the!study.!
The! first! qualitative! phase! of! the! study! used! an! instrumental! case! study! design! and! the!
second!quantitative!phase!used!a!structured!nonDparticipant!observation!design.!For!the!
qualitative! study! data! was! collected! through! 24! semiDstructured! interviews! with! SIA!
practitioners!who!was!selected!through!purposive!and!snowball!sampling!methods,!and!
three! World! Cafés.! For! the! quantitative! study,! data! was! collected! through! a! crossD
sectional!survey!analysing!fifteen!SIA!reports!that!were!produced!between!2008!and!2014!
to!determine!the!extent!that!it!reflects!social!development!goals.!!
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The! research! findings! indicate! that! social! development! is! a! desired! outcome! of! the! SIA!
process,! but! that! SIA! practitioners! have! insufficient! knowledge! about! it.! This! lack! of!
knowledge! amongst! SIA! practitioners! is! an! obstacle! in! achieving! the! preferred! result! of!
utilising! SIA! as! a! tool! for! social! development.! The! findings! show! that! SIA! provides!
opportunities! to! strengthen! the! government’s! means! to! implement! its! social!
development! strategies,! but! SIA’s! potential! is! diluted! if! it! is! only! used! for! regulatory!
purposes.!!
The!study!recommends!changes!in!the!practice!of!SIA!to!ensure!that!it!is!used!as!a!tool!for!
social! development.! The! proposed! strategy! devolves! SIA! decisionDmaking! to! the! local!
government! level,! with! input! from! civil! society! and! the! private! sector.! It! proposes!
structures!that!ensures!that!technical!support!is!available!to!support!the!government.!It!
also! proposes! mechanisms! for! representation! of! communities! in! the! decisionDmaking!
forum.!The!proposed!strategy!elevates!SIA!to!a!tool!for!social!development!that!is!able!to!
serve! the! developmental! agenda! of! government! while! facilitating! partnerships! and!
ensuring! community! development! benefits.! ! A! critical! requirement! for! the! successful!
adoption! of! the! model! is! capacity! development! in! local! government,! among! SIA!
practitioners,! communities! and! the! private! sector.! A! strong! social! development!
component!in!the!capacity!development!and!best!practice!is!required.!The!contribution!of!
such!a!structure!will!enhance!the!social!protection!floor!in!South!Africa.!
Key'concepts/terms:''
Social!development!
Social!Impact!Assessment!!
Social!development!tool!
Sustainable!development!
Social!work!
South!Africa!
Environmental!management!
Social!development!outcomes'
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UNIVERSITY'OF'PRETORIA'
FACULTY'OF'HUMANITIES'
RESEARCH'PROPOSAL'&'ETHICS'COMMITTEE!
!
DECLARATION'
Full!name:!!Ilse!Carin!Aucamp!
Student!Number:!!91292949!
Degree/Qualification:!!DPhil!
Title! of! thesis:! ! Social' Impact' Assessment' as' a' tool' for' social' development' in' South'
Africa:'An'exploratory'study!!
I!declare!that!this!thesis!is!my!own!original!work.!!!Where!secondary!material!is!used,!this!
has! been! carefully! acknowledged! and! referenced! in! accordance! with! university!
requirements.!
I!understand!what!plagiarism!is!and!am!aware!of!university!policy!and!implications!in!this!
regard.!
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13!April!2015!
__________________________________! !
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''''''''''''''''''SIGNATURE''
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Acknowledgements'
I!would!like!to!thank!the!following!people:!
•
Prof.! Antoinette! Lombard,! my! promoter,! for! being! a! role! model! and! inspiration!
since! I! was! an! undergraduate! social! work! student.! She! guided! me! through! my!
Masters! degree,! and! like! a! true! artist! sculpted! and! worked! with! me! with! endless!
patience!through!this!amazing!journey.!Thank!you,!Professor.!
•
Stephan!Woodborne,!for!your!support!on!academic,!physical!and!emotional!levels.!
You!were!there!with!every!bump!in!the!road!and!never!ceased!to!encourage!me!to!
keep!going.!I!could!not!do!this!without!you.!
•
SanDMarié! Aucamp,! my! sister! and! business! partner,! thank! you! for! carrying! more!
than!your!share!of!the!business!to!allow!me!the!time!to!finish!this!study,!and!for!
your!support!in!so!many!ways.!!
•
My!parents,!Pieter!and!Isa!Aucamp,!for!always!encouraging!me!to!be!curious!and!
raising!me!with!the!view!that!nothing!is!ever!impossible.!
•
Leonie!Vorster,!for!your!help!and!guidance!with!the!research!methodology!–!you!
switched!on!a!light!in!a!dark!room.!!
•
IAIAsa,!DBSA!and!Eskom!for!collaborating!with!me!in!the!World!Cafés.!
•
Prof.! Frank! Vanclay! for! introducing! me! to! the! international! SIA! community,!
encouraging!and!challenging!me;!and!opening!many!doors!for!me.!
•
The! SIA! community! of! practitioners! for! sharing! their! views,! participating! in! the!
study!and!encouraging!me!through!the!years.!
•
Alexandra! Woodborne! for! sacrificing! familyDtime,! holidays! and! weekends,! and!
doing!so!with!a!smile.!!
•
My! friends! for! words! of! encouragement,! support! and! sometimes! necessary!
distraction.! Diane! Erasmus,! thank! you! for! Pringle! Bay,! Hilda! Bezuidenhout! thank!
you!for!always!being!available,!and!Shani!Cronje,!thank!you!for!the!farm.!
•
Pipian,! for! never! leaving! my! side! during! the! endless! hours! spent! in! front! of! a!
computer.!
•
iv!
Soli!Deo!Gloria.'
!
Acronyms'
ACSPSP!
Africa!Civil!Society!Platform!for!Social!Protection!
ADB!
!
African!Development!Bank!!
AUC!! !
African!Union!Commission!!
BEE!!
!
Black!Economic!Empowerment!!
CA!
!
Consent!Agreements!!
CBA!! !
Community!Benefits!Agreements!!
CDA!! !
Community!Development!Agreements!
CoGTA!!!
Cooperative!Governance!and!Traditional!Affairs!
CRM!! !
Community!Relations!Manager!
CSI!!
!
Corporate!Social!Investment!!!
CSR!!
!
Corporate!Social!Responsibility!!
DBSA!! !
Development!Bank!of!South!Africa!!!
DEA!
Department!of!Environmental!Affairs!
!
DEA&DP!!
Department!of!Environmental!Affairs!&!Development!Planning!!
DFA!! !
Development!Facilitation!Act!67!of!1995!
DFA!! !
Development!Forum!Agreements!!
DMR! !
Department!of!Mineral!Resources!
DPLG!! !
Department!Provincial!and!Local!Government!!
DWA!! !
Department!of!Water!Affairs!!
EAPSA!!!
Certification!Board!for!Environmental!Practitioners!in!South!Africa!!
ECA!! !
Economic!Commission!for!Africa!
ECO!! !
Environmental!Control!Officer!!
!
v!
EIA!
!
Environmental!Impact!Assessment!
EMP! !
Environmental!Management!Plan!
EPWP!! !
Expanded!Public!Works!Programme!!
FAO!
!
Food!and!Agriculture!Organization!
FPIC!
!
Free,!Prior,!Informed!Consent!
GCAPSA!
Global!Call!to!Action!Against!Poverty!–!South!Africa!!
GESS!! !
Global!Extension!of!Social!Security!
GRI!!
!
Global!Reporting!Initiative!
HIV!!
!
Human!immunodeficiency!virus!
IAIA!! !
International!Association!for!Impact!Assessment!!
IBA!!
Impact!and!Benefit!Agreement!!
!
ICGP!!
Interorganizational!Committee!for!Guidelines!and!Principles!for!Social!
Impact!Assessment!!
ICMM!!!
International!Council!on!Mining!and!Metals!
IDP!!
!
Integrated!Development!Plan!!
IDS!!
!
Institute!for!Development!Studies!!
IFC!!
!
International!Finance!Corporation!
ILO!!
!
International!Labour!Organisation!
ILUA!! !
Indigenous!Land!Use!Agreements!
IMF!! !
International!Monetary!Fund!!
ISO!!
International!Organisation!for!Standardisation!!
!
IWGIA! !
International!Work!Group!for!Indigenous!Affairs!
LA21! !
Local!Agenda!21!!
vi!
LDO!! !
Land!Development!Objectives!
LFTAS!! !
Local!Government!Turnaround!Strategy!!
MDG! !
Millennium!Development!Goals!
MDGR! !
Millennium!Development!Goal!Country!Report!
MPRDA!
Mineral!and!Petroleum!Resource!Development!Act!28!of!2002!
NA!
Negotiated!Agreements!!
!
NCOP!! !
National!Council!of!Provinces!!
NDP! !
National!Development!Plan!
NEMA! !
National!Environmental!Management!Act!107!of!1998!
NEM:AQA!!
National!Environmental!Management:!Air!Quality!Act!39!of!2004!!
NEM:WA!!
National!Environmental!Management:!Waste!Act!59!of!2008!!
NGO! !
NonDGovernment!Organisation!
NHRA!! !
National!Heritage!Resources!Act!25!of!1999!
NPC!
National!Planning!Commission!
!
NPO! !
NonDProfit!Organisation!
NWA!! !
National!Water!Act!36!of!1998!
NSC!! !
National!Senior!Certificate!!
NSSD1!!
National!Strategy!for!Sustainable!Development!and!Action!Plan!
NTA!
Native!Title!Agreements!!
!
OECD!! !
Organisation!for!Economic!CoDoperation!and!Development!!
PAJA!! !
Promotion!of!Administrative!Justice!Act!3!of!2000!
PGDS!! !
Provincial!Growth!and!Development!Strategies!
PICC!! !
Presidential!Infrastructure!Coordinating!Commission!!
!
vii!
RSA!
!
Republic!of!South!Africa!
SABS!! !
South!African!Bureau!of!Standards!!
SADC! !
South!African!Development!Community!
SAIRR!! !
South!African!Institute!of!Race!Relations!
SANS!! !
South!African!National!Standard!!
SLAPP!!!
Strategic!litigation!against!public!participation!
SMMP!!!
Social!Management!and!Monitoring!Plan!
SPF!
!
Social!Protection!Floor!
SIA!
!
Social!Impact!Assessment!
SIMP! !
Social!Impact!Management!Plan!
SLP!
Social!and!Labour!Plan!
!
SSIAF!! !
Strategic!Social!Impact!Assessment!Forum!!
StatsSA!
Statistics!South!Africa!
UN!
United!Nations!
!
UNDP!! !
United!Nations!Development!Programme!
UNEP! !
United!Nations!Environment!Programme!
WCSDG!!
World!Commission!on!the!Social!Dimension!of!Globalisation!!
WEF!! !
World!Economic!Forum!!!
!
viii!
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Table'of'Contents'
Chapter'1.!
General'orientation'and'introduction'..........................................................'1!
1.1! Introduction!................................................................................................................!1!
1.2! Problem!statement!and!rationale!...............................................................................!8!
1.3! Research!goal!and!objectives!....................................................................................!10!
1.4! Research!methodology!.............................................................................................!11!
1.5! Structuring!of!the!thesis!............................................................................................!12!
Chapter'2.!
Theoretical'framework'for'the'study'.........................................................'14!
2.1! Introduction!..............................................................................................................!14!
2.2! Schematic!representation!of!theoretical!framework!................................................!14!
2.3! Developmental!social!work!.......................................................................................!16!
2.3.1! Social!development!............................................................................................!18!
2.3.2! Social!security!and!the!social!protection!floor!....................................................!23!
2.3.3! Social!work!and!the!bioDphysical!environment!...................................................!30!
2.4! Poverty!......................................................................................................................!32!
2.4.1! Defining!poverty!.................................................................................................!32!
2.4.2! Poverty!and!inequality!........................................................................................!38!
2.5! Human!rights!.............................................................................................................!46!
2.6! Summary!...................................................................................................................!53!
Chapter'3.!
SIA'in'the'South'African'context'................................................................'54!
3.1! Introduction!..............................................................................................................!54!
3.2! Social!Impact!Assessment!.........................................................................................!54!
3.3! The!South!African!context!for!SIA!.............................................................................!56!
3.3.1! Geography,!demographics,!migration!and!xenophobia!.....................................!56!
3.3.2! Culture,!race!and!reconciliation!..........................................................................!60!
3.4! Government!and!administration!...............................................................................!65!
3.5! Social!Impact!Assessment!international!best!practice!..............................................!69!
3.5.1! Free,!Prior,!Informed!Consent!............................................................................!71!
3.5.2! Impact!and!Benefit!Agreements!.........................................................................!77!
3.5.3! Social!Impact!Management!Plans!.......................................................................!81!
3.6! Summary!...................................................................................................................!83!
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Chapter'4.!
Legal'and'institutional'framework'for'social'development'in'the'
environmental'field'........................................................................................................'85!
4.1! Introduction!..............................................................................................................!85!
4.2! The!Constitution!of!the!Republic!of!South!Africa!1996!............................................!86!
4.3! South!African!Environmental!and!Social!Development!Legislation!..........................!87!
4.3.1! The!National!Environmental!Management!Act!107!of!1998!..............................!88!
4.3.2! The!National!Water!Act!36!of!1998!....................................................................!90!
4.3.3! The!Mineral!and!Petroleum!Resources!Development!Act!28!of!2002!...............!91!
4.3.4! The!National!Heritage!Resources!Act!25!of!1999!...............................................!94!
4.3.5! Promotion!of!Administrative!Justice!Act!3!of!2000!............................................!95!
4.3.6! Development!Facilitation!Act!67!of!1995!...........................................................!96!
4.3.7! The!White!Paper!for!Social!Welfare!(RSA,!1997)!................................................!98!
4.3.8! The!White!Paper!on!Population!Policy!(RSA,!1998a)!........................................!101!
4.4! Additional!governance!tools!...................................................................................!103!
4.4.1! Local!Agenda!21!...............................................................................................!103!
4.4.2! Integrated!Development!Plans!.........................................................................!105!
4.4.3! Provincial!Growth!and!Development!Strategies!..............................................!107!
4.4.4! National!Development!Plan!.............................................................................!108!
4.4.5! Millennium!Development!Goals!.......................................................................!111!
4.5! National!and!international!standards!.....................................................................!114!
4.5.1! ISO!26000:2010/SANS!26000:2010!..................................................................!115!
4.5.2! International!Social!Performance!Standards/Initiatives!...................................!116!
4.6! Summary!.................................................................................................................!118!
Chapter'5.!
Research'methodology'............................................................................'122!
5.1! Introduction!............................................................................................................!122!
5.2! Research!paradigm!and!approach!..........................................................................!122!
5.3! Type!of!research!.....................................................................................................!127!
5.4! Research!design!......................................................................................................!128!
5.4.1! Qualitative!study!..............................................................................................!128!
5.4.2! Quantitative!study!............................................................................................!129!
5.5! Research!methods!..................................................................................................!130!
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5.5.1! Study!population!and!sampling!........................................................................!130!
5.5.2! Data!collection!..................................................................................................!134!
5.5.3! Pilot!study!.........................................................................................................!140!
5.5.4! Data!analysis!.....................................................................................................!141!
5.6! Reliability,!validity!and!trustworthiness!of!the!data!...............................................!143!
5.6.1! Qualitative!study!...............................................................................................!143!
5.6.2! Quantitative!study!............................................................................................!145!
5.7! Reflexivity!................................................................................................................!147!
5.8! Ethical!aspects!.........................................................................................................!148!
5.8.1! Voluntary!participation!.....................................................................................!149!
5.8.2! Informed!consent!.............................................................................................!149!
5.8.3! Anonymity!and!confidentiality!.........................................................................!149!
5.8.4! Cooperation!with!contributors!.........................................................................!150!
5.8.5! Publication!of!the!findings!................................................................................!150!
5.9! Limitations!of!the!study!..........................................................................................!150!
5.10! Summary!...............................................................................................................!152!
Chapter'6.!
Presentation'of'empirical'findings'...........................................................'153!
6.1! Introduction!............................................................................................................!153!
6.2! Qualitative!study:!Insights!in!current!SIA!practice!..................................................!153!
6.2.1! Theme!1:!Motivation!for!SIA!from!the!perspective!of!different!role!players!...!156!
6.2.2! Theme!2:!Current!challenges!to!SIA!practice!from!different!perspectives!.......!158!
6.2.3! Theme!3:!Important!aspects!to!consider!when!conducting!SIA!.......................!165!
6.2.4! Theme!4:!Ensuring!more!effective!SIA!in!a!number!of!ways!............................!170!
6.2.5! Theme!5:!Improving!the!practice!of!SIA!...........................................................!174!
6.2.6! Summary!of!qualitative!findings!.......................................................................!178!
6.3! Quantitative!study:!Inclusion!of!social!development!aspects!in!SIA!reports!..........!180!
6.3.1! Description!of!the!quantitative!sample!............................................................!180!
6.3.2! Presentation!of!findings!....................................................................................!184!
6.3.3! Guttmann!analysis!of!the!findings!....................................................................!193!
6.3.4! Summary!of!quantitative!findings!....................................................................!200!
6.4! Summary!.................................................................................................................!201!
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Chapter'7.!
Discussion'of'empirical'findings'...............................................................'202!
7.1! Introduction!............................................................................................................!202!
7.2! Discussion!of!themes!..............................................................................................!202!
7.2.1! Theme!1:!The!potential!of!SIA!to!contribute!to!social!development!!
outcomes!.....................................................................................................................!202!
7.2.2! Theme!2:!Relationship!between!the!practice!of!SIA!and!the!government!......!208!
7.2.3! Theme!3:!Relationship!between!SIA!practice!and!community!involvement!....!213!
7.2.4! Theme!4:!SIA!practice!and!its!relationship!with!the!private!sector!..................!221!
7.2.5! Theme!5:!Professional!development!in!the!SIA!field!required!to!strengthen!!
and!improve!SIA!practice!.............................................................................................!231!
7.3! Summary!.................................................................................................................!237!
Chapter'8.!
Conclusions'and'recommendations'.........................................................'239!
8.1! Introduction!............................................................................................................!239!
8.2! Goal!and!objectives!of!the!study!............................................................................!239!
8.3! Key!findings!and!conclusions!..................................................................................!242!
8.4! Recommendations!..................................................................................................!246!
8.4.1! Strategy!to!implement!SIA!as!a!tool!for!social!development!...........................!247!
8.4.2! Recommendations!regarding!the!processes!followed!by!different!!
stakeholders!to!implement!the!strategy!.....................................................................!252!
8.4.3! Recommendations!regarding!operational!issues!.............................................!255!
8.4.4! Recommendations!for!the!implementation!of!the!strategy!and!future!!
research!.......................................................................................................................!259!
References'....................................................................................................................'261!
Appendix'A'...................................................................................................................'297!
Appendix'B'...................................................................................................................'300!
Appendix'C'...................................................................................................................'303!
Appendix'D'...................................................................................................................'306!
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List'of'Tables'
Table!5.1:!Results!of!Cohen’s!Kappa!....................................................................................!145!
Table!6.1!Themes!and!subDthemes!that!emerged!from!the!qualitative!study!.....................!155!
Table!6.2:!Effectiveness!of!SIA!as!a!development!tool!in!South!African!context!.................!194!
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List'of'Figures'
Figure!2.1!Theoretical!framework!for!the!study!....................................................................!15!
Figure!3.1:!Map!of!South!Africa!indicating!the!nine!provinces!..............................................!57!
Figure!6.1:!Authors’!qualifications!of!the!reviewed!SIA!studies!...........................................!181!
Figure!6.2:!Sectors!in!which!the!reviewed!SIA!studies!were!located!...................................!182!
Figure!6.3:!Geographic!location!of!the!reviewed!SIA!studies!...............................................!183!
Figure!6.4:!!Analysis!of!legal!and!institutional!mandate!coverage!in!SIA!reports!................!187!
Figure!6.5:!SIA!reports!potential!to!be!used!as!a!tool!for!social!development!....................!189!
Figure!6.6:!Scope!of!mitigation!in!SIA!reports!......................................................................!192!
Figure!8.1:!Flow!diagram!illustrating!the!implementation!of!the!proposed!SSIAF!!
strategy!................................................................................................................................!252!
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xiii!
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Chapter'1. General'orientation'and'introduction'
1.1 Introduction'
!South!Africa!faces!a!number!of!challenges!such!as!poverty,!inequality,!unemployment,!an!
education! system! that! yields! below! global! average! results,! migration,! inadequate!
healthcare,!insufficient!energy,!water!quality!and!quantity!issues,!food!security,!crime!and!
corruption.!These!challenges!can!be!classified!under!the!social,!economic!and!biophysical!
environment,! which! form! the! three! pillars! of! sustainable! development! (Mauerhofer,!
2013:63).!At!the!1992!United!Nations!Conference!on!Environment!and!Development!(or!
Earth! Summit)! in! Rio! de! Janeiro,! and! a! decade! later! at! the! 2002! World! Summit! on!
Sustainable!Development!(Earth!Summit!+10)!in!Johannesburg,!the!world!embraced!the!
concept! of! sustainable! development! to! redress! impending! problems! of! poverty! and!
environmental!degradation!(Aucamp,!Woodborne,!Perold,!Bron!&!Aucamp,!2011:38).!The!
need!for!sustainable!development!was!reaffirmed!at!the!Rio+20!conference!that!was!held!
in! 2012,! 20! years! after! the! original! meeting! (UNGA,! 2012).! It! was! affirmed! that! the!
eradication! of! poverty! is! the! greatest! challenge! facing! the! world! and! a! crucial!
requirement!for!sustainability!(UNGA,!2012).!The!outcomes!of!the!Rio+20!conference!are!
summarised!in!a!document!titled:!The$future$we$want!(United!Nations!(UN),!2012).!!
The!balance!between!a!sustainable!future!and!present!needs!rests!on!three!pillars:!social!
development,! economic! development! and! environmental! protection! (Aucamp! et! al.,!
2011:40).! These! are! echoed! in! The$ Future$ we$ want! when! it! states! that:! “We$ recognise$
that$people$are$at$the$centre$of$sustainable$development$and$in$this$regard$we$strive$for$a$
world$ that$ is$ just,$ equitable$ and$ inclusive,$ and$ we$ commit$ to$ work$ together$ to$ promote$
sustained$ and$ inclusive$ economic$ growth,$ social$ development$ and$ environmental$
protection$and$thereby$benefit$all”$(UN,!2012).!
The! Millennium! Development! Goals! (MDGs)! comprise! a! set! of! eight! sectorial! targets!
defined!at!the!Rio+10!conference!as!points!of!action!supporting!sustainable!development!
that! were! supposed! to! be! implemented! by! signatory! nations! by! 2015! (UN,! 2014a).! The!
MDGs! aim! to! address! issues! such! as! poverty,! education,! inequality,! child! mortality,!
maternal! healthcare,! diseases,! environmental! sustainability! and! economic! partnerships!
(UN,!2000).!The!2013!Millennium!Development!Goal!Country!Report!(MDGR)!(Republic!of!
!
P a g e !|!1!
South!Africa![RSA],!2013a)!published!by!the!South!African!government!critically!reviews!
South!Africa’s!progress!against!the!MDGs,!and!indicates!that!South!Africa!obtained!mixed!
results.! Paradoxically,! achieving! these! goals! is! embedded! in! the! country’s! future!
development! agenda! via! various! policies! (RSA,! 2013a:13).! The! MGDs! and! future!
sustainable! development! goals! therefore! continue! to! form! part! of! the! development!
agenda!in!South!Africa.!!
At! the! Rio+20! conference! a! mandate! was! given! to! establish! an! open! working! group! to!
identify! a! set! of! sustainable! development! goals! postD2015! (UN,! 2014a).! The! United!
Nations!Open!Working!Group!of!the!General!Assembly!identified!seventeen!sustainable!
development!goals,!built!on!the!foundation!of!the!MDGs,!which!will!be!considered!at!the!
special! summit! on! sustainable! development! in! September! 2015! (UN,! 2014b:13).! It! is!
important!to!consider!that!the!existing!MGDs!will!not!fall!away,!but!will!be!supplemented!
by! the! seventeen! new! goals,! which! were! designed! to! fill! key! sustainable! development!
gaps! (UN,! 2014b:14).! The! new! development! agenda! is! peopleDcentred! and! planetD
sensitive,! therefore! it! reaffirms! the! interwoven! relationship! between! people! and! the!
environment!(UN,!2014b:14).!
Although!social!and!economic!aspects!have!for!a!long!time!been!part!of!the!sustainable!
development!framework,!the!debate!on!sustainable!development!has!focused!primarily!
on!ecological!issues!such!as!climate!change,!CO2!emissions,!waste!and!soil,!water!and!air!
pollution!(Bijl,!2011:157),!especially!in!the!field!of!environmental!management.!In!the!last!
few! decades,! concepts! related! to! environmental! sustainability! –! including! social,!
environmental!and!economic!aspects!D!have!advanced!significantly!in!policies!across!the!
globe! (Corrigan,! Crotti,! Hanouz! &! Serin,! 2014:53).! The! environmental! movement!
concerns!itself!with!the!protection!of!the!environment,!in!particular!with!the!impacts!of!
environmental! damage! on! the! health! and! wellbeing! of! both! humans! and! ecosystems!
(Corrigan!et!al.,!2014:53).!The!Environmental!Impact!Assessment!(EIA)!process!is!a!policy!
and! legislative! framework! that! is! used! to! integrate! environmental! concerns! and!
sustainability! issues! in! development! planning! (Saidi,! 2010:2).! The! application! and!
institutionalisation! of! EIA! is! part! of! the! international! sustainable! development! agenda!
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!
enshrined!by!the!Earth!Summit,!World!Summit!on!Sustainable!Development!and!Rio+20!
(De!Lange,!2013:1).!
South! African! environmental! law! is! reported! to! be! amongst! the! most! advanced! in! the!
world!(Mentis,!2010:14;!!Kotzé!&!Paterson,!2009:2).!Although!the!South!African!definition!
of! the! environment! does! not! explicitly! refer! to! humans,! humans! are! given! a! prominent!
role! in! terms! of! their! interrelationship! with! the! environment,! meaning! that! the! South!
African! environmental! legislation! has! a! definite! anthropocentric! approach! (Du! Pisani! &!
Sandham,! 2006:712).! Social! Impact! Assessment! (SIA)! is! conducted! as! part! of! the! EIA!
process!in!South!Africa.!Although!SIA!in!itself!is!not!legislated,!it!forms!an!integral!part!of!
the!South!African!EIA!milieu,!and!is!largely!responsible!for!ensuring!that!the!social!aspects!
of! sustainability! are! considered! as! an! outcome! of! the! EIA! process! (Hildebrandt! &!
Sandham,!2014:21).!!
The! practice! of! SIA! is! guided! by! a! set! of! International$ Principles! that! defines! the! core!
values,! fundamental! principles! for! development! and! principles! specific! to! SIA! practice!
(Vanclay,! 2003:9).! When! the! International$ Principles! are! considered,! it! is! clear! that! SIA!
aspires!to!more!than!just!assessing!the!impact!of!development!on!people,!and!includes!
sustainable! outcomes.! The! following! specific! principles! refer! to! these! sustainable!
outcomes!(Vanclay,!2003:9):!
•
Development! projects! should! be! broadly! acceptable! to! the! members! of! those!
communities!likely!to!benefit!from,!or!be!affected!by,!the!planned!intervention.!
•
The! primary! focus! of! all! development! should! be! positive! outcomes,! such! as!
capacity!building,!empowerment,!and!the!realisation!of!human!and!social!capital.!
•
The! term! “environment”! should! be! defined! broadly! to! include! social! and! human!
dimensions,! and! in! such! inclusion,! care! must! be! taken! to! ensure! that! adequate!
attention!is!given!to!the!realm!of!the!social.!
•
Equity!considerations!should!be!a!fundamental!element!of!impact!assessment!and!
of!development!planning.!
•
!
There! should! be! a! focus! on! socially! sustainable! development,! with! the! SIA!
contributing! to! the! determination! of! best! development! alternative(s)! –! SIA! (and!
P a g e !|!3!
EIA)! has! more! to! offer! than! just! being! an! arbiter! between! economic! benefit! and!
social!cost.!
•
In! all! planned! interventions! and! their! assessments,! avenues! should! be! developed!
to! build! the! social! and! human! capital! of! local! communities! and! to! strengthen!
democratic!processes.!
•
Local! knowledge,! experience! and! acknowledgement! of! different! cultural! values!
should!be!incorporated!in!any!assessment.!
•
Development! processes! that! infringe! the! human! rights! of! any! section! of! society!
should!not!be!accepted.!
SIA! deals! with! developmentDinduced! social! change.! Although! social! change! is! a! natural!
process! that! takes! place! continuously,! there! are! projects! and! policies! that! trigger! social!
change! (Vanclay,! 2002:192).! This! developmentDinduced! social! change! triggered! by!
projects!that!require!SIA!is!not!voluntary,!and!is!therefore!often!perceived!in!a!negative!
light!(Harvey!&!Bice,!2014:331).!Social!development!also!deals!with!a!planned!process!of!
social! change! as! it! is! defined! as! “…a$ process$ of$ planned$ social$ change$ designed$ to$
promote$ the$ wellbeing$ of$ the$ population$ as$ a$ whole$ within$ the$ context$ of$ a$ dynamic$
multifaceted$ development$ process”! (Midgley,! 2014:13).! In! contrast! to! developmentD
induced!social!change!triggered!by!SIA!done!in!response!to!commercial!undertakings,!the!
outcome!of!social!development!is!altruistic!in!that!it!promotes!the!general!wellbeing!of!
the!population.!Social!development!aims!to!synchronise!social!policies!with!procedures!to!
advance! economic! development! (Midgley,! 1995:1).! Midgley! (2014:13D15)! identifies! key!
aspects!of!social!development!as!a!dynamic!process,!progressive!in!nature,!forming!part!
of! a! multifaceted! process! consisting! of! the! integration! of! social,! political,! economic,!
cultural,! environmental,! gender! and! other! dimensions.! Furthermore,! it! is! an!
interventionist! process! and! requires! input! in! different! forms! to! achieve! social!
development! goals.! Other! key! aspects! of! social! development! according! to! Midgley!
(2014:17)!are!that!it!is!productivist,!contributes!positively!to!economic!development!and!
is! committed! to! promoting! people’s! wellbeing.! To! complete! the! key! aspects,! Midgley!
(2014:16)! states! that! social! development! is! universalistic! and! concerned! with! the!
population!as!a!whole!rather!than!just!with!vulnerable!and!poor!people.!!
P a g e !|!4!
!
Although!development!is!approached!from!different!angles,!there!seems!to!be!a!number!
of! collective! factors! that! link! SIA! with! social! development.! South! Africa! has! officially!
adopted!a!developmental!approach!to!social!welfare!(Patel,!2005:1),!therefore!both!SIA!
and!social!development!form!part!of!the!policy!and!legislative!framework!in!the!country.!
Despite! this,! there! seems! to! be! little! interaction! between! the! two! fields.! Poverty! and!
inequality! remain! some! of! the! biggest! challenges! in! South! African! society! (National!
Planning! Commission! (NPC),! 2012:3)! and! both! SIA! and! social! development! have! the!
potential! to! address! these! challenges.! If! existing! theory,! practice! and! resources! can! be!
shared!and!coordinated!between!the!two!fields,!it!will!enhance!the!outcomes!of!both.!
Environmental! scientists! dominate! the! environmental! field! in! South! Africa! (Du! Pisani! &!
Sandham,! 2006:713),! and! to! ensure! that! the! social! aspects! of! environmental!
management!receive!adequate!attention,!it!is!necessary!to!identify!an!approach!that!will!
integrate! social! science! more! in! the! environmental! management! field.! This! study!
intended!to!determine!whether!SIA!can!be!used!as!a!tool!for!social!development!in!South!
Africa!and!to!what!extent!there!are!existing!synergies!with!social!development.!It!was!an!
attempt! to! determine! how! the! social! aspect! of! sustainable! development! can! be!
strengthened! in! the! environmental! management! field! through! SIA.! This! could! not! be!
achieved! without! an! understanding! of! the! field! of! social! development! and! how! it! links!
with! SIA! practice.! The! outcomes! of! this! study! were! envisaged! to! enable! all! the! role!
players!in!the!field!of!SIA!to!identify!links!between!SIA!and!social!development,!and!to!use!
these!links!to!advance!sustainable!outcomes!and!contribute!to!sustainable!communities.!
The!key!concepts!of!the!study!are!defined!as!follows:!!
Social'Impact'Assessment'
The!study!adopted!the!official!definition!of!SIA!by!the!International!Association!for!Impact!
Assessments!as!“…the!process!of!analysing,!monitoring!and!managing!the!intended!and!
unintended! social! consequences,! both! positive! and! negative,! of! planned! interventions!
(policies,! programs,! plans,! projects)! and! any! social! change! processes! invoked! by! these!
interventions.! Its! primary! purpose! is! to! bring! about! a! more! sustainable! and! equitable!
biophysical!and!human!environment”!(Vanclay,!2003:6).!This!definition!does!not!conflict!
with! that! of! the! Interorganizational! Committee! on! Principles! and! Guidelines! for! Social!
!
P a g e !|!5!
Impact! Assessment! (2003:231)! that! defines! Social! Impact! Assessment! as! “…! efforts! to!
assess,!appraise!or!estimate,!in!advance,!the!social!consequences!that!are!likely!to!follow!
from!proposed!actions”.!SIA!is!viewed!as!a!process!dealing!with!all!the!human!aspects!of!
environmental! management.! It! goes! beyond! the! identification! and! assessment! of!
impacts,! and! includes! the! management! and! monitoring! of! social! impacts! on! the! long!
term.!
Social'Development'
Social!development!is!contextDspecific!and!the!international!community!has!not!adopted!
a! single! definition! or! conceptual! framework.! Embedded! in! the! key! aspects! of! social!
development! (Midgley,! 2014;! 1995)! as! indicated! above,! in! the! broadest! sense! social!
development!is!“a!process!of!planned!social!change!designed!to!promote!the!wellbeing!of!
the! population! as! a! whole! within! the! context! of! a! dynamic! multifaceted! development!
process”! (Midgley! 2014:13).! Any! definition! of! social! development! should! discourage!
dependency;! promote! the! active! involvement! of! people! in! their! own! development;!
employ!a!multiDfaceted!and!multiDsector!approach;!and!encourage!partnership!between!
the!state,!provincial!government!and!all!other!stakeholders!in!welfare!(Gray,!1996:9).!
The!definition!of!social!development!adopted!in!this!study!places!people!in!the!centre!of!
development! efforts! while! encouraging! partnerships! between! different! role! players! as!
these!elements!are!essential!for!sustainable!and!effective!poverty!reduction!(World!Bank,!
2004:1).!Social!development!contributes!to!poverty!alleviation!in!different!ways,!including!
economic! development,! infrastructure! development,! skills! development! and! social!
entrepreneurship.!
'
P a g e !|!6!
'
!
Social'development'tool''
The!Oxford$English$Dictionary!(2002)!defines!tool!as!“…a!thing!(concrete!or!abstract)!with!
which!some!operation!is!preformed;!a!means!of!effecting!something;!an!instrument”.!The!
use!of!an!instrument!result!in!a!certain!outcome.!An!outcome!is!defined!as!the!way!things!
turn! out! or! a! consequence! (Oxford$ English$ Dictionary,! 2002).! In! this! study,! social!
development!outcomes!represent!a!process!where!the!end!result!is!social!development!
which!!is!achieved!through!a!social!development!tool.!In!the!context!of!this!study!a!social!
development! tool! can! be! defined! as! the! mechanism! that! is! employed! to! ensure! people!
are! placed! in! the! centre! of! development! efforts.! The! mechanism! integrates! social! and!
environmental! development,! whilst! encouraging! partnerships! between! different! role!
players!(in!particular!SIA!and!social!development!practitioners,!including!social!workers).!
Furthermore! social! development! integrates! economic! development! and! a! social!
development!tool!is!therefore!an!instrument!that!may!be!used!to!ensure!that!any!process!
that!is!followed!results!in!sustainable!outcomes.!!
The!World!Commission!on!Environment!and!Development!(1987:24)!defines!sustainable!
development!as!“development$that$meets$the$needs$of$the$present$without$compromising$
the$ability$of$future$generations$to$meet$their$own$needs”.$Sustainability!should!therefore!
be!the!outcome!of!a!social!development!tool.!!
Environmental'Management'
Environmental! management! is! a! complex! concept,! and! a! generic! and! concise! definiton!
does!not!exist!(Nel!&!Kotzè,!2009:33).!Environmental!management!is!not!concerned!with!
the!management!of!the!environment!per!se,!but!rather!concerned!with!the!behaviour!of!
humans! and! performance! of! organisations! in! keeping! with! environmental! legislation,!
principles,!criteria!and!standards!(Nel!&!Kotzè,!2009:32).!It!is!a!process!that!includes!the!
management! of! positive! and! negative! impacts! that! can! be! associated! with! products,!
activities,!services!and!facilities!and!includes!the!social,!ecological!and!economic!aspects!
of! the! environment! (Nel! &! Kotzè,! 2009:32).! In! the! context! of! this! study! environmental!
management!can!be!seen!as!the!process!of!managing!the!potential!impact!that!humans!
and!their!actions!have!on!the!environment,!with!environment!being!defined!in!the!broad!
sense!to!include!social,!economic!and!ecological!aspects.!
!
P a g e !|!7!
1.2 Problem'statement'and'rationale'
The! biggest! challenges! that! South! Africa! as! a! nation! faces! are! poverty! and! inequality!
(NPC,!2012:3).!Millions!of!South!Africans!are!still!excluded!socially!and!economically,!and!
the!NDP!aims!to!address!this!(NPC,!2012:3).!Building!sustainable!human!communities!is!
one! of! the! key! focus! areas! of! the! National! Strategy! for! Sustainable! Development! and!
Action!Plan!(NSSD1)!published!by!the!Department!of!Environmental!Affairs!(Department!
of! Environmental! Affairs! (DEA),! 2011:28).! The! NSSD1! defines! a! sustainable! human!
settlement! as! “meeting! the! different! needs! of! its! residents,! including! housing,! basic!
services,! community! facilities,! transport! and! livelihood/job! opportunities,! while! at! the!
same! time,! being! sensitive! to! the! surrounding! ecosystems! and! natural! resources”$ (DEA,!
2011:28).!There!is!a!clear!link!between!the!NDP!and!the!NSSD1.!The!DEA!regulates!the!EIA!
industry!in!South!Africa,!and!in!terms!of!environmental!legislation!and!regulations,!SIA!in!
South!Africa!is!fully!integrated!in!EIA!(Du!Pisani!&!Sandham,!2006:711)!and!is!therefore!
part! of! this! process.! The! National! Environmental! Management! Act! (NEMA)! 107! of! 1998!
gives!the!social!component!of!environmental!management!equal!status!to!environmental!
and!economic!components!and!emphasises!that!people!and!their!needs!must!be!the!first!
priority! of! environmental! management! (Du! Pisani! &! Sandham,! 2006:712).! There! is!
therefore!a!clear!directive!for!an!integrated!environmental!and!social!science!approach!to!
environmental! management,! even! if! SIA! is! treated! as! a! “lesser! sibling”! (Hildebrand! &!
Sandham,!2014:21).!!
In!2013!the!Portfolio!Committee!on!Water!and!Environmental!Affairs!in!the!Parliament!of!
the! Republic! of! South! Africa! held! public! hearings! on! the! Efficacy$ of$ South$ Africa’s$ EIA$
Regime!(De!Lange,!2013:2).!One!of!the!motivations!for!the!hearings!was!that!although!EIA!
is! recognised! as! a! key! support! tool! for! sustainable! development,! aspects! of! its!
implementation!continue!to!be!a!challenge!in!a!developing!context,!especially!when!one!
attempts! to! balance! local! socioDeconomic,! political! and! ecological! priorities! (De! Lange,!
2013:1).! A! particular! challenge! that! was! identified! is! addressing! social,! economic! and!
environmental!aspects!in!an!integrated!manner!(De!Lange,!2013:1).!
Although!sustainable!communities!fall!into!the!mandate!of!the!DEA,!and!EIA!(which!also!
forms! part! of! their! mandate)! is! used! as! a! decisionDmaking! instrument,! the! question! of!
P a g e !|!8!
!
how! EIA! can! contribute! to! sustainable! communities! remains.! The! majority! of! EIA!
consultants! in! South! Africa! have! a! natural! rather! than! a! social! science! background!
(Sandham,! Siphugu! &! Tshivhandekano,! 2005:55),! and! are! therefore! not! trained! to! deal!
with! the! community! aspects! of! development.! There! is! also! a! shortage! of! skills! amongst!
authorities!to!review!SIA!reports!(Hildebrandt!&!Sandham,!2014:24).!SIA!is!the!tool!within!
the! EIA! process! that! deals! with! communities,! and! therefore! the! focus! shifted! to! the!
contribution! of! SIA! to! sustainable! communities,! but! it! is! a! matter! of! concern! that! the!
necessary! skills! to! deal! with! social! aspects! do! not! appear! to! be! found! in! the! DEA! or!
amongst! consultants.! The! lack! of! a! specific! policy! framework! and! guidance! about! SIA!
exacerbates!this!situation!(Du!Pisani!&!Sandham,!2006:720).!
Many! communities! in! South! Africa! are! exposed! to! developmentDinduced! social! change,!
which! causes! social! impacts.! Numerous! SIA! studies! are! conducted! in! these! areas,! all!
recommending!social!mitigation!and!management!measures,!often!in!areas!within!close!
geographical!proximity!or!which!share!social!services.!The!research!study!questioned!the!
effectiveness!of!this!silo!approach!and!intended!to!investigate!whether!SIA!in!its!current!
format!contributes!to!social!development.!The!researcher’s!background!as!a!social!worker!
influenced! her! decision! to! investigate! the! practice! of! SIA! through! the! lens! of! social!
development!in!order!to!determine!whether!there!are!synergies!between!SIA!outcomes!
and! social! development! outcomes.! The! fact! that! social! development! is! the! officially!
adopted!approach!to!social!welfare!in!South!Africa!supported!this!choice!(Patel,!2005:1).!!
Bruce!Harvey,!the!Global!Practice!Leader!for!Communities!and!Social!Performance!at!Rio!
Tinto,! claims! that! “…SIA,! as! it! currently! prevails! at! most! resource! development! sites! is!
outDdated! and! the! refresh! button! needs! to! be! pushed”! (Harvey,! 2011:xxxii).! The! quote!
was! taken! from! the! foreword! of! an! edited! book! called! New$ Directions$ in$ Social$ Impact$
Assessment:$ Conceptual$ and$ Methodological$ Advances! (Vanclay! &! Esteves,! 2011).! This!
book!challenges!the!traditional!view!of!SIA!as!a!study!that!predicts!impacts!in!a!regulatory!
context!and!introduces!SIA!as!a!process!of!managing!the!social!aspects!of!developments!
(Vanclay! &! Esteves,! 2011:4).! It! underlines! the! need! for! fresh! approaches! to! SIA,!
something! that! this! study! intended! to! provide,! specifically! in! the! South! African! context!
where! the! biophysical! environment! tend! to! dominate! the! environmental! management!
!
P a g e !|!9!
field.! Hence! the! study! focused! on! SIA! within! a! social! development! framework! to!
determine!its!effectiveness!as!a!tool!for!sustainable!development.!Aligning!SIA!outcomes!
with!social!development!outcomes!will!assist!with!addressing!some!of!the!socioDeconomic!
challenges! faced! by! South! Africa.! In! addition,! the! position! of! social! sciences! in! the!
environmental!management!field!needs!to!be!supported!and!strengthened.!!
The!following!research!question!guided!the!research:!
•
Could!SIA!effectively!be!used!as!a!tool!for!social!development!in!the!South!African!
context?!
The!subDresearch!questions!that!guided!the!researcher!to!answer!the!research!question!
were!the!following:!!!
o To! what! extent! does! the! SIA! methodology! currently! practiced! in! South!
Africa!reflect!social!development?!
o Could! guidelines! for! SIA! assist! practitioners! with! achieving! social!
development!outcomes?!!!
1.3 Research'goal'and'objectives'
The!goal!of!the!study!was!to!explore!SIA!as!a!tool!for!social!development!in!South!Africa.!!!
The!objectives!of!the!study!were:!!
•
To! contextualise! SIA! as! a! development! tool! within! a! social! development!
theoretical!framework.!
•
To! explore! the! extent! of! the! policy! mandate! to! integrate! social! development!
issues!in!the!environmental!management!field.!
•
To! explore! whether! the! SIA! methodology! currently! practiced! in! South! Africa!
reflects!social!development.!
•
To! determine! whether! SIA! as! currently! practiced! is! effective! as! a! tool! for! social!
development!in!the!South!African!context.!
•
To! propose! a! strategy! to! guide! SIA! practitioners! to! implement! SIA! as! a! tool! for!
social!development.!!
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!
1.4 Research'methodology'
This!study!made!use!of!pragmatism!as!a!research!approach!in!an!attempt!to!ensure!that!
practitioners!can!use!the!outcomes.!In!line!with!the!pragmatic!approach,!an!exploratory,!
mixed!methods!design!was!used!for!the!study,!as!the!relationship!between!SIA!and!social!
development!was!studied!in!depth!and!the!prevalence!of!social!development!indicators!in!
SIA!were!measured!(Delport!&!Fouché,!2011:441).!Using!a!mixed!methods!designs!allows!
for! easier! collaboration! between! academics! and! practitioners! (Giacobbi,! Pocswardowski!
&!Hager,!2005:28),!which!is!seen!as!an!important!potential!outcome!of!this!study,!as!most!
SIA!practitioners!in!South!Africa!are!not!academics.!!
The! study! aims! to! solve! a! practical! problem,! and! therfore! it! is! classified! as! applied!
research.!The!study!was!conducted!in!two!phases:!a!qualitative!component!explored!the!
perceptions! of! the! SIA! community! about! the! practice! of! SIA,! and! a! quantitative!
component!was!used!to!analyse!a!sample!of!SIA!reports!that!are!available!in!the!public!
domain!to!determine!whether!social!development!aspects!are!reflected!in!these!reports.!
The!first!phase!of!the!mixed!method!design,!the!qualitative!study,!used!an!instrumental!
case!study!as!design!(Delport,!Fouché!&!Schurink,!2011:320).!Interviews!and!World!Cafés!
were! used! as! data! collection! methods.! The! second! phase! of! the! mixed! method! design,!
the! quantitative! study,! used! a! structured! nonDparticipant! observation! design! (Babbie,!
2010:300!Bryman!&!Bell,!2003:178;!Kelly,!2011:309).!Fifteen!SIA!reports!were!analysed!by!
means!of!univariate!analysis!and!a!Guttman!scale.!A!detailed!discussion!on!the!research!
methodology!and!ethical!considerations!are!presented!in!Chapter!5.!
!
!
'
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1.5 Structuring'of'the'thesis'
The!thesis!has!been!divided!into!the!following!chapters:!!
Chapter' 1! presents! a! general! introduction! and! overview,! introducing! the! study! and!
outlining! the! problem! statement.! The! goal,! objectives! and! research! questions! are!
indicated,!the!research!methodology!is!briefly!mentioned!and!the!relevant!key!concepts!
to!the!study!are!defined.!!
Chapter' 2!introduces!the!theoretical!framework!of!the!study!that!is!embedded!in!social!
development,! which! underpins! the! context! of! poverty,! inequality,! human! rights,!
developmental!social!work!and!the!social!protection!floor.!Within!the!focus!of!this!study,!
the! theoretical! framework! outlines! the! link! between! social! work! and! the! environment.!
The!social!development!theoretical!framework!acted!as!a!lens!to!examine!social!impact!
assessment!practice.!
Chapter'3'presents!an!overview!of!social!impact!assessment!in!the!South!African!context.!
It!gives!an!introduction!to!the!South!African!context!based!on!geography,!demographics,!
migration!and!xenophobia.!It!provides!an!overview!of!the!importance!of!race!and!culture.!
The!chapter!includes!a!brief!orientation!into!the!government!and!administration!system!
where!SIA!is!positioned.!It!concludes!with!a!discussion!on!current!international!SIA!best!
practice!and!its!relevance!to!the!local!situation.!!
Chapter' 4' consists! of! a! literature! review! that! describes! the! legal! and! institutional!
framework!promoting!social!sustainability!and!social!development.!It!commences!with!a!
discussion! on! the! Constitution! of! the! Republic! of! South! Africa! 1996,! followed! by! an!
overview! of! South! African! environmental! and! social! legislation.! Additional! governance!
tools! related! to! sustainable! development! are! discussed.! The! chapter! concludes! with! a!
brief!synopsis!of!national!and!international!standards!relevant!to!the!social!environment.!
The! legal! review! was! limited! to! the! South! African! context,! but! the! institutional!
instruments!include!international!requirements.!!
Chapter' 5! explains! the! research! methodology! utilised! for! the! study.! It! includes! the!
approach,!type!of!research,!research!design,!research!methods!and!ethical!aspects.!
Chapter'6!includes!the!presentation!and!analysis!of!the!empirical!findings.!!
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!
Chapter'7!consists!of!a!discussion!of!the!empirical!findings.!!
Chapter'8!concludes!the!study.!It!discusses!the!achievement!of!the!goal!and!objectives!of!
the!study!in!relation!to!the!key!findings!of!the!study;!presents!the!conclusions!drawn!from!
the!study!and!make!recommendations!based!on!the!study.!
!
P a g e !|!13!
Chapter'2. Theoretical'framework'for'the'study'
2.1 'Introduction'
The! theoretical! framework! of! the! study! is! embedded! in! social! development! which!
underpins!the!context!of!poverty,!human!rights,!developmental!social!work!and!a!social!
protection! floor.! Within! the! focus! of! this! study,! the! theoretical! framework! outlines! the!
link! between! social! work! and! the! environment.! The! presentation! of! the! theoretical!
framework! is! divided! into! three! sections:! The! first! commences! with! a! discourse! on!
developmental! social! work.! Social! development! as! an! outcome! of! developmental! social!
work!is!discussed!next,!followed!by!a!dialogue!on!the!social!protection!floor!as!means!of!
social!security.!The!section!ends!with!a!brief!discussion!on!the!relationship!between!social!
work! and! the! environment,! given! the! current! ecological! crises! faced! by! humans.! The!
second! section! embarks! on! a! conversation! around! the! theory! of! poverty.! It! discusses!
poverty! and! inequality! with! examples! from! the! South! African! context,! distinguishing!
between! income! inequality! and! inequality! of! opportunity.! The! third! section! discusses!
human! rights,! with! specific! reference! to! first,! second! and! third! generation! rights.! It!
includes!a!discussion!on!social,!environmental!and!restorative!justice.!!
2.2 Schematic'representation'of'theoretical'framework'
The! social! development! theoretical! framework! for! this! study! borrowed! from! theory!
underpinning!poverty,!human!rights,!the!social!protection!floor!and!developmental!social!
work,!as!will!be!discussed!in!Sections!2.3!to!2.5.!The!following!diagram!presents!the!key!
aspects!of!the!social!developmental!theoretical!framework!which!guided!the!study:!!
!
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!
!
!
Figure'2.1'Theoretical'framework'for'the'study'
!
!
!
P a g e !|!15!
Figure! 2.1! reflects! the! direct! relationship! between! social! development,! human! rights,!
poverty!and!developmental!social!work.!Social!development!is!a!strategic!process!and!an!
outcome!(Estes,!1998:2;!Lombard,!2008:159).!Furthermore,!social!development!is!central!
to!ensure!the!protection!of!human!rights,!and!it!is!used!as!a!strategy!by!developmental!
social! work! to! reduce! poverty.! In! this! way,! the! outcome! of! developmental! social! work!
also! protects! human! rights.! Developmental! social! work! employs! green! social! work! and!
the!social!protection!floor!to!assist!with!the!process!and!outcome!of!social!development.!
Social!development!cannot!be!separated!from!developmental!social!work,!human!rights!
or!alleviating!and!reducing!poverty,!as!it!is!fundamental!to!these!concepts,!and!in!turn,!
these! concepts! are! mutually! reinforcing.! Within! the! context! of! this! study,! both! social!
work! and! SIA! are! entrenched! in! human! rights! and! deal! with! social! change! and! social!
impacts.!Social!development!is!central!to!ensure!equitable!and!sustainable!development!
outcomes!and!hence!was!an!appropriate!theoretical!framework!for!the!study.!In!the!next!
sections!the!theoretical!concepts!used!in!this!framework!will!be!discussed!in!depth.!!
2.3 Developmental'social'work'
Social! work! practice! has! always! focussed! on! meeting! human! needs! and! developing!
human!potential!and!resources!(UN,!1994:4).!Development!comes!at!social!costs!such!as!
environmental! damage;! poverty,! marginalisation! and! exploitation! of! vulnerable! groups,!
and! the! issues! associated! with! a! migrant! labour! force! (George,! 1999:17).! Social! work!
cannot! be! separated! from! the! wider! dynamics! of! development! (Patel! &! Hochfeld,!
2013:691).! The! relationship! between! social! work! and! the! environment! and! where! it!
intersects! is! clear! in! the! definition! of! social! work! (International! Federation! of! Social!
Workers,!2014):!!!
Social! work! is! a! practiceDbased! profession! and! an! academic! discipline! that!
promotes! social! change! and! development,! social! cohesion,! and! the!
empowerment! and! liberation! of! people.! Principles! of! social! justice,! human!
rights,!collective!responsibility!and!respect!for!diversities!are!central!to!social!
work.!!Underpinned!by!theories!of!social!work,!social!sciences,!humanities!and!
indigenous!knowledge,!social!work!engages!people!and!structures!to!address!
life!challenges!and!enhance!wellbeing.!
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!
The!White!Paper!for!Social!Welfare!(RSA,!1997)!has!been!adopted!as!the!official!policy!to!
restructure! South! Africa’s! welfare! system! towards! a! social! development! perspective!
(Patel,! 2003:1).! The! policy! includes! a! focus! on! social! rights! and! equity,! partnerships!
between! the! public! sector! and! civil! society! and! an! integration! of! welfare! services! with!
economic! development! (Patel,! 2003:1).! It! is! therefore! proDpoor! and! rightsDorientated!
(Patel! &! Hochfeld,! 2013:691)! and! encourages! development! through! participation! and!
partnerships!(Gray,!2006:S56).!The!White!Paper!for!Social!Welfare!committed!the!social!
work! profession! to! a! developmental! approach! to! social! welfare,! and! technically! also! to!
social!development!(Lombard,!2011:237).!Patel!(2005:206)!defines!developmental!social!
work! as! “the! practical! and! appropriate! application! of! knowledge,! skills! and! values! to!
enhance!the!wellbeing!of!individuals,!families,!groups,!organisations!and!communities!in!
their!social!context.”!Developmental!social!work!promotes!social!change!through!a!binary!
approach!to!the!person!and!the!environment!and!the!interface!between!the!two!(Patel,!
2005:207).! A! developmental! approach! to! social! work! focuses! on! the! commitment! of!
social! work! to! eradicate! poverty! and! social! injustice! (Lombard,! 2011:237).! It! is!
unambiguously! redistributive! and! inclusive! (Patel! &! Hochfeld,! 2013:691).! Social! justice,!
equality,! nonDdiscrimination! and! reconciliation! are! embedded! in! the! values! of!
developmental! social! work! (Patel,! 2008:74).! Developmental! social! work! aims! to! (Patel,!
2005:207;!Patel,!Hochfeld,!Graham!&!Selipsky,!2008:5):!
•
Enhance!problem!solving!in!human!relations.!
•
Balance!needs!with!resources!and!promotes!optimal!use!of!opportunities.!
•
Promote,!protect!and!meet!the!needs!of!most!vulnerable!section!of!society.!
•
Facilitate!participation!of!client!groups!in!managing!and!solving!social!problems.!
•
Promote!social!and!economic!inclusion.!
•
Work!collaboratively!with!all!roleDplayers.!
•
Deliver!integrated!services!informed!by!a!generalist!approach.!
•
Deliver!services!from!a!rightsDbased!perspective.!!
Developmental!social!work!resonates!with!the!capabilities!approach!to!poverty!(Lombard,!
!
P a g e !|!17!
2011:237)! as! discussed! in! Section! 2.2.1! above,! and! uses! several! forms! of! intervention,!
promoting! active! citizenship,! participation! in! development! and! collective! and! individual!
empowerment! (Lombard! &! Twikirize,! 2014:318;! Patel! &! Hochfeld,! 2013:692).!
Developmental!social!work!does!not!only!provide!traditional!protection!and!therapeutic!
services,! but! also! encourage! social! workers! to! investigate! ways! to! support! and! grow!
enterprises! that! communities! embark! on! through! activities! such! as! community!
development,! small! enterprises,! local! economic! development! and! income! generation!
projects! to! grow! the! capabilities! of! the! poor! in! order! to! secure! livelihoods! (Patel! &!
Hochfeld,! 2013:693).! Social! development! is! a! goal! of! developmental! social! work! and! an!
approach! to! service! delivery! (Estes,! 1998:2;! Lombard,! 2008:159).! The! following! section!
will! explore! the! concept! of! social! development! in! the! South! African! context! from! the!
perspective!of!developmental!social!work.!!!
2.3.1 Social'development'
As! stated! in! Section! 2.3! above,! the! White! Paper! for! Social! Welfare! (RSA,! 1997)! aims! to!
restructure!South!Africa’s!welfare!system!and!through!the!White!Paper,!South!Africa!has!
officially!adopted!a!developmental!approach!to!social!welfare!(Patel,!2003:1).!The!White!
Paper! identifies! poverty! as! the! main! focus! of! social! welfare! and! views! development!
through!participation!and!partnerships!as!a!fundamental!way!to!alleviate!poverty!(Gray,!
2006:!S56).!!
Social! development! is! an! approach! to! promoting! human! wellbeing! by! trying! to!
synchronise!social!policies!with!procedures!to!advance!economic!development!(Midgley,!
1995:1).! Social! development! aims! to! ensure! that! economic! development! results! in! real!
positive!improvements!in!the!quality!of!life!of!the!poor!through!establishing!empowering!
social! programmes! and! administrative! arrangements! (Gray,! 2006:S56).! It! reDemerged! in!
the! latter! part! of! the! twentieth! century! as! a! response! to! unequal! and! distorted!
development! (Patel,! 2005:1).! According! to! Patel! (2008:73)! social! development! in! the!
South! African! context! is! understood! in! four! ways.! Firstly,! it! is! a! proDpoor! strategy!
promoting!participation!for!those!who!are!socially!excluded!in!development!activities!to!
ensure!social!and!economic!justice,!human!rights,!social!solidarity!and!active!citizenship.!
Secondly,!it!foresees!a!collaborative!partnership!approach!between!the!government,!civil!
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!
society! and! the! private! sector,! with! the! government! playing! an! active! leadership! role.!
Thirdly,!the!White!Paper!for!Social!Welfare!(RSA,!1997)!proposes!high!impact!intervention!
strategies,! a! communityDbased! and! development! approach! to! service! delivery! and! a!
better! balance! between! remedial,! protective! and! developmental! strategies.! Last,! the!
policy!calls!for!a!better!balance!between!generic!and!structured!services!(Patel,!2008:73).!!
Midgley! (1995:25)! defines! social! development! as! “a! process! of! planned! social! change!
designed! to! promote! the! wellbeing! of! the! population! as! a! whole! in! conjunction! with! a!
dynamic!process!of!economic!development.”!Midgley’s!definition!of!social!development!
seems!to!be!commonly!accepted!in!the!field!of!social!work,!as!it!is!the!definition!used!by!
most!authors!on!the!topic!(compare!Gray!&!Crofts,!2008;!Hawkins!&!Roa,!2008;!Lombard,!
1996;! Lombard! &! Twikirize,! 2014;! Potgieter,! 1998).! The! social! development! approach!
discourages! dependency;! promotes! the! active! involvement! of! people! in! their! own!
development;! employs! a! multiDfaceted! and! multiDsector! approach;! and! encourages!
partnership! between! the! state,! provincial! government! and! all! other! stakeholders! in!
welfare!(Gray,!1996:9;!Patel,!Schmid!&!Hochfeld,!2012:215).!Social!development!refers!to!
both!a!strategic!process!and!an!ultimate!product!and!it!is!focussed!between!interaction!
and! change! among! sectors! (McBride,! Benitez! &! Danso,! 2003:1).! It! is! therefore! not! only!
about! the! benefits! to! individuals,! but! also! about! change! in! society! and! the! creation! of!
institutions! that! reduce! fragmentation! in! society.! Social! development! encompasses! five!
interrelated!areas!namely,!increasing!the!capacity!and!productivity!of!people;!enhancing!
family! stability;! promoting! strong! communities;! increasing! effective! and! responsive!
human!service!organisations,!and!designing!and!testing!new!approaches!to!public!policy!
(Hawkins! &! Roa,! 2008:33).! Sherraden! (2009:6)! states! that! social! development! looks!
beyond!problems!and!deficiencies;!beyond!justice!and!even!beyond!rights!and!focuses!on!
increasing!capabilities!of!people,!and!referring!to!Sen’s!capability!framework!as!“people$
should$be$able$to$reach$their$potential$to$be$and$to$do”.!The!World!Bank!(2004:1)!claims!
that! social! development! in! the! broadest! sense! is! about! putting! people! in! the! centre! of!
development!efforts!and!that!it!is!essential!in!sustainable!and!effective!poverty!reduction!
strategies.! The! World! Bank! (2004:1)! elaborates! that! social! development! is! contextD
specific! and! therefore! the! international! community! has! not! adopted! a! single! universal!
definition!or!conceptual!framework.!!
!
P a g e !|!19!
Economic! development! alone! is! not! enough! to! help! people! escape! poverty,! and!
significant!investment!in!human!development!such!as!poverty!reduction,!local!economic!
development,!employment!creation,!urban!and!rural!development,!providing!healthcare,!
housing,! education,! social! protection! and! developmental! welfare! services! must! be!
employed!together!to!ensure!the!poor!are!advantaged!to!the!full!(Patel!et!al.,!2012:215).!
There! are! three! concrete! components! of! social! development! that! are! required! for!
economic! development:! human! capital,! social! capital! and! economic! capital! (Hawkins! &!
Roa,!2008:34).!These!authors!describe!human!capital!as!programmes!that!involve!health!
care,!education,!nutrition,!day!care!and!family!planning!(Hawkins!&!Roa,!2008:34).!They!
describe!social!capital!as!strategies!related!to!economic!activities!through!the!creation!of!
physical!infrastructure,!cooperative!social!networks,!asset!accumulation!and!community!
organising!activities!(Hawkins!&!Roa,!2008:34).!Economic!capital!can!be!achieved!through!
vocational! programmes,! job! placement,! microDenterprises,! smallDscale! individual! or!
familyDowned! business! ventures! and! neighbourhood! based! cooperative! enterprises!
(Hawkins!&!Roa,!2008:34;!Gray,!2010:466).!!
According! to! Midgley! (2014:13D17)! the! key! aspects! associated! with! social! development!
are!that:!!
•
It! is! a! dynamic! process! that! focusses! on! permanent! changing! of! circumstances.!
This! is! in! contrast! with! static! processes! where! there! is! an! immediate! transfer! of!
resources,!but!no!longDterm!commitment!to!change!the!conditions.!!
•
It! is! progressive! in! nature.! Social! development! involves! steady! improvements! in!
social!conditions.!Change!may!be!incremental,!but!in!the!end!it!is!transformative.!!
•
It! forms! part! of! a! multifaceted! process! consisting! the! integration! of! social,!
political,! economic,! cultural,! environmental,! gender! and! other! dimensions.! This!
means! that! organisational! and! institutional! arrangements! should! be! harmonised!
with! economic! activities,! ! economic! policies! and! programmes! should! be!
sustainable! and! specifically! directed! towards! improving! social! wellbeing,! and!
social! policies! and! programmes! should! contribute! to! economic! development.! In!
order! to! achieve! all! this,! people! need! to! participate! fully! in! the! development!
process.!!
P a g e !|!20!
!
•
It! is! an! interventionist! process! and! requires! input! in! different! forms! to! achieve!
social! development! goals.! Social! improvements! are! not! an! inevitable! result! of!
economic! growth,! therefore! deliberate! efforts! are! needed! to! improve! the!
wellbeing! of! people.! Social! development! interventions! can! be! implemented! on!
different!levels!including!household,!community!and!regional!level.!Interventions!
can!include!projects,!programmes,!plans!and!policies.!
•
It! is! productivist! and! practice! interventions! contribute! positively! to! economic!
development.!!Social!development!interventions!are!based!on!social!investments!
and!generate!rates!of!return!to!individuals,!households,!communities!and!society!
in!general.!
•
It!is!universalistic!and!concerned!with!the!population!as!a!whole!rather!than!just!
with! vulnerable! and! poor! people.! However,! the! focus! may! be! on! groups! that!
historically! have! not! benefitted! from! economic! growth! such! as! women,!
indigenous! groups,! people! living! with! disabilities,! landless! labourers! and! ethnic!
minorities.! Social! development! seeks! to! promote! people’s! involvement! in! their!
development! and! is! directed! at! individuals! and! households! within! a! community!
setting.! Stakeholder! involvement,! social! rights! and! social! inclusion! are! key!
principles!of!social!development.!!
•
It! is! committed! to! promoting! people’s! social! wellbeing.! Social! wellbeing! means!
that!people’s!social!needs!are!met,!problems!are!managed!and!opportunities!are!
maximised! for! families,! communities! and! societies.! Social! wellbeing! can! be!
achieved! best! through! a! multidimensional! development! process! that! uses! social!
investments!and!use!the!power!of!economic!growth!for!social!ends.!!!
Patel! (2005:227)! identified! five! modes! of! intervention! for! developmental! welfare! and!
social!work!appropriate!to!the!South!African!context.!These!modes!are!povertyDreduction!
and! sustainable! livelihood! strategies;! familyDcentred! and! communityDbased! strategies;!
community! information,! education! and! communication! strategies;! social! policy! and!
planning!strategies!and!advocacy.!Patel’s!(2005:227)!modes!of!intervention!links!well!with!
Weyers’!(2011:89)!description!of!the!four!levels!on!which!practitioners!focus!namely!the!
intraDpersonal! and! personal! level;! the! organisational! level;! the! interD! or! crossD
!
P a g e !|!21!
organisational/agency! level;! and! the! community/society! level.! PovertyDreduction! and!
sustainable!livelihood!strategies!are!conducted!on!a!personal!level;!familyDcentered!and!
communityDbased! strategies! are! conducted! on! community/society! level;! education! and!
communication! on! the! organisational! level;! and! social! policy,! planning! strategies! and!
advocacy!are!conducted!on!an!interD!or!crossDorganisational/agency!level.!!
Gray! (2010:466)! identified! eight! possible! approaches! to! social! development.! It! must! be!
considered! that! these! approaches! reflects! different! opinions! about! the! social!
development! intervention! which! will! be! most! likely! to! achieve! the! goal! of! promoting!
social! wellbeing! (Midgley,! 2014:53).! Some! of! the! approaches! mentioned! by! Gray! are!
supported! by! Midgley! (2014:53).! The! first! approach! Gray! (2010:466)! mentions! is! the!
social! investment! approach,! an! approach! that! provides! people! with! tangible! social!
investments! that! develop! their! potential! and! assist! their! participation! in! the! productive!
economy! by! generating! goods! and! services! as! moneyDmaking! commodities.! The! second!
approach! is! assetsDbased! development,! an! approach! that! conceptualises! assets! as!
infrastructural!or!financial!resources!and!consists!of!programmes!to!encourage!the!poor!
to! generate! an! income! and! save.! The! third! approach! is! the! communityDdevelopment!
approach! in! which! the! responsibility! for! their! wellbeing! is! shifted! to! the! community.! It!
also!advocates!for!policies!and!processes!that!promote!and!build!upon!an!asset!base!in!
the!community.!The!local!community!therefore!become!the!centre!for!social,!political!and!
economic! engagement! (Gray,! 2010:466).! Midgley! (2014:56)! calls! this! approach! the!
community!participatory!perspective.!The!fourth!approach!is!closely!related!to!the!third!
and!is!referred!to!by!Gray!(2010:467)!as!the!“antiDprofessional!stance”.!In!this!approach!
the! practitioner! is! not! the! expert,! but! the! community! determines! the! process! and!
participates! actively.! The! fifth! approach! is! the! strengths! and! empowerment! perspective!
that! focuses! on! the! strengths! and! assets! in! the! community! instead! of! only! on! the!
problems!and!shortcomings.!This!approach!resonates!with!Midgley’s!(2014:54)!livelihood!
perspective.! The! sixth! approach! is! called! the! social! enterprise! model,! an! approach! that!
seeks! an! alternative! to! the! social! welfare! model.! Midgley! (2014:57)! refers! to! this!
approach! as! the! enterprise! perspective.! This! approach! focuses! on! selfDhelp,! promoting!
entrepreneurship! and! encouraging! the! accumulation! of! assets! without! the! help! from!
governments.!A!social!enterprise!is!a!business!with!a!social!cause!that!does!not!rely!on!
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!
government! funding! (Gray,! 2010:466).! The! seventh! approach! identified! by! Gray!
(2010:467)! is! the! centralised! economic! planning! model! that! represents! integrated!
planning!within!government!that!entails!highly!efficient!institutional!structures!as!well!as!
horizontal!and!vertical!integration!between!different!processes!and!stakeholders.!This!is!
also! called! the! statist! perspective! (Midgley,! 2014:60).! The! last! approach! is! called! the!
development!model,!an!approach!that!aims!to!address!questions!of!sustainability,!justice,!
selfDdetermination,! freedom! and! quality! of! life! in! the! face! of! oppression,! injustice! and!
poverty;! it! uses! broad! economic! policies! and! frameworks! to! link! national! systems! to!
global!or!international!systems!(Gray,!2010:468).!!Midgley!(2014:59)!refers!to!this!aspect!
as!the!environmental!or!sustainable!development!perspective.!!
Themes! of! community! involvement,! social! justice,! equity,! selfDactualisation! and! selfD
determination! feature! strongly! in! the! social! development! literature.! It! also! links! social!
development!to!the!economy.!It!is!not!easy!to!escape!the!poverty!trap,!and!people!need!
certain! resources! to! enable! them! to! use! their! capabilities! to! the! fullest! potential.! Some!
people!need!assistance!to!enable!them!to!use!their!capabilities.!South!Africa!has!a!social!
security! system! and! social! assistance! programme! that! aim! to! ensure! a! basic! minimum!
standard!of!living!(Patel,!2005:122),!and!in!this!way!form!a!safety!net!or!social!protection!
floor.!A!social!protection!floor!is!a!mechanism!that!can!assist!people!with!resources!that!
will!put!them!in!a!position!to!enhance!their!capabilities.!In!the!next!section!the!concept!of!
a!social!protection!floor,!its!ability!to!assist!people!in!moving!out!of!a!downwards!spiral!of!
poverty!and!its!application!in!the!South!African!context!will!be!explored.!!
2.3.2 Social'security'and'the'social'protection'floor'
Peter!Townsend!said!that!“no!country!has!to!wait!until!economic!growth!“trickles!down”!
to!the!poor!and!disenfranchised!to!lift!them!out!of!misery!…social!security!is!an!economic!
and! social! prerequisite! for! development”! (Townsend,! 2009:! xxi).! Social! protection! and!
social!security!were!not!always!seen!as!an!integral!part!of!social!development,!but!that!
has!changed!in!recent!years!with!social!development!practitioners!showing!an!increased!
interest! in! the! topic.! Social! security! and! social! protection! were! seen! as! the! domain! of!
social! policy! practitioners,! and! have! not! been! associated! with! developmental! activities!
(Midgley,!2013:6).!!
!
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Social!security!is!defined!as!all!legal!requirements!that!control!transfers!of!income,!cash!
or! in! kind,! to! households! (ILO,! 1989:29).! According! to! the! International! Labour!
Organisation!(ILO)!social!security!can!be!defined!as:!
The! protection! which! society! provides! for! its! members! through! a! series! of!
public! measures,! against! the! economic! and! social! distress! that! otherwise!
would! be! caused! by! the! stoppage! or! substantial! reduction! of! earnings!
resulting! from! sickness,! maternity,! employment! injury,! unemployment,!
invalidity,!old!age!and!death;!the!provision!of!medical!care;!and!the!provision!
of!subsidies!for!families!with!children.!(ILO,!1989:29)!
The! government! and! the! private! sector! make! provision! for! social! security! to! protect!
individuals! who! cannot! take! care! of! themselves! due! to! circumstances! outside! their!
control! (Patel,! 2005:123).! Social! security! schemes! protect! people! socially,! and! the!
objective!of!social!protection!is!social!security!(Cichon,!2013:21;!Patel,!2005:123).!Midgley!
(2013:11)! declares,! “…social! security! is! mainly! concerned! with! statutory! social! security!
schemes!in!Western!“welfare!states”,!while!the!social!development!perspective!has!given!
more!priority!to!household!and!community!based!interventions!in!the!developing!world.”!
The!Institute!for!Development!Studies!(IDS)!(2013:1)!declares!that!social!protection!is!the!
combination! of! formal! and! informal! plans! that! provide! income! or! inDkind! allocations!
combined! with! other! forms! of! support! to! poor! and! vulnerable! households! to! act! as! a!
safety! net! for! extremely! poor! people,! protect! them! against! risks! and! livelihood! shocks,!
help!them!out!of!poverty!and!support!social!justice!for!more!equitable!justice!for!all.!!
Poverty!has!a!distinct!political!dimension!and!structural!inequality!and!injustice!should!be!
addressed!while!providing!the!available!resources!(Lundy!&!van!Wormer,!2007:735).!One!
way!to!address!structural!inequality!is!by!means!of!a!social!protection!floor.!The!concept!
of! a! Social! Protection! Floor! (SPF)! was! introduced! in! the! 2004! report! of! the! World!
Commission! on! the! Social! Dimension! of! Globalisation,! A$ Fair$ Globalisation:$ Creating$
opportunities$ for$ all.$ The! report! stated! that! “…a! certain! minimum! level! of! social!
protection! needs! to! be! accepted! and! undisputed! as! part! of! the! socioDeconomic! floor! of!
the! global! economy”! (World! Commission! on! the! Social! Dimension! of! Globalisation!
[WCSDG],! 2004:110).! The! United! Nations! Chief! Executives! Board! accepted! the! idea! of! a!
P a g e !|!24!
!
social!protection!floor!as!one!of!nine!core!crisis!response!policies!in!2009!to!cope!with!the!
economic! crisis! (Van! Ginneken,! 2013:71).! The! latest! international! development! on! the!
Social! Protection! Floor! was! in! 2012! when! the! International! Labour! Organisation! (ILO)!
published! Recommendation! No.! 202! concerning! National! Floors! of! Social! Protection!
(Cichon,!2013:31).!Recommendation!No.!202!aspires!to!support!members!to!build!social!
security!systems!based!on!a!two!dimensional!approach.!The!horizontal!approach!aims!to!
establish! floors! of! basic! social! security! to! provide! protection! to! all! in! need! as! soon! as!
possible.!The!vertical!approach!extends!the!scope!and!levels!of!social!security!to!as!many!
people! as! possible! as! soon! as! possible! (Van! Ginneken,! 2013:71).! According! to!
Recommendation!No.!202!social!protection!floors!should!at!least!include!four!basic!social!
security! assurances,! namely:! access! to! essential! health! care,! including! maternity! care;!
income!security!for!children;!income!security!for!people!of!working!age!who!cannot!earn!
adequate! income;! and! income! security! for! older! people.! In! addition,! law! must! protect!
these!assurances!and!people!should!have!access!to!complaint!procedures!(Van!Ginneken,!
2013:72).!
The!SPF!presumes!that!everyone!should!enjoy!basic!income!security!that!is!adequate!to!
live!on,!assured!by!cash!or!in!kind!transfers!such!as!old!age!or!disability!pensions,!child!
benefits,! income! support! benefits! and! employment! guarantees! and! services! for! the!
working!poor!and!unemployed.!This!should!ensure!that!everyone!has!access!to!essential!
goods! and! services! such! as! healthcare,! basic! education,! sufficient! nutrition,! housing,!
water!and!sanitation.!The!SPF!should!protect!and!empower!individuals!throughout!their!
lifetime!and!have!strong!links!to!employment!policies!in!order!to!allow!people!to!access!
decent!employment!and!exit!from!poverty!(ILO,!2011:4).!!
The! SPF! aims! to! structurally! improve! income! distribution! and! life! conditions! through!
decent! work! and! comprehensive! social! protection! policies,! along! with! democracy! and!
freedom.! Inequality! and! insecurity! is! a! threat! and! leads! to! social! instability.! Social!
protection!and!income!distribution!shield!people!against!crises!and!contributes!to!social!
justice!and!peace!(ILO,!2011:2).!It!can!be!seen!as!a!building!block!for!a!peaceful!society!
and!successful!economic!and!social!development.!Social!protection!programmes!and!the!
SPF! can! help! nations! to! fulfil! their! human! right! obligations! (Van! Ginneken,! 2011:112).!
!
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Social!assistance!reduces!income!poverty!and!inequality,!promotes!social!and!economic!
development!and!enhances!human!capabilities!(Patel,!2008:75).!
Social! protection! has! also! been! embraced! by! Africa.! Article! 10! of! the! Charter! of!
Fundamental!Social!Rights!in!the!South!African!Development!Community![SADC]!(2003:8)!
deals!with!social!protection!where!it!states!that!every!worker!in!the!region!has!the!right!
to! social! protection.! This! charter! is! a! legally! binding! instrument! that! must! be!
implemented!by!all!SADC!members!(Nyenti!&!Mpedi,!2012:!249).!The!Africa!Civil!Society!
Platform!for!Social!Protection!(Africa!Civil!Society!Platform!for!Social!Protection![ACSPSP],!
2008:1)! states! that! social! protection! should! aim! to! provide! a! minimum! package! that!
provides! a! basic! floor! of! social! protection! where! under! noDone! falls! and! that! promotes!
sustainable!livelihoods.!!
The! South! African! government! sees! social! security! as! its! priority! antiDpoverty! strategy!
(Lombard,! 2008:161).! South! Africa! implemented! a! threeDpillar! social! protection!
framework!after!1994.!The!South!African!Government!views!a!social!protection!floor!as!
essential! to! securing! basic! human! rights! like! access! to! health! care! and! basic! education,!
decent! living! conditions! in! old! age,! protection! against! injuries! at! work! and! illness,! and!
provisions! in! case! of! unemployment! and! other! risks! (Global! Extension! of! Social! Security!
[GESS],! 2006).! The! first! pillar! is! based! on! targeted! cash! transfers,! subsidies! and! basic!
services.!The!second!pillar!is!based!on!mandatory!social!insurance!schemes!and!the!last!
pillar!on!voluntary!savings!(Madonsela,!2010).!The!social!protection!floor!is!the!first!pillar!
of!the!framework.!The!following!social!security!programmes!are!currently!implemented!in!
South!Africa!(GESS,!2006;!Patel,!2005:134):!
•
Old!age!grant,!payable!to!people!of!60!years!and!older.!
•
War!veteran!grant,!payable!to!veterans!from!World!War!II!and!the!Korean!War.!
•
Disability!grant,!subject!to!a!medical!assessment!report!confirming!disability.!
•
Care! dependency! grant,! payable! to! parents! or! caregivers! of! children! with!
disabilities!between!one!and!eighteen!years!old.!
•
Foster!child!grant,!payable!to!a!person!accorded!foster!parent!status!by!a!court!of!
law.!
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!
•
Child!support!grant,!payable!to!poor!households!with!children.!!
•
Grant!in!Aid,!payable!to!any!person!receiving!an!Old!Age!Grant.!
•
Social! Relief! of! Distress,! payable! for! a! maximum! of! three! months! to! any! person!
that!is!not!benefitting!from!another!social!grant!and!who!is!living!in!dire!economic!
circumstances.!
South!Africa!uses!a!number!of!mechanisms!other!than!cash!transfers!as!part!of!its!poverty!
reduction!strategy.!An!example!of!a!government!initiative!that!contributes!to!the!social!
protection! floor! is! the! Expanded! Public! Works! Programme! (EPWP),! a! key! government!
initiative! that! was! launched! in! 2004.! The! aim! of! the! programme! is! to! create! work!
opportunities! for! the! unemployed.! It! is! implemented! across! government! sectors! and!
stateDowned! enterprises! (Department! of! Public! Works,! 2004).! Other! redistributive!
mechanisms!used!for!poverty!reduction!in!South!Africa!include!a!public!education!system,!
access!to!health!and!welfare!services,!a!progressive!tax!system,!subsidised!housing,!public!
works! employment,! small! enterprise! development! and! supply! of! basic! services! such! as!
water,!sanitation!and!electricity!(Patel,!2008:75).!!
According! to! Patel! and! Hochfeld! (2013:692)! South! Africa’s! investment! in! cash! transfers!
has! a! positive! social! and! economic! impact! in! reducing! chronic! poverty! and! food!
insecurity,! particular! on! household! level.! Other! publicly! funded! services! and! social!
programmes! such! as! EPWP! (employment),! primary! health! care,! primary! education,!
housing! and! basic! services! complement! the! cash! transfers! and! contribute! to!
redistribution!(Patel!&!Hochfeld,!2013:692).!However,!it!must!be!acknowledged!that!the!
public!provision!of!basic!and!social!services!is!hampered!by!administrative!incompetence,!
poor!quality!of!services!due!to!institutional!and!capacity!problems,!including!corruption,!
and! this! caused! service! delivery! protests! (Patel! &! Hochfeld,! 2013:693),! as! discussed! in!
Section!2.2.2.2!above.!
There! are! some! other! challenges! associated! with! the! SPF! and! social! security.! Patel!
(2008:76)! states! that! spending! on! extension! of! social! security! measures! leads! to! the!
underDfunding!of!welfare!services.!This!means!that!although!protection!measures!are!put!
in!place,!the!expertise!to!guide!people!on!the!development!route!is!not!being!developed!
!
P a g e !|!27!
to!its!full!potential.!Gentilini!and!Omamo!(2011:333)!also!warn!that!too!much!emphasis!
on! the! demand! or! access! dimension! may! lead! to! an! underDsupply! in! the! supply! side! of!
interventions,!like!social!work!or!education!services.!The!South!African!Institute!of!Race!
Relations! (SAIRR)! warns! that! South! Africa! should! look! at! alternatives! for! its! social! grant!
system,!as!it!is!not!sustainable!(Goko,!2013).!Only!5!million!South!Africans!pay!tax,!and!
the!SAIRR!estimates!that!10%!of!the!taxpayers!account!for!more!than!50%!of!the!total!tax!
revenue!(Goko,!2013).!There!are!more!people!in!South!Africa!on!social!grants!than!people!
who!work!(Goko,!2013).!The!SAIRR!argues!that!South!Africa!is!the!largest!welfare!state!in!
the!developing!world,!and!that!job!creation!is!the!alternative!to!a!welfare!system!(Goko,!
2013).!Hölscher!(2008:122)!states!that!the!South!African!government!does!not!have!the!
political! will! to! address! structural! poverty! and! inequality.! Although! the! government!
expanded!the!social!security!measures,!it!fails!to!address!the!root!causes!of!poverty!and!
inequality! and! the! associated! social! problems! (Hölscher,! 2008:120).! Gray! (2006:S61)!
queries! South! Africa’s! substantial! confidence! in! social! security! as! a! poverty! reduction!
strategy!as!it!diverts!money!away!from!sustainable!development!via!job!creation,!health!
and!education.!Although!the!social!spending!is!high,!it!seems!as!if!the!money!invested!in!
free! schooling! is! not! improving! the! quality! of! the! education,! therefore! it! does! not!
contribute! to! the! skills! base,! which! in! turn! disqualifies! people! from! being! active!
participants! in! the! economy! (Jones,! 2013).! If! the! country’s! tax! base! becomes!
dysfunctional!under!the!strain!of!supporting!the!system,!the!vulnerable!people!relying!on!
grants!will!be!worse!off,!underlining!the!importance!of!focussing!on!job!creation!rather!
than!just!social!spending!(Jones,!2013).!!
However,!international!literature!indicates!that!social!protection!should!be!viewed!as!an!
investment!rather!than!a!cost,!and!that!national!priorities!should!be!reviewed!to!ensure!it!
is!sustainable!and!affordable!(Gentilini!&!Omamo,!2011:332).!In!this!sense!social!security!
is!a!step!towards!social!development!and!an!effort!to!improve!people’s!quality!of!life!and!
to!eradicate!poverty!(Hölscher,!2008:120).!At!the!end!of!the!2012/13!financial!years!16,1!
million! South! Africans! received! social! assistance! through! grants! (Jones,! 2013).! At! least!
one! South! African! study! regarding! concerns! that! social! protection! initiatives! leads! to! a!
dependency! culture! amongst! households! that! receive! social! grants! indicates! that! this! is!
unfounded! (Noble,! Ntshongwana! &! Surender,! 2008:18).! In! their! study! on! attitudes! to!
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!
work! and! social! security! Noble! et! al.! (2008:18)! found! that! both! employed! and!
unemployed! people! place! a! high! value! on! paid! work! and! feel! that! it! promotes! dignity.!
Respondents!felt!that!it!was!the!normal!thing!to!do,!that!it!made!them!feel!part!of!the!
community! and! prevented! social! isolation.! Despite! this,! social! protection! is! still! seen! as!
one!of!the!most!effective!ways!of!addressing!the!multiple!dimensions!of!poverty.!!
Social!protection!has!been!embraced!nationally!and!internationally!in!the!last!decade.!It!is!
seen! as! a! way! in! which! a! number! of! developmental! goals! such! as! the! Millennium!
Development! Goals,! social! justice! and! macroDeconomic! stabilisation! can! be! reached! in!
different! contexts! (Cichon,! 2013:32;! IDS,! 2013:2).! The! post! 2015! development! agenda!
discussing! the! next! step! after! the! Millennium! Development! Goals! is! already! receiving!
international! attention.! At! the! Rio+20! conference! a! mandate! was! given! to! establish! an!
open!working!group!to!identify!a!set!of!sustainable!development!goals!for!the!postD2015!
development!agenda!(United!Nations,!2014a).!The!United!Nations!Open!Working!Group!
of!the!General!Assembly!identified!seventeen!sustainable!development!goals,!built!on!the!
foundation!of!the!MDGs,!which!will!be!considered!at!the!special!summit!on!sustainable!
development! in! September! 2015! (UN,! 2014b:13).! Social! protection! plays! an! important!
part! in! the! post! 2015! development! agenda,! as! it! has! demonstrated! its! effectiveness! in!
confronting! multiple! dimensions! of! poverty.! The! sustainable! development! goals! include!
aspects! such! as! ending! poverty,! addressing! food! security,! promoting! health,! wellbeing!
and!education,!gender!equality,!water!and!sanitation,!economic!growth!and!employment!
creation,! sustainable! infrastructure,! reducing! inequality,! creating! sustainable! cities! and!
human! settlements,! and! addressing! challenges! in! the! physical! environment! such! as!
climate!change!and!environmental!resources!(UN,!2014a).!The!principles!that!are!already!
emerging! for! the! post! 2015! development! agenda! therefore! include! rights,! equity! and!
sustainability,!all!of!which!can!be!aligned!with!the!principles!and!discussions!in!the!social!
protection!field!(IDS,!2013:2;!Van!Ginneken,!2011:114;!Cichon,!2013:39).!!
There! are! concerns! that! expectations! about! social! protection! may! be! too! high! (IDS,!
2013:1).! Social! protection! is! more! effective! when! it! is! delivered! as! a! part! of! a! support!
package!for!poor!and!vulnerable!people.!It!should!not!be!a!standDalone!programme,!but!
rather! form! part! of! an! integrated! system! of! antiDpoverty! interventions! (IDS,! 2013:! 3,!
!
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Gentilini!&!Omamo,!2011:330).!!
AntiDpoverty!inventions!do!not!need!to!come!from!the!government!alone.!There!may!be!
alternative!ways!that!can!be!explored!which!may!assist!in!addressing!structural!poverty,!
address!inequity!and!contribute!to!social!development!in!general.!Social!workers!are!key!
role! players! in! poverty! alleviation! initiatives,! and! being! a! handsDon! profession! they! are!
required! to! adapt! to! an! everDchanging! social! and! biophysical! environment.! The! next!
section!explores!the!relationship!between!social!work!and!the!biophysical!environment.!
2.3.3 Social'work'and'the'bioaphysical'environment'
Given! the! role! that! social! workers! can! potentially! play! in! environmental! justice! (see!
Section! 2.3),! and! in! the! context! of! this! study,! linking! social! development! and! SIA,! it! is!
necessary! to! briefly! investigate! the! relationship! between! social! work! and! the! natural!
environment!(McKinnon,!2008:257).!From!an!environmental!perspective!it!is!undisputed!
that! aspects! such! as! climate! change,! biodiversity,! limited! sources! of! energy! and! clean!
water,! food! security! and! the! availability! of! arable! land! have! a! distinct! social! dimension!
(Peeters,!2012:287;!Shaw,!2013:4;!UN,!2011b:4).!There!is!a!clear!link!between!social!and!
ecological! problems! (Peeters,! 2012:287).! The! social! and! political! dimensions! of!
sustainability! cannot! be! denied! (McKinnon,! 2008:265;! Dominelli,! 2012:26).! The! Global!
Agenda! for! Social! Work! (2012:4)! commits! social! workers! to! promote! sustainable!
communities! and! environmentally! sensitive! development.! Dominelli! (2012:3)! uses! the!
term! “green! social! work”! and! reasons! that! as! a! response! to! the! environmental! crises,!
social!work!should!challenge!and!address!poverty,!structural!inequalities,!socioDeconomic!
differences,! development! processes,! consumption! patterns,! international! linkages! and!
inadequate!natural!resources.!!
Social!work!is!contextDbased!and!concerned!with!the!way!in!which!humans!are!supported!
by! their! environment,! but! traditionally! the! focus! was! only! on! the! social! environment!
(Marlow! &! Van! Rooyen,! 2001:241;! Peeters,! 2012:287).! Green! social! work! respects! and!
values!the!biophysical!environment!as!a!rightful!entity,!although!it!is!socially!constructed,!
and! at! the! same! time! acknowledges! that! humans! use! resources! to! meet! their! needs!
(Dominelli,!2012:25).!Human!wellbeing!is!directly!linked!to!the!environment,!as!humans!
rely!on!the!environment!for!ecosystem!services!such!as!clean!air,!water!and!healthy!soil!
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!
required! for! food! production,! and! therefore! a! healthy! environment! should! be! a! key!
concern!for!social!workers!(McKinnon,!2008:261).!There!is!an!interdependent!relationship!
between! human! beings! and! the! biophysical! environment! (Dominelli,! 2012:25).!
Environmental! degradation! is! linked! to! loss! of! livelihoods! and! displacement! and!
associated!with!negative!health!effects!such!as!infectious!diseases,!malnutrition,!physical!
risks! and! mental! health! (McKinnon,! 2008:263),! all! aspects! associated! with! social! work!
intervention.! Environmental! change! affects! human! development! options,! especially! for!
poor! people! (McKinnon,! 2008:263).! Sustainable! development! relies! on! interactions!
between!the!social,!economic!and!biophysical!environment!(Mauerhofer,!2013:63).!Social!
work!already!engages!with!the!social!and!economic!environment,!but!in!order!to!become!
role! players! in! the! sustainability! field,! they! need! to! engage! more! with! the! biophysical!
environment! (McKinnon,! 2008:264).! Peeters! (2012:292)! argues! that! social! work! and!
sustainable!development!concur!on!aspects!such!as!equality,!human!rights,!participation!
and! wellbeing,! and! therefore! these! concepts! can! reinforce! each! other.! In! addition,!
sustainable! development! and! ecology! are! based! on! the! systems! theory,! which! is! well!
known!to!and!often!used!in!social!work!(Marlow!&!Van!Rooyen,!2001:242).!Social!work!
can!strengthen!participative!practices!in!sustainable!development!(Peeters,!2012:292).!In!
order!to!contribute!to!sustainable!development!social!work!as!a!profession!must!not!only!
prepare!people!for!change,!but!also!participate!in!change!in!order!to!encourage!and!learn!
different! perspectives! (Peeters,! 2012:292).! This! would! require! social! workers! to! acquire!
new! skills! and! knowledge! related! to! the! biophysical! domain! (Dominelli,! 2012:26).! It! is!
clear! that! social! work! as! a! profession! is! aware! of! new! challenges! brought! about! by! the!
ecological! crises! that! the! world! faces,! and! is! engaging! in! strategies! to! address! these!
challenges.!This!practical!orientation!of!social!work!has!allowed!the!profession!to!adapt!
and! change! with! time,! and! engaging! with! environmental! professionals! to! address!
ecological! issues! seems! appropriate! at! this! juncture.! Social! workers! have! traditionally!
been!at!the!forefront!in!the!battle!against!poverty!and!delivering!services!to!vulnerable!
people.!The!next!section!explores!poverty,!vulnerability!and!inequality!in!depth.!!
!
!
'
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2.4 Poverty''
As! previously! indicated,! poverty! and! inequality! remain! among! the! biggest! challenges! in!
South!African!society!(NPC,!2012:3),!whilst!the!eradication!of!poverty!and!inequality!are!
central! to! social! development.! This! section! commences! with! a! discussion! on! poverty.! It!
includes!a!presentation!on!wellbeing!and!the!capabilities!approach,!which!are!related!to!
poverty! alleviation.! It! is! followed! by! a! discourse! on! income! inequality! and! nonDincome!
dimensions! of! inequality! in! the! South! African! context,! in! order! to! get! a! better!
understanding! of! why! social! development! is! a! priority! and! is! used! as! an! instrument! for!
development.!The!section!concludes!with!a!discussion!on!vulnerability.!!
2.4.1 Defining'poverty'
The!oneDdimensional!model!of!looking!at!poverty!only!from!an!economic!perspective!has!
been! challenged! in! the! last! few! decades! (Finn,! Leibbrandt! &! Woolard,! 2013:2).! Poverty!
can! be! experienced! in! different! ways! and! intensities! depending! on! the! context! and! the!
causes.! In! order! to! understand! the! wide! scope! of! poverty! it! is! necessary! to! explore! the!
current! definitions! of! wellbeing,! and! how! this! defines! poverty.! Since! 1990,! the! United!
Nations!Development!Programme!has!published!annual!reports!on!human!development!
with!the!aim!of!putting!people!at!the!centre!of!development!and!going!beyond!income!to!
assess!people’s!longDterm!wellbeing!(Sen,!1999:73).!Wellbeing!can!be!defined!as!a!state!
of! being! with! others! that! arises! where! human! needs! are! met,! where! one! can! act!
meaningfully!to!pursue!one’s!goals!and!where!one!can!enjoy!a!satisfactory!quality!of!life!
(McGregor,! 2008:1;! Ruggeri! Laderchi,! Saith! &! Stewart,! 2003:253).! This! definition!
acknowledges! that! wellbeing! is! a! state! that! humans! experience,! but! also! implies! that!
people’s! needs! must! be! met,! their! valued! freedoms! must! be! achieved! and! they! must!
experience!a!good!quality!of!life!in!order!to!attain!wellbeing.!Needs,!freedoms!and!quality!
of! life! will! differ! according! to! geographical,! societal! and! cultural! context! (Coulthard,!
Johnson! &! McGregor,! 2011:457;! Ruggeri! Laderchi! et! al.,! 2003:253).! However,! wellbeing!
does! not! only! refer! to! basic! human! needs,! but! also! to! social! and! psychological! needs,!
therefore! it! has! an! objective! and! a! subjective! dimension! (Coulthard! et! al.,! 2011:! 457,!
UNDP,!2013:7).!Wellbeing!is!an!outcome!that!is!constantly!generated!through!conscious!
and! subconscious! participation! in! social,! political,! economic! and! cultural! processes.!
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!
People! are! therefore! not! only! concerned! with! the! material! aspects! of! their! lives.!
Coulthard! et! al.! (2011:457)! allude! that! there! are! different! strategies! and! visions! about!
wellbeing!held!by!different!groups,!which!are!often!incompatible.!!
Wellbeing!has!three!interDrelated!dimensions:!material!–!what!a!person!has;!relational!–!
what!a!person!does!through!social!relationships;!and!subjective!–!how!people!think!and!
feel!about!their!lives!(Coulthard!et!al.,!2011:457;!UNDP,!2013:7).!The!“voices!of!the!poor”!
research!established!that!people’s!ideas!about!a!good!quality!of!life!is!multidimensional!
and! clustered! around! five! themes! (Narayan,! Chambers,! Shah! &! Petesch,! 2000:25D28),!
namely:!!
•
The!necessary!material!for!a!good!life!(including!secure!and!adequate!livelihoods,!
income!and!assets,!enough!food!at!all!times,!shelter,!furniture,!clothing!and!access!
to!goods);!
•
Health! (including! being! strong,! feeling! well! and! having! a! healthy! physical!
environment);!
•
Good!social!relations!(including!social!cohesion,!mutual!respect,!good!gender!and!
family!relations,!the!ability!to!help!others!and!to!provide!for!children);!
•
Security!(including!secure!access!to!natural!and!other!resources,!safety!of!person!
and! possessions,! and! living! in! a! predictable! and! controllable! environment! with!
security!from!natural!and!humanDmade!disasters),!and!
•
Freedom!of!choice!and!action!(including!having!control!about!what!happens!and!
being!able!to!achieve!what!a!person!values!doing!or!being).!!
IllDbeing! or! bad! quality! of! life! are! the! opposite! of! wellbeing,! and! from! the! discussion!
about! wellbeing,! it! can! be! deducted! that! illDbeing! is! much! more! than! material! poverty!
(Narayan! et! al.,! 2000:2).! Poverty! is! also! a! multidimensional! concept.! The! 1997! Human!
Development! Report,! (United! Nations! Development! Programme! [UNDP],! 1997)! focuses!
specifically! on! poverty.! Its! theme! “Human! Development! to! eradicate! poverty”! suggests!
three! perspectives! on! poverty.! The! income! perspective! defines! a! person! as! poor! only! if!
his/her!income!is!below!the!defined!poverty!line!of!their!country!(UNDP,!1997:15).!The!
basic!need!perspective!states!that!poverty!is!a!deprivation!of!material!requirements!for!
minimally!acceptable!fulfilment!of!human!needs,!including!food.!It!goes!beyond!the!lack!
!
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of! private! income! and! includes! needs! for! basic! health! and! education! and! essential!
services! that! the! community! must! provide! to! prevent! people! being! poor.! It! also!
recognises! the! need! for! participation! and! employment! (UNDP,! 1997:15).! The! capability!
perspective!describes!poverty!as!the!absence!of!some!basic!capabilities!to!function!(Sen,!
1999:87).!A!poor!person!lacks!the!opportunity!to!achieve!minimally!acceptable!levels!of!
this!functioning.!The!functioning!can!vary!from!physical!aspects!like!being!well!nourished,!
adequately! clothed! and! sheltered,! to! complex! social! functions! such! as! participating! in!
community!life!(UNDP,!1997:15).!!
Amartya! Sen,! Nobel! laureate! in! Economic! Science! in! 1998,! introduced! the! capability!
perspective.!Martha!Nussbaum,!a!feminist!philosopher,!has!engaged!in!scholarly!dialogue!
with!Sen,!and!made!significant!contributions!to!the!capability!perspective!(Clark,!2005:6;!
Crocker,!1992:584).!Although!there!are!certain!theoretical!differences!between!the!work!
of!Nussbaum!and!Sen,!in!practice!their!work!has!converged!in!what!is!referred!to!as!the!
capabilities!approach!(compare!Anand,!Hunter!&!Smith,!2005:13;!Clark,!2005:6;!Crocker,!
1992:585! and! Frediani,! 2010:175).! The! capabilities! approach! focuses! more! on! people!
than! on! goods! (Anand! et! al.,! 2005:10)! and! has! a! close! relationship! to! human! rights!
(Nussbaum,! 1997:287;! Nussbaum,! 2011:23;! Sen,! 2005:152).! Sen! declares! that! poverty!
must! be! seen! as! the! deprivation! of! basic! capabilities! rather! than! just! as! a! low! income!
(Sen,!1999:87).!It!is!easier!to!understand!poverty!of!human!lives!and!freedoms!if!a!shift!is!
made!away!from!an!exclusive!concentration!on!income!poverty!towards!a!more!inclusive!
idea!of!capability!deprivation.!Although!income!and!wealth!is!important,!other!influences!
are!as!important,!and!its!role!has!to!be!integrated!into!a!broader!picture!of!success!and!
deprivation!(Sen,!1999:20).!Sen’s!viewpoint!is!that!people!have!different!views,!skills!and!
attributes!and!live!in!different!situations;!therefore!they!need!different!levels!and!types!
of!resources!to!achieve!a!given!level!of!capability.!Individuals!need!resources!to!develop!
their!capabilities,!and!those!who!lack!resources!are!deprived!(Gatenio!Gabel,!2012:540).!
Nussbaum!(1997:287;!2003:41)!developed!a!list!of!capabilities!that!she!views!as!central!to!
live!a!dignified!life,!namely:!!
!
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!
!
1. Life!–!living!a!normal!length!of!life!and!not!die!prematurely.!
2. Bodily!health!–!good!health,!adequate!nutrition!and!shelter.!
3. Bodily! integrity! –! freedom! of! movement,! security! against! sexual! assault! and!
domestic!violence,!opportunities!for!sexual!satisfaction!and!reproductive!health.!
4. Senses,!imagination!and!thought!–!education,!freedom!of!expression,!thought!and!
religion,!ability!to!experience!pleasure!and!avoid!pain.!
5. Emotions!–!ability!to!attach!to!things!and!people,!express!emotions!free!from!fear!
and!anxiety.!
6. Practical!reason!–!have!a!concept!of!what!‘good’!is,!reflect!critically!and!plan!one’s!
own!life.!
7. Affiliation! –! a)! live! with! and! towards! others,! show! concern,! engage! in! social!
interaction,! empathy,! and! b)! selfDrespect,! nonDhumiliation,! treated! as! a! dignified!
being!with!equal!worth!to!others.!
8. Other! species! –! live! with! concern! for! and! in! relation! with! plants,! animals! and!
nature.!!
9. Play!–!laugh,!play,!enjoy!recreational!activities.!
10. Control!over!one’s!own!environment!–!a)!political:!participate!in!choices,!right!to!
participation!and!freedom!of!speech!and!association,!and!b)!material:!hold!on!to!
property,!property!rights,!employment!equity,!freedom!from!unwarranted!search!
and!seizure.!!!
The! capabilities! approach! forms! part! of! the! South! African! government’s! approach! to!
development! and! is! reflected! in! the! National! Development! Plan! where! it! declares!
focusing!on!key!capabilities!of!people!and!government!as!one!of!six!interlinked!priorities!
and! recognises! that! a! developmental! state! should! build! the! capabilities! of! people! to!
improve! their! own! lives! (NPC,! 2012:27).! In! his! 2011! speech! “The! Role! of! Legislatures! in!
Achieving!the!MDGs!–!Overview!of!South!Africa’s!progress”!Trevor!Manuel,!then!Minister!
in!the!Presidency!Planning!Commission,!quoted!Sen’s!definition!of!the!multidimensional!
understanding!of!poverty!which!is!also!reflected!in!the!Bill!of!Rights!in!Chapter!2!of!the!
!
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Constitution!of!the!Republic!of!South!Africa,!1996!(Manuel,!2011):!!
The! classic! view! that! poverty! is! just! a! shortage! of! income! may! be! well!
established! in! our! minds,! but! ultimately! we! have! to! see! poverty! as!
unfreedoms! of! various! sorts:! the! lack! of! freedom! to! achieve! even! minimally!
satisfactory!living!conditions.!Low!income!can!certainly!contribute!to!that,!but!
so! can! a! number! of! other! influences! such! as! the! lack! of! schools,! absence! of!
health! facilities,! unavailability! of! medicines,! the! subjugation! of! women,!
hazardous! environmental! features,! and! lack! of! jobs! (something! that! affects!
more!than!the!earning!of!incomes).!(Sen!in!introduction!to!Green,!2008:ix)!
The!definition!of!poverty!by!Chambers!(1997:xv)!resonates!with!the!capabilities!approach.!
Chambers!(1997:xv)!defines!poverty!as!a!condition!of!lack!of!physical!necessities,!assets!
and! income,! and! states! that! it! includes,! but! is! not! only,! incomeDpoverty.! He! describes!
deprivation!as!lacking!what!is!necessary!for!wellbeing.!He!further!states!that!deprivation!
has! physical,! economic,! social,! psychological,! spiritual! and! political! dimensions.!
Deprivation!includes!forms!of!disadvantage!such!as!social!inferiority,!physical!weakness,!
isolation,! poverty,! vulnerability,! powerlessness! and! humiliation! (Chambers,! 1997:xv).!
Chambers’! definition! of! wellbeing! is! simply! “the! experience! of! a! good! quality! of! life”!
(Chambers,!1997:xvi).!!
Sachs! (2005:21)! distinguishes! between! three! degrees! of! poverty! namely! extreme! or!
absolute!poverty,!moderate!poverty!and!relative!poverty.!Extreme!poverty!means!that!a!
household! cannot! meet! its! basic! needs! for! survival.! It! includes! chronic! hunger,! no! or!
limited! access! to! health! care,! sanitation,! potable! water,! education! and! shelter! (Sachs,!
2005:21).!Moderate!poverty!refers!to!conditions!of!life!where!the!basic!needs!are!barely!
met,! and! relative! poverty! is! a! household! income! level! below! a! given! proportion! of!
average! national! income! (Sachs,! 2005:21).! Relative! poverty! is! therefore! also! contextD
dependent,!and!is!generally!found!in!countries!where!it!is!assumed!that!all!have!access!to!
enough!means!to!ensure!survival!(Ruggeri!Laderchi!et!al.,!2003:246).!!
Many!of!the!poor!people!in!South!Africa!can!be!described!as!“chronically!poor”.!Chronic!
poverty!can!be!described!as!poverty!that!is!transmitted!from!one!generation!to!the!next,!
which!means!that!children!from!poor!households!will!grow!up!to!be!poor!adults,!whose!
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!
children! in! turn! would! be! poor! themselves! (Aliber,! 2003:476).! The! Apartheid! policies!
contributed! to! chronic! poverty! by! limiting! opportunities! for! the! black! population! on! an!
individual! and! community! basis! by! depriving! them! of! education,! infrastructure! and!
amenities,! among! other,! and! situating! them! in! areas! that! are! remote! with! marginal!
economic!prospects.!The!legacy!of!these!policies!is!reflected!in!the!statistics!that!confirm!
that! the! Black! population! and! rural! populations! are! most! affected! by! poverty! in! South!
Africa!(StatsSA,!2014b:36).!Another!result!of!these!policies!was!migratory!labour!and!the!
consequent! femaleDheaded! households! (Aliber,! 2003:476;! Hoogenveen! &! Ӧzler,! 2005:2;!
Woolard,! 2002:6),! both! aspects! that! increase! vulnerability.! Extreme! poverty! is! a! global!
problem,! and! many! developing! nations! face! the! challenge! of! dealing! with! the! social!
consequences!of!poverty!such!as!hunger,!lack!of!access!to!health!care,!sanitation,!shelter!
and!education.!
Whilst! poverty! is! a! static! concept,! vulnerability! is! more! dynamic! (Moser,! 1998:3)! and!
relevant!to!any!area!where!social!change!is!taking!place.!Vulnerability!is!not!a!synonym!
for! poverty! (Moser,! 1998:3).! Although! poor! people! are! usually! amongst! the! most!
vulnerable,! not! all! vulnerable! people! are! poor.! Vulnerability! means! exposure! and!
defencelessness.! It! includes! the! external! component! of! exposure! to! shocks,! stress! and!
risk;! and! the! internal! component! of! defencelessness,! which! implies! a! lack! of! means! to!
cope!without!damaging!loss!(Chambers,!1997:xvi).!Moser!(1998:3)!phrases!this!differently!
and! states! that! vulnerability! has! two! dimensions,! namely! sensitivity! and! resilience.!
Sensitivity!refers!to!the!extent!of!a!system’s!response!to!an!external!event,!and!resilience!
refers!to!the!ease!and!speed!of!a!system’s!recovery!from!stress.!Vulnerability!therefore!
deals! with! sensitive! groups,! which! have! low! defences,! and! are! therefore! susceptible! to!
harm,! and! who! are! not! able! to! recover! from! stresses! easily! or! without! external! help.!
Vulnerability!can!also!be!contextDdepended,!for!example!after!a!natural!disaster!such!as!a!
flood,! tsunami! or! earthquake,! or! an! industrial! accident! such! as! a! chemical! spill! or!
explosion,! all! the! affected! people! will! be! vulnerable,! despite! their! economic! status.!
Vulnerability!is!often!a!result!of!inequality,!as!a!lack!of!equal!opportunities!can!put!people!
in!vulnerable!positions.!The!next!section!examines!the!relationship!between!poverty!and!
inequality!in!more!depth.!
!
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2.4.2 Poverty'and'inequality'
Poverty! and! inequality! go! handDinDhand.! Inequality! threatens! economic! growth! and!
undermines! social! cohesion,! increases! social! and! political! tension! and! can! cause!
instability!and!conflict!(UNDP,!2013:xi).!It!would!therefore!be!difficult!to!reduce!poverty!
levels! unless! inequality! is! addressed! (UNDP,! 2014:6).! Inequality! has! several! dimensions!
and!is!caused!by!several!factors!(UNDP,!2013:2).!South!Africa’s!history!of!colonialism!and!
Apartheid!resulted!in!systemic!social!and!economic!inequalities!(Patel,!2005:300).!Income!
inequality!and!inequality!of!opportunities!is!discussed!next!with!specific!reference!to!the!
South!African!situation.'
2.4.2.1 Income'inequality''
Income! inequality! is! concerned! with! the! degree! to! which! income! is! distributed! in! an!
unequal!manner!amongst!a!population.!Income!gaps!between!the!rich!and!the!poor!have!
expanded!in!the!last!20!years!(UNDP,!2013:1).!Inequality!threatens!economic!growth!and!
poverty!reduction!(UNDP,!2013:1).!South!Africa!has!the!strongest!economy!in!Africa!and!
the! World! Bank! ranks! it! as! an! “upper! middle! income! country”! (RSA,! 2013b:134),! but!
despite! this! many! South! Africans! are! still! caught! in! a! downwards! spiral! of! poverty.! Like!
many!other!developing!countries!South!Africa!has!a!dual!economy,!meaning!that!there!is!
a! wellDdeveloped! “first! economy”! with! a! mature! financial! and! industrial! base! where!
people!are!paid!well!and!have!access!to!collective!bargaining,!and!a!“second!economy”!
which! is! underdeveloped,! informal,! payment! is! low! and! conditions! are! poor! ! (RSA,!
2013b:134;!OECD,!2013:8).!!
The!guiding!objectives!of!the!National!Development!Plan!are!the!elimination!of!poverty!
and!inequality!since!millions!of!South!Africans!are!still!excluded!socially!and!economically!
(NPC,! 2012:24).! The! report! on! Poverty! Trends! in! South! Africa! (StatsSA,! 2014b)! indicate!
that! roughly! 23! million! persons! live! below! the! upperDbound! poverty! line! of! R620! per!
month! (StatsSA,! 2014b:12).! This! represents! almost! half! the! citizens! of! the! country.! The!
gap!between!rich!and!poor!is!significant,!and!the!majority!of!the!poorest!people!are!black!
Africans!(RSA,!2012:29;!Woolard,!2002:2).!The!South!African!GiniDcoefficient!of!0,69!(an!
indicator!of!the!income!gap!between!the!rich!and!the!poor!within!a!country)!is!in!the!top!
five! per! cent! globally! (International! Monetary! Fund! [IMF];! 2013:4).! From! a! gender!
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!
perspective,! females! (47.1%)! are! more! impoverished! than! males! (43.8%),! and! from! a!
racial!perspective!the!Black!population!group!are!the!most!affected!by!poverty!with!54%!
living!in!poverty!(StatsSA,!2014b:36).!From!an!age!perspective,!children!(55.7%)!and!youth!
aged!18!to!24!(50.7%)!are!the!most!affected!by!poverty!(StatsSA,!2014b:36).!The!majority!
of!poor!people!(58.3%)!live!in!rural!areas!(StatsSA,!2014b:36).!One!of!the!root!causes!of!
poverty! in! South! Africa! is! the! inability! of! the! labour! market! to! create! opportunities! for!
lowDskilled! workers! (Chibba! &! Luiz,! 2011:311).! Income! inequality! can! be! addressed!
through!employment!creation.!!
Poverty,! inequality! and! unemployment! are! interconnected! (Altman,! Mokomane! &!
Wright,! 2014:348;! Chibba! &! Luiz,! 2011:307).! Employment! is! the! most! effective! form! of!
social!protection!(NPC,!2012:354),!but!the!South!African!situation!is!rather!bleak.!South!
Africa! had! an! official! unemployment! figure! of! 25.4%! in! 2014! (StatsSA,! 2014c:v).! This!
means! that! almost! a! quarter! of! economically! active! people! in! South! Africa! are!
unemployed.! Two! in! five! workingDage! adults! in! South! Africa! are! employed! and! the! high!
rate! of! unemployment! is! one! of! the! most! pressing! socioDeconomic! challenges! that! the!
government! faces! (RSA,! 2011:9).! This! is! underlined! in! the! National! Development! Plan!
published! by! the! National! Planning! Commission! which! lists! “too$ few$ South$ Africans$ are$
employed”!as!one!of!two!critical!challenges!that!South!Africa!has!to!confront!in!order!to!
move!forward!(NPC,!2012:1).!It!must!be!acknowledged!that!loss!of!income!is!not!the!only!
downside! to! unemployment,! as! it! can! cause! deprivation! of! other! kinds! as! well! (Sen,!
1999:94).! Unemployment! also! causes! psychological! harm,! loss! of! work! motivation,! skill!
and! selfDconfidence,! increase! in! illness,! disruption! of! family! life! and! social! life,! social!
exclusion,!increase!in!racial!tension!and!gender!inequalities!(Sen,!1999:94).!
South!Africa!has!one!of!the!highest!unemployment!figures!in!the!world,!and!of!particular!
concern!is!the!high!level!of!unemployed!youth!(Nattrass,!2014:87,89).!This!is!exacerbated!
because!half!the!population!is!younger!than!25!and!twoDthirds!of!the!population!is!under!
35! (Bernstein,! 2014:25).! While! this! could! be! an! opportunity! for! economic! growth,! it! is!
more!likely!to!be!a!threat!that!could!cause!social!disruption,!as!seen!in!the!role!that!the!
youth!play!in!many!of!the!service!delivery!protests!in!which!unemployment!is!one!of!the!
triggers!(Bernstein,!2014:25;!Kraak,!2013:94).!!
!
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According!to!Van!Aardt,!(2012:56)!the!high!youth!unemployment!rate!in!South!Africa!can!
be! attributed! to! structural! unemployment,! which! means! that! due! to! structural!
imbalances! the! economy! is! not! able! to! provide! employment! opportunities! even! at! the!
height!of!a!business!cycle.!Structural!unemployment!can!be!linked!to!a!mismatch!of!skills!
(availability,! experience! and! training)! or! geographical! location! (location! of! job! vacancies!
and! job! seekers)! (Van! Aardt,! 2012:56).! In! a! discussion! paper! about! policy! options! to!
confront!youth!unemployment!in!South!Africa!the!National!Treasury!offers!the!following!
explanations!for!youth!unemployment!(RSA,!2011:5):!
•
It!is!risky!to!employ!unskilled!and!inexperienced!people.!
•
The!weak!education!system!leaves!employers!with!little!trust!in!the!skills!level!of!
employees,! even! if! they! do! have! qualifications.! Qualifications! do! not! mean! that!
people!have!skills.!!
•
EntryDlevel! wages! are! seen! as! too! high! relative! to! the! risk! of! employing! workers!
without!any!experience.!!
The! reasons! for! high! youth! unemployment! rates! listed! by! the! National! Treasury! are! all!
examples! of! structural! employment! (Van! Aardt,! 2012:56).! Another! important!
consideration! is! that! many! younger! people! are! exposed! to! multiDgenerational!
unemployment.! They! have! little! support! and! no! idea! how! to! find! employment,! access!
opportunities!or!how!to!behave!once!they!enter!the!labour!market!(Bernstein,!2014:26).!
Lack! of! opportunities! contributes! to! unemployment.! This! lack! of! opportunity! includes!
access!to!education,!health!care!and!basic!services,!aspects!required!to!ensure!a!dignified!
life!(UNDP,!1997:15).!The!next!section!will!explore!what!inequality!of!opportunity!means!
in!the!South!African!context.!
2.4.2.2 Inequality'of'opportunity'
The! eroding! impact! that! inequality! can! have! on! a! society! relates! not! only! to! income!
inequality,!but!also!to!the!inequality!of!opportunities.!Inequality!of!opportunities!occurs!
when! people,! either! because! of! circumstances! or! discrimination,! are! denied! access! to!
basic! necessities! such! as! water,! sanitation,! shelter,! energy,! healthcare! or! education!
(UNDP,!2014:42).!Inequality!of!opportunities!often!results!in!inequality!of!income!later!in!
life! (UNDP,! 2013:46),! which! again! in! turn,! has! a! direct! impact! on! the! available!
P a g e !|!40!
!
opportunities!to!an!individual.!
Education!is!one!of!the!areas!where!the!inequality!of!opportunities!has!the!most!eroding!
impact,! especially! given! the! link! between! income! inequality! and! poor! education.! The!
second!critical!challenge!listed!in!the!National!Development!Plan!for!South!Africa!is!the!
poor! quality! of! the! education! available! to! the! majority! of! people! (NPC,! 2012:24).!
Education! is! critical! for! the! improvement! of! social! and! economic! conditions.! The! poor!
schooling! is! one! of! the! legacies! of! Apartheid! that! persists! 21! years! after! democracy!
started! in! 1994.! The! Bantu! Education! Act! 47! of! 1953! specified! a! certain! curriculum! for!
black!learners!that!was!inferior!to!the!curriculum!taught!at!white!schools.!The!facilities,!
textbooks! and! training! of! teachers! at! the! black! schools! were! also! inferior! to! those! of!
white! schools,! and! this! prohibited! equal! opportunities! (Ndimande,! 2009:124;! UNDP,!
2014:42).!After!1994!the!government!aimed!to!address!the!disparities!through!the!South!
African! Schools! Act! 84! of! 1996! in! which! the! principal! goal! was! to! eradicate! raceDbased!
inequalities! in! education! (Ndimande,! 2009:125).! Since! 1994! there! has! been! a!
considerable! effort! to! try! and! reverse! the! Apartheid! deficit,! including! the! National!
Student!Financial!Aid!Scheme,!free!schooling!and!feeding!schemes!in!schools!(Akoojee!&!
Nkomo,!2011:120).!Notwithstanding!the!efforts!of!government,!many!schools,!especially!
in!poorer!areas,!remain!dysfunctional!and!are!typified!by!acute!underperformance,!high!
levels! of! teacher! absenteeism,! high! rates! of! gradeDrepetition,! high! dropDout! rates,! illD
discipline,!bad!management!and!low!cognitive!demand!(Spaull,!2012:3).!!
It!is!compulsory!for!South!African!children!between!7!(Grade!1)!and!15!years!(Grade!9)!to!
attend! school,! and! the! enrolment! rates! are! high! (OECD,! 2013:57).! Relatively! high!
enrolment!rates!do!not!equal!quality!schooling.!The!quality!of!education!in!South!Africa!
remains! poor! and! distributed! unevenly! across! population! groups! and! regions! (OECD,!
2013:57).! South! Africa’s! performance! on! local! and! international! studies! of! educational!
achievement! is! dismal! (Spaull,! 2013:4;! Van! der! Berg,! 2008:145).! In! a! literacy! and!
numeracy!test!it!emerges!that!27%!of!South!African!Grade!Six!pupils!were!illiterate!and!
could!not!read!a!simple,!short!text!and!extract!meaning,!and!in!a!test!on!mathematics!and!
science!it!was!found!that!the!average!Grade!Nine!South!African!pupil!performed!between!
two! and! three! grades! below! the! average! Grade! Eight! pupil! from! other! middleDincome!
!
P a g e !|!41!
countries!(Spaull,!2013:4).!
The!World!Economic!Forum!ranks!the!quality!of!South!Africa’s!education!system!very!low,!
positioned! at! 140! out! of! 144! economies! (World! Economic! Forum! [WEF],! 2014:341).! In!
terms!of!the!quality!of!mathematics!and!science!education,!South!Africa!ranks!144!out!of!
144!(WEF,!2014:341).!Restrictive!labour!regulations,!an!inadequately!educated!workforce,!
inefficient! government! bureaucracy! and! corruption! are! stated! as! the! most! problematic!
factors!for!doing!business!with!South!Africa!(WEF,!2014:340).!!
The!National!Senior!Certificate!(NSC)!pass!rate!was!78.2%!in!2013,!the!highest!since!1994!
(Department! of! Basic! Education,! 2014:14).! Although! it! appears! to! be! improving,! this!
number! is! misleading! as! for! every! 100! pupils! that! start! school,! only! 50! will! make! it! to!
Grade!12;!40!of!those!who!made!it!will!pass,!but!only!12!of!them!will!have!marks!good!
enough!to!qualify!to!go!to!university!(Spaull,!2013:3).!The!NSC!pass!rate!dropped!to!75.8%!
in!2014!(Nkosi,!2015).!There!are!valid!claims!that!the!South!African!NSC!is!subDstandard!
and!encourages!mediocrity,!but!Spaull!(2013:31)!indicates!that!the!preDgrade!12!dropDout!
and!subject!choices!are!more!serious!problems.!There!is!a!correlation!between!the!quality!
and!duration!of!schooling!and!job!prospects,!and!a!substandard!education!disadvantages!
a!person!in!the!labour!market!and!entrenches!poverty!(Spaull,!2012:3).!
Poverty! and! its! consequences! are! an! impediment! to! many! who! want! to! obtain! an!
education!and!cannot!afford!school!fees,!school!uniforms,!stationary!or!transport!(Spreen!
&!Vally,!2006:354).!Issues!such!as!lack!of!electricity,!desks,!adequate!water!and!sanitation!
at! schools! affect! the! quality! of! education! and! learning! opportunities! (Spreen! &! Vally,!
2006:354).! The! inequality! of! opportunity! is! therefore! not! limited! to! the! educational!
system,!but!also!includes!inadequate!basic!services,!which!impact!on!a!person’s!ability!to!
use!opportunities!optimally.!The!rich!can!afford!private!education,!and!by!virtue!of!their!
income!have!access!to!tertiary!education,!but!due!to!lack!of!opportunity!the!poor!have!no!
other!choice!than!utilising!the!public!education!system!and!leaving!school!early.!!
Another! area! where! inequality! of! opportunities! is! rife! is! the! provision! of! health! care!
services.! Public! health! systems! are! under! severe! pressure,! and! the! burden! of! disease! is!
high! (NPC,! 2011:19).! The! South! African! population! represents! 0,6%! of! the! world!
population,! but! 17%! of! the! world’s! HIV! infections! and! 11%! of! tuberculosis! cases! (NPC,!
P a g e !|!42!
!
2011:19).!The!statistics!captured!in!the!Global!Competitiveness!Report!ranks!South!Africa!
143! out! of! 144! regarding! tuberculosis! prevalence,! 140! out! of! 144! regarding! HIV!
prevalence!and!105!out!of!144!regarding!infant!mortality!(WEF,!2014:341).!South!Africa!
has! the! highest! rate! of! foetal! alcohol! syndrome! in! the! world! (NPC,! 2011:19).! Trauma!
causes!resulting!from!violence!and!road!accidents!are!almost!double!the!global!average!
(NPC,!2011:19).!South!Africa’s!public!health!system!is!collapsing!under!this!pressure,!and!
in! combination! with! institutional! issues! and! implementation! failures! it! is! clear! that! a!
health!care!crisis!is!looming!(NPC,!2011:19).!!
Public! policy! and! institutions! play! an! important! part! in! the! extent! of! inequality! (UNDP,!
2014:16).!Although!policy!and!budgets!in!South!Africa!aim!to!create!greater!equality,!the!
communities! on! the! ground! do! not! experience! the! desired! results! (UNDP,! 2014:45).!
Inequality!of!opportunity!in!South!Africa!streches!much!further!than!education!and!health!
care,! and! the! legacy! of! Apartheid! also! includes! aspects! such! as! housing! and! access! to!
land.! As! a! result! of! inequality! of! opportunity! on! many! levels,! service! delivery! protests!
have! become! part! of! daily! life! in! South! Africa,! becoming! more! frequent,! violent! and!
spreading!throughout!the!country!(de!Visser,!Powell,!Staples!&!Gilliland,!2012:6).!Service!
delivery!protests!can!be!defined!as!political!protests!that!are!organised!on!local!level!to!
place!demands!on!those!who!hold!or!benefit!from!political!power.!The!concept!does!not!
only! refer! to! politicians,! but! also! to! powerful! persons! within! communities! (Alexander,!
2010:26).! Alexander! (2010:37)! refers! to! the! protests! as! “a$ rebellion$ of$ the$ poor”.! It!
indicates!people’s!disappointment!with!a!democracy!that!left!them!poor!after!21!years,!
inequality! and! corruption! that! remains! high! and! circumstances! that! are! not! materially!
improved!(Alexander,!2010:37).!!
South!Africa!has!been!affected!by!service!delivery!protests!since!2004!where!13!protests!
were! recorded! (Alexander,! Runciman! &! Ngwane,! 2013;! Karamoko,! 2011:2).! There! has!
been!a!steady!increase!in!the!number!of!protests!since!2007,!with!the!exemption!of!2010,!
when!the!FIFA!World!Cup!for!soccer!was!presented!in!South!Africa!(Karamako,!2011:6).!
Since! 2009! more! of! the! protests! turned! violent! (Alexander! et! al.,! 2013).! The! highest!
number! of! protests,! 470,! where! recorded! in! 2012! (Alexander! et! al.,! 2013).! Of! the! 470!
protests! recorded! in! 2012,! 173! were! seen! as! major! service! delivery! protests! (Municipal!
!
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IQ,! 2014).! The! total! number! dropped! to! 287! in! 2013! (Alexander! et! al.,! 2013),! with! 155!
major!protests!recorded!for!the!year!(Municipal!IQ,!2014).!In!2014,!the!number!of!major!
service!delivery!protests!recorded!until!November!amounted!to!176!protests!(Municipal!
IQ,! 2014).! Approximately! 43! people! were! killed! in! service! delivery! protests! since! 2004,!
with!11!people!killed!in!2013!(Alexander!et!al.,!2013).!In!the!beginning!of!2014!there!was!
an! upsurge! in! violent! service! delivery! protests,! with! approximately! ten! protesters! killed!
by!the!police!in!January!2014!(Lancaster,!2014).!Statistics!for!the!remainder!of!2014!were!
not! available! at! the! time! of! writing.! Research! by! Alexander! et! al.! (2013)! indicates! that!
peaceful! protests! and! formal! processes! to! express! grievances! often! precede! disruptive!
and! violent! protests.! Many! of! the! protests! involved! the! unemployed.! Employed! people!
can!express!grievances!through!strikes!or!labour!actions,!but!the!unemployed!often!have!
no!other!mechanism!than!protesting!(Alexander!et!al.,!2013).!
The! main! reasons! for! the! service! delivery! protests! are! land! and! housing! issues;! poor!
service! delivery;! broken! promises! and! lack! of! acknowledgement! of! issues;! lack! of!
electricity,! sanitation,! water! or! bad! road! infrastructure;! corruption,! unemployment! and!
party!political!issues!(de!Visser!et!al.,!2012:5;!Karamako,!2011:31).!The!bulk!of!the!causes!
for! service! delivery! protests! are! therefore! related! to! the! inequality! of! opportunity! and!
public! institutions! that! seem! to! favour! the! interest! of! the! elite,! and! thereby! propagate!
inequality!in!wealth,!status!and!power!(UNDP,!2014:16).!!
The! highest! number! of! protests! was! in! communities! whose! unemployment! rates! were!
higher!than!the!municipal!and!national!rates,!and!with!worse!access!to!services!less!than!
the! municipal! average.! This! statistic! suggests! that! these! areas! have! a! high! incidence! of!
migration!into!the!area!to!look!for!employment,!but!the!expectations!of!the!migrants!are!
not! met! (Municipal! IQ,! 2014).! There! is! a! high! correlation! between! unemployment,!
poverty! and! service! delivery! protests,! especially! in! informal! settlements! (Managa,!
2012:3).! Service! delivery! protests! can! therefore! be! linked! with! both! income! and!
opportunity! inequality.! The! protests! did! not! necessarily! occur! in! the! poorest!
municipalities!in!South!Africa,!and!population!density!and!urbanisation!were!identified!as!
the!key!links!with!protests!(CoGTA,!2009a:12,!Karamako,!2011:24).!Managa!(2012:2D5),!in!
a!study!about!local!government!and!poor!service!delivery!and!Mpehle!(2012:222D224),!in!
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!
a! study! about! whether! service! delivery! protests! are! justifiable! in! a! democratic! South!
Africa,!identified!the!following!explanations!for!inadequate!municipal!service!delivery:!!
•
Lack'of'institutional'capacity.!There!is!a!perception!that!many!municipal!officials!
in! key! positions! are! not! appointed! based! on! their! qualifications,! competence! or!
experience,! but! rather! based! on! nepotism! and! political! affiliation! (Mpehle,!
2012:222).! The! government’s! official! policy! of! cadre! deployment! exacerbate! this!
situation,! as! it! means! that! government! officials! on! local,! provincial! and! national!
levels!are!appointed!based!on!their!loyalty!to!the!ANC!(African!National!Congress)!
rather!than!necessarily!having!the!appropriate!skills!or!qualifications!for!the!role!
(Irwin,!2011:8)!This!results!in!a!lack!of!technical,!managerial!and!leadership!skills!
(Managa,!2012:3).!
•
Financial' mismanagement.' Officials! in! charge! of! financial! management! often! do!
not!have!the!skills!and!abilities!to!manage!even!the!limited!resources!available!to!
them.!Municipalities!receive!income!from!services!paid!for!by!residents!and!funds!
from! central! government.! In! many! municipalities,! residents! refuse! to! pay! their!
rates! to! the! municipality! for! various! reasons,! including! low! efficiency! levels! and!
unaffordability! (Managa,! 2012:3).! Municipalities! have! limited! autonomy! to! raise!
funds,! and! poorer! municipalities! struggle! to! meet! the! service! delivery! demands!
(Managa,! 2012:3;! Mpehle,! 2012:223).! Poor! project! planning,! management! and!
lack!of!capacity!to!execute!plans!leads!to!underD!or!overDspending!of!budgets.!The!
result!of!this!is!that!the!funds!allocated!to!service!delivery!and!infrastructure!are!
not!spent!astutely!according!to!demand!(Managa,!2012:3).!
•
Political' infighting.' In! Mphele’s! study! (2012:223)! 85%! of! the! respondents!
expressed! concern! about! political! and! power! struggles! within! municipalities! and!
the! impact! of! this! on! service! delivery.! He! claims! that! the! focus! of! incumbents!
moved!from!service!delivery!to!job!positions!and!selfDenriching.!!
•
Corruption.! Corruption,! nepotism,! abuse! of! the! procurement! system! and! tender!
fraud!are!significant!problems.!ClassDconscious!public!officials!who!see!the!state!as!
a! medium! to! uplift! their! status! are! undermining! the! credibility! of! municipal!
officials!(Managa,!2012:4;!Mpehle,!2012:223).!!
!
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•
Lack' of' community' engagement' in' the' decisionamaking' process.' This! refers!
specifically! to! the! gap! between! the! elected! and! the! electorate.! Politicians! may!
think! they! know! what! communities! want,! and! because! they! are! misguided! they!
bring! in! irrelevant! programmes! (Mpehle,! 2012:224).! Although! there! are!
participatory! forums! such! as! ward! committees,! budget! meetings! and! Integrated!
Development! Forums,! as! determined! by! the! Municipal! Systems! Act! 32! of! 2000,!
these!are!often!not!optimally!used!(Managa,!2012:4).!!
The! service! delivery! protests! indicate! the! lack! of! confidence! that! many! South! Africans!
have! in! the! efficiency,! effectiveness! and! responsiveness! of! the! local! government!
(Managa,! 2012:6).! Inequality! in! wealthDdistribution! and! poor! service! delivery! can!
potentially! cause! more! violent! service! delivery! protests,! and! unless! government!
embraces! and! acts! on! the! principle! of! working! in! a! collaborative! manner! towards!
developmental! governance,! instability! will! prevail! (Managa,! 2012:6).! It! can! be! deduced!
that!violent!service!delivery!protests!slow!down!social!development,!since!protests!often!
result!in!damage!to!infrastructure!that!is!needed!to!advance!the!development!agenda.!
Service! delivery! protests! typically! take! place! in! poor! communities! where! there! is!
structural! inequality.! They! have! yet! to! benefit! from! postDdemocracy! development! in!
South!Africa!and!are!faced!with!a!number!of!legacy!challenges!that!have!their!roots!in!the!
Apartheid! history! of! the! country.! The! protests! are! a! way! in! which! the! affected!
communities! vocalise! their! frustrations! and! have! their! issues! heard.! Many! of! the!
structural!and!social!challenges!that!South!Africa!faces!are!complex!and!needs!longDterm!
intervention! on! a! strategic! level! hence! the! social! development! approach! is! adopted! by!
the! government.! Inequality! is! an! obstruction! to! the! fulfilment! of! human! rights! (Noyoo,!
2004:362).! In! addition,! inequality! often! leads! to! human! rights! infringements.! The! next!
section!explores!the!concept!of!human!rights!in!more!depth.!
2.5 'Human'rights'
There! is! a! close! relationship! between! the! capabilities! approach! to! poverty! and! human!
rights!(Nussbaum,!1997:287;!Nussbaum,!2011:23;!Sen,!2005:152).!Social!work!is!a!human!
rights! profession! and! works! towards! the! universal! implementation! of! human! rights!
(Global! Agenda! for! Social! Work,! 2012:837;! Hare,! 2004:216;! Healy,! 2008:735;! Ife,!
P a g e !|!46!
!
2001:12).! The! rightsDbased! approach! is! frequently! adopted! by! social! development!
organisations! and! the! language! of! rights! is! increasingly! used! in! social! development!
practice!(Midgley,!2014:201).!A!rightsDbased!approach!suggests!to!vulnerable!people!that!
they!have!rights!to!security,!dignity!and!economic!opportunity!as!opposed!to!some!vague!
claim! to! assistance! from! an! altruistic! government! or! aid! agency! (Skegg,! 2005:669).! It!
could! be! argued! that! all! processes! required! for! development! work! should! fulfil! and!
respect!human!rights.!In!this!way,!any!change!process!advanced!by!development!should!
be! transparent,! participatory,! accountable,! respect! the! dignity! and! autonomy! of! those!
subjected! to! change! and! equitable! in! decisionDmaking! and! outcomes! (Uvin,! 2007:603).!
Although!human!rights!are!entrenched!in!policy!and!law,!there!is!a!strong!socioDpolitical!
association! linking! it! with! grassroots! development! practice! (George,! 1999:17;! Noyoo,!
2004:360;!Uvin,!2007:604).!
The!United!Nations!General!Assembly!adopted!the!Universal!Declaration!of!Human!Rights!
on!10!December!1948!in!a!response!to!human!rights!infringements!of!the!Second!World!
War!(United!Nations,!1948).!The!aim!of!the!Declaration!is!to!ensure!that!human!rights!are!
recognised!globally!and!that!all!people!are!treated!with!dignity!and!equity.!South!Africa!
was!one!of!the!founding!members!of!the!United!Nations!in!1945,!and!as!such!supported!
the! Declaration,! despite! the! country’s! segregation! policies! at! the! time.! The! United!
Nations! played! a! key! role! in! the! fight! against! Apartheid! and! the! first! resolution! –!
Resolution! 395(V)! D! against! the! policy! based! on! racial! segregation! was! as! early! as! 1950!
(The!United!Nations:!Partner!in!the!Struggle!against!Apartheid![sa]).!Since!the!end!of!the!
Apartheid!era,!South!Africa!has!given!the!human!rights!agenda!new!prominence,!and!the!
Southern! African! office! for! the! High! Commission! on! Human! Rights! has! been! based! in!
South!Africa!since!1998!(United!Nations!in!South!Africa![sa]).!South!Africa!has!also!signed!
and! ratified! the! African/Banjul! Charter! on! Human! and! Peoples’! Rights! in! 1996! (African!
Commission! on! Human! and! Peoples’! Rights! [sa]).! Two! other! significant! covenants! were!
proclaimed! in! 1966,! namely! the! International! Covenant! on! Civil! and! Political! Rights! and!
the!International!Covenant!on!Economic,!Social!and!Cultural!Rights!and!together!with!the!
Universal! Declaration! of! Human! Rights! it! forms! the! International! Bill! of! Human! Rights!
(Reichert,! 2011:210),! both! of! which! had! been! signed! and! ratified! by! South! Africa!
(Claiming!Human!Rights!in!South!Africa![sa]).!
!
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Human!rights!is!a!complex!concept,!but!the!United!Nations!(1987:4)!provides!a!general!
definition:!!
…those!rights,!which!are!inherent!in!our!nature!and!without!which!we!cannot!
live! as! human! beings.! Human! rights! and! fundamental! freedoms! allow! us! to!
fully! develop! and! use! our! human! qualities,! our! intelligence,! our! talents! and!
our!conscience!and!to!satisfy!our!spiritual!and!other!needs.!Human!rights!are!
based!on!mankind’s!increasing!demand!for!a!life!in!which!the!inherent!dignity!
and!worth!of!each!human!being!will!receive!respect!and!protection.!
All! human! beings! are! entitled! to! human! rights! by! the! virtue! of! being! human! (George,!
1999:17;!Ife!&!Fiske,!2006:302;!Noyoo,!2004:361;!Reichert,!2011:208).!Human!rights!can!
be!divided!into!three!groups,!namely:!1)!civil!and!political!rights!(first!generation!human!
rights),!2)!social,!economic!and!cultural!rights!(secondDgeneration!human!rights),!and!3)!
the!right!to!development,!the!right!to!peace,!the!right!to!a!healthy!environment!and!the!
right!to!interDgenerational!equity!!(third!generation!human!rights)!(Ife!&!Fiske,!2006:304;!
Lombard! &! Twikirize,! 2014:317;! Reichert,! 2011:208;! Ruppel,! 2008:102,103).! It! is!
important! to! consider! that! all! rights! are! equal! and! not! one! of! the! three! sets! is! more!
important!than!the!others!(Reichert,!2011:210).!
Civil! and! political! rights! can! be! described! as! the! group! of! rights! that! afford! people! the!
right!to!participate!in!the!political!and!social!life.!These!are!referred!to!as!first!generation!
rights! (Reichert,! 2011:208;! Ruppel,! 2008:102)! and! are! seen! as! constituting! the! core! of!
human!rights.!Civil!and!political!rights!are!individual!rights,!and!states!are!obliged!not!to!
infringe! those! (Stohl! &! Stohl,! 2010:56).! From! the! point! of! view! of! the! state,! first!
generation!rights!are!described!as!negative!rights!because!they!protect!individuals!against!
the! state! (Reichert,! 2011:209;! Smith,! 2008:1819).! In! order! to! comply! with! them,! states!
must! abstain! from! interference! with! the! life! of! an! individual.! Honey! (2009:232)! defines!
civil!rights!as!“rights!to!participate!in!the!civil!life!of!a!society!without!restriction!by!race,!
religion! or! other! contestable! categories”.! Political! rights! are! defined! as! “the! right! to!
participate!in!the!political!system!including!such!rights!as!freedom!of!speech,!freedom!of!
the!press!and!the!right!to!assemble”!(Honey,!2009:232).!
!
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!
!
Social,!economic!and!cultural!rights!can!be!seen!as!the!group!of!rights!which!give!people!
access!to!certain!basic!resources,!opportunities!and!services.!These!rights!include!aspects!
such! as! the! right! to! an! education,! work,! social! security,! food,! an! adequate! standard! of!
living! and! selfDdetermination! (Ruppel,! 2008:102).! These! rights,! referred! to! as! second!
generation!human!rights,!can!be!seen!as!group!rights!or!collective!rights,!and!pertain!to!
the!wellbeing!of!societies!(Reichert,!2011:209;!Ruppel,!2008:102).!From!a!statutory!point!
of!view,!second!generation!human!rights!offer!positive!rights!for!individual!members!of!
groups! where! the! state! protects! individuals! (Reichert,! 2011:209;! Smith,! 2008:1819).!
Honey! (2009:234)! states! that! the! second! generation! of! rights! involves! more! than! just!
freedom.! He! defines! social! rights! as! “the! right! to! participate! in! the! daily! life! of! society,!
such! as! the! right! to! marry! and! form! a! family”! (Honey,! 2009:232).! Economic! rights! are!
defined!as!“the!right!to!participate!in!an!economy,!as!well!as!to!have!basic!needs!met”!
(Honey,! 2009:232).! Cultural! rights! are! defined! as! “the! right! to! express! ones’! culture,!
including!language,!religion!and!patterns!of!social!engagement”!(Honey,!2009:232).!!
Third! generation! human! rights! differ! from! first! and! second! generation! human! rights! in!
that!the!realisation!of!these!rights!are!not!only!determined!by!the!positive!and!negative!
duties!of!the!state,!but!also!by!the!behaviour!of!each!individual!(Ruppel,!2008:103).!Third!
generation! human! rights! focus! on! the! rights! of! humankind! or! the! collective! humanity!
(Reichert,!2011:209;!Stohl!&!Stohl,!2010:58).!They!include!the!right!to!development,!the!
right! to! peace,! the! right! to! a! healthy! environment! and! the! right! to! interDgenerational!
equity! (Ruppel,! 2008:103).! The! promotion! of! third! generation! rights! often! requires!
intergovernmental!cooperation!on!global!issues!(Reichert,!2011:209).!
A! discussion! about! human! and! environmental! rights! in! the! context! of! promoting! social!
development! will! not! be! complete! if! the! concepts! of! environmental,! social! and!
restorative!justice!are!not!included.!King!(2012:464)!defines!justice!as!“the!state!of!affairs!
where!each!individual!has!exactly!those!benefits!and!burdens!which!are!due!to!them!by!
virtue! of! their! personal! characteristics! and! circumstances”.! Environmental! justice! is!
closely! related! to! third! order! human! rights,! while! social! justice! relates! to! second! order!
human!rights.!!
!
!
!
P a g e !|!49!
There! are! many! definitions! for! environmental! justice,! and! the! term! is! used! across! a!
number!of!disciplines.!Bass!(1998:84)!defines!environmental!justice!as!the!fair!treatment!
and! meaningful! involvement! of! all! people! regardless! of! race,! colour,! income,! or!
nationality! with! respect! to! the! development,! implementation! and! enforcement! of!
environmental! law.! Fair! treatment! means! that! low! income! and! minority! groups! do! not!
bear! a! disproportionate! share! of! negative! environmental! impacts! of! government! action!
(Bass,!1998:84).!Walker!(2010:312)!distinguishes!between!procedural!justice!(the!fairness!
of! decisionDmaking)! and! distributional! justice! (social! patterning! of! costs! and! benefits).!
Larsen,! GunnarsonDÖsling! and! Westholm! (2011:415)! add! substantive! justice! that!
concentrates! on! minimum! standards! such! as! a! universal! right! to! a! clean! and! healthy!
environment.!Hornberg!and!Pauli!(2007:573)!define!environmental!justice!as!an!uneven!
distribution! of! environmental! quality! between! different! social! groups! and! relate!
decreasing! socioDeconomic! status! to! an! increasing! burden! of! environmental! hazards.!
Environmental!justice!acknowledges!that!some!groups!within!the!population!face!a!larger!
risk! from! exposure! to! environmental! hazards! than! others! (Ikeme,! 2003:197).!
Environmental!justice!is!based!on!four!major!principles!(Dominelli,!2012:98),!namely:!
1. A!fair!and!equitable!distribution!of!environmental!risks!and!benefits.!
2. Full!participation!of!local!residents!in!decisions!about!the!environment.!
3. Acknowledgement!of!local!culture,!traditions,!knowledge!and!way!of!life!of!local!
community.!
4. Recognition! that! local! communities! and! individuals! have! the! ability! to! make!
effective!and!successful!choices.!
Dominelli! (2012:98)! points! out! that! although! the! principles! listed! above! consider!
interpersonal!aspects,!it!is!important!to!also!consider!structural!inequalities!when!dealing!
with!environmental!justice.!!
Social! justice! is! one! of! the! primary! values! of! social! development! practice,! and! includes!
economic! and! environmental! justice! (Hare,! 2004:416;! Lombard! &! Twikirize,! 2014:316).!
Social! work! challenges! the! sources! of! injustice! and! promotes! social! and! economic!
inclusion!and!integration!(Lombard!&!Twikirize,!2014:318).!Social!workers!such!as!Shirley!
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!
Gunn!and!Ellen!Khuzwayo!fought!against!the!Apartheid!regime!in!South!Africa!in!a!quest!
for!social!justice!(Healy,!2008:739).!
South! Africa! has! a! developmental! approach! to! social! welfare! as! set! out! in! the! White!
Paper!for!Social!Welfare!(Republic!of!South!Africa![RSA],!1997),!which!is!rooted!in!a!rightsD
based!approach,!as!is!the!South!African!Constitution!(Patel,!2005:98).!Social!justice!can!be!
described! as! an! ideal! condition! in! which! all! members! of! a! society! have! the! same! basic!
rights,! protection,! opportunities,! obligations! and! social! benefits! (Hare,! 2004:416;! Patel,!
2005:224).! Social! justice! is! about! ensuring! resources! are! equitably! distributed! (Patel,!
2005:224).! King! (2012:464)! describes! social! justice! as! the! distribution! of! benefits! and!
burdens!through!a!society,!as!it!results!from!major!social!institutions.!He!further!explains!
that!social!justice!deals!with!the!manner!in!which!resources!such!as!education,!housing,!
health!care!and!wages!are!distributed!and!the!nature!of!the!distribution!(King,!2012:465).!
Balaceanu,! Apostol! and! Penu! (2012:678)! view! social! justice! as! a! moral! and! political!
concept! aimed! at! equal! rights! and! shared! unity,! advocating! for! a! more! fair! society,!
guaranteed! by! the! redistribution! of! wealth,! and! understanding! its! continuous! state! of!
injustice.! They! explain! further! that! social! justice! is! based! on! equal! rights! of! any! person!
and!the!possibility!of!all!human!beings,!without!discrimination,!to!benefit!from!economic!
and! social! progress,! irrespective! of! the! political! or! socialDeconomic! policy! (Balaceanu! et!
al.,!2012:678).!!
An!important!concept!relevant!to!environmental!and!social!justice!is!restorative$justice.!It!
is!included!in!the!framework!for!developmental!social!welfare!programmes!for!offenders!
outlined!in!the!White!Paper!for!Social!Welfare!(RSA,!1997).!The!concept!can!be!defined!as!
a! process! where! all! the! parties! with! a! stake! in! a! particular! offence! come! together! and!
decide!collectively!how!to!deal!with!the!repercussions!of!the!offence!and!its!implications!
for!the!future!(Gerkin,!2012:278).!Roland,!Rideout,!Salinitri!and!Frey!(2012:435)!describe!
restorative!justice!as!an!approach!that!focuses!on!repairing!the!harm!caused!by!offending!
behaviour! while! holding! the! offender! accountable! for! his! actions.! Golub,! Mahoney! and!
Harlow!(2013:271)!adopt!a!much!broader!definition!of!restorative!justice!where!they!look!
at!justice!as!a!resolution!of!past!wrongs!that!can!be!committed!against!an!individual!(e.g.!
murder,! assault)! or! against! a! community! either! as! stolen! property! (e.g.! land)! or!
!
P a g e !|!51!
systematic!oppression!(e.g.!slavery,!Apartheid,!genocide).!In!South!Africa,!the!Truth!and!
Reconciliation!Commission!was!used!to!promote!dialogue!and!reconciliation,!and!this!can!
be!seen!as!a!form!of!restorative!justice!(Patel,!2005:300).!!
When! considering! the! definition! of! restorative! justice! as! discussed! above,! it! can! be!
argued! that! restorative! justice! can! be! applied! to! environmental! crimes.! Environmental!
crimes! can! be! seen! as! acts! or! oversights! that! infringe! environmental! laws! or! standards!
and! as! a! result! endanger! human! health! and! the! environment! (Holcomb,! 2008:204).!
Practical!examples!include!air!and!water!pollution.!Environmental!crimes!therefore!have!
a! human! and! biophysical! dimension! and! can! cause! environmental! or! social! injustice.!
Environmental! and! social! injustice! is! not! necessarily! always! the! result! of! an!
environmental! crime.! Careless! development! and! unintended! consequences! of!
development! projects! can! also! result! in! such! injustice,! and! they! often! remain! unD
mitigated.! This! is! where! there! is! an! important! role! for! restorative! justice,! especially! in!
areas!where!there!is!a!legacy!of!social!and!environmental!problems!because!of!industrial!
development.!Globally!the!“Polluter!Pays!Principle”!which!states!that!the!polluter!should!
bear! the! full! cost! of! its! activity! forms! the! basis! of! the! environmental! policy! of! many!
countries!(Faure,!2011:11).!If!this!principle!is!applied!successfully!restorative!justice!will!
result.!It!can!therefore!be!argued!that!social!workers,!with!their!history!of!being!involved!
in! social! justice,! are! ideally! suited! to! become! involved! in! restorative! justice! associated!
with! environmental! injustice! in! the! communities! where! they! work.! Social! workers! are!
known!to!take!action,!and!this!actionDorientation!of!the!profession!has!resulted!in!social!
workers!securing!human!rights!for!individuals!and!communities!(Healy,!2008:746),!which!
should!be!expanded!to!securing!thirdDorder!rights!such!as!environmental!rights.!
When!considering!human!rights!in!the!context!of!development!it!is!necessary!to!reflect!
on!the!international!debate!about!business!versus!human!rights!that!has!taken!place!over!
the! last! decade.! In! July! 2005! the! United! Nations! appointed! John! Ruggie! as! Special!
Representative!of!the!SecretaryDGeneral!on!the!issue!of!human!rights!and!transnational!
corporations! and! other! business! enterprises! (Ruggie,! 2008:3).! He! created! a! conceptual!
and! policy! framework! to! guide! all! relevant! roleDplayers.! His! “Protect,! Respect! and!
Remedy”! framework! consist! of! three! core! principles! namely! the! State! duty! to! protect!
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!
against! human! rights! abuses! by! third! parties,! including! business;! the! corporate!
responsibility! to! respect! human! rights;! and! the! need! for! more! effective! access! to!
remedies! (Ruggie,! 2008:1).! In! 2011! a! document! entitled! “Guiding$ Principles$ on$ Business$
and$ Human$ Rights:$ Implementing$ the$ United$ Nations$ ‘Protect,$ Respect$ and$ Remedy’$
Framework”!was!published!to!assist!with!implementing!the!framework!(United!Nations,!
2011a:1).!Human!rights!are!no!longer!only!something!that!activists!campaign!about,!but!it!
has! become! part! of! the! business! agenda! striving! toward! sustainable! development.! The!
mandate!of!communities!to!campaign!against!human!rights!abuses!by!the!private!sector!
has!been!strengthened!significantly!by!the!“Protect,!Respect!and!Remedy”!framework.!It!
is! imperative! that! communities! should! be! educated! about! their! rights,! especially!
environmental! rights,! which! possibly! have! not! received! as! much! prominence! on!
grassroots! levels! as! other! groups! of! rights! in! the! past.! Social! workers! work! in!
communities,!and!have!historically!been!involved!in!assisting!communities!with!realising!
their!rights.!As!discussed!in!this!section,!there!is!a!definite!link!between!human!rights!and!
social!work,!which!is!strengthened!by!adopting!developmental!social!work!in!South!Africa!
within!the!context!of!the!social!welfare!policy!framework!of!the!White!Paper!(RSA,!1997).!!
2.6 Summary'
The! social! development! theoretical! framework! discussed! in! this! chapter! outlines! an!
interrelationship! between! poverty,! human! rights,! the! social! protection! floor! and!
developmental!social!work,!all!of!which!desire!human!wellbeing!as!the!ultimate!outcome.!
A!rightsDbased!approach,!participation,!partnerships,!social!and!environmental!justice!and!
the! increase! of! capabilities! and! opportunities! are! innate! to! social! development.! This!
chapter! outlined! the! social! development! theoretical! framework! that! was! used! in! study.!
The!next!chapter!will!present!a!theoretical!overview!of!SIA!in!the!South!African!context.!
!
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Chapter'3. SIA'in'the'South'African'context'
3.1 Introduction'
The! aim! of! this! chapter! is! to! contextualise! SIA! in! the! South! African! situation.! SIA! is!
contextDspecific! (Slootweg,! Vanclay! &! Van! Schooten,! 2003:56)! and! its! execution! must!
accommodate! social,! environmental! and! cultural! conditions,! regulatory! procedures! and!
education!levels!of!the!population!(Barrow,!2002:193).!The!chapter!commences!with!an!
introduction!to!the!concept!of!SIA,!followed!by!a!section!on!the!geography,!demographics!
and!culture!of!South!Africa!in!order!to!provide!a!background!on!the!local!context!in!which!
SIA!is!conducted.!!
In!South!Africa,!SIA!is!predominately!commissioned!by!the!government!as!part!of!the!EIA!
legislation! (Du! Pisani! &! Sandham,! 2006:712),! and! therefore! the! second! section! of! the!
chapter! explains! the! government! and! administration! system.! The! government! is!
responsible!for!reviewing!SIA!studies!and!implementing!the!recommended!mitigation!and!
management! measures,! and! an! understanding! of! the! government! and! administration!
system!is!required!to!fully!comprehend!some!of!the!challenges!associated!with!SIA.!!
The!last!section!of!the!chapter!discusses!current!best!practice!in!SIA!from!a!South!African!
and! international! perspective.! Aspects! such! as! Free,! Prior,! Informed! Consent,! Impact!
Benefit!Agreements!and!Social!Impact!Management!Plans!relevant!to!the!SIA!context!are!
discussed!in!this!section.!!
3.2 Social'Impact'Assessment'
Social! Impact! Assessment! (SIA)! originated! in! the! 1970’s! with! the! establishment! of! the!
National! Environmental! Policy! Act! of! 1969! in! the! United! States! (Burdge,! 2004:4).! Since!
then!the!field!has!grown!and!developed.!Two!significant!documents!where!published!in!
the! field! of! SIA.! The! first! is! the! Guidelines$ and$ Principles$ for$ Social$ Impact$ Assessment!
published! by! the! Interorganizational! Committee! on! Guidelines! and! Principles! for! Social!
Impact! Assessment! in! the! United! States! in! 1994! (Interorganizational! Committee! for!
Guidelines! and! Principles! for! Social! Impact! Assessment! (ICGP),! 2003).! This! was! the! first!
document!that!represented!an!agreement!on!core!procedures!and!interpretations!of!SIA!
at! the! time! (Burdge,! 2004:8;! Esteves! et! al.,! 2012:35).! The! second! document! is! the!
International$ Principles$ for$ Social$ Impact$ Assessment,! published! by! the! IAIA! in! 2003!
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!
(Vanclay,!2003:6)!and!developed!under!the!leadership!of!Frank!Vanclay!(Burdge,!2004:8).!
This! document! comprises! core! values,! fundamental! principles! and! key! principles! that!
underlie! the! practice! of! SIA.! It! is! a! discussion! document! that! promulgates! a! new!
understanding!of!SIA!with!an!aim!to!go!beyond!only!assessing!impacts!(Vanclay,!2003:6).!
In! the! last! decade! the! practice! of! SIA! has! evolved! rapidly,! and! the! social! impacts! of!
resources!industries!and!communities!affected!by!these!industries!became!one!of!the!key!
areas!of!research.!!
SIA!is!a!philosophy!about!development!and!democracy!that!considers!the!pathologies!of!
development!(e.g.!harmful!impacts),!goals!of!development!(e.g.!poverty!alleviation)!and!
processes!of!development!(e.g.!participation,!capacity!building).!One!of!the!objectives!of!
SIA!is!to!ensure!that!development!that!occurs!maximises!the!benefits!and!minimises!the!
cost! of! that! development,! especially! the! costs! carried! by! the! community! (Vanclay,!
2003:3).!SIA!deals!with!the!process!of!managing!social!change!and!the!impacts!of!social!
change!arising!from!specific!projects.!Human!rights!are!a!key!consideration!in!SIA!(Esteves!
et!al.,!2012:35).!In!the!South!African!context!the!definition!mostly!remains!an!aspiration,!
as!many!proponents!still!use!SIA!as!a!pointDinDtime!assessment!as!part!of!the!EIA!process,!
and!social!impact!management!is!tenuous.!There!are!promising!exceptions!to!this!status.!
Resource! companies! and! other! big! corporates! are! striving! to! meet! international! social!
performance! standards,! funder! requirements! or! international! company! policy,! and! as! a!
result!are!starting!to!invest!in!long!term!social!monitoring!and!management.!In!addition,!
the! Mineral! and! Petroleum! Resource! Development! Act! 28! of! 2002! was! promulgated! in!
South!Africa!and!it!requires!direct!social!outcomes!in!the!form!of!a!Social!and!Labour!Plan!
for!each!operational!mine.!!
As!discussed!above,!SIA!is!a!tool!used!in!the!development!field!and!in!South!Africa!it!is!
closely!associated!with!the!development!of!mines!and!infrastructure.!SIA!is!currently!not!
used!as!a!tool!for!social!development,!but!rather!as!a!mechanism!to!obtain!permission!for!
development,!as!it!is!predominately!commissioned!by!the!government!as!part!of!the!EIA!
legislation!(Du!Pisani!&!Sandham,!2006:712).!There!are!some!challenges!associated!with!
the!practice!of!SIA!in!South!Africa.!Although!Section!24!of!the!South!African!Constitution!
of! 1996! and! the! National! Environmental! Management! Act! 107! of! 1998! unambiguously!
!
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provide!an!opportunity!for!sustainability!thinking!by!highlighting!the!connection!between!
poverty,! environmental! degradation! and! quality! of! life! issues! (Bond,! Pope,! MorrisonD
Saunders,!Retief!&!Gunn,!2014:50),!this!is!not!happening!in!practice.!!
The! potential! of! EIA! (of! which! SIA! is! an! integral! part)! to! integrate! development! and!
environmental! issues! to! ensure! sustainable! outcomes! has! been! eroded! through! overD
complicated! legislative! amendments! and! weak! capacity! and! knowledge! amongst!
authorities!in!South!Africa!(Bond!et!al.,!2014:50).!In!a!study!that!reviews!the!quality!of!SIA!
aspects! included! in! EIA! reports! in! South! Africa,! Hildebrandt! and! Sandham! (2014:24)!
confirm!the!shortage!of!skills!amongst!authorities!to!review!SIA!reports!–!environmental!
scientists!usually!evaluate!the!SIA!reports.!There!have!been!limited!academic!publications!
on!SIA!in!South!Africa,!with!only!four!formal!publications!in!the!last!decade!(Aucamp!et!
al.,!2011;!Du!Pisani!&!Sandham,!2006;!Hildebrand!&!Sandham,!2014;!Malan!&!Rossouw,!
2007).! It! is! therefore! important! that! the! body! of! knowledge! about! SIA! in! South! Africa!
should!be!expanded.!Given!the!contextDspecific!nature!of!SIA!(Slootweg!et!al.,!2003:56),!
an!understanding!of!the!South!African!setting!where!SIA!is!conducted!is!imperative,!and!
this!is!presented!next.!!
3.3 The'South'African'context'for'SIA''
South!Africa!is!a!multiDcultural,!complex!society!with!a!history!of!human!rights!abuse,!and!
social! and! economic! inequality! (NPC,! 2012:24;! Patel,! 2005:300).! The! complexity! and!
challenges!of!the!South!African!society!for!SIA!are!encapsulated!in!the!cultural,!geoD!and!
demographic!data!available!for!the!country.!!
3.3.1 Geography,'demographics,'migration'and'xenophobia'
According! to! the! midyear! report! on! population! estimates! for! 2014,! South! Africa! had! a!
population! of! approximately! 54! million! people! (StatsSA,! 2014a:3).! Of! this,! 43.3! million!
(80.2%)!are!classified!as!black!African,!4.5!million!(8.4%)!are!White,!4.7!million!(8.8%)!are!
Coloured!and!1.3!million!are!Indian/Asian!(2.5%).!It!is!estimated!that!slightly!more!than!
half!(51%)!of!the!population!is!female,!approximately!30%!of!the!population!is!under!15!
years! old,! while! 8.4%! is! older! than! sixty! years! (StatsSA,! 2014a:2).! From! an! age!
perspective,!the!statistics!mean!that!38.4%!of!the!population!can!be!seen!as!vulnerable,!
which!emphasise!the!relevance!of!social!development!as!priority!in!South!Africa.!!
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!
With!regard!to!the!nine!provinces!in!South!Africa,!most!of!the!population!lives!in!Gauteng!
(23.9%),!followed!by!KwaZuluDNatal!(19.8%),!the!Eastern!Cape!(12.6%),!the!Western!Cape!
(11.3%)! and! Limpopo! (10.4%)! (StatsSA,! 2014a:3).! Northern! Cape! is! the! least! populated!
province!(2.2%),!followed!by!the!Free!State!(5.2%),!North!West!(6.8%)!and!Mpumalanga!
(7.8%)! (StatsSA,! 2014a:3).! Gauteng! and! the! Western! Cape! are! the! economic! hubs! of!
South! Africa! and! Limpopo,! Eastern! Cape! and! Northern! Cape! the! poorest! provinces!
(StatsSA,!2014b:36).!Figure!3.1!below!indicates!geographic!positioning!of!the!provinces.!!
!
Figure'3.1:'Map'of'South'Africa'indicating'the'nine'provinces''
Population! statistics! cannot! be! considered! without! exploring! the! concept! of! migration!
and! the! intricacies! around! migration! practices! in! South! Africa! and! the! African! region.!
Migration!within!the!country!has!been!part!of!South!Africa’s!history.!In!the!colonial!and!
Apartheid! years! the! government! regulated! the! movement! and! settlement! of! all! nonD
white! population! groups! (Bennett! et! al.,! 2014:2).! People! migrated! to! urban! areas! for!
economic!reasons,!but!were!not!allowed!to!settle!there!with!their!families.!A!pattern!of!
circular!migration!between!urban!and!rural!dwellings,!still!evident!today,!was!established!
(Bennett!et!al.,!2014:2).!After!1994!migration!patterns!did!not!change!as!expected,!and!
!
P a g e !|!57!
with! more! younger! people! and! females! migrating! to! cities,! the! urban! numbers! are!
increasing!whilst!extended!families!remains!in!rural!areas!(Collinson,!2009:1).!
Migration!for!economic!reasons!thus!continues!to!take!place!in!South!Africa.!The!largest!
number!of!people!that!migrate!within!the!country!go!to!Gauteng!and!the!Western!Cape,!
which!are!the!economic!hubs!of!South!Africa!(StatsSA,!2014a:13).!A!significant!number!of!
people! also! migrate! to! Mpumalanga! and! North! West,! provinces! where! there! are!
considerable! mining! and! industrial! activities! (StatsSA,! 2014a:13).! The! Eastern! Cape! and!
Limpopo,! South! Africa’s! poorest! provinces! experience! the! largest! outflow! (StatsSA,!
2014a:13).! Apart! from! ruralDtoDurban! migration,! there! is! substantial! movement! within!
rural!areas!leading!to!the!growth!and!densification!of!informal!settlements!in!these!areas,!
and! a! concentration! of! rural! settlements! next! to! transport! corridors! (NPC,! 2011:20;!
Gelderblom,!2007:249).!!
Migrants! are! vulnerable! members! of! society! (Deumert,! Inder! &! Maitra,! 2005:304),! and!
their! living! conditions! in! their! destination! communities! are! often! poor! (Bennett! et! al.,!
2014:3).! They! have! fewer! social! networks! and! informal! ways! of! social! protection,! and!
often! end! up! in! informal! settlements,! working! in! the! informal! economy,! with! limited!
access! to! housing! and! services! and! are! more! exposed! to! crime! (Cornwell! &! Inder,!
2004:19;! Deumert! et! al.,! 2005:304).! Migrants! are! therefore! at! a! high! risk! to! end! in! a!
downwards!spiral!of!poverty!and!dependence!on!social!protection!measures.!!
People!from!the!South!African!Development!Community!(SADC)!have!been!migrating!to!
South! Africa! for! economic! reasons! since! the! colonial! era! when! labour! for! mining! was!
sourced!in!neighbouring!countries.!This!trend!continues!(Truen!&!Chisadza,!2012:i).!It!is!
estimated! that! approximately! 161! 280! SADC! immigrants! work! in! South! African! mines!
(Truen! &! Chisadza,! 2012:8)! and! between! 18! 000! and! 20! 000! work! in! the! agricultural!
sector!(Truen!&!Chisadza,!2012:10).!No!statistics!of!the!professional!sector!is!available!at!
the!time!of!writing.!!
Truen!and!Chisadza!(2012:23)!estimate!that!there!are!approximately!3.3!million!migrants!
from!SADC!in!South!Africa!–!this!includes!the!illegal!immigrants.!Most!migrants!are!from!
Zimbabwe,!Mozambique,!Lesotho!and!Swaziland,!followed!by!the!Democratic!Republic!of!
the! Congo,! Malawi,! Zambia! and! Botswana.! Namibia,! Angola! and! Tanzania! (Truen! &!
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!
Chisadza,! 2012:23).! Xenophobic! violence! against! black! African! migrants! became! part! of!
the! postDApartheid! South! African! landscape! (Steenkamp,! 2009:441).! What! is! notable!
about! this! violence! is! that! black! South! Africans! mainly! commit! it! against! black! Africans.!
The! nationality! of! the! Africans! is! also! important! and! South! Africans! are! much! more!
tolerant! of! migrants! from! Lesotho,! Swaziland! and! Botswana! than! of! those! from!
Zimbabwe,!Mozambique!and!African!nations!further!away!(Steenkamp,!2009:442).!
The!first!reported!mass!action!against!foreigners!was!in!Alexandra!in!late!1994!and!early!
1995.!It!emerged!again!in!2005!and!reached!its!height!in!May!2008!(Sichone,!2008:255).!
During!the!May!2008!xenophobic!violence,!directed!mostly!against!foreignDborn!Africans,!
62! people! were! killed,! almost! 700! injured! and! thousands! of! people! were! displaced!
(Everatt,!2011:8).!African!foreign!nationals!are!much!more!likely!to!be!victims!of!physical!
violence! in! xenophobia! attacks! in! South! Africa! than! any! other! nationalities! (Matsinhe,!
2011:296;!Everatt,!2011:8).!The!xenophobia!experienced!in!South!Africa!can!be!described!
as!!
!…racist!or!nationalist!sentiment!that!sometimes!grips!entire!countries!and!is!
expressed!more!as!hatred!of,!or!contempt!for,!rather!than!fear!of!foreigners!
and! foreign! things.! More! often! than! not,! it! results! in! violence! against!
foreigners!or!war!against!neighbours.!(Sichone,!2008:255)!!!
Struggles!for!space,!jobs!and!resources!as!well!as!crime!were!cited!as!main!motivation!for!
the!xenophobic!violence!(Abdi,!2011:69;!Everatt,!2011:16;!Steenkamp,!2009:439).!Everett!
(2011:27)!states!that!xenophobia!is!a!symptom!of!something!much!deeper:!the!legacy!of!
violence,! intolerance,! dispossession! and! the! use! of! force! to! settle! disputes.! Abdi!
(2011:695)! echoes! this! sentiment! and! states! that! violence! was! normalised! as! a! tool! of!
social!relations!and!conflict!resolution!under!Apartheid,!and!for!the!poor!the!physical!and!
material!issues!they!face!have!not!really!changed.!!
Migration! and! xenophobia! are! very! relevant! in! the! SIA! field,! especially! in! the! mining!
industry!and!where!large!infrastructure!is!constructed.!This!type!of!project!often!sets!off!
projectDinduced!migration!that!has!significant!impacts!on!local!communities!and!migrants!
alike.!The!management!and!mitigation!of!this!type!of!impact!falls!outside!the!budget!and!
capability! of! most! developers,! as! it! can! only! be! addressed! in! conjunction! with!
!
P a g e !|!59!
government!and!civil!society.!It!needs!longDterm!commitment!and!involvement!and!is!an!
ideal! place! to! integrate! social! development! outcomes! with! social! impact! assessment.!
Migration! is! one! of! the! major! social! change! processes! considered! in! SIA.! The! IFC!
recognised! the! magnitude! of! this! impact,! and! produced! guidelines! to! manage! projectD
induced! inDmigration! (IFC,! 2009).! The! compilation! of! an! influx! management! plan! and! a!
community! safety! plan! are! common! inclusions! in! SIA! processes! in! the! extractives!
industry,! especially! in! a! developing! context.! Such! a! plan! can! present! SIA! with! the!
opportunity!to!introduce!social!development!outcomes.!!
Many!of!the!challenges!that!South!Africa!faces!are!interrelated,!structural!and!need!to!be!
addressed!on!a!strategic!level.!The!growth!in!the!21!years!since!Apartheid!ended!in!1994!
was! not! sufficient! to! accommodate! the! local! population! or! the! inDmigration! and! hence!
many! people! remain! marginalised! and! excluded.! The! next! section! reflects! on! South!
African!culture,!the!role!that!race!plays!and!has!played!historically!in!society,!the!legacy!of!
Apartheid,! and! the! attempts! at! reconciliation.! These! aspects! form! an! important! part! of!
the!South!African!identity,!and!influence!SIA!practice.!
3.3.2 Culture,'race'and'reconciliation'
South! Africa! is! a! culturally! diverse! and! multiDlingual! society.! The! Constitution! of! the!
Republic! of! South! Africa! 1996! identifies! eleven! official! languages:! Sepedi,! Sesotho,!
Setswana,! siSwati,! Tshivenda,! Xitsonga,! Afrikaans,! English,! isiNdebele,! isiXhosa! and!
isiZulu.! Apart! from! these! languages! the! Khoi,! Nama! and! San! languages,! sign! language,!
Arabic,!German,!Greek,!Gujarati,!Hebrew,!Hindi,!Portuguese,!Sanskrit,!Tamil,!Telugu!and!
Urdu!are!also!mentioned!in!the!Constitution!as!languages!that!need!to!be!respected!as!
they!are!spoken!by!sectors!of!the!South!African!society.!It!must!be!acknowledged!that!the!
multiDlingual! nature! of! the! South! African! society! contributes! to! the! complexity! levels!
when! conducting! an! SIA,! as! participation! in! the! process! often! hinges! on! appropriate!
communication! (Parsons! &! Moffat,! 2014:275),! of! which! communication! in! the! language!
of!choice!is!significant.!Participation!in!development,!active!citizenship!and!individual!and!
collective! empowerment! are! essential! to! ensure! social! development! outcomes! (Patel! &!
Hochfeld,! 2013:692),! and! this! can! only! take! place! if! affected! communities! are! truly!
enabled! to! participate! in! a! language! of! their! choice.! From! experience! the! researcher!
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!
knows!that!interpreters!are!often!used!when!conducting!SIA!fieldwork!in!South!Africa!to!
include!the!voice!of!the!people!in!SIAs.!
South! Africa! is! colloquially! referred! to! as! the! rainbow! nation! due! to! the! diversity! of!
languages,!culture!and!race.!The!concept!of!“culture”!in!South!Africa!is!complex.!Culture!
can! be! described! as! a! filter! through! which! the! environment! is! seen! and! a! shared!
perception!that!defines!“who!we!are!and!who!we!are!not”!(Smith!&!Stones,!2001:161).!
The!expression!of!one’s!culture!is!also!seen!as!a!human!right!(see!Chapter!2,!Section!2.3)!
under!the!International!Covenant!on!Economic,!Social!and!Cultural!Rights!that!came!into!
place!in!1966!(Reichert,!2011:210),!and!was!signed!and!ratified!by!South!Africa!(Claiming!
Human!Rights!in!South!Africa,![sa]).!
In!colonial!societies!racial!and!cultural!differences!were!used!as!the!basis!for!social!and!
political!oppression!and!discrimination!(Garuba!&!Raditlhalo,!2008:35).!This!practice!laid!
the! foundations! for! Apartheid,! where! race! was! used! as! the! overarching! basis! for!
discrimination! and! culture! was! employed! as! the! rationale! for! dividing! the! country! into!
various! “homelands”! or! Bantustans! (Garuba! &! Raditlhalo,! 2008:41).! Concepts! such! as!
“race”! and! “tribe”! had! social! and! political,! rather! than! purely! physical,! meaning! and!
reference!in!South!Africa!(Boonzaier,!1988:58).!The!political,!social!and!economic!status!
of! every! individual! in! South! Africa! was! conditioned! or! predetermined! by! his/her! race!
during! the! Apartheid! era! (Boonzaier,! 1988:58).! Apartheid! was! an! unambiguous! human!
rights! infringement,! since! cultural! rights! form! part! of! the! second! order! human! rights!
group!and!everyone!has!the!right!to!express!their!culture,!language,!religion!and!patterns!
of! social! engagement! without! any! discrimination! (Honey,! 2009:232).! Race! was! used! to!
divide!the!population!of!the!country,!and!tribe!was!used!to!indicate!subDdivisions!within!
the!African!race!specifically!(Skalník,!1988:69).!!
Dominated! groups! saw! culture! and! language! as! instruments! of! resistance! and! a! way! of!
reclaiming!and!reaffirming!an!African!identity.!Not!only!black!groups!used!culture!as!an!
instrument! of! resistance! in! South! Africa.! The! growth! of! Afrikaner! nationalism! amongst!
white!South!Africans!can!be!seen!as!a!response!to!suppression!by!the!British,!and!in!postD
Apartheid!South!Africa!the!Afrikaners!almost!instinctively!turned!to!culture!and!language!
as! instruments! of! identity! (Garuba! &! Raditlhalo,! 2008:41).! In! this! way! the! white! race!
!
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group! also! developed! subdivisions! with! associated! prejudices.! Recent! trends! are! to! use!
culture!as!a!tool!to!construct!new!identities!(Garuba!&!Raditlhalo,!2008:41).!Where!in!the!
past!the!Western!way!of!doing!things!were!seen!as!civilised,!modern!and!progressive,!as!
opposed! to! primitive,! backward! and! conservative,! it! is! now! increasingly! acknowledged!
that! to! a! large! extent! Western! modernity! poses! a! significant! threat! to! the! natural!
environment! and! that! some! wisdom! is! to! be! found! in! doing! things! in! traditional! ways!
(Boonzaier!&!Spiegel,!2008:197).!!
Culture!is!not!only!important!from!a!human!rights!perspective,!but!is!also!an!important!
consideration! in! SIA! and! is! included! in! the! Values! and! Principles! of! SIA! (Vanclay,! 2003).!
Any! participatory! process! should! be! conducted! in! a! culturally! sensitive! manner,! even!
more!so!in!the!South!African!context!where!it!forms!such!an!important!part!of!reclaiming!
an!identity!lost!by!political!processes.!!
Many!South!Africans!are!materially!no!better!off!21!years!after!Apartheid!than!they!were!
during!the!Apartheid!years!(NPC,!2012:24).!South!Africa!is!still!a!divided!society!and!race!
remains! a! key! factor! shaping! inequality! and! vulnerability! with! black! Africans! being! the!
worstDoff! (Erasmus,! 2008:172;! Leibbrandt,! Woolard,! Finn! &! Argent,! 2010:12;! NPC,!
2012:24;! Smith! &! Stones,! 2001:158).! There! are! also! substantial! withinDrace! inequalities!
amongst!black!and!white!South!Africans,!and!it!is!increasing!(Organisation!for!Economic!
CoDoperation! and! Development! (OECD),! 2013:25).! South! Africa’s! Gini! coefficient! (an!
indicator!of!the!income!gap!between!the!rich!and!the!poor!within!a!country)!of!around!
0.69!is!amongst!the!highest!in!the!world!(NPC,!2012:34).!This!is!a!matter!of!concern,!as!
inequality! negatively! affects! economic! growth,! poverty! reduction,! social! and! economic!
stability! and! social! development! (UN,! 2013b:21).! From! an! SIA! perspective,! it! must! be!
considered!that!SIA!practitioners!in!South!Africa!form!part!of!an!unequal!society,!and!just!
by!virtue!of!their!education,!position!and!opportunities,!will!assume!a!position!of!power!if!
they!work!in!a!poor!community!where!there!are!high!unemployment!and!low!educational!
levels.!
In! the! twentyDone! years! since! South! Africa! became! a! democracy! in! 1994! there! was!
significant! progress! in! many! areas! such! as! improved! access! to! health! care,! education,!
water,! electricity,! housing! and! social! security! for! all! South! Africans! (NPC,! 2012:24).! The!
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!
most! important! item! on! the! agenda! of! the! government! was! the! social,! political! and!
economic! integration! of! all! South! Africans,! especially! those! who! suffered! most! from!
Apartheid!(Spaull,!2012:2).!Reconciliation!was!high!on!the!agenda,!and!the!focus!on!the!
psychological! and! interpersonal! aspects! were! so! strong! that! material! aspects! lagged!
behind!and!structural!poverty!persisted!(Wale,!2013:8)!(See!Chapter!2,!section!2.2.2!for!a!
detailed!discussion!on!poverty!and!inequality).!Structural!inequality!is!one!of!the!legacies!
of!Apartheid!that!is!the!most!challenging!to!overcome!(Phillips,!2010:4),!and!citizens!see!
economic!inequality!and!material!injustice!as!the!biggest!obstacle!to!reconciliation!(Wale,!
2013:8).! However,! tension! based! on! race! persists! in! current! South! African! society! and!
political! activity! remains! racially! based! (Bradshaw! &! Haines,! 2014:5),! so! the! attempted!
social! and! political! reconciliation! is! questionable.! Without! the! political! will! to! change!
racial!tension!in!South!Africa,!this!situation!will!continue.!Professor!Charles!VilllaDVicencio,!
a! researcher! at! the! Institute! of! Justice! and! Reconciliation! in! Cape! Town,! claims! that!
political!reconciliation!has!failed!and!offers!the!following!solution!(VillaDVicencio,!2013):!
!Perhaps! we! should! declare! a! moratorium! on! the! word! ‘reconciliation’,!
focusing! instead! on! the! hindrances! to! simple! coDexistence.! These! include!
poverty,! joblessness,! gangsterism,! sexual! violence,! landlessness,! terrible!
education! and! disease.! If! we! manage! to! redress! these,! maybe,! but! only!
maybe,!reconciliation!will!look!after!itself.!We!know!what!the!obstacles!to!coD
existence!and!reconciliation!are.!It!is!not!knowledge!we!lack,!but!the!courage!
to!do!something!about!these!things.!
Inclusive! development! and! economic! transformation! is! vital! to! South! Africa’s! future!
(Wale,! 2013:8),! but! it! is! not! enough.! South! Africa! will! remain! a! divided! society! and!
struggle!to!achieve!the!social!and!economic!objectives!set!out!in!the!Constitution!of!the!
Republic!of!South!Africa!1996,!if!poverty!and!inequality!are!not!addressed!(NPC,!2012:35),!
but! it! must! be! acknowledged! that! addressing! systemic! racism! and! building! a! cohesive!
society!also!plays!an!important!role!in!uniting!the!people!of!South!Africa!(NPC,!2012:471D
472).!!!
Another!legacy!of!Apartheid,!and!symptom!associated!with!a!society!in!transition,!is!high!
crime! levels.! Crime! and! corruption! are! part! of! the! South! African! landscape.! The! South!
!
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African! crime! rates! are! amongst! the! highest! in! the! world! (Demombynes! &! Özler,!
2005:265).!South!Africa!ranks!67!out!of!175!countries!on!the!Corruption!Perception!Index!
of!Transparency!International!with!1!being!the!least!corrupt!and!175!being!most!corrupt!
(Transparency! International,! 2014).! On! a! scale! of! 0! (highly! corrupt)! to! 100! (very! clean)!
South! Africa! scores! 44! points! (Transparency! International,! 2014).! The! Global!
Competitiveness!Report!ranks!South!Africa!133!out!of!144!regarding!the!business!cost!of!
crime,! 99! out! of! 144! regarding! organised! crime! and! 102! out! of! 144! regarding! the!
reliability! of! the! police! services! (WEF,! 2014:340).! South! Africa’s! murder! rate! is!
approximately!five!times!higher!than!the!global!average!in!2013!(AfricaCheck,!2014).!The!
South! African! Police! Services! ascribe! murders! to:! aggravated! robberies,! domestic!
violence,! alcoholDrelated! arguments,! drug! and! substance! abuse,! factionDfighting,! violent!
unrest!(particularly!labour!unrest!in!the!mining!sector),!illicitDmining!related!killings,!gangD
related! killings,! great! number! of! knives! and! firearms! available,! sexualDrelated! offences,!
crossDborder!crimes!related!to!carDhijacking,!taxi!violence,!stock!theft,!economic!refugees!
targeted! as! cash! bases,! densely! populated! informal! settlements! and! drugDwars! (SAPS,!
2013:13).!In!2012!one!in!every!five!(22.2%)!learners!had!been!a!victim!of!school!violence!
in! South! Africa! (Burton! &! Leoschut,! 2012:11).! There! is! a! correlation! between! some! of!
these!aspects!and!poverty,!inequality,!unemployment!and!migration.!It!is!not!uncommon!
for!desperate!people!to!turn!to!crime!as!a!livelihood!strategy!in!order!to!survive.!
Apartheid!had!a!severe!effect!on!South!African!society,!and!from!the!discussion!above!it!
can!be!reasoned!that!this!negative!impact!persists!more!than!two!decades!later.!Spatial!
patterns!were!disturbed,!economic!and!social!development!stunted!and!the!humaneness!
of!a!nation!has!been!damaged.!According!to!the!White!Paper!on!Local!Government!(RSA,!
1998b)!one!of!the!ways!in!which!the!new!government!attempted!to!rebuild!communities!
and!to!address!some!of!the!issues!was!via!the!actions!of!local!government.!!
The!next!section!will!discuss!the!South!African!government!and!administration!system!in!
order!to!provide!insight!in!the!role!of!local!government!in!a!developmental!society.!It!is!
important! to! understand! how! government! works! from! an! SIA! perspective,! considering!
the! recommendations! of! SIAs! and! in! alignment! with! adopting! social! development! as! a!
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!
priority! to! address! poverty! and! inequality,! government! is! well! positioned! being! the!
designated!authority!in!ensuring!social!development!outcomes.!!
3.4 Government'and'administration'
South!Africa!is!a!constitutional!democracy,!which!means!that!the!governing!structures!are!
designed!to!support!the!will!of!the!majority!whilst!simultaneously!protecting!the!rights!of!
minorities! (RSA,! 2013b:286).! The! structures,! powers! and! limits! of! government! are!
described!in!the!Constitution!(RSA,!2013b:286).!There!is!a!threeDtier!government!system!
consisting! of! national,! provincial! and! local! government.! All! three! levels! of! government!
have!legislative!and!executive!powers!in!their!own!domain!(RSA,!2013b:286).!Each!level!of!
government!is!responsible!for!a!different!aspect!of!service!delivery:!national!government!
must! deliver! protection! services,! bulk! services! and! part! of! the! transport! network;!
provincial! government! must! deliver! housing,! schools! and! clinics! and! local! municipalities!
are! responsible! for! planning,! water! delivery,! electricity,! sanitation! and! refuse! removal!
(NPC,!2012:45).!
The!national!government!has!its!legislative!authority!in!Parliament.!Parliament!comprises!
the! National! Assembly! and! the! National! Council! of! Provinces! (NCOP)! (RSA,! 2013b:287).!
The!National!Assembly!is!elected!for!five!years,!represents!the!people!through!a!system!
of!proportional!representation!and!elects!the!president!of!the!country!(RSA,!2013b:287).!
The!NCOP!represents!provincial!interests!and!needs!a!mandate!from!the!provinces!before!
it! can! make! decisions! (RSA,! 2013b:288).! Each! province! in! South! Africa! has! its! own!
legislature!whose!members!are!elected!via!a!system!of!proportional!representation.!The!
head!of!the!province!is!the!Premier!who!is!appointed!by!the!President!(RSA,!2013b:297).!!
The! Constitution! of! the! Republic! of! South! Africa! 1996! allows! for! three! types! of!
municipalities! namely! metropolitan,! district! and! local! municipalities.! There! are! 8!
metropolitan,! 44! district! and! 226! local! municipalities! in! South! Africa! (RSA,! 2013b:299).!
One! of! the! aims! of! the! system,! which! is! embedded! in! South! African! legislation! in! the!
Municipal!Systems!Act!32!of!2000,!is!to!ensure!that!local!government!truly!represents!its!
constituency.! There! is! a! distinction! between! political! and! administrative! positions.! This!
presents! a! challenge! to! local! government! because! the! South! African! election! system! is!
not!based!on!constituencies,!but!members!of!parliament!are!elected!from!a!party!list.!The!
!
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result!is!that!constituencies!often!feel!that!their!interest!is!not!represented!in!parliament,!
but!that!politicians!rather!serve!their!own!interest!(Mpehle,!2012:224).!Local!government!
is!the!closest!form!of!government!to!communities!on!the!ground,!and!it!is!important!that!
there!is!a!direct!interface!between!communities!and!this!sphere!of!government.!From!an!
SIA!perspective,!local!and!provincial!government!are!usually!engaged!in!the!SIA!process!
via! consultation,! but! the! EIA! authorisation! process! (of! which! SIA! forms! part)! sits! with!
either!the!National!Department!of!Environmental!Affairs,!or!with!a!provincial!department!
responsible! for! the! environment! with! is! mandated! by! Section! 24C! of! the! National!
Environmental!Management!Act!107!of!1998.!The!local!municipalities!are!consulted,!but!
do!not!have!the!authority!to!make!decisions!about!whether!a!project!continues!or!not.!!
The! White! Paper! on! Local! Government! (RSA,! 1998b)! introduced! the! concept! of!
developmental$ local$ government$to! South! Africa,! which! committed! local! government! to!
work! with! citizens! and! groups! in! the! community! to! find! sustainable! ways! to! meet! their!
social,!economic!and!material!needs!and!improve!the!quality!of!their!lives!(Cooperative!
Governance!and!Traditional!Affairs![CoGTA],!2009a:12).!This!resonates!with!the!principles!
supported! by! the! White! Paper! for! Social! Welfare! (RSA,! 1997)! which! focuses! on! social!
rights! and! equity,! partnerships! between! the! public! sector! and! civil! society! and! an!
integration!of!welfare!services!with!economic!development!(Patel,!2005:1)!
Developmental$ local$ government$ gives! communities! the! right! to! participate! in! decisions!
that! support! development! in! their! area,! but! it! also! gives! local! government! the!
responsibility!to!encourage!community!participation!in!local!government!matters!(CoGTA,!
2009a:13).!All!South!African!municipalities!are!demarcated!into!wards.!A!ward!councillor!
and! a! ward! committee! of! ten! elected! members! lead! each! ward.! Ward! councillors! and!
committees!are!important!stakeholders!in!the!SIA!process,!and!in!practice!they!are!often!
the! first! people! that! an! SIA! practitioner! engages! with.! The! wards! form! the! basis! of!
participatory!and!democratic!local!government.!Although!this!system!theoretically!seems!
sound,! there! are! challenges! on! a! practical! level! and! from! a! recent! report! on! service!
delivery!it!transpires!that!these!committees!do!not!function!optimally!(CoGTA,!2009a:14).!!
The!South!African!governance!system!also!recognises!the!role!and!authority!of!traditional!
leaders! in! the! Traditional! Leadership! and! Framework! Act! 41! of! 2003.! The! areas! under!
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!
traditional!control!cover!about!20%!of!the!country’s!land!area!and!21%!of!its!population!
(CoGTA,! 2009a:17).! These! areas! only! contribute! 3%! to! the! economy! of! the! country! and!
this! has! consequences! for! the! socioDeconomic,! demographic! and! governance! conditions!
in! these! areas! (CoGTA,! 2009a:17),! and! for! social! development,! as! these! areas! are! often!
poor!and!in!dire!need!of!development.!Many!municipalities!have!indicated!that!there!is!a!
poor! working! relationship! between! themselves! and! the! traditional! authorities! (CoGTA,!
2009a:17).!Both!traditional!and!local!authorities!must!be!consulted!in!any!SIA!process!to!
avoid!conflict!and!power!struggles.!In!practice,!consulting!with!traditional!authorities!can!
be! timeDconsuming! due! to! the! protocols! required! and! the! fact! that! decisionDmaking!
processes!in!traditional!communities!are!protracted!(O’Faircheallaigh,!1999:64).!This!does!
not!always!fit!in!with!the!timeframes!allowed!for!SIA!studies.!!
The! White! Paper! on! Local! Government! (RSA,! 1998b)! envisaged! a! new! vision! for! postD
Apartheid! society! with! idealistic! outcomes! (Powell,! 2012:12).! TwentyDone! years! after!
democracy! it! is! clear! that! many! of! the! outcomes! have! not! been! attained.! Powell!
(2012:12)!describes!current!local!government!as!follows:!
!Formal!electoral!competition!coexists!with!increasingly!violent!public!protests!
between! elections.! Pockets! of! performance! endure! amidst! systemic!
corruption! and! mismanagement.! And! the! expectations! of! policyDmakers!
continually!exceed!local!delivery!capacity!and!the!skills!base!of!the!economy.!
Local!government!is!a!reflection!of!South!African!society,!and!it!is!the!deeper!
fault! lines! in! our! society! which! have! consistently! shaped! the! design! and!
impact!of!policy.!
In! a! review! conducted! by! the! Department! of! Cooperative! Governance! and! Traditional!
Affairs! it! transpired! that! local! government! is! in! distress! and! that! it! faces! a! number! of!
challenges! (CoGTA,! 2009a:4).! Politics! and! corruption! have! contributed! to! the! demise! in!
municipal!functioning!(CoGTA,!2009a:10).!Acknowledging!that!local!government!is!a!key!
part! of! reconstructing! and! developing! the! country,! and! that! there! are! significant!
development!risks!if!local!development!fails,!the!Department!of!Cooperative!Governance!
and!Traditional!Affairs!created!a!Local!Government!Turnaround!Strategy!(LFTAS)!in!2009,!
which! entailed! a! five! year! plan! (CoGTA,! 2009b:3).! There! were! two! major! driving! forces!
!
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behind!the!LFTAS,!first!the!increase!in!community!discontent!about!service!delivery!which!
started!to!manifest!in!service!delivery!protests!that!caused!significant!financial!damage!to!
private! and! state! property,! and! second! the! fact! that! 279! out! of! the! then! 283!
municipalities! received! poor! audit! opinions! in! the! 2007/2008! audit! cycle! (Kroukamp,!
2011:37).!!
The! LFTAS! had! three! key! priority! areas,! namely! improving! access! to! basic! services;!
deepening! participatory! democracy;! and! improving! financial! administration! and!
managerial! capacity! (Powell,! 2012:21).! Almost! five! years! later! it! does! not! look! as! if! the!
strategy! was! successful,! as! the! number! of! service! delivery! protests! in! South! Africa! has!
increased!significantly!in!the!last!five!years!(see!Chapter!2,!Section!2.2.2.2!for!a!discussion!
on! service! delivery! protests)! and! in! the! 2013D14! financial! year! only! 58! (17%)! ! of! South!
Africa’s!278!municipalities!received!clean!audits,!with!only!two!of!the!eight!metropolitan!
municipalities!amongst!those!(RSA,!2015).!The!bad!performance!of!local!government!has!
dire! implications! for! SIA! and! social! development.! Participation,! which! is! a! key!
characteristic! of! both! SIA! and! social! development,! is! threatened! by! the! inability! of! the!
local! government! to! meet! the! need! of! the! affected! communities.! SIA! is! conducted! at!
grassroots!levels,!and!requires!SIA!practitioners!to!work!in!communities.!There!have!been!
incidences! where! SIA! practitioners! could! not! enter! communities! due! to! protests,! or!
otherwise!needed!police!protection!to!do!so!(Muller,!2014).!On!more!than!one!occasion!
the!researcher!was!prevented!from!entering!communities!to!conduct!SIA!fieldwork!due!to!
unrest! in! the! community,! either! by! gatekeepers! advising! her! not! to! enter,! or! being!
physically! prevented! by! road! blocks! and! burning! tires.! This! clearly! leads! to! a! power!
imbalance! where! SIA! practitioners! submit! reports! without! proper! consultation,! thus!
losing! the! voice! of! the! community,! or! where! powerful! community! members! intimidate!
the! less! powerful! and! do! not! allow! them! to! participate! in! the! process.! Furthermore,!
possible!human!rights!infringements!may!take!place,!either!through!physical!violence!or!
through! lack! of! participation! and! choice,! but! these! scenarios! are! a! reality! for! SIA!
practitioners!in!South!Africa.!The!best!international!practice!of!SIA!will!be!discussed!in!the!
next!section.!!
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!
3.5 Social'Impact'Assessment'international'best'practice''
Although!SIA!is!practiced!in!South!Africa,!there!is!a!gap!in!the!literature!about!SIA!in!the!
South!African!context,!and!the!SIA!community!of!practitioners!relies!on!the!international!
SIA!community!for!guidance!on!best!practice!and!new!trends.!The!aim!of!this!section!is!to!
discuss!the!current!international!best!practice!in!the!SIA!field,!and!to!relate!it!back!to!the!
South!African!situation.!
Outside!of!South!Africa!SIA!is!a!field!of!research!as!well!as!a!framework!used!to!manage!
the! social! issues! associated! with! development! (Esteves,! Franks! &! Vanclay,! 2012:34).!
Originally! SIA! was! only! viewed! as! a! technique! for! predicting! impacts! as! part! of! an!
Environmental! Impact! Assessment! (EIA)! process.! As! the! field! of! SIA! developed,! the!
understanding! of! the! real! extent! of! social! impacts! expanded,! and! the! official! definition!
adopted!by!the!International!Association!for!Impact!Assessment!(IAIA)!reflects!this.!SIA!is!
defined!as:!
The!process!of!analysing!(including!predicting,!evaluating!and!reflecting)!and!
managing! the! intended! and! unintended! consequences! of! planned!
interventions!(policies,!programs,!plans,!projects)!on!the!human!environment!
and! any! social! change! processes! invoked! by! those! interventions! in! order! to!
bring! about! a! more! sustainable! and! equitable! biophysical! and! human!
environment!(Vanclay,!2003:6).!
The! SIA! process! is! well! established! (compare! Burdge,! 2004;! Taylor,! Bryan! &! Goodrich,!
1995;!Finsterbusch,!1995;!Interorganizational!Committee,!2003;!Vanclay,!1999).!Based!on!
the!established!process!and!taking!new!trends!in!the!field!into!consideration!Esteves!et!al.!
(2012:35)!identify!current!international!good!practice!in!SIA!as!follows:!!
•
Create!a!participatory!process!and!space!for!community!discussions!about!future!
outcomes,! acceptability! of! likely! impacts! and! benefits! and! community! input! into!
the!SIA!process.!This!will!assist!the!community!to!negotiate!an!agreement!with!the!
developer!based!on!Free,!Prior,!Informed!Consent!(FPIC).!!
•
Get! a! good! understanding! of! the! communities! likely! to! be! affected! by! the!
proposed! development.! This! includes! a! stakeholder! analysis! to! assist! with!
!
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understanding! the! different! needs! and! interest! of! various! sectors! in! the!
communities.!!
•
Identify!community!needs!and!objectives.!
•
Scope! the! key! social! issues,! including! negative! impacts! and! opportunities! for!
creating!benefits.!!
•
Collect!baseline!data.!!
•
Forecast!the!social!changes!that!may!result!from!the!proposed!project.!
•
Establish!the!significant!changes!that!may!result!from!the!proposed!changes!and!
predict!how!the!various!affected!parties!may!respond.!!
•
Examine!other!options.!
•
Identify! ways! of! mitigating! negative! impacts! and! maximising! positive!
opportunities.!
•
Develop!a!monitoring!plan!to!inform!the!management!of!change.!
•
Facilitate!an!agreementDmaking!process!between!communities!and!the!developer!
to!ensure!the!FPIC!principles!are!followed!and!human!rights!are!respected,!leading!
to!the!drafting!of!an!Impact!and!Benefit!Agreement!(IBA).!!
•
Draft! a! Social! Impact! Management! Plan! (SIMP)! that! activates! all! benefits,!
mitigation!measures,!monitoring!and!governing!arrangements!that!were!agreed!to!
in!the!IBA.!The!SIMP!must!also!include!plans!for!dealing!with!unanticipated!issues.!
•
Put!processes!in!place!to!assist!all!parties!involved!to!implement!the!IBA!and!SIMP!
and!to!internalise!it!in!their!organisations.!!
A!number!of!concepts!that!emerged!recently!in!the!SIA!field!are!included!in!the!process.!
Concepts!like!FPIC,!IBA!and!SIMP!are!not!frequently!used!in!the!South!African!context,!or!
different! terminology! is! used! to! describe! the! concepts.! These! concepts! require!
elaboration! and! a! critical! review! particularly! in! respect! of! their! relevance! in! the! South!
African!context.!!
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!
3.5.1 Free,'Prior,'Informed'Consent'
Free,! Prior,! Informed! Consent! (FPIC)! means! that! communities! decide! whether! or! not! to!
allow! projects! that! affect! their! land! and! resources! to! continue,! and! on! what! terms!
(Swiderska,! Milligan,! Kohli,! Shrumm,! Jonas,! Hiemstra! &! Oliva,! 2012:25).! It! is! a! concept!
used! to! protect! the! human! rights! of! indigenous! peoples,! as! it! is! recognised! that! many!
states! have! failed! to! protect! the! rights! of! marginalised! people! (Szablowski,! 2010:112).!
From!a!legal!perspective!FPIC!is!currently!provided!exclusively!for!indigenous!and!other!
traditional! people! (Hanna! &! Vanclay,! 2013:148).! The! International! Labour! Organisation!
(ILO)! adopted! the! Indigenous$ and$ Tribal$ Peoples$ Convention,! known! as! ILO! 169! in! 1989!
(Baker,!2012:676;!Esteves!et!al.,!2012:37).!ILO!169!advocates!FPIC,!and!was!followed!by!
the! United! Nations! Declaration! on! the! Rights! of! Indigenous! Peoples! in! 2007! (Baker,!
2012:676;!Esteves!et!al.,!2012:37).!FPIC!is!a!human!rights!concept!with!legal!standing!in!
certain!jurisdictions!(Vanclay!&!Esteves,!2011:7).!ILO!169!recognises!and!safeguards!the!
special! relationship! between! indigenous! peoples! and! their! land.! Article! 7! states! that!
indigenous! and! tribal! peoples! have! the! right! to! “…decide! their! own! priorities! for! the!
process!of!development!as!it!affects!their!lives,!beliefs,!institutions!and!spiritual!wellbeing!
and!the!lands!they!occupy!or!otherwise!use,!and!to!exercise!control!over!their!economic,!
social!and!cultural!development”!(ILO!169,!1989).!The!convention!does!not!define!whom!
traditional!and!tribal!peoples!are,!but!provides!some!guidance!to!assist!selfDidentification.!
South!Africa!has!not!ratified!ILO!169!(ILO![sa]),!and!this!has!negative!implications!for!SIA!
and! social! development,! especially! when! dealing! with! indigenous! groups! who! may! be!
marginalised!and!disadvantaged.!!
There! is! a! discourse! about! the! meaning! of! the! term! “indigenous”,! as! it! is! applied! in!
different! international! contexts.! The! United! Nations! states! that! there! is! no! universal!
definition!for!indigenous!peoples,!partially!because!indigenous!peoples!themselves!have!
refused! to! be! defined! as! they! deem! it! discriminatory! and! unnecessary! (United! Nations!
Environment!Programme![UNEP],!2012:3).!The!United!Nations!identified!a!set!of!criteria!
that! assists! with! determining! whether! a! group! can! be! seen! as! indigenous! or! not.! SelfD
identification! as! indigenous! or! tribal! is! a! key! criteria.! Other! criteria! include! having! a!
historical! connotation! with! a! region! before! colonialisation;! strong! links! to! territories,!
ecosystems! and! surrounding! natural! resources;! maintaining! distinct! social,! political! and!
!
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economic!systems;!maintaining!distinct!language,!culture,!belief!and!knowledge!systems;!
resolve! to! maintain! and! further! develop! their! identity! as! distinct! peoples! and!
communities,!and!often!forming!nonDdominant!sectors!of!society!(UNEP,!2012:4).!
No! criteria! for! identifying! indigenous! people! exist! in! South! Africa,! as! it! views! all! black!
people! as! indigenous! (Chennels! &! Du! Toit,! 2004:98;! Mukundi,! 2009:1;! Sapignoli! &!
Hitchcock,!2013:356).!The!term!‘indigenous’!is!mostly!used!to!refer!to!the!language!and!
legal! customs! of! the! majority! black! population! (Chennels! &! Du! Toit,! 2004:98;! Mukundi,!
2009:1;! Sapignoli! &! Hitchcock,! 2013:356).! According! to! the! United! Nations! criteria,! the!
various! San! groups,! Nama! and! Griqua! are! the! only! indigenous! groups! in! South! Africa!
(Chennels! &! Du! Toit,! 2004:98;! Mukundi,! 2009:1).! In! South! Africa! these! groups! are!
included!in!the!category!of!vulnerable,!marginalised!communities!(Sapignoli!&!Hitchcock,!
2013:356).! Smith,! Nindi! and! Beckhaus! (2011:15)! state! that! the! distinction! between!
indigenous! and! other! local! communities! has! little! practical! or! legal! relevance! in! Africa.!
Perhaps! the! term! “vulnerable! communities”! is! more! appropriate! in! the! South! African!
context,! as! it! transcends! racial! and! cultural! boundaries.! It! is! important! to! consider! that!
indigenous! rights! do! not! imply! that! these! groups! have! additional! or! special! rights,! but!
that! they! are! marginalised! and! need! assistance! to! protect! their! basic! human! rights!
(International! Work! Group! for! Indigenous! Affairs! [IWGIA],! 2006:12;! Hays! &! Biesele,!
2011:4).!Vulnerable!communities!will!have!similar!challenges,!and!therefore!need!similar!
protection!from!an!SIA!perspective.!The!right!to!selfDdetermination!is!a!basic!human!right!
(Dominelli,! 2012:98),! a! right! that! is! often! compromised! when! dealing! with! vulnerable!
communities,!and!this!right!is!one!of!the!pillars!of!FPIC.!!
Each!of!the!words!constituting!FPIC!contributes!meaning!to!the!term!(Vanclay!&!Esteves,!
2011:6).!Free$means!that!there!should!be!no!coercion,!intimidation!or!manipulation,!and!
that! there! should! be! no! retaliation! if! a! community! withhold! consent.! Prior! implies! that!
consent! must! be! sought! and! received! before! any! activity! starts! and! adequate! time! for!
consultation! and! consensus! processes! must! be! allowed.! Informed! means! that! people!
should! receive! enough! information! about! the! proposed! project! and! its! potential!
consequences!to!really!understand!the!implications.!The!information!should!be!accessible!
and! in! a! language! that! the! affected! community! understands.! Consent! means! that!
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!
communities! have! a! real! choice! and! can! say! yes! or! no! to! a! project! (compare! Barelli,!
2012:3;!Hanna!&!Vanclay,!2013:150;!Hill,!Lilywhite!&!Simon,!2010:9;!Vanclay!&!Esteves,!
2011:6).!!
The! concept! that! communities! can! “veto”! developments! and! therefore! have! rights! that!
impact! on! the! control! of! the! state! over! natural! resources! and! national! legislation! is!
causing! some! controversy! (compare! Baker,! 2012:686;! Barelli,! 2012:2;! Hanna! &! Vanclay,!
2013:151,! 153).! Apart! from! the! practical! challenges! involved,! such! as! dealing! with!
community!dynamics!and!identifying!voices!to!speak!on!behalf!of!communities,!it!must!be!
acknowledged!that!the!project!cycle!has!proceeded!quite!far!at!the!stage!where!impact!
assessors!get!involved,!and!in!reality!the!FPIC!process!should!be!initiated!much!earlier!in!
the! process.! FPIC! is! now! seen! as! an! aspirational! goal! rather! than! a! legal! requirement!
(Baker,!2012:686;!Hanna!&!Vanclay,!2013:151).!!!
The! International! Finance! Corporation! (IFC),! an! important! roleDplayer! in! the! field! of!
structural!development,!does!not!support!the!“veto”!right!of!communities!(IFC,!2012:49).!
Performance!Standard!7,!which!deals!with!Indigenous!Peoples,!states!that!FPIC!does!not!
necessarily!requires!agreement!and!may!be!achieved!even!if!individuals!and!groups!in!the!
community! explicitly! disagree.! The! focus! is! on! goodDfaith! negotiation! between! the!
proponent! and! the! affected! communities! (IFC,! 2012:49).! Baker! (2012:688)! explains! that!
the!IFC!interprets!FPIC!as!consultation!plus!something!else,!and!that!“consent”!does!not!
mean!consent,!but!rather!a!robust!consultation!process!that!is!recorded!in!writing.!This!
means! communities! should! be! consulted! properly! about! their! fate! in! big! development!
projects,!but!do!not!really!have!the!last!say.!From!this!perspective,!companies!use!FPIC!as!
a! way! to! obtain! a! social! licence! to! operate,! which! can! be! described! as! an! informal!
mechanism! that! relates! to! the! way! in! which! corporates! and! their! activities! meet! the!
expectations! of! the! communities! in! which! they! operate! (Vanclay! &! Esteves,! 2011:6),!
rather!than!an!altruistic!tool!to!ensure!human!rights.!A!social!licence!to!operate!mitigates!
social! risks! to! a! company’s! operation! (Baker,! 2012:674).! The! International! Council! on!
Mining!and!Metals’!(ICMM)!position!statement!on!Indigenous!Peoples!and!Mines!(ICMM,!
2013)! also! stresses! goodDfaith! negotiation,! but! acknowledges! the! right! of! indigenous!
peoples!to!give!or!withhold!their!consent!for!projects.!The!commitments!in!the!position!
!
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statement!must!be!implemented!by!May!2015.!The!South!African!Chamber!of!Mines!is!a!
member!association!of!the!ICMM,!and!leading!mining!houses!with!mines!in!South!Africa!
such! as! African! Rainbow! Minerals,! Anglo! American,! Xstrata,! BHP! Billiton,! Anglo! Gold!
Ashanti!and!Goldfields!are!member!companies.!This!will!bring!the!FPIC!requirement!into!
the!centre!of!South!African!environmental!practice,!as!mining!is!one!of!the!pillars!of!the!
economy! and! subject! to! environmental! legislation.! It! is! clear! that! there! are! different!
interpretations!of!what!FPIC!means!and!how!to!implement!it!in!practice.!!
SIA!can!contribute!to!the!FPIC!process!by!providing!information,!consultation!processes!
and!linking!relevant!parties.!Vanclay!and!Esteves!(2011:7)!claim!that!the!series!of!steps!to!
obtain!FPIC!is!remarkably!close!to!the!basic!steps!of!SIA.!SIA!in!the!South!African!context!
is!mostly!used!as!part!of!an!EIA!process.!If!FPIC!is!seen!as!“consultation!plus”!it!may!form!
part!of!robust!SIA!and!EIA!processes,!but!at!present!it!is!certainly!not!the!norm.!The!main!
reason!for!this!is!the!way!in!which!South!African!environmental!legislation!is!interpreted!
by!consultants!and!developers.!!
The!environmental!legislation!in!South!Africa!does!not!explicitly!allow!for!FPIC,!but!it!does!
provide! for! various! levels! of! consultation.! The! Mineral! and! Petroleum! Resources!
Development!Act!28!of!2002!!(MPRDA)!has!limited!consultation!requirements!and!allows!
proponents! to! apply! for! prospecting! and! mining! rights! without! consulting! the! affected!
parties! (Farrell,! Hamann! &! Mackres,! 2012:203).! The! parties! need! to! be! consulted! only!
once! an! application! has! been! lodged,! and! the! consultation! must! occur! within! specified!
timeframes.!According!to!the!MPRDA!the!State!owns!all!the!mineral!rights!in!South!Africa,!
and!should!act!as!trustee!and!custodian!on!behalf!of!communities.!The!MPRDA!has!taken!
communities! out! of! the! equation! and! is! not! as! progressive! as! it! seems.! Instead! of!
protecting! marginalised! communities,! it! supports! the! interest! of! the! state! and!
multinationals!(Murombo,!2013:48).!The!National!Environmental!Management!Act!107!of!
1998!(NEMA)!prescribes!environmental!impact!assessments!and!a!more!thorough!public!
consultation! process! to! ensure! that! the! authorities! can! make! informed! decisions.! It! is!
however!not!a!democratic!process,!and!the!authority!can!enforce!decisions!despite!public!
resistance.!This!is!in!contrast!with!the!Constitution!of!the!Republic!of!South!Africa!1996!
that!recognises!customary!law!as!a!legitimate!source!of!South!African!law,!and!therefore!
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!
any!disposal!of!communal!land!should!require!community!consent!(Smith!et!al.,!2011:2).!
It!is!not!a!straightforward!process,!as!in!South!Africa!communities!often!do!not!own!the!
land! on! which! they! live,! but! they! have! the! right! to! use! the! land.! The! ownership! is!
therefore! with! the! government,! whilst! local! government! and! traditional! leaders! often!
share!the!management.!The!state!has!tremendous!powers!being!the!landowner!and!the!
decision!maker!(Murombo,!2013:40).!The!government!bases!its!rights!on!the!formal!laws!
of!the!country,!whilst!traditional!communities!base!their!rights!on!traditional!land!rights!
and! customary! law! –! this! in! itself! has! the! potential! for! significant! conflict! (Gqada,!
2011:17).! There! are! a! number! of! examples! in! South! Africa! where! FPIC! has! not! been!
obtained!from!traditional!communities!and!where!developers!have!been!advantaged!to!
the!detriment!of!the!affected!communities.!Examples!in!the!mining!industry!include!the!
community!at!Sekuruwe!who!lost!land!to!tailings!dams!and!whose!graves!were!relocated!
without!the!agreement!of!the!community!(Smith!et!al.,!2011:6);!the!relocation!of!10!000!
people! from! GaDPuka! and! GaDSekhaolel! which! triggered! an! investigation! of! the! South!
African! Human! Rights! Council! (Farrell! et! al.,! 2012;! Smith! et! al.,! 2011:8);! Vele! Colliery!
where!mining!rights!where!awarded!despite!being!in!a!waterDstressed!area!near!a!World!
Heritage! site! and! significant! community! opposition! (Murombo,! 2013:36),! and! the!
AmaDiba!community!conflict!over!mining!in!the!Eastern!Cape!(Gqada,!2011:5).!Murombo!
and!Valentine!(2011:86)!state!that!the!process!of!democratic!participation!promoted!by!
NEMA!and!the!need!for!accelerated!infrastructure!development!sits!uncomfortably!next!
to!each!other,!and!it!is!relevant!to!FPIC!as!well.!!
A! recent! trend! in! South! Africa! is! the! emergence! of! strategic! litigation! against! public!
participation! (SLAPP)! suits.! This! poses! a! threat! to! public! interest! in! environmental!
processes!(Murumbo!&!Valentine,!2011:83).!Murumbo!and!Valentine!(2011:84)!defines!a!
SLAPP! suit! as! “…a! meritless! case! mounted! to! discourage! a! party! from! pursuing! or!
vindicating! their! rights,! often! with! the! intention! not! necessarily! to! win! the! case,! but!
simply! to! waste! the! resources! and! time! of! the! other! party! until! they! bow! out.”! The!
public’s!right!to!freedom!of!expression!and!public!participation!and!the!need!to!protect!
the!environment!is!contrasted!with!the!property!rights,!rights!to!execute!their!business!
and! reputational! risks! of! developers.! There! are! a! few! examples! of! SLAPP! suits! resulting!
from!NEMA!processes!in!South!Africa,!for!example!a!property!developer,!Wraypex!sued!
!
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the!members!of!the!Rhenosterspruit!Conservancy!in!their!personal!capacities;!PetroProp,!
a!fuel!station!developer!sued!the!chairperson!of!the!Libradene!Wetland!Association!in!her!
personal!capacity;!and!Anglo!Platinum!filed!suit!against!Richard!Spoor,!an!environmental!
activist!and!lawyer!(Centre!for!Environmental!Rights![sa];!Murambo!&!Valentine,!2011:97D
101).! In! all! these! cases! community! members! or! their! representatives! aimed! to! protect!
their! communities! from! potential! environmental! and! social! impacts,! and! voiced! their!
concerns.! They! used! the! procedures! designed! to! ensure! environmental! processes! are!
participatory,! and! it! is! clear! that! the! communities! did! not! give! their! consent! for! the!
proposed!developments.!Clearly,!FPIC!was!not!a!consideration!in!any!of!these!processes.!!
Although!FPIC!is!gaining!ground!internationally,!it!is!important!to!consider!the!potential!
challenges!to!such!a!process,!especially!in!the!South!African!context.!Communities!are!not!
homogeneous!groups!and!have!different!views!and!perspectives!on!matters!(Smith!et!al.,!
2011:24).!Unscrupulous!developers!or!officials!can!use!this!to!their!advantage!by!dividing!
communities! and! causing! internal! conflict! that! may! influence! the! outcomes! of! any!
consultation! process! (Murombo,! 2013:45).! The! decision! about! who! truly! represents! the!
affected! community! may! cause! conflict! in! communities! (Smith! et! al.,! 2011:24).! Another!
challenge!to!FPIC!in!South!Africa!is!customary!landownership,!where!the!State!owns!the!
land!(according!to!Western!law)!and!communities!have!right!of!use!(Murombo,!2013:40).!
The! intention! of! FPIC! is! to! protect! these! vulnerable! communities,! but! should! the! State!
decide!a!project!is!in!the!national!interest,!the!communities!may!have!little!space!for!selfD
determination!and!the!State!could!exercise!their!property!right.!The!ambiguity!about!who!
comprise!indigenous!people!or!vulnerable!communities!may!create!challenges!for!FPIC.!In!
South! Africa! there! are! many! examples! of! hijacked! opportunities! meant! for! vulnerable!
communities,! often! by! abusing! Black! Economic! Empowerment! (BEE)! laws! (Murombo,!
2013:44).!The!high!levels!of!corruption,!lack!of!trust!in!the!government,!service!delivery!
backlog,! poverty! gap! and! unequal! power! relations! are! other! factors! that! may! impede!
FPIC.! FPIC! is! not! yet! ingrained! in! SIA! processes! in! South! Africa,! where! budgets! often!
determine! the! level! of! participation,! legislative! processes! do! not! allow! extended!
consultation!and!developers!just!aim!to!meet!the!legal!requirements.!This!does!not!mean!
that!there!are!not!robust!SIA!processes,!but!it!is!certainly!not!the!norm.!!
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!
3.5.2 Impact'and'Benefit'Agreements'
Impact!and!Benefit!Agreements!(IBAs)!are!negotiated!agreements!between!communities!
and! companies.! Traditionally! these! kinds! of! agreements! will! only! be! relevant! when!
dealing! with! indigenous! communities.! It! is! done! via! a! contract! in! which! community!
representatives! provide! documented! support! for! a! project! in! exchange! for! specific!
benefits!such!as!direct!payments,!employment!opportunities,!protection!of!specific!land!
or! resources! and! a! greater! role! in! monitoring! of! impacts! (compare! Fidler,! 2010:234;!
Franks,! Fidler,! Brereton,! Vanclay! &! Clark,! 2009:44;! Le! Meur,! Horowitz! &! Menneson,!
2013:648! and! O’Faircheallaigh,! 2013:222).! It! is! usually! privately! negotiated! without!
government! input! (Caine! &! Krogman,! 2010:79)! and! is! a! formal,! binding! agreement!
between! the! business! and! institution! or! formal! organisation! that! best! represent! the!
interest! of! the! community! (Rio! Tinto,! 2012:3).! Caine! and! Krogman! (2010:80)! provide! a!
wider! definition! when! they! describe! IBAs! as! agreements! that! establish! formal!
relationships! between! signatories,! mitigate! negative! development! impacts! and! enhance!
positive! outcomes.! With! this! definition! they! place! IBA! in! the! context! of! social! impact!
management.! There! are! different! terms! used! for! IBAs! depending! on! the! context! and!
country!where!it!is!done.!These!terms!include!Negotiated!Agreements!(NA),!Community!
Benefits! Agreements! (CBA),! Native! Title! Agreements! (NTA),! Indigenous! Land! Use!
Agreements! (ILUA),! Consent! Agreements! (CA),! Development! Forum! Agreements! (DFA)!
and! Community! Development! Agreements! (CDA)! (O’Faircheallaigh,! 2013:222).! For! the!
purpose!of!this!discussion!the!term!IBA!will!be!used.!!
IBAs!originated!in!Australia!and!Canada!as!a!way!to!formalise!the!negotiations!between!
indigenous! people! and! extractive! companies,! and! is! now! the! standard! way! of!
approaching!such!negotiations!in!these!countries.!Before!IBAs!emerged,!the!only!way!of!
addressing! social! and! environmental! impacts! of! development! was! via! the! social! and!
environmental! impact! assessment! process! (Hanna! &! Vanclay,! 2013:153).! IBAs! are! also!
common! in! New! Zealand! and! the! United! States! and! they! are! gaining! popularity! in! a!
number! of! developing! countries! such! as! Papua! New! Guinea,! Brazil! and! Peru! (Hanna! &!
Vanclay,! 2013:153;! O’Faircheallaigh! &! Gibson,! 2012:10).! IBAs! typically! include! financial!
payments! and! expenditure! arrangements;! employment! and! contracting! requirements;!
environmental,! social! and! cultural! impact! management;! capacity! building;! governance!
!
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agreements;! and! any! agreements! related! to! the! way! in! which! the! local! community! use!
certain! pieces! of! land! (Caine! &! Krogman,! 2010:81;! ICMM,! 2010:! 61;! O’Faircheallaigh,!
2013:228).!!
The!World!Bank!(2012:7)!states!that!the!process!of!negotiating!an!IBA1!is!as!important!as!
the! outcome,! as! it! helps! building! capacity! for! negotiation,! builds! relationships! and!
establishes! trust! and! respect.! There! are! many! advantages! associated! with! IBAs.! From! a!
company! perspective,! an! IBA! is! a! risk! management! tool! that! can! manage! a! number! of!
potential! risks! emanating! from! government! and! civil! society! which! could! end! up! in!
reputational!damage,!time!delays!and!expensive!law!suits!(Fidler,!2010:237;!Le!Meur!et!
al.,!2013:649;!O’Faircheallaigh,!2013:226).!Rio!Tinto!(2012:4)!declares!that!it!is!one!of!the!
most! stable! ways! to! ensure! that! community! support! for! a! project! or! operation! can! be!
obtained!and!verified.!It!also!advantages!communities!by!offering!them!opportunities!to!
influence!or!participate!in!developments!and!help!them!to!reduce!the!risks!brought!on!by!
rapid!development!(Franks!et!al.,!2009:44;!Le!Meur!et!al.,!2013:649).!Some!other!benefits!
associated! with! IBAs! include! clarifying! roles! and! enhancing! transparency;! enhancing!
participation,! engagement! and! consultation;! identifying! needs,! building! capacity! and!
maximising! benefits;! encouraging! business! best! practice! standards;! and! contributing! to!
sustainability!(World!Bank,!2012:8).!!
IBAs!are!not!a!panacea!for!ensuring!that!benefits!are!directed!to!communities.!There!are!
some! risks! associated! with! IBAs.! Community! conflict! can! result! if! there! is! a! lack! of!
commitment! or! clarity! on! either! side,! if! no! clear! mandate! is! given! to! community!
representatives! or! if! the! representatives! are! not! seen! as! legitimate! (O’Faircheallaigh,!
2013:233).!Division!in!the!community!can!benefit!one!group!at!the!expense!of!others,!or!
lead! to! exclusion! of! communities! or! groups! within! communities! (Baker,! 2012:701;!
O’Faircheallaigh,! 2013:233).! This! can! cause! mistrust! and! uncertainty! that! will! further!
erode!relationships.!IBAs!can!place!companies!in!the!role!of!a!surrogate!government!and!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
1!The!World!Bank!uses!the!term!Community!Development!Agreement!(CDA)!but!for!the!sake!of!consistency!the!term!
IBA!will!be!used.!
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!
foster!dependency,!and!governments!can!abdicate!the!responsibilities!that!they!have!to!
these! communities! to! the! corporates.! Formal! agreements! and! legal! requirements! can!
lead! to! a! tick! box! approach! which! will! result! in! companies! doing! the! minimum! and!
remove! creativity! from! the! process! (World! Bank,! 2012:9).! The! fact! that! affected!
communities!often!represent!the!most!ostracised!section!of!the!population!with!limited!
access! to! education,! legal! representation! or! business! skills! underlines! the! power!
imbalance! between! the! parties! when! IBAs! are! negotiated! (Baker,! 2012:700;!
O’Faircheallaigh,!2013:231).!IBAs!are!often!confidential!and!not!publically!available,!and!
this!lack!of!transparency!may!disadvantage!vulnerable!communities!who!negotiate!with!
corporate!players!that!in!all!likelihood!have!been!exposed!to!similar!processes!and!have!
institutional! knowledge! and! capacity! (Baker,! 2012:701).! A! key! concern! is! the! disparity!
between!Western!consultation!and!decisionDmaking!processes!and!indigenous!processes!
and!the!ability!of!the!parties!involved!to!accommodate!the!incongruity!(Baker,!2012:700;!
Campbell!&!Hunt,!2012:201).!The!equity!of!the!distribution!of!benefits!must!be!ensured!
as!unequal!distribution,!misappropriation!or!waste!of!benefits!can!lead!to!serious!social!
conflicts! and! erosion! of! social! capital! (O’Faircheallaigh,! 2013:233).! Factors! within!
communities!such!as!corruption,!skewed!power!relations,!benefitDsharing!and!leadership!
issues!can!also!impact!on!the!success!of!IBAs!(O’Faircheallaigh,!2013:233).!!
IBAs!are!not!common!in!South!Africa.!The!most!comparable!practice!is!Social!and!Labour!
Plans! (SLPs),! as! required! under! the! Mineral! and! Petroleum! Resources! Development! Act!
28!of!2002!(MPRDA).!A!SLP!must!include!Human!Resource!Development!Programmes,!a!
Mine! Community! Development! Plan,! a! Housing! and! Living! Conditions! Plan,! an!
Employment!Equity!Plan!and!Processes!to!save!jobs!and!manage!downscaling!or!closure!
(DMR,! 2010:4).! Apart! from! transformation,! the! aim! of! SLPs! is! to! promote! employment!
and! advance! the! social! and! economic! welfare! of! all! South! Africans! and! to! ensure!
economic! growth! and! social! development.! The! management! of! downscaling! or! closure!
aims! to! minimise! the! impact! of! mine! closure,! irregularity! of! commodity! prices! and!
economic!volatility!(DMR,!2010:4).!All!mines!in!South!Africa!must!have!an!SLP!in!order!to!
receive! mining! or! production! rights,! which! are! held! by! the! government.! SLPs! are! only!
applicable!to!mining!activities,!and!are!not!a!requirement!in!environmental!processes!in!
other!industries.!!
!
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There! are! a! few! fundamental! differences! between! IBAs! and! SLPs.! Where! IBAs! are!
agreements! between! communities! and! developers! (mostly! mines),! SLPs! are! legislated!
agreements!between!the!mines!and!the!government,!and!communities!have!limited!input!
in! the! SLP! and! its! outcomes.! The! SLP! guidelines! state! that! communities! should! be!
consulted! when! drafting! an! SLP,! but! it! does! not! specify! the! level! of! consultation! and!
merely!states!that!the!mine!should!“through!consultation!with!communities!and!relevant!
authorities!provide!a!plan”!(DMR,!2010:17).!The!expectation!is!that!SLPs!should!align!with!
municipal! Integrated! Development! Plans! (IDPs)! (DMR,! 2010:18).! There! is! a! consultation!
procedure!associated!with!the!IDP!process!where!grassroots!communities!can!participate!
in!planning!meetings!(Coetzee,!2002:11).!In!reality!government!officials!play!a!major!role!
in! the! negotiation! about! SLP! projects,! it! frequently! is! politicised! and! community!
consultation!is!very!often!superficial!due!to!time!constraints.!The!priorities!of!government!
officials! and! those! of! communities! regularly! differ,! but! communities! are! frequently!
excluded! from! SLP! negotiations! for! various! reasons.! Mining! houses! are! sometimes!
reluctant! to! engage! with! local! communities,! as! they! are! concerned! about! creating!
expectations,! and! the! legislation! is! written! as! such! that! the! SLP! must! be! submitted! and!
approved!before!a!mining!right!can!be!approved!and!the!EIA!process!is!initiated.!In!this!
context!SIA!is!still!viewed!as!part!of!the!approval!process!in!South!Africa!and!a!onceDoff!
occurrence,! although! some! mines,! notably! the! large! corporates,! are! starting! to! engage!
SIA!practitioners!earlier!in!the!process.!!
SLPs! are! confidential! documents,! and! it! is! only! the! annual! reports! of! the! mines! that!
provide!any!indication!of!their!impact!in!the!public!domain!(Franks!et!al.,!2009:41).!This!
means!that!communities!often!do!not!know!the!contents!of!the!SLP,!and!what!benefits!
they!will!receive.!Communities!do!not!have!access!to!mining!royalties,!as!these!accrue!to!
the!central!government!in!line!with!the!provision!in!the!MPRDA!that!all!minerals!belong!
to!the!state,!and!the!state!must!redirect!these!royalties!to!affected!communities!(Curtis,!
2009:11;!Sorensen,!2011:186).!Although!SLPs!have!lofty!aspirations,!their!contribution!to!
making!the!lives!of!communities!affected!by!mining!better!are!questionable!(Andersson,!
2010:32;! Rogerson,! 2012:131;! Sorenson,! 2011:183).! The! SLP! guidelines! are! vague! and!
there!is!a!lot!of!confusion!about!the!detailed!content!of!an!SLP,!also!amongst!authorities!
(Andersson,! 2010:31,32).! For! example,! any! SLP! must! contain! at! least! one! infrastructure!
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!
and!one!income!generation!project,!depending!on!the!size!of!the!mine.!This!requirement!
is!not!explicit!in!the!SLP!guideline.!It!seems!as!if!the!interpretation!of!the!MPRDA!differs!
on! local! and! national! level.! It! is! common! practice! for! an! SLP! to! be! resubmitted! several!
times! before! being! approved! (Andersson,! 2010:31,32).! Mines! are! also! not! allowed! to!
address!project!related!social!impacts!via!their!SLP.!An!SLP!is!therefore!not!really!a!social!
impact!management!instrument,!and!it!falls!short!of!the!requirements!of!an!IBA.!The!SLP!
legislation!is!a!work!in!progress,!and!still!needs!significant!input!from!social!development!
practitioners!to!ensure!that!it!can!truly!contribute!to!poverty!alleviation,!empowerment!
and!equity.!!
3.5.3 Social'Impact'Management'Plans'
Social! Impact! Management! Plans! (SIMPs)! are! a! management! tool! for! addressing! social!
impacts! during! planned! interventions! such! as! projects,! plans,! programmes! and! policies!
(Franks! &! Vanclay,! 2013:41).! It! establishes! the! roles! and! responsibility! of! proponents,!
government,! stakeholders! and! communities! to! mitigate! and! manage! social! impacts! and!
opportunities!throughout!the!project!lifecycle!(Queensland!Government,!2010:2).!SIMPs!
provide! a! good! opportunity! to! link! project! activities! with! local! and! regional! planning!
(Franks! &! Vanclay,! 2013:41).! SIMPs! are! also! referred! to! as! Social! Management! and!
Monitoring! Plans! (SMMPs),! social! action! plans! or! social! management! plans.! Where!
environmental! management! plans! (EMPs)! are! standard! requirements! with! each! EIA!
process,! SIMPs! are! a! relatively! recent! phenomena,! and! not! much! literature! about! the!
topic!is!available.!In!South!Africa!the!common!practice!is!still!to!include!social!aspects!in!
the!EMP,!which!is!compiled!by!the!environmental!assessment!practitioner!from!the!SIA!
report,! and! SIA! practitioners! have! little! influence! over! the! final! product.! This! practice! is!
changing! as! funding! organisations! like! the! IFC,! large! mining! houses! and! corporates! are!
increasingly! requesting! social! action! plans! as! part! of! the! outcomes! of! the! assessment!
process! (Franks! et! al.,! 2009:41;! Franks! &! Vanclay,! 2013:41;! Rowan! &! Streather,!
2011:225).!
There!are!ways!to!ensure!some!SIMP!requirements!are!achieved!by!developers,!such!as!
including! it! in! bid! documents,! making! it! a! condition! for! the! loan! or! including! it! in!
construction! contracts! (Rowan! &! Streather,! 2011:225).! Requirements! which! are! the!
!
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easiest!to!include!are!labour!requirements;!working!conditions;!worker!accommodation!
and! standards;! recruitment! procedures;! code! of! conduct! for! workers;! social! staff!
requirements!and!skills!sets;!staff!training;!and!public!liaison!and!grievance!mechanisms!
(Rowan! &! Streather,! 2011:225).! Although! these! are! social! aspects,! they! are! not!
representative! of! general! social! mitigation! measures! and! contribute! minimally! to! social!
development.! Developers! and! environmental! scientists! are! often! reluctant! to! include!
nonDtangible!issues!in!project!documentation,!due!to!the!challenges!with!measuring!and!
monitoring! of! these! issues.! They! also! view! it! as! unnecessary! expenses! that! will! reduce!
their!profit,!and!even!if!it!is!included!in!the!project!bid!and!specifications!developers!often!
do!not!allocate!sufficient!financial!and!human!resources!to!social!aspects.!There!is!also!a!
shortage! of! experienced! social! practitioners! in! the! environmental! field! in! South! Africa,!
which!exacerbates!this!problem.!!!
Franks! and! Vanclay! (2013:41)! state! that! management! and! monitoring! have! been!
underrated! in! SIA! processes,! and! that! SIA! has! historically! been! regulated! as! a! once! off,!
point! in! time! assessment.! Unfortunately! this! is! still! mostly! the! case! in! South! Africa!
(Aucamp! et! al.,! 2011:44).! Franks! and! Vanclay! (2013:41)! are! of! the! opinion! that! SIA,!
through! SIMPs,! can! act! as! a! bridge! to! a! company’s! community! relations! and! corporate!
social!responsibility!(CSR)!practices.!The!practical!challenge!in!the!South!African!context!is!
that! CSR! and! community! relations! are! often! inDhouse! functions,! and! SIA! is! done! by! an!
independent! outside! consultant! to! meet! regulatory! requirements.! Another! challenge! is!
that! at! the! point! where! an! SIA! is! conducted,! especially! with! green! fields! developments!
(new!developments),!these!posts!are!often!not!immediately!filled.!!
To! develop! an! SIMP! that! will! be! implementable,! one! requires! input! from! a! number! of!
roleDplayers! such! as! communities,! the! proponent,! government! and! other! stakeholders.!
This! can! be! timeDconsuming,! and! should! probably! be! done! outside! the! regulatory! EIA!
process.! SIMPs! should! be! live! documents! that! can! be! updated! regularly! (Franks! &!
Vanclay,!2013:47).!It!is!important!to!consider!that!social!impact!management!is!only!one!
part!of!a!company’s!social!performance.!Other!aspects!include!community!engagement,!
grievance! mechanisms,! benefit! sharing! and! CSR! initiatives,! all! which! can! be! used! to!
enhance!the!social!environment!(Holm,!Ritchie,!Snyman!&!Sunderland,!2013:!219).!!
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!
The! view! of! Holm! et! al.! (2013:219)! which! questions! whether! SIA! should! be! seen! as! the!
tool!that!can!cure!all!social!ills!in!the!environmental!field,!is!strongly!resonant.!Despite!its!
lofty! aspirations! and! theoretical! advancement,! the! reality! remains! rather! grim,! and!
communities!continue!to!pay!the!price!with!little!benefit!to!the!most!affected.!In!many!
instances! unrealistic! burdens! are! placed! on! industry,! and! they! end! up! being! surrogate!
governments! providing! essential! services! instead! of! managing! the! social! impacts! that!
they! caused.! This! does! not! bode! well! for! sustainability.! It! must! be! acknowledged! that!
managing! social! impacts! is! not! something! that! can! be! done! by! an! individual! party,! and!
shared!responsibility!is!a!key!requirement!(Aucamp!et!al.,!2011:47).!!
SIA! is! only! one! of! the! tools! in! the! social! management! toolbox,! and! bridges! need! to! be!
built! between! it! and! other! development! tools! to! assist! SIA! to! achieve! its! full! potential!
(Aucamp!et!al.,!2011:52).!There!are!links!between!international!best!practice!and!South!
African! practice! in! the! field! of! SIA.! However,! there! are! cultural! and! legal! obstacles!
preventing! SIA! practitioners! of! adopting! international! best! practice,! and! therefore! it!
should!be!adapted!to!suit!the!local!context.!!
3.6 Summary'
Each! country! has! a! unique! social! environment! and! South! Africa! is! no! exception.! Given!
South!Africa’s!geographic!position!in!Africa,!and!its!political!transformation,!it!has!become!
an!attractive!destination!for!migrants!from!across!the!African!continent.!Migration!within!
South!Africa!for!economic!reasons!is!also!common.!This!migration!patterns!cause!social!
change,! which! in! turn! leads! to! social! impacts.! The! legacy! of! Apartheid! left! South! Africa!
with! enduring! problems! based! on! historic! divisions! centred! on! race.! The! South! African!
government! aims! to! address! these! problems,! and! to! bring! government! closer! to! the!
people.!Its!policy!of!developmental!government!echoes!the!developmental!approach!that!
the!government!has!taken!to!welfare!and!the!eradication!of!poverty!and!inequality.!The!
government!is!haunted!by!phantoms!of!a!deeply!disturbed!past!and!is!struggling!to!meet!
the! commitments! it! made! to! its! people,! despite! attempting! to! erase! discriminatory!
practices!by!means!of!new!legislation!and!policies.!It!is!in!this!context!that!SIA!is!practiced!
in!South!Africa.!
!
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From!the!literature!perspective,!it!seems!as!if!SIA!is!not!reaching!its!full!potential!in!South!
Africa.! New! concepts! such! as! FPIC,! IBAs! and! SIMPs! are! slow! to! find! their! way! into! the!
South!African!SIA!practice,!also!due!to!legislative!limitations.!The!available!SIA!literature!is!
dominated!by!the!Australian!and!Canadian!perspective,!with!few!examples!of!developing!
countries! and! even! fewer! from! SubDSaharan! Africa.! Concepts! that! may! work! well! in!
developed!countries!will!need!to!be!adapted!to!fit!the!local!context.!This!does!not!mean!
that!the!concepts!are!not!relevant,!merely!that!the!legal!and!cultural!context!needs!to!be!
considered! when! trying! to! apply! them! in! practice.! There! seems! to! be! scope! to! educate!
practitioners,! developers! and! communities! about! their! rights! and! how! to! incorporate!
international!best!SIA!practice.!!
Although!South!Africa!is!a!democracy!and!most!of!the!legislation!advocates!participatory!
processes! and! human! rights! quite! strongly,! it! still! does! not! allow! for! concepts! such! as!
FPIC.!The!state!acts!as!the!custodian!for!communities,!but!communities!often!have!very!
little!faith!in!the!state!to!act!in!their!interest.!South!Africa!has!a!long!way!to!go!in!terms!of!
allowing! communities! to! be! the! masters! of! their! own! fate.! SIA! provides! a! link! between!
communities! taking! charge! of! their! own! destiny,! and! social! development,! which! is!
government’s! priority.! The! legal! and! institutional! framework! promoting! social!
sustainability!and!social!development,!which!makes!people!the!focus!of!development!and!
could!facilitate!this!link,!are!discussed!in!the!next!chapter.!
!
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!
!
Chapter'4. Legal'and'institutional'framework'for'social'
development'in'the'environmental'field'
4.1 Introduction'
Global!warming,!climate!change!and!other!green!agendas!are!prominent!topics!across!the!
globe.! Together! with! the! green! agenda,! the! relationship! between! the! environment! and!
human!rights!has!emerged!as!a!subject!of!concern.!These!topics!have!become!pertinent!
on! the! global! agenda! with! the! United! Nations! taking! the! lead! with! many! initiatives.!
Environmental! management! in! South! Africa! has! been! institutionalised! by! means! of! a!
portfolio! of! acts,! policies! and! other! instruments! of! governance,! some! of! these! adapted!
from! global! initiatives.! These! instruments! provide! a! legal! and! moral! mandate! for!
environmental! management.! In! the! South! African! context,! the! definition! of! the!
environment! includes! the! social! environment,! and! a! number! of! the! environmental! acts!
have!social!development!requirements.!Human!rights!are!ingrained!in!the!Constitution!of!
the!Republic!of!South!Africa!1996,!which!is!the!foundation!for!other!national!legislation.!!
This! chapter! will! discuss! the! legal! and! institutional! framework! that! is! used! to! promote!
sustainability,! with! specific! reference! to! social! development.! The! South! African!
environmental!and!social!legislation!will!be!reviewed!to!establish!the!official!mandate!for!
integrating! social! development! issues! in! the! environmental! management! field.! The!
chapter!includes!a!brief!discussion!on!other!governance!instruments!implemented!by!the!
South!African!government!at!local,!provincial!and!national!level!and!their!relevance!to!the!
social! development! agenda.! Some! of! the! ! instruments! such! as! the! Millennium!
Development! Goals! (MDGs)! are! implemented! internationally! and! adapted! to! individual!
country!needs.!Lastly!there!will!be!a!brief!review!of!national!and!international!standards!
that!are!frequently!used!by!SIA!practitioners!in!the!environmental!management!field!to!
establish!whether!there!is!a!link!with!social!development.!The!chapter!will!conclude!with!
a! short! discussion! on! the! practical! application! of! the! instruments! and! their! potential!
contribution!to!social!development.!!
!
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4.2 The'Constitution'of'the'Republic'of'South'Africa'1996'
The!current!Constitution!of!the!Republic!of!South!Africa!1996!can!be!regarded!as!one!of!
the!most!progressive!constitutions!in!the!world.!Human!rights!are!enshrined!in!the!South!
African! Constitution,! which! forms! the! basis! of! all! the! country’s! legislation.! Chapter! 2!
consists! of! a! Bill! of! Rights,! which! explicitly! spells! out! the! rights! of! every! South! African!
citizen.!Human!rights!and!dignity!are!fundamental!to!SIA!(see!Chapter!3,!Section!3.5)!and!
social!work!(see!Chapter!2,!Section!2.3)!as!SIA!recognises!fundamental!human!rights!and!
the! prerogative! to! protect! those! rights! as! core! values! (Vanclay,! 2003:6),! while! social!
justice! is! one! of! the! core! values! of! social! work! (National! Association! of! Social! Workers!
South!Africa![sa];!South!African!Council!for!Social!Service!Professions,!2009).!The!fact!that!
human! rights! are! recognised! in! the! Constitution! strengthen! the! rights! based! approach!
favoured!by!social!work!and!SIA.!Human!Rights!played!an!important!part!in!attempting!to!
create!equitable!societies!globally!since!the!middle!of!the!twentieth!century,!therefore!its!
inclusion! in! the! South! African! Constitution! is! significant.! The! human! rights! that! are!
safeguarded!by!the!Constitution!of!the!Republic!of!South!Africa!1996!in!the!Bill!of!Rights,!
includes:!
•
Right!to!a!healthy!environment;!
•
Rights!of!access!to!land!and!to!security!of!tenure;!
•
Right!to!adequate!housing!and!protection!against!evictions!and!demolitions;!
•
Rights!of!access!to!healthcare!services,!sufficient!food!and!water,!social!security,!
including! social! assistance,! as! well! as! the! right! not! to! be! refused! emergency!
medical!treatment;!
•
Children’s! rights! to! basic! nutrition,! shelter,! basic! health! care! services! and! social!
services;!
•
Right!to!education,!and!
•
Prisoners’! rights! to! adequate! accommodation,! nutrition,! reading! materials! and!
medical!treatment.!
!
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!
The!right!to!a!protected!biophysical!environment,!the!promotion!of!social!development!
and!transDgenerational!equity!is!explicitly!included!in!the!Constitution!of!the!Republic!of!
South!Africa!1996,!which!states:!
!“Everyone!has!the!right!D!!
a) To!an!environment!that!is!not!harmful!to!their!health!and!wellbeing,!and!
b) To! have! the! environment! protected,! for! the! benefit! of! present! and! future!
generations,!through!reasonable!legislative!and!other!measures!that:$
i. Prevent$pollution$
ii. Promote$conservation,$and$
iii. Secure$ ecologically$ sustainable$ development$ and$ use$ of$ natural$
resources$ while$ promoting$ justifiable$ economic$ and$ social$
development.”$
When!considering!an!environment!that!is!not!harmful!to!peoples’!health!and!wellbeing,!it!
is! important! to! reflect! on! the! interconnectedness! of! biophysical,! economic! and! social!
aspects.!The!impact!of!development!on!people,!and!the!true!cost!of!development,!as!well!
as!the!consideration!of!“who!pays!the!price?”!versus!“who!reaps!the!benefits?”!cannot!be!
ignored!in!a!discussion!about!human!rights!and!the!environment.!It!is!here!that!aspects!
such!as!social,!environmental!and!restorative!justice!(See!Chapter!2,!Section!2.3)!become!
important!factors!to!consider!in!environmental!management!and!the!need!to!interrogate!
SIA!as!a!social!development!tool!is!highlighted.!!
Since! the! right! to! a! generally! satisfactory! environment! is! increasingly! seen! as! a! human!
right! in! Africa! (Du! Plessis,! 2011:36),! it! is! important! to! consider! the! content! of! South!
Africa’s!environmental!legislation!in!the!context!of!social!development.!!!
4.3 South'African'Environmental'and'Social'Development'Legislation'
The! Constitution! of! the! Republic! of! South! Africa! 1996! states! that! reasonable! legislative!
measures! should! be! used! to! secure! ecologically! sustainable! development! and! use! of!
natural! resources,! while! promoting! justifiable! economic! and! social! development.! It!
therefore! recognises! that! in! order! to! achieve! sustainable! development,! the! social! and!
!
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economic!environment!should!also!be!considered.!In!the!following!section!there!is!a!short!
summary! of! relevant! South! African! environmental! legislation! that! also! addresses! social!
dimensions!of!the!environment!from!a!rights!based!perspective.!!
The! most! important! right! entrenched! in! a! number! of! the! acts! pertaining! to! the!
environment! (compare! the! National! Environmental! Management! Act! [NEMA]! 107! of!
1998;! the! National! Water! Act! [NWA]! 36! of! 1998;! the! National! Heritage! Resources! Act!
[NHRA]!25!of!1999!and!the!Mineral!and!Petroleum!Resources!Development!Act![MPRDA]!
28!of!2002)!refers!to!the!right!of!the!public!to!be!consulted!about!environmental!issues!
which!may!affect!their!daily!lives!in!any!manner.!Other!important!principles!embedded!in!
the! acts! are! the! principles! of! sustainable! development,! as! well! as! social,! economic! and!
environmental!rights.!The!following!paragraphs!will!investigate!the!social!requirements!of!
each! of! these! acts! in! more! detail.! In! addition,! policy! documents! relevant! to! the! social!
development!field,!as!well!as!other!governmental!tools!will!be!discussed!in!brief.!!
4.3.1 The'National'Environmental'Management'Act'107'of'1998'
The!National!Environmental!Management!Act!(NEMA)!107!of!1998!states!that!the!State!
must!respect,!protect,!promote!and!fulfil!the!social,!economic!and!environmental!rights!
of! everyone! and! strive! to! meet! the! needs! of! previously! disadvantaged! communities.! It!
states!further!that!sustainable!development!requires!the!integration!of!social,!economic!
and!environmental!factors!in!the!planning,!evaluation!and!implementation!of!decisions!to!
ensure!that!development!serves!present!and!future!generations.!!
Chapter! 1! of! NEMA! contains! a! list! of! principles! and! states! clearly! that! environmental!
management!must!place!people!and!their!needs!at!the!forefront!of!its!concern,!and!serve!
their!physical,!psychological,!developmental,!cultural!and!social!interests!(NEMA,!1998).!It!
states!further!that!negative!impacts!on!the!environment!and!on!peoples’!environmental!
rights!must!be!anticipated!and!prevented,!and!if!they!cannot!be!prevented,!they!should!
be!minimised!and!remedied.!It!elaborates!further!on!the!equity!of!impacts,!and!the!fact!
that!vulnerable!communities!should!be!protected!from!negative!environmental!impacts.!
It! refers! to! the! principle! that! everyone! should! have! equal! access! to! environmental!
resources,! benefits! and! services! to! meet! their! basic! human! needs! (NEMA,! 1998).!
Therefore!there!is!a!clear!mandate!for!environmental!and!restorative!justice!in!the!act.!!
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!
Another!important!aspect!of!NEMA!is!the!principle!of!public!participation.!It!states!that!
people!should!be!empowered!to!participate!in!the!environmental!governance!processes,!
and! that! their! capacity! to! do! so! should! be! developed! if! it! does! not! exist.! All! decisions!
regarding!the!environment!should!take!the!needs,!interest!and!values!of!the!public!into!
account,! including! traditional! and! ordinary! knowledge! (NEMA,! 1998).! There! are! also!
specific! environmental! management! acts! that! fall! under! NEMA,! such! as! the! National!
Environmental! Management,! Air! Quality! Act! 39! of! 2004! (NEM:AQA),! and! the! National!
Environmental!Management,!Waste!Act!59!of!2008!(NEM:WA).!These!acts!require!similar!
public! participation! processes! to! NEMA! and! the! principles! of! NEMA! also! apply! to! them!
(Department! of! Environmental! Affairs! &! Development! Planning! [DEA&DP],! Provincial!
Government!of!the!Western!Cape,!2010:4).!!
Chapter! 6! of! NEMA! elaborates! on! the! public! participation! requirements.! This! was!
supplemented! by! the! EIA! regulations! published! in! GN! 543! of! 18! June! 2010,! which!
contained! requirements! for! public! participation! (GN! 543! of! 18! June! 2010).! It! provides!
requirements! for! the! public! participation,! the' minimum! legal! requirements! for! public!
participation!processes,!the'generic!steps!of'a!public!participation!process,!requirements!
for! planning! a! public' participation! process! and! a! description! of! the! roles! and!
responsibilities! of! the! various! role! players.! These! requirements! are! complemented! by! a!
compulsory! Public! Participation! Guideline! that! was! published! in! 2012! (GN! 807! of! 10!
October! 2012)! in! terms! of! section! J! of! NEMA! (NEMA,! 1998).! ! New! EIA! regulations! have!
been!published!in!December!2014!(GN!982!of!4!December!2014)!with!basically!the!same!
requirements.!!According!to!the!guidelines,!public!participation!can!be!seen!as!one!of!the!
most!important!aspects!of!the!environmental' authorisation!process.!Public!participation!
is! the! only! requirement! of! the! environmental! impact! assessment! process! for! which!
exemption' cannot! be! given,! unless! no! rights! are! affected! by! an! application.' This! stems!
from!the!requirement!in!NEMA!that!people!have!a!right!to!be!informed!about!potential'
decisions!that!may!affect!them!and!that!they!must!be!given!an!opportunity!to'influence'
those!decisions.!'
The! principles! of! the! National! Environmental! Management! Act! 107! of! 1998! declare!
further! that! community! wellbeing! and! empowerment! must! be! promoted! through!
!
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environmental! education,! the! raising! of! environmental! awareness,! sharing! of!
environmental!knowledge!and!experience!and!any!other!appropriate!means.!It!states!that!
the!social,!environmental!and!economic!impacts!of!activities,!including!disadvantages!and!
benefits,! must! be! considered,! assessed! and! evaluated,! and! decisions! taken! must! be!
appropriate!given!the!assessment!and!evaluation.!NEMA!107!of!1998!recognises!that!the!
environment! is! held! in! public! trust! for! the! people,! and! therefore! the! beneficial! use! of!
environmental! resources! must! serve! the! peoples’! interest! and! protect! the! environment!
as!the!peoples’!common!heritage.!!
It!is!clear!from!the!paragraphs!above!that!NEMA!supports!the!rights!of!the!South!African!
people!as!entrenched!in!the!Constitution!of!the!Republic!of!South!Africa!1996.!It!does!not!
only! refer! to! the! right! to! a! protected! environment,! but! also! to! rights! of! people! to!
participate! in! decisionDmaking! processes,! and! the! fairness! of! those! processes,! which!
relates! to! environmental! justice.! NEMA! takes! a! holistic! view! of! the! environment,! and!
promotes! the! consideration! of! social,! economic! and! biophysical! factors! to! obtain!
sustainable! development! and! achieve! effective! management! of! the! biophysical!
environment.!It!can!be!concluded!that!the!National!Environmental!Management!Act!107!
of! 1998! protects! the! rights! of! people! as! well! as! the! integrity! of! the! biophysical!
environment.!
4.3.2 The'National'Water'Act'36'of'1998'
Chapter! 1! of! the! National! Water! Act! (NWA)! 36! of! 1998! states! that! sustainability! and!
equity! are! identified! as! central! guiding! principles! in! the! protection,! use,! development,!
conservation,! management! and! control! of! water! resources.! It! affirms! that! the! guiding!
principles! recognise! the! basic! human! needs! of! present! and! future! generations! and! the!
need!to!promote!social!and!economic!development!using!water.!Chapter!2!of!the!NWA!
states! amongst! others! that! the! purpose! of! the! act! is! to! ensure! that! everyone! has!
equitable! access! to! water,! and! that! the! results! of! past! racial! and! gender! discrimination!
are!redressed.!It!aims!to!promote!the!efficient,!sustainable,!and!beneficial!use!of!water!in!
the!public!interest,!and!to!facilitate!social!and!economic!development.!!
The!National!Water!Act!36!of!1998!promotes!the!establishment!of!suitable!institutions!to!
achieve! its! purpose! and! aims! to! ensure! that! these! institutions! have! appropriate!
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!
representation!with!regards!to!race,!community!and!gender.!These!institutions!are!called!
Water!Users!Associations!and!Catchment!Management!Agencies,!where!members!of!the!
public!can!participate!in!the!management!of!water!resources!that!affects!them.!The!NWA!
recognises!that!the!nations’!water!resources!are!held!in!public!trust!for!the!people,!and!
therefore!the!sustainable,!equitable!and!beneficial!use!of!water!resources!must!serve!the!
peoples’!interest.!!
The! legislation! and! policies! for! which! the! Department! of! Water! Affairs! (DWA)! is!
responsible!indicate!the!commitment!of!the!department!to!public!participation,!but!does!
not!prescribe!the!way!in!which!it!must!be!done!or!the!extent!of!the!public!participation.!
In! 2001! the! Department! of! Water! Affairs! and! Forestry! (DWAF)! (name! changed! to! the!
Department!of!Water!Affairs!in!2009)!published!a!generic!public!participation!guideline!to!
try!to!address!the!issue!(DWAF,!2001).!The!aim!of!the!document!is!to!assist!DWA!with!the!
implementation! of! public! participation! in! its! activities.! It! provides! the! theory! of! public!
participation!as!well!as!some!techniques!and!best!practice!suggestions.!It!is!still!used!by!
the!Department!of!Water!Affairs.!
In! summary,! human! involvement! and! the! right! of! the! public! to! participate! in! the!
management!of!water!resources!are!protected!in!the!National!Water!Act!36!of!1998.!It!
promotes! social! and! economic! development! and! equitable! use! of! water! resources.! By!
involving! communities! in! the! protection! and! management! of! water! resources,!
opportunities!for!the!sustainable!use!of!the!resource!are!identified,!and!local!economic!
and! social! development! opportunities! can! be! developed! with! the! buyDin! of! the!
communities.!Human!rights!are!thus!protected!in!respect!of!this!natural!resource.!
4.3.3 The'Mineral'and'Petroleum'Resources'Development'Act'28'of'2002'
The!Mineral!and!Petroleum!Resources!Development!Act!(MPRDA)!28!of!2002!is!the!only!
environmental! act! that! explicitly! requires! a! social! development! output,! in! addition! to! a!
public!participation!process,!in!the!form!of!a!Social!and!Labour!Plan!(SLP).!In!the!preamble!
to!the!Act!it!recognises!the!need!to!promote!local!and!rural!development!and!the!social!
upliftment! of! communities! affected! by! mining.! In! Section! 2! it! states! that! some! of! the!
objectives!of!the!Act!are:!
!
P a g e !|!91!
•
To! substantially! and! meaningfully! expand! opportunities! for! historically!
disadvantaged! persons,! including! women,! to! enter! the! mineral! and! petroleum!
industries! and! to! benefit! from! the! exploitation! of! the! nations’! mineral! and!
petroleum!resources;!!
•
To!promote!economic!growth!and!mineral!and!petroleum!resources!development!
in!the!Republic;!!
•
To! promote! employment! and! advance! the! social! and! economic! welfare! of! all!
South!Africans,!and!
•
To! ensure! that! holders! of! mining! and! production! rights! contribute! towards! the!
socioDeconomic!development!of!the!areas!in!which!they!are!operating.!
The! MPRDA! acknowledges! that! mineral! and! petroleum! resources! are! the! common!
heritage!of!all!the!people!of!South!Africa!and!that!the!State!is!the!custodian!thereof!for!
the! benefit! of! all.! It! states! that! the! Minister! of! Mineral! Resources! must! ensure! the!
sustainable! development! of! South! Africa’s! mineral! and! petroleum! resources! within! a!
framework! of! national! environmental! policy,! norms! and! standards! while! promoting!
economic!and!social!development!(MPRDA,!2002).!
In! Section! 37! of! the! Mineral! and! Petroleum! Resources! Development! Act! 28! of! 2002! it!
endorses!the!principles!set!out!in!Chapter!1!of!the!National!Environmental!Management!
Act! 107! of! 1998.! In! Section! 39! of! the! MPRDA! the! act! explicitly! requires! a! social! impact!
assessment!as!well!as!an!environmental!impact!assessment!when!it!states!that!applicants!
must:!!
“…investigate,!assess!and!evaluate!the!impact!of!his!or!her!proposed!prospecting!or!
mining!operations!on:!
!(i)!The!environment;!!
(ii)! The! socioDeconomic! conditions! of! any! person! who! might! be! directly! affected! by! the!
prospecting!or!mining!operation…”!
Section! 3,! Chapter! 2,! Part! I,! of! the! regulations! (Government! Notice! 527,! 23! April! 2004)!
published! under! the! MPRDA! refers! to! the! public! participation! process,! which! must! be!
P a g e !|!92!
!
followed!according!to!the!Act.!It!includes!advertising!and!an!invitation!to!comment!on!the!
process.!
Sections!40!to!46,!Chapter!2,!Part!II,!of!the!regulations!published!under!the!MPRDA!deal!
with! the! Social! and! Labour! Plan! (SLP)! requirements! (Government! Notice! 527,! 23! April!
2004).!The!Department!of!Mineral!Resources!provided!guidelines!for!the!development!of!
the!SLP!(Department!of!Mineral!Resources,!2010).!The!guidelines!specify!the!objectives!of!
the!SLP!as:!
•
Promote!economic!growth!and!mineral!and!petroleum!resources!development!in!
the!Republic;!
•
Promoting! employment! and! advancing! the! social! and! economic! welfare! of! all!
South!Africans;!
•
Ensuring!that!holders!of!mining!or!production!rights!contribute!towards!the!socioD
economic! development! of! the! areas! in! which! they! are! operating! as! well! as! the!
areas!from!which!the!majority!of!the!workforce!is!sourced,!and!
•
To!utilise!and!expand!the!existing!skills!base!for!the!empowerment!of!Historically!
Disadvantaged! South! Africans! and! to! serve! the! community! (Department! of!
Mineral!Resources,!2010).!
The! crux! of! this! section! is! that! the! SLP! requires! applicants! for! mining! and! production!
rights! to! develop! and! implement! comprehensive! Human! Resources! Development!
Programmes! including! Employment! Equity! Plans,! Local! Economic! Development!
Programmes!and!processes!to!save!jobs!and!manage!downscaling!and/or!closure!(MPRDA!
28!of!2002).!According!to!the!regulations,!the!above!programmes!are!aimed!at!promoting!
employment!and!advancement!of!the!social!and!economic!welfare!of!all!South!Africans!
whilst!ensuring!economic!growth!and!socioDeconomic!development.!The!management!of!
downscaling! and/or! closure! is! aimed! at! minimising! the! impact! of! commodity! cyclical!
volatility,! economic! turbulence! and! physical! depletion! of! the! mineral! or! production!
resources! on! individuals,! regions! or! local! economies.! All! mines! in! South! Africa! are!
required!to!compile!an!SLP,!and!they!must!report!compliance!on!a!yearly!basis!(MPRDA,!
2002).! Compiling! an! SLP! must! be! done! in! a! participatory! manner,! and! local! economic!
!
P a g e !|!93!
development! initiatives! must! be! aligned! with! the! municipal! integrated! development!
planning! processes.! An! SLP! is! not! a! social! impact! management! plan! per! se,! although! it!
does!aim!to!manage!some!negative!social!impacts.!The!guideline!is!very!clear!about!the!
fact! that! measures! put! in! place! for! the! mitigation! of! impacts! cannot! be! seen! as! mine!
community!development!projects!(Department!of!Mineral!Resources,!2010).!!
The! Mineral! and! Petroleum! Resources! Development! Act! 28! of! 2002! forces! mines! to!
protect! the! rights! of! the! communities! affected! by! their! activities.! Social! development!
initiatives!are!legally!prescribed!for!the!benefit!of!the!employees,!local!communities,!and!
communities! from! the! sending! areas! (areas! from! where! workers! were! recruited).! In!
reality! many! mines! see! an! SLP! as! a! grudgeDpurchase,! something! that! they! do! not! really!
want!but!have!to!spend!money!on.!The!effectiveness!of!SLPs!to!address!the!realities!of!
communities!impacted!on!by!mining!remains!a!topic!of!discourse.!
4.3.4 The'National'Heritage'Resources'Act'25'of'1999'
Although!the!National!Heritage!Resources!Act!(NHRA)!25!of!1999!is!not!an!environmental!
act!per!se,!it!is!relevant!in!the!field!of!environmental!management.!The!NHRA!affirms!that!
every!generation!has!a!moral!responsibility!to!act!as!trustee!of!the!national!heritage!for!
later! generations! and! that! the! State! is! obliged! to! manage! heritage! resources! in! the!
interest!of!all!South!Africans.!The!general!principles!for!heritage!management!in!Chapter!
5!of!the!act!state!that!in!order!to!ensure!that!heritage!resources!are!effectively!managed,!
the! skills! and! capacities! of! persons! and! communities! involved! in! heritage! resources!
management! must! be! developed.! The! act! further! elaborates! on! the! fact! that! heritage!
resources!form!an!important!part!of!the!history!and!beliefs!of!communities!and!must!be!
managed!in!a!way!that!acknowledges!the!right!of!affected!communities!to!be!consulted!
and!to!participate!in!their!management.!!
The! general! principles! (Chapter! 5)! state! that! the! identification,! assessment! and!
management!of!the!heritage!resources!of!South!Africa!must:!
•
Take!account!of!all!relevant!cultural!values!and!indigenous!knowledge!systems;!
•
Take!account!of!material!or!cultural!heritage!value!and!involve!the!least!possible!
alteration!or!loss!of!it;!
P a g e !|!94!
!
•
Promote! the! use! and! enjoyment! of! and! access! to! heritage! resources,! in! a! way!
consistent!with!their!cultural!significance!and!conservation!needs;!
•
Contribute!to!social!and!economic!development,!and!
•
Safeguard!the!options!of!present!and!future!generations.!
The!National!Heritage!Resources!Act!25!of!1999!therefore!protects!the!cultural!rights!and!
heritage!of!the!people!of!South!Africa.!It!does!not!require!explicit!public!participation,!or!
give!any!guidelines!on!how!the!public!should!participate.!It!does!refer,!like!the!National!
Environmental!Management!Act!107!of!1998!and!the!National!Water!Act!36!of!1998,!to!
social! and! economic! development.! Public! participation! processes! may! be! requested! by!
the!South!African!Heritage!Resources!Agency!if!it!deems!it!necessary!for!a!specific!project.!!
4.3.5 Promotion'of'Administrative'Justice'Act'3'of'2000'
The! Bill! of! Rights! in! the! Constitution! of! the! Republic! of! South! Africa! 1996! states! that!
everyone!has!the!right!to!administrative!action!that!is!legally!recognised,!reasonable!and!
procedurally! just.! The! Promotion! of! Administrative! Justice! Act! (PAJA)! 3! of! 2000! gives!
effect!to!this!right.!The!PAJA!applies!to!all!decisions!of!all!State!organisations!exercising!
public! power! or! performing! a! public! function! in! terms! of! any! legislation! that! negatively!
affects! the! rights! of! any! person.! The! Act! prescribes! what! procedures! an! organ! of! State!
must! follow! when! it! takes! decisions.! If! an! organ! of! State! implements! a! decision! that!
impacts!on!an!individual!or!community!without!giving!them!an!opportunity!to!comment,!
the! final! decision! will! be! illegal! and! may! be! set! aside.! The! Promotion! of! Administrative!
Justice!Act!3!of!2000!also!forces!State!organisations!to!explain!and!give!reasons!for!the!
manner!in!which!they!have!arrived!at!their!decisions!and,!if!social!issues!were!involved,!
and!how!these!issues!were!considered!in!the!decisionDmaking!process.!!
The! Promotion! of! Administrative! Justice! Act! 3! of! 2000! therefore! protects! the! rights! of!
communities! and! individuals! to! participate! in! decisionDmaking! processes,! especially! if!
these!processes!affect!their!daily!lives.!
!
P a g e !|!95!
4.3.6 Development'Facilitation'Act'67'of'1995'
The! Development! Facilitation! Act! (DFA)! 67! of! 1995! was! introduced! to! speed! up! and!
facilitate! the! implementation! of! reconstruction! and! development! programmes! and!
projects! relating! to! land,! and! to! lay! down! governing! principles! relating! to! land!
development.! It! does! not! replace! existing! legislation! and! development! procedures,! but!
provides!an!alternative,!faster!route!for!development!to!be!implemented.!Many!projects!
subjected!to!environmental!impact!assessments!will!also!be!subject!to!the!requirements!
of!the!DFA.!
The!formulation!of!Land!Development!Objectives!(LDOs)!for!each!local!authority!area!is!
central! to! the! act! (See! Section! 4! of! the! Development! Facilitation! Act! 67! of! 1995).! The!
purpose! of! the! LDOs! is! to! guide! service! delivery! and! ensure! economic! efficiency! and!
effectiveness!at!local!government!level.!LDOs!should!include:!
•
Objectives!relating!to!access!to!services!including!water,!health!and!education;!
•
Objectives!relating!to!growth!and!the!form!of!that!growth,!including!integration!of!
environmental! issues,! transportation! planning,! density! and! integration! of!
settlements,!and!coordination!of!planning!and!development;!!
•
Strategies! for! the! optimal! involvement! of! all! sectors! of! society! and! the!
environment,! accessing! funds! for! development,! establishing! appropriate!
structures!for!administration!and!delivery!of!development,!and!
•
Quantified!targets!to!be!achieved.!!
A! number! of! general! principles! for! land! development! set! out! in! Section! 3! of! the!
Development!Facilitation!Act!67!of!1995!relates!to!the!social!environment!and!the!rights!
of!communities.!The!principles!include:!!
•
Promoting!the!development!of!formal!and!informal,!existing!and!new!settlements,!
in!urban!and!rural!areas;!
•
Discouraging! illegal! land! occupation,! whilst! recognising! informal! land!
development!processes;!!
P a g e !|!96!
!
•
Promoting! the! integration! of! the! social,! economic,! institutional! and! physical!
aspects!of!land!development;!!
•
Promoting! integrated! land! development! in! rural! and! urban! areas! in! support! of!
each!other;!!
•
Promoting! the! availability! of! residential! and! employment! opportunities! in! close!
proximity!to!or!integrated!with!each!other;!!
•
Optimising! the! use! of! existing! resources! including! such! resources! relating! to!
agriculture,! land,! minerals,! bulk! infrastructure,! roads,! transportation! and! social!
facilities;!!
•
Promoting!a!diverse!combination!of!land!uses,!also!at!the!level!of!individual!erven!
(small!building!plot)!or!subdivisions!of!land;!!
•
Discouraging!the!phenomenon!of!"urban!sprawl"!in!urban!areas!and!contributing!
to!the!development!of!more!compact!towns!and!cities;!!
•
Contributing! to! the! correction! of! the! historically! distorted! spatial! patterns! of!
settlement! in! the! Republic! and! to! the! optimum! use! of! existing! infrastructure! in!
excess!of!current!needs;!!
•
Encouraging! environmentally! sustainable! land! development! practices! and!
processes;!!
•
Members! of! communities! affected! by! land! development! should! actively!
participate!in!the!process!of!land!development;!
•
The! skills! and! capacities! of! disadvantaged! people! affected! by! land! development!
should!be!developed;!!
•
The!establishment!of!viable!communities!must!be!promoted;!!!
•
Sustained!protection!of!the!environment!must!be!promoted;!
•
Land! development! which! is! within! the! financial,! institutional! and! administrative!
means!of!the!Republic!must!be!promoted;!!
!
P a g e !|!97!
•
Land! development! should! provide! security! of! tenure,! and! if! people! lose! their!
residences,!new!residences!should!be!provided!for!in!a!reasonable!manner,!and!
•
The! interests! of! various! sectors! involved! in! or! affected! by! land! development!
should! be! coDordinated! by! a! competent! authority! at! local,! provincial! or! national!
level!to!minimise!conflicting!demands!on!scarce!resources.!
The!principles!of!the!Development!Facilitation!Act!67!of!1995!refer!explicitly!to!social!and!
environmental!rights,!and!aim!to!protect!these!rights.!They!recognise!the!importance!of!
integrating!social,!environmental,!economic!and!physical!aspects!in!the!development!of!
land! in! order! to! achieve! wellDfunctioning! communities.! The! DFA! is! used! extensively! in!
urban!areas!dealing!with!the!erection!of!housing,!especially!in!instances!where!informal!
areas!are!being!formalised.!It!is!therefore!an!important!tool,!which!can!be!utilised!when!
aiming! to! create! sustainable! communities! and! improving! the! quality! of! life! for! poor!
people!by!providing!adequate!physical!and!social!infrastructure,!if!it!is!used!in!the!way!it!
was!intended!to!be!used.!!
4.3.7 The'White'Paper'for'Social'Welfare'(RSA,'1997)'
The! White! Paper! for! Social! Welfare! (RSA,! 1997)! describes! South! Africa’s! approach! to!
social! welfare! and! social! development.! It! is! a! negotiated! policy! structure! and! approach,!
and! it! maps! a! new! path! for! social! welfare! by! the! encouragement! of! national! social!
development.!The!direction!of!the!White!Paper!is!in!line!with!the!approach!put!forward!
by! the! United! Nations! World! Summit! for! Social! Development,! held! on! 6! to! 12! March!
1995.! The! preamble! to! the! White! Paper! states! clearly! that! an! intersectoral! response! is!
needed! within! Government! and! between! Government! and! civil! society! to! adequately!
address! welfare! needs! (RSA,! 1997).! This! link! to! the! Local! Agenda! 21! and! Integrated!
Development!Plan!(IDP)!approaches!as!described!in!the!paragraphs!below.!It!can!also!be!
linked! with! the! environmental! legislation! as! discussed! above,! where! all! acts! make!
provision! for! economic! and! social! development! whilst! managing! the! resources! in!
question.!!
Section! 8! of! Chapter! 1! of! the! White! Paper! for! Social! Welfare! states! that! social! and!
economic!development!are!two!mutually!dependent!and!reinforcing!processes.!Equitable!
P a g e !|!98!
!
social! development! is! the! basis! of! economic! success,! and! economic! growth! is!
indispensable!for!social!development.!Social!welfare!refers!to!an!integrated!and!complete!
system! of! social! services,! facilities,! programmes! and! social! security! to! advance! social!
development,! social! justice! and! the! social! functioning! of! people! (RSA,! 1997).! Social!
security,! social! services! and! related! social! development! programmes! are! investments,!
which! lead! to! concrete! economic! gains! and! in! turn! lead! to! economic! growth.! Without!
such!social!investments!economic!development!will!be!compromised.!
Sections!5!and!6!of!Chapter!2!of!the!White!Paper!for!Social!Welfare!explain!the!concept!of!
social!welfare!further.!Social!welfare!is!intrinsically!linked!to!other!social!service!systems!
through!which!people’s!needs!are!met,!and!through!which!people!endeavour!to!realise!
their!objectives.!Social!welfare!services!and!programmes!are!therefore!part!of!a!range!of!
structures! to! accomplish! social! development,! such! as! health,! nutrition,! education,!
housing,! employment,! recreation,! rural! and! urban! development! and! land! reform! (RSA,!
1997).!They!correlate!with!meeting!basic!human!rights!as!set!out!in!the!Constitution!of!
the!Republic!of!South!Africa!1996.!The!welfare!of!the!population!will!not!automatically!be!
improved! by! economic! growth.! Economic! development! has! to! be! supplemented! by! the!
equitable!distribution!and!supply!of!resources!if!it!is!to!support!social!development.!
Some! of! the! important! principles! included! in! the! White! Paper! for! Social! Welfare! (RSA,!
1997)!are:!!
•
Equity.!
•
Democracy!–!participation!in!decisionDmaking.!
•
Improved! quality! of! life! D! through! the! equitable! distribution! of! resources! and!
services.!!
•
Respect! for! human! rights! and! fundamental! freedoms! as! articulated! in! the!
Constitution!of!the!Republic!of!South!Africa!1996.!!
•
!
PeopleDcentred!policies.!!
P a g e !|!99!
•
Investment! in! human! capital! D! contribute! to! the! optimal! social! development! of!
individuals,! families! and! communities.! Also! an! investment! in! human! capital!
development!and!contributes!to!economic!development.!!
•
Sustainability.!!
•
Partnership!with!organisations!in!civil!society,!the!private!sector!and!government!
departments.!!
•
An!intersectoral!approach!will!guide!the!design,!formulation,!implementation!and!
monitoring!of!antiDpoverty!strategies.!!
•
Appropriate,! complement! and! strengthen! people’s! efforts,! enhance! selfDrespect!
and! independence,! be! responsive! to! range! of! social,! cultural! and! economic!
conditions! in! communities.! The! sustainable! use! of! human,! material! and! the!
earth’s!natural!resources!will!be!ensured!for!the!benefit!of!future!generations.!!
The! White! Paper! on! Social! Welfare! (RSA,! 1997)! states! that! the! promotion! of! national!
social!development!cannot!be!the!responsibility!of!government!alone.!Civil!society!must!
also! contribute! to! the! development! of! the! nation.! In! this! respect! corporate! social!
responsibility! programmes! can! also! play! an! important! role.! The! Mineral! and! Petroleum!
Resources! Development! Act! 28! of! 2002! makes! explicit! provision! for! the! promotion! of!
social!development!by!mining!organisations.!It!is!a!legislative!requirement,!which!must!be!
met!as!a!condition!for!operation.!According!to!the!National!Environmental!Management!
Act!107!of!1998,!Environmental!Impact!Assessment!reports!must!include!Environmental!
Management! Plans.! If! a! Social! Impact! Assessment! was! conducted! as! part! of! the!
environmental!assessment!process,!these!plans!should!make!provision!for!initiatives!from!
the!developer!that!could!contribute!to!social!development!in!order!to!mitigate!some!of!
the!impacts!of!the!development!on!the!communities!in!question.!!
The! principles! of! the! White! Paper! on! Social! Welfare! correspond! with! many! of! the!
principles! of! the! environmental! acts! discussed! in! this! section.! It! encourages! an!
intersectoral! approach,! which! is! consistent! with! the! requirements! of! some! of! the!
governance! tools,! which! will! be! discussed! in! Section! 4.4! and! the! requirements! of! the!
Mineral!and!Petroleum!Resources!Development!Act!28!of!2002,!National!Environmental!
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!
Management!107!of!1998!and!the!National!Water!Act!36!of!1998.!Human!rights,!equity!
and!the!promotion!of!social!and!economic!development!are!central!to!the!White!Paper!
on!Social!Welfare,!and!in!that!respect!it!can!be!said!that!it!echoes!the!environmental!acts.!
4.3.8 The'White'Paper'on'Population'Policy'(RSA,'1998a)'
The! White! Paper! on! Population! Policy! (RSA,! 1998a)! aims! to! provide! a! multiDsectoral!
framework! to! address! population! issues! which! are! seen! to! limit! the! achievement! of!
sustainable! development! objectives.! These! issues! are! obstacles! to! improving! quality! of!
life! of! the! South! African! people! and! to! obtaining! sustainable! development.! The!
importance! of! the! interrelationships! between! population,! development! and! the!
environment!is!emphasised!(RSA,!1998a).!!
The! Bill! of! Rights! contained! in! Chapter! 2! of! the! Constitution! for! the! Republic! of! South!
Africa!1996!also!addresses!social!and!human!development!issues,!which!affect!the!quality!
of!life!of!people.!These!issues!include!housing,!healthcare,!food,!water!and!social!security,!
the! situation! of! children! and! education.! Chapter! 2! of! the! Constitution! specifically! notes!
the!right!of!people!to!live!in!an!environment!“protected,!for!the!benefit!of!present!and!
future! generations,! through! reasonable! legislative! and! other! measures! that! secure!
ecologically! sustainable! development! and! use! of! natural! resources! while! promoting!
justifiable! economic! and! social! development”.! The! links! between! these! matters! and!
population!policy!are!clear.!Sustainable!human!development!is!the!central!theme!of!the!
policy.!!
The!following!are!some!of!the!guiding!principles!of!the!population!policy!(RSA,!1998a):!
•
All! South! Africans! are! born! free! and! equal! in! dignity! and! rights.! Everyone! is!
entitled! to! all! the! rights! and! freedom! set! forth! in! the! Universal! Declaration! of!
Human!Rights!and!the!Bill!of!Rights!in!the!Constitution!of!South!Africa.!Population!
policies!should!therefore!respect!human!rights.!!
•
The! right! to! development! is! universal,! inalienable! and! an! integral! part! of!
fundamental! human! rights.! The! people! are! the! country’s! most! important! and!
valuable!resource!as!well!as!the!central!subjects!of!development.!The!role!of!the!
government! in! the! development! process! is! to! facilitate! people’s! ability! to! make!
!
P a g e !|!101!
informed!choices,!and!to!create!an!environment!in!which!they!can!manage!their!
lives.!
•
Economic! growth! and! sustainable! development! are! closely! interrelated.!
Population!policy!should!therefore!be!an!integral!part!of!an!integrated!system!of!
development! policies! and! programmes! in! a! country.! Its! ultimate! goal! should! be!
enhanced!human!development.!!
•
Poverty! is! one! of! the! formidable! enemies! of! choice.! Therefore,! one! of! the! most!
important! objectives! of! a! population! policy! is! to! contribute! towards! the!
eradication!of!poverty!and!all!forms!of!social!and!economic!exclusion!of!people.!
•
People!have!the!right!to!be!informed!about!all!matters!relating!to!their!daily!lives.!
Consequently,! the! South! African! public! should! have! access! to! all! relevant!
information!concerning!government!policies,!and!an!appropriate!understanding!of!
this! information! and! its! implications! for! all! facets! of! their! lives.! This! includes!
information!on!population!and!development!issues.!
•
Civil! society! should! be! involved! in! the! design! and! implementation! of! population!
policies!and!programmes.!!
The! White! Paper! on! Population! Policy! is! relevant! to! the! field! of! environmental!
management,! especially! because! of! the! interrelationship! between! people! and! the!
environment.! Some! of! the! biggest! impacts! on! the! environment! are! because! of! human!
interference.! The! more! people! there! are,! the! bigger! the! need! for! natural! resources! like!
water,! energy! and! food.! This! policy! relates! closely! to! the! field! of! environmental!
management,! as! in! some! circles! development! of! any! kind! is! seen! as! a! threat! to! the!
biophysical!environment.!Poor!people!are!universally!seen!as!a!vulnerable!group,!but!are!
often! perceived! in! the! contradicting! role! as! having! the! biggest! negative! impact! on! the!
environment,!as!well!as!being!some!of!the!best!recyclers.!The!Policy!promotes!sustainable!
development! and! the! eradication! of! poverty,! therefore! considering! the! biophysical!
environment!and!the!importance!of!protecting!it,!as!well!as!protecting!the!basic!human!
rights!of!the!general!population.!
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!
In! summary,! the! environmental! legislation! in! South! Africa! indicates! that! social! and!
economic! development! should! always! be! a! consideration! when! dealing! with! the!
biophysical! environment.! The! South! African! legislation! is! written! from! a! developmental!
perspective.!The!next!section!explores!other!governance!tools!that!can!be!used!to!assist!
with!achieving!social!development!outcomes.!
4.4 Additional'governance'tools'
Legislation! is! not! the! only! tool! that! authorities! can! use! to! achieve! sustainable!
development! and! social! development! outcomes.! There! are! a! number! of! tools,! policies!
and! strategic! planning! instruments! that! can! contribute! to! this.! Local! Agenda! 21! and!
Integrated!Development!Plans!are!the!tools!implemented!on!municipal!level!and!will!be!
discussed! first.! This! is! followed! by! a! discussion! of! Provincial! Growth! and! Development!
Strategies,!the!most!important!tool!used!on!a!provincial!level.!The!National!Development!
Plan,! the! most! significant! tool! on! a! national! level,! written! to! address! the! Millennium!
Development! Goals! and! the! postD2015! sustainable! development! goals! are! examined! in!
the! penultimate! section.! The! section! will! conclude! with! a! discussion! on! the! Millennium!
Development!Goals!and!its!implementation!in!the!South!African!context.!
4.4.1 Local'Agenda'21'
Local!Agenda!21!(LA21)!is!the!outcome!of!a!host!of!international!policies!and!events!that!
reflect!the!growing!importance!of!sustainable!development,!and!arises!out!of!the!United!
Nations! Conference! on! Environment! and! Development! (UNCED)! held! in! Rio! de! Janeiro,!
Brazil,! in! 1992.! LA21! is! the! process! used! around! the! world! to! translate! Agenda! 21! into!
actions!at!local!level.!Chapter!28!of!Agenda!21!sets!out!the!importance!of!local!authorities!
in! the! global! move! towards! sustainability! (Urquhart! &$ Atkinson,! 2000:14).! At! the! 2012!
United!Nations!Conference!on!Sustainable!Development,!also!known!as!Rio+20!or!Earth!
Summit! 2012,! held! in! Rio! de! Janeiro,! the! representatives,! including! South! Africa,!
reaffirmed!their!commitment!to!Agenda!21!(United!Nations,!2012:3).!
LA21!is!a!longDterm,!strategic!process!that!will!help!local!communities!and!local!councils!
deal!with!economic!development!and!employment,!environmental!protection,!and!equity!
and! justice! concerns.! It! seeks! to! reflect! the! needs,! resources! and! hopes! of! a! local!
community,!and!place!these!in!global!context.!!
!
P a g e !|!103!
According!to!Urquhart!and!Atkinson$(2000:14),!the!1997!United!Nations!Special!Session!of!
the!General!Assembly!review!of!Agenda!21!recognised!that!local!government!was!proving!
to!be!the!most!effective!sphere!of!government!in!implementing!Agenda!21.!
Characteristics!of!LA21!include!(Urquhart!and!Atkinson,$2000:14):!
•
The!integration!of!social,!economic!and!ecological!issues.!
•
A!multiDsectorial!approach!–!involving!all!sectors!of!the!community.!
•
Concern!for!the!future!–!taking!a!longer!term!view.!
•
Recognising!and!working!within!ecological!limits.!
•
Local!authorities!working!through!partnerships!with!civil!society.!
•
Linking!local!issues!to!global!impacts.!
•
Equity,!justice!and!accountability.!
There!is!much!overlap!of!LA21!principles!and!those!contained!in!the!Constitution!of!the!
Republic!of!South!Africa!1996!and!in!the!National!Environmental!Management!Act!107!of!
1998,! which! all! state! departments! must! use! as! a! guideline.! Local! governments!
increasingly!perform!developmental!and!environmental!functions,!where!services!have!to!
be! provided! to! communities! in! a! sustainable! manner,! while! promoting! social! and!
economic!development.!!
A!characteristic!of!LA21!is!that!a!multiDsectorial!integrated!approach!is!followed,!with!the!
emphasis!of!working!through!partnerships!with!business,!labour!and!community!groups,!
facilitating! a! coDordinating! local! authority,! rather! than! a! dictating! local! authority.! LA21,!
therefore,!allows!communities!to!take!responsibility!for!developing!a!vision!and!strategies!
for!improving!their!quality!of!life,!in!line!with!the!principles!for!social!development.!
Through!the!democratisation!process,!and!having!acceded!to!the!Rio!Convention,!South!
Africa!has!committed!itself!to!implementing!Agenda!21!as!a!whole!in!the!country,!and!to!
the! principles! of! sustainable! development,! as! evidenced! in! the! Constitution! of! the!
Republic!of!South!Africa!1996!and!various!policies.!The!White!Paper!on!Local!Government!
(RSA,!1998b)!contextualised!LA21!as!part!of!a!new!local!government!system.!!
P a g e !|!104!
!
There! are! some! common! ground! between! LA21! and! the! acts! and! policies! described!
earlier!in!the!chapter.!The!multiDsectorial!approach!suggested!are!similar!to!the!approach!
suggested! by! the! White! Paper! on! Social! Welfare.! Public! participation,! sustainable!
development! and! the! interrelationship! between! people! and! the! environment! are! all!
reiterated.!!
4.4.2 Integrated'Development'Plans'
As!indicated!in!Chapter!3,!the!South!African!government!operates!on!three!levels,!namely!
local!(municipal),!provincial!and!national.!Integrated!Development!Plans!(IDPs),!the!South!
African!version!of!LA21,!are!now!made!compulsory!through!the!Municipal!Systems!Act!32!
of! 2000! on! municipal! level.! Integrated! Development! Planning! is! a! process! by! which!
municipalities! prepare! 5Dyear! strategic! development! plans.! The! IDP! is! the! written! plan!
that!results!from!the!integrated!development!planning!process.!It!is!the!principle!strategic!
planning! instrument! that! guides! and! informs! all! planning,! management,! investment,!
development!and!implementation!decisions!and!actions!in!the!local!area!and!supersedes!
all! other! plans! that! guide! local! development! (Coetzee,! 2002:10).! It! is! necessary! to! look!
retrospectively!at!the!development!of!the!IDP!in!order!to!fully!understand!its!importance!
as!a!tool!for!empowering!local!authorities!and!communities.!
According!to!Coetzee!(2002:15),!IDP!can!be!seen!as!the!South!African!response!to!LA21,!
and!can!be!seen!as!one!of!the!many!varied!approaches!to!LA21!across!the!world.!The!idea!
of! integrated! planning! evolved! as! a! response! to! the! fragmented,! ad! hoc! projectDbased!
approaches! to! planning! of! the! 1980’s,! and! pressure! from! environmentalists! for! a! more!
holistic! perspective! on! development.! Since! South! Africa! committed! to! the! principles! of!
sustainable! development! when! it! acceded! to! the! Rio! Convention,! the! White! Paper! on!
Local!Government!(RSA,!1998)!has!contextualised!Local!Agenda!21!as!part!of!a!new!local!
government!system.!!
The!legislative!framework!for!integrated!development!planning!was!put!into!place!during!
the! period! 1996! to! 2000.! The! Local! Government! Transition! Act! 97! of! 1996! outlined! the!
IDP! as! a! specific! legally! prescribed! product! of! an! Integrated! Development! Planning!
Process!(IDP!process)!in!the!local!sphere!of!government!(Coetzee,!2002:11).!!
!
P a g e !|!105!
The!White!Paper!on!Local!Government!(RSA,!1998)!has!contextualised!the!IDP!as!a!tool!
for!developmental!local!government!with!the!intention!of!enabling!municipalities!to:!
•
Help!to!align!scarce!resources!behind!agreed!policy!objectives!and!programmes;!
•
Make!sure!that!actions!are!prioritised!around!urgent!needs;!
•
Ensure!the!necessary!integration!with!other!spheres!of!government,!serving!as!a!
tool!for!communication!and!interaction!with!them,!and!
•
Serve! as! a! basis! for! engagement! between! local! government! and!
communities/residents.!
The! governance! function! of! the! IDP! involves! three! aspects! namely,! development! of!
environmentally! related! legislation! at! the! local! level;! executive! mandate! to! implement!
legislative! arrangements;! and! a! law! enforcement! function.! The! Local! Municipality! is!
responsible! for! the! development! of! new! local! bylaws! to! ensure! that! all! the! relevant!
environmental! aspects! are! governed! within! a! legislative! framework.! The! Local!
Municipality! also! has! an! executive! function! (including! coDoperative! governance!
arrangements)! coupled! with! enforcement.! This! refers! specifically! to! environmental!
aspects!such!as!air!pollution,!land!use!management!and!waste!management.!
IDP! documents! are! an! important! source! of! information! for! Environmental! and! Social!
Impact!Assessments.!The!IDP!process!provides!an!excellent!opportunity!for!interDsectorial!
cooperation.! In! addition,! the! IDP! process! has! put! some! systems! in! place! that! could! be!
utilised!to!assist!in!meeting!the!objectives!of!some!of!the!acts!described!in!the!paragraphs!
above.!An!example!of!this!is!the!IDP!forum,!or!the!person!responsible!for!managing!the!
IDP!in!the!specific!municipality.!In!practice,!meeting!the!requirements!of!the!Mineral!and!
Petroleum!Resources!Development!Act!28!of!2002!and!compiling!the!Social!and!Labour!
Plan!should!be!done!by!looking!at!the!Integrated!Development!Plan!and!integrating!the!
objectives! of! the! IDP! with! the! Local! Economic! Development! Plan! as! prescribed! in! the!
Social!and!Labour!Plan.!Integrated!planning!and!public!participation!are!mandated!by!all!
the! environmental! legislation,! but! the! challenge! of! putting! it! into! practice! remains.!
Integrated!Development!Plans!are!an!important!tool!on!local!municipal!level!in!the!strive!
for!sustainable!development.!
P a g e !|!106!
!
4.4.3 Provincial'Growth'and'Development'Strategies'
Provinces! play! an! important! role! in! contextualising! acts! and! other! tools! of! governance!
and! grounding! them! within! the! realities! of! each! province.! The! provincial! governments!
must! guide! the! local! government! in! the! implementation! and! development! of! IDPs! and!
other! programmes! for! sustainable! development.! Provincial! Growth! and! Development!
Strategies! (PGDS)! are! a! critical! tool! to! guide! and! coordinate! the! allocation! of! national,!
provincial! and! local! resources! and! private! sector! investment! to! achieve! sustainable!
development!outcomes.!They!are!not!a!provincial!government!plan,!but!a!development!
framework! for! the! province! as! a! whole! (Department! Provincial! and! Local! Government!
[DPLG],!2005:1).!
PGDS! are! not! a! legislative! requirement,! but! plays! an! important! role! in! ensuring!
effectiveness! and! coordinating! delivery! of! the! overall! objectives! of! South! Africa! as! a!
developmental!state.!PGDS!are!based!on!a!longDterm!view!of!the!provinces’!development!
route.! Their! primary! purpose! is! to! provide! a! collaborative! framework! to! drive!
implementation!within!a!province!(DPLG,!2005:1).!!
A!PGDS!should!have!the!following!characteristics!(DPLG,!2005:3):!
•
Build! on! the! principles! of! the! National! Spatial! Development! Perspective!
and!engage!with!metropolitan,!district!and!local!municipalities;!
•
Provide! direction! and! scope! for! provinceDwide! development! programmes!
and! projects! within! long! term! perspective,! considering! resources,!
economic,! political,! social! and! environmental! opportunities! and!
constraints;!
•
Be! a! vehicle! to! address! legacies! of! Apartheid! space! economy,! promote!
sustainable! development! and! ensure! poverty! reduction! and! employment!
creation;!
•
Provide! a! framework! for! public! and! private! sector! investment,! indicating!
areas!of!opportunities!and!development!priorities;!
!
P a g e !|!107!
•
Focus! on! addressing! key! implementation! blockages! and! issues,! including!
institutional!reform;!and!
•
Enable! governmental! alignment! and! guides! activities! of! various! roleD
players!and!agencies.!
The!Provincial!Growth!and!Development!Strategy!is!the!provincial!perspective!on!where!
and!what!types!of!investment!should!be!prioritised!by!different!localities.!It!is!important!
to! include! all! relevant! role! players! –! government! bodies! and! private! and! civil!
organizations.!It!is!a!developmental!approach!to!government,!which!implies!a!proactive!
and!facilitative!approach!to!development,!and!not!one!based!on!formulating!and!applying!
regulations! and! restrictions.! The! PGDS! is! a! strategic! document! that! gives! direction! to!
meeting! critical! developmental! issues! in! government.! It! is! a! platform! for! coordinated!
action!(DPLG,!2005:5).!!
The!challenge!facing!Provincial!Growth!and!Development!Strategies!is!the!need!to!play!a!
strategic! role! in! translating! national! priorities! and! perspectives! into! regional! context!
whilst! also! remaining! focussed! on! driving! delivery! and! removing! blockages! at! municipal!
and!sectorial!service!levels.!One!of!the!challenges!facing!the!government!of!South!Africa!
is! to! effectively! integrate,! coordinate! and! align! the! actions! of! its! three! constituting!
spheres!(national,!provincial!and!local)!to!achieve!the!desired!developmental!outcomes.!!
PGDS! can! therefore! not! be! separated! from! other! social! and! environmental! tools! of!
governance,! but! should! be! utilised! as! a! platform! for! coordination! and! integration! of!
existing! strategies! and! objectives.! PGDS! is! an! important! tool! on! provincial! level! in! the!
quest!for!sustainable!development.!!
4.4.4 National'Development'Plan'
Since! South! Africa! changed! into! a! democracy! in! 1994! there! have! been! a! number! of!
national! development! and! planning! frameworks! implemented! to! ensure! transformation!
and! social! justice.! The! first! initiative! was! the! Reconstruction! and! Development!
Programme! in! 1994.! The! Growth,! Employment! and! Redistribution! Strategy! in! 1996! and!
the!Accelerated!and!Shared!Growth!Initiative!for!South!Africa!in!2006!followed!(Republic!
of!South!Africa![RSA],!2013b:17).!In!2009!a!New!Growth!Path!that!focuses!on!the!micro!
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!
economy! was! introduced! (RSA,! 2013b:17).! A! National! Development! Plan! (NDP)! was!
undertaken! to! vision! what! South! Africa! should! look! like! in! 2030! and! what! action! steps!
should! be! taken! to! achieve! this! (RSA,! 2013b:17).! On! 11! November! 2011! the! National!
Planning! Commission! released! the! National! Development! Plan:! Vision! for! 2030! (NPC,!
2012)!for!South!Africa!and!it!was!adopted!as!government!policy!in!August!2012.!!
The!aim!of!the!NDP!is!to!eliminate!poverty!and!reduce!inequality!by!2030.!The!National!
Planning!Commission!consists!of!26!individuals!appointed!by!the!President!to!advise!on!
issues!that!impact!on!longDterm!development!developed!the!NDP!(NPC,!2012).!The!plan!
identifies!nine!central!challenges!to!development!in!South!Africa:!!
1. Too!few!people!work.!
2. The!standard!of!education!for!most!black!learners!is!of!poor!quality.!
3. Infrastructure! is! poorly! located,! underDmaintained! and! insufficient! to!
foster!higher!growth.!
4. Spatial!patterns!exclude!the!poor!from!the!fruits!of!development.!
5. The!economy!is!overly!and!unsustainably!resource!intensive.!
6. A! widespread! disease! burden! is! compounded! by! a! failing! public! health!
system.!
7. Public!services!are!uneven!and!often!of!poor!quality.!
8. Corruption!is!widespread.!
9. South!Africa!remains!a!divided!society!(NPC,!2012:3).!
The! plan! focuses! on! creating! an! enabling! environment! for! development! and! wants! to!
shift! from! a! paradigm! of! entitlement! to! a! paradigm! of! development! that! promotes! the!
development! of! capabilities,! the! creation! of! opportunities! and! the! involvement! of! all!
citizens!(NPC,!2012:5).!!
!
!
!
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The!National!Development!Plan!(NPC,!2012)!wants!to!achieve!the!following:!!
•
An!economy!that!will!create!more!jobs.!
•
Improving!infrastructure.!
•
Transition!to!a!lowDcarbon!economy.!
•
An!inclusive!and!integrated!rural!economy.!
•
Reversing!the!spatial!effects!of!Apartheid.!
•
Improving!the!quality!of!education,!training!and!innovation.!
•
Quality!healthcare!for!all.!
•
Social!protection.!
•
Building!safer!communities.!
•
Reforming!the!public!service.!
•
Fighting!corruption.!
•
Transforming!society!and!uniting!the!country.!
Each! of! the! points! above! is! a! chapter! in! the! plan,! and! contains! a! range! of! targets! and!
proposals.!Some!are!general!statements!of!policy!intent,!while!others!are!specific!policy!
proposals,!actions!or!processes!that!should!take!place!(NPC,!2012:26).!!
The!NDP!is!a!detailed!document!consisting!of!444!pages.!Terblanche!(2013)!states!that!it!
is! not! a! castDinDstone! policy! document,! but! rather! something! that! provides! direction,!
identifies!blockages,!and!proposes!targets!and!timelines.!He!further!says!that!the!success!
of! the! NDP! will! depend! on! the! implementation! of! individual! policy! initiatives,!
programmes!and!departmental!action!plans.!Although!the!plan!is!generally!well!received,!
there!is!some!criticism!against!it,!and!the!Congress!of!South!African!Trade!Unions!(Cosatu)!
and! the! South! African! Communist! Party! are! some! of! its! staunchest! critics! based! on! the!
fact!that!they!see!the!Freedom!Charter!as!the!basis!for!all!future!development!(Marrian,!
2013).!There!is!a!danger!that!the!NDP!can!be!abused!for!political!purposes.!This!will!be!to!
the!detriment!of!the!general!South!African!society,!as!the!NDP!creates!a!vision!for!future!
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!
development!in!a!way!that!will!be!constructive!to!the!development!of!the!country.!There!
are! other! strategic! tools! that! the! government! uses! but! for! the! purpose! of! sustainable!
social! development! the! NDP! remains! the! most! appropriate.! The! outcomes! of! the! NDP!
have!been!influenced!by!the!Millennium!Development!Goals!(MDGs),!an!international!set!
of!goals!aimed!at!improving!humanity.!The!MDGs!will!be!discussed!in!more!detail!in!the!
next!section.!!
4.4.5 Millennium'Development'Goals'
All!189!Members!States!of!the!United!Nations,!including!South!Africa,!adopted!the!United!
Nations! Millennium! Declaration! in! September! 2000! (UN,! 2000).! The! aim! of! the!
declaration!was!to!improve!the!fate!of!humanity!in!the!twentyDfirst!Century!by!making!a!
number! of! specific! commitments! that! have! to! be! achieved! by! 2015.! The! declaration!
states:!
We!will!spare!no!effort!to!free!our!fellow!men,!women!and!children!from!the!
abject!and!dehumanising!conditions!of!extreme!poverty,!to!which!more!than!
a!billion!of!them!are!currently!subjected.!We!are!committed!to!make!the!right!
development!a!reality!for!everyone!and!to!freeing!the!entire!human!race!from!
want.!(UN,!2000:4)!
The! commitments! made! by! the! Millennium! Declaration! are! known! as! the! Millennium!
Development! Goals! (MDGs).! All! the! individual! countries! have! put! systems! in! place! to!
achieve! these! goals! by! 2015.! According! to! the! World! Bank! the! MDGs! are! commonly!
accepted!as!a!framework!for!measuring!development!progress!(Clemens,!Kenny!&!Moss,!
2007:735).!At!the!time!the!SecretaryDGeneral!of!the!United!Nations,!Kofi!Annan!described!
the! goals! as! ambitious,! but! technically! feasible! (Clemens! et! al.,! 2007:735).! The! MDGs!
comprise!the!following:!
1. Eradicate!extreme!poverty!and!hunger.!
2. Achieve!universal!primary!education.!
3. Promote!gender!equality!and!empower!woman.!
4. Reduce!child!mortality.!
!
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5. Improve!maternal!health.!
6. Combat!HIV/Aids,!malaria!and!other!diseases.!
7. Ensure!environmental!sustainability.!
8. Develop!a!global!partnership!for!development!(UN,!2001).!
The! problems! facing! humanity! are! closely! entwined! with! each! other! and! therefore! a!
coordinated! strategy! that! addresses! problems! simultaneously! on! different! fronts! is!
needed!(UN,!2001).!The!United!Nations!further!declares!that!in!order!to!address!poverty!
and!promote!development!it!is!essential!to!achieve!sustained!and!broadDbased!economic!
growth!and!that!in!their!view!the!MDGs!highlight!the!most!important!areas!in!which!such!
growth!and!development!should!be!focused!(UN,!2001).!!
The! MDGs! can! also! be! seen! as! measures! of! performance! –! meaning! that! they! measure!
how! well! nations! perform! in! relation! to! achieving! the! goals! (Easterly,! 2009;! Clemens! et!
al.,!2007).!According!to!Easterly!(2009:27)!many!of!the!organisations!involved!in!the!MDG!
campaign!are!of!the!opinion!that!SubDSaharan!Africa!will!fail!to!meet!most!of!the!goals.!
Easterly! (2009:27)! argues! that! the! MDGs! are! poorly! and! illogically! designed! to! measure!
progress!against!poverty!and!deprivation!and!that!their!design!makes!Africa!appear!worse!
than! it! really! is.! There! are! actually! many! successes,! but! these! are! not! recognised!
internationally.!The!author!further!reasons!that!it!is!intimidating!to!have!goals!for!Africa!
that! can! only! be! accomplished! with! progress! that! is! nearly! without! historical! example!
from!other!regions!or!in!Africa!itself!(Easterly,!2009:!27).!!
In!2013,!about!two!years!before!the!2015!deadline,!the!Millennium!Development!Report!
2013:! Assessing! Progress! in! Africa! towards! the! Millennium! Development! Goals! (MDR!
2013)! (African! Development! Bank! [ADB],! African! Union! Commission! [AUC],! United!
Nations!Development!Programme![UNDP]!and!United!Nations!Economic!Commission!for!
Africa! [ECA],! 2013:! xiv)! stated! that! of! the! eight! goals,! only! three! are! on! track! to! be!
achieved.!These!three!goals!are!Goal!2!D!to!achieve!universal!primary!education,!Goal!3!–!
to! promote! gender! equality! and! empower! women! and! Goal! 6! –! to! combat! HIV/Aids,!
tuberculosis,! malaria! and! other! diseases.! The! report! acknowledges! Africa’s! economic!
growth!over!the!past!decade,!but!despite!that,!it!is!very!likely!that!it!will!miss!the!goal!of!
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!
halving!extreme!poverty!by!2015!(Isa,!2013).!The!reported!growth!in!African!countries!has!
failed! to! sufficiently! address! poverty! reduction,! unemployment,! increased! income!
inequalities! and! deteriorating! levels! of! health! and! education! in! some! countries! (Isa,!
2013).!The!report!underlines!the!fact!that!although!targets!have!not!been!met,!significant!
progress! has! been! made,! and! that! this! should! be! recognised.! This! supports! Easterly’s!
(2009:33)!view!that!the!measurements!should!focus!on!successes!rather!than!failures!and!
should! not! be! applied! too! narrowly.! MDR! 2013! states! that! it! is! important! to! put!
structures! in! place! to! ensure! sustainable! development! past! the! MDGDdeadline,! as! the!
development!process!with!all!its!challenges!and!opportunities!will!continue!long!after!the!
MDGs!have!passed!(ADB!et!al.,!2013:!viii).!!!
The!2013!Millennium!Development!Goal!Country!Report!(MDGR)!(RSA,!2013a)!published!
by! the! South! African! government! critically! reviews! South! Africa’s! progress! against! the!
MDGs.! Previous! reports! have! been! criticised! by! civil! society! as! painting! an! unrealistic!
picture!and!for!lacking!broad!public!participation!processes!(Global!Call!to!Action!Against!
Poverty!–!South!Africa![GCAPSA,!2010;!RSA,!2010).!As!a!result,!and!mainly!because!civil!
society! advocated! the! importance! of! their! role,! the! 2010! MDGR! South! African! Country!
report!was!subjected!to!an!inclusive!public!consultation!process!(RSA,!2010).!This!process!
was!expanded!on!for!the!2013!MDGR!(RSA,!2013a:13)!and!a!substantive!report!including!
domestic! indicators! has! resulted.! The! 2013! MDGR! South! African! Country! report! points!
out!that!the!government!has!embedded!the!MDGs!in!the!existing!planning!tools!on!local!
level! through! Integrated! Development! Plans,! provincial! level! through! Provincial! Growth!
and! Development! Strategies! and! on! national! level! through! the! National! Development!
Plan.! The! MDGs! therefore! forms! part! of! the! national! development! agenda! (RSA,!
2013a:13).! Although! South! Africa! achieved! mixed! results! with! the! MDGs,! the!
development! path! chosen! by! the! government! will! ensure! that! the! unmet! MDG! targets!
and! emerging! development! issues! remain! part! of! the! country’s! development! agenda.!
Poverty,! unemployment! and! inequality! are! some! of! the! greatest! challenges! that! South!
Africa! face! (RSA,! 2013a:20).! The! Millennium! Development! Report! 2013:! Assessing!
Progress!in!Africa!towards!the!Millennium!Development!Goals!(ADB!et!al.,!2013:vii)!states!
that! “Failing! to! address! Africa’s! inequalities! is! a! recipe! for! social! unrest.”! As! already!
!
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indicated,! with! one! of! the! highest! Gini! coefficients! (around! 0,69)! in! the! world,! South!
Africa!is!placed!as!one!of!the!most!unequal!countries!globally!(RSA,!2013a:28).!!
As!indicated!in!Chapter!1!(Section!1),!the!post!2015!development!agenda!discussing!the!
next! step! after! the! Millennium! Development! Goals! has! been! established.! The! United!
Nations!Open!Working!Group!of!the!General!Assembly!identified!seventeen!sustainable!
development!goals,!built!on!the!foundation!of!the!MDGs,!which!will!be!considered!at!the!
special! summit! on! sustainable! development! in! September! 2015! (UN,! 2014b:13).! The!
sustainable! development! goals! include! aspects! such! as! ending! poverty,! addressing! food!
security,! promoting! health,! wellbeing! and! education,! gender! equality,! water! and!
sanitation,! economic! growth! and! employment! creation,! sustainable! infrastructure,!
reducing! inequality,! creating! sustainable! cities! and! human! settlements,! and! addressing!
challenges! in! the! physical! environment! such! as! climate! change! and! environmental!
resources! (UN,! 2014a).! These! aspects! are! included! in! the! NDP,! and! it! can! therefore! be!
assumed!that!South!Africa!will!continue!to!align!the!country’s!development!path!with!the!
international!development!agenda.!!
The! Millennium! Development! Goals! are! one! of! the! tools! that! achieved! the! greatest!
successes! in! attempting! to! achieve! social! sustainability! and! equity,! and! presumably! the!
new!sustainable!development!goals!will!build!on!these!successes.!The!fact!that!the!South!
African!government!included!the!MDGs!as!part!of!its!development!agenda!is!positive!and!
indicates! political! will! to! achieve! social! development.! Apart! from! the! MDGs! there! are! a!
number! of! other! social! and! sustainability! standards! that! can! contribute! to! the! social!
development!agenda.!!
4.5 National'and'international'standards''
Social!impact!assessment!is!usually!conducted!for!projects!that!contribute!to!some!sort!of!
industrial! or! infrastructure! development.! National! and! international! industry! standards!
aimed!at!sustainable!development!and!social!justice!specifically!have!become!abundant!
in!the!last!decade.!Although!social!development!outcomes!are!not!necessarily!included!in!
the! standards,! they! do! include! important! social! aspects! such! as! human! rights,! equity,!
consultation! and! community! involvement.! Many! industries! use! these! standards! as!
indicators!for!best!practice.!The!discussion!below!highlights!only!a!few!of!these!standards.!
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!
ISO! 26000/SANS! 26000:2010! is! important! because! it! has! been! adopted! as! a! national!
standard!in!South!Africa,!and!some!of!the!other!standards!that!have!been!highlighted!are!
often!included!in!the!terms!of!reference!of!environmental!and!social!impact!assessment.!
4.5.1 ISO'26000:2010/SANS'26000:2010'
Performance! standards! have! long! been! a! voluntary! tool! used! by! industry! to! achieve!
certain!outcomes.!The!International!Organisation!for!Standardisation!(ISO)!is!the!world’s!
largest!developer!of!voluntary!international!standards!(ISO,![sa]).!International!standards!
give!advanced!specifications!for!products,!services!and!good!practice!and!helps!industry!
to! become! more! effective! and! efficient.! The! standards! are! developed! through! global!
consensus!(ISO,![sa]).!The!first!standard!on!social!responsibility,!ISO!26000!was!published!
on! 1! November! 2010! (ISO,! 2010).! It! was! developed! using! a! multiDstakeholder! approach!
involving! experts! from! more! than! 90! countries! and! 40! international! or! broadly! based!
regional!organisations!involved!in!different!aspects!of!social!responsibility!(ISO,!2010).!!
The! South! African! Bureau! of! Standards! (SABS),! a! statutory! body! that! is! mandated! to!
develop,! promote! and! maintain! South! African! National! Standards! (SABS,! [sa])! adopted!
the!ISO!26000!Standard!as!a!South!African!National!Standard!(SANS)!26000:2010.!!
Social!responsibility!is!defined!in!the!standard!as!the!responsibility!of!an!organisation!for!
the! impacts! of! its! decisions! and! activities! on! society! and! the! environment,! through!
transparent!and!ethical!behaviour!that!contributes!to!sustainable!development,!including!
health! and! welfare! of! society;! takes! into! account! the! expectations! of! the! stakeholders;!
complies!with!applicable!law!and!is!consistent!with!international!behaviour!norms,!and!is!
integrated!throughout!the!organisation!and!practiced!in!its!relationships!(ISO,!2010:3).!!
The!document!identifies!seven!principles!for!social!responsibility!and!seven!core!subjects!
that! should! be! addressed! by! organisations.! The! seven! principles! for! social! responsibility!
are! accountability,! transparency,! ethical! behaviour,! respect! for! stakeholder! interests,!
respect!for!the!rule!of!law,!respect!for!international!norms!of!behaviour!and!respect!for!
human! rights! (ISO,! 2010:10D13).! The! core! subjects! that! should! be! addressed! include!
organisational! governance,! human! rights,! labour! practices,! environment,! fair! operating!
practices,!consumer!issues!and!community!involvement!and!development!(ISO,!2010:19).!
!
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Economic! aspects,! health! and! safety! and! the! value! chain! are! dealt! with! throughout! the!
seven!core!subjects,!and!gender!issues!are!considered.!
Vanclay! and! Esteves! (2011:9)! state! that! the! development! of! the! Standard! should! be!
applauded,! as! it! offers! a! means! by! which! social! performance! can! be! rooted! in! the!
management! systems! of! organisations.! It! therefore! creates! legitimacy! for! SIA! processes!
to!lead!to!the!development!of!a!social!impact!management!plan!that!can!be!linked!to!a!
company’s!systems!and!processes.!According!to!Hanks!(2011)!there!is!not!a!high!level!of!
awareness!and!interest!in!ISO!26000!in!South!Africa!yet,!although!the!King!III!Report!on!
governance! in! South! Africa! (King,! 2009)! refers! explicitly! to! it,! but! that! there! are! some!
indication! that! this! is! going! to! change.! Although! ISO! 26000! is! not! as! wellDknown! as! ISO!
14000,!the!environmental!standard,!the!researcher!is!of!the!opinion!that!ISO!26000!is!a!
good!introduction!to!what!social!responsibility!is!and!what!measures!should!be!taken!to!
move!towards!being!a!more!socially!responsible!company.!It!deals!with!equity!issues!and!
can! encourage! social! development! initiatives! by! companies! through! activities! such! as!
social! investment! projects,! employment! creation,! skills! development! and! income!
creation.!!
The! number! of! sustainability! reporting! initiatives! and! global! standards! are! almost!
overwhelming.! These! initiatives! cut! across! many! disciplines! and! industries.! In! the! next!
section!some!of!the!most!prominent!standards!used!in!the!South!African!context!will!be!
explored.!!
4.5.2 International'Social'Performance'Standards/Initiatives'
There! is! a! profusion! of! global! initiatives! aiming! at! assisting! companies! to! make! their!
operations! more! sustainable.! Human! rights,! environmental! protection! and! social! justice!
are! gaining! support! from! industry.! The! social! agenda! forms! an! important! part! of! this!
trend.!Only!a!few!relevant!initiatives!will!be!mentioned!in!this!section.!!
The! Global! Reporting! Initiative! (GRI)! is! a! leading! organisation! in! the! sustainability! field!
that! promotes! sustainability! reporting! as! a! way! for! companies! to! become! more!
sustainable! and! contribute! to! sustainable! development.! A! sustainability! report! is!
published!by!a!company!to!report!the!economic,!social!and!environmental!impacts!of!its!
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!
everyday! activities,! present! its! values! and! governance! model! and! explain! the! link!
between!its!strategy!and!its!commitment!to!sustainable!development!(GRI,![sa]).!The!GRI!
have!strategic!partnerships!with!the!United!Nations!Environment!Programme,!the!United!
Nations!Global!Compact,!the!Organisation!for!Economic!CoDoperation!and!Development!
and! the! International! Organisation! for! Standardisation,! amongst! others! (GRI,! [sa]).! The!
social! category! relates! to! the! impact! of! the! company! on! the! social! systems! in! which! it!
operates.! The! social! category! consist! of! four! subcategories! namely! labour! practices! and!
decent!work;!human!rights;!society;!and!product!responsibility.!Each!of!the!categories!is!
unpacked!by!using!a!number!of!aspects!that!should!be!considered!(GRI,![sa]).!GRI!Focal!
Points!are!national!offices!that!drive!the!initiatives!in!particular!countries!and!regions.!On!
26!February!2013!the!GRI!Focal!Point!South!Africa!was!launched.!South!Africa!is!one!of!
the!countries!with!the!largest!number!of!GRI!reporters!in!the!world.!The!GRI!Focal!Point!
South! Africa! aims! to! work! with! multiDnational! companies! to! expand! and! share! best!
practices!across!the!continent!(GRI,![sa]).!!
The!United!Nations!is!the!origin!of!many!of!the!sustainability!initiatives!and!international!
ideals.! The! United! Nations! (UN)! Global! Compact! is! a! strategic! policy! initiative! for!
businesses! that! are! committed! to! align! their! operations! with! ten! universal! principles! in!
the!areas!of!human!rights,!labour,!environment!and!antiDcorruption!(UN,!2013a).!The!UN!
Global!Compact!has!two!main!objectives,!which!are!to!mainstream!their!ten!principles!in!
business! activities! globally! and! to! catalyse! actions! in! support! of! broader! UN! goals,!
including!the!Millennium!Development!Goals!(UN,!2013a).!!
The! International! Labour! Organisation! (ILO)! was! the! first! specialised! agency! in! the! UN,!
and! its! main! aims! are! to! promote! rights! at! work,! encourage! decent! employment!
opportunities,! enhance! social! protection! and! reinforce! discourse! on! workDrelated! issues!
(ILO,![sa]).!Numerous!ILO!conventions!and!standards!relate!to!social!justice!(ILO,![sa]).!!
Many!of!the!multiDlateral!funding!agencies!such!as!the!World!Bank!have!social!standards!
that!they!must!uphold.!The!most!frequently!used!in!the!EIA!industry!is!the!International!
Finance!Corporation’s!(IFC)!principles!(IFC,!2012).!The!IFC!is!a!member!of!the!World!Bank!
group,! and! as! a! part! of! their! sustainability! framework! they! created! performance!
!
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standards!on!environmental!and!social!sustainability!(IFC,!2012:2).!The!standards!relevant!
to!the!social!environment!are!the!following:!!
•
Performance! Standard! 1:! Assessment! and! Management! of! Environmental! and!
Social!Risks!and!Impacts!
•
Performance!Standard!2:!Labour!and!Working!Conditions!
•
Performance!Standard!4:!Community!Health,!Safety,!and!Security!
•
Performance!Standard!5:!Land!Acquisition!and!Involuntary!Resettlement!
•
Performance!Standard!7:!Indigenous!Peoples!
•
Performance!Standard!8:!Cultural!Heritage!(IFC,!2012:2)!
Issues!such!as!gender,!climate!change,!water!and!human!rights!are!addressed!across!the!
standards.!A!guidance!note!accompanies!each!standard!(IFC,!2012:4).!Environmental!and!
social! risks! and! impacts! must! be! managed! by! using! an! Environmental! and! Social!
Management!System.!The!standard!applies!to!all!the!activities!funded!by!the!IFC!for!the!
duration!of!the!loan!period.!A!number!of!private!banks!adopted!most!of!the!IFC!standards!
in!an!initiative!known!as!the!Equator!Principles!(Esteves,!Franks!&!Vanclay,!2012:38).!!
Other! international! standards! and! guidelines! include! industry! standards! such! as! the!
International! Counsel! on! Mining! and! Metals! and! the! International! Petroleum! Industry!
Environmental! Conservation! Association,! and! individual! company! standards! like! the!
SocioDeconomic!Assessment!Toolbox!from!Anglo!American!(Esteves!et!al.,!2012:38).!
In! summary,! a! number! of! national! and! international! standards! relevant! to! the! social!
environment!exist.!The!aim!of!all!the!standards!are!to!improve!the!wellbeing!of!affected!
people,!therefore!it!can!be!assumed!that!it!favours!social!development!outcomes.!!
4.6 Summary'
Numerous!instruments!of!governance!that!affect!the!social!or!physical!environment!exist!
on! national! and! global! level.! For! the! purpose! of! this! chapter! only! the! ones! that! were!
deemed!most!relevant!in!the!context!of!the!study!were!discussed.!From!a!South!African!
perspective,!the!South!African!Constitution!1996!forms!the!basis!of!all!the!legislation,!and!
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!
human! rights! are! firmly! entrenched! in! South! African! law.! This! is! also! in! line! with! social!
development,! which! employs! a! human! rights! approach! and! is! used! as! theoretical!
framework!for!this!study.!All!the!environmental!acts!refer!to!the!promotion!of!social!and!
economic!development,!whilst!the!social!policies!refer!to!sustainable!development.!From!
the! discussion! above,! the! intention! of! the! South! African! law! is! to! promote! cooperative!
governance,!and!not!for!any!act!to!be!viewed!in!isolation,!but!as!part!of!a!holistic!whole.!
The!principles!of!the!acts!and!policies!give!the!impression!that!they!are!linked!intrinsically!
with!each!other,!with!the!Constitution!forming!a!golden!thread!throughout.!!
Other! governance! tools! exist! on! local,! provincial,! national! and! international! levels.! The!
National! Development! Plan! 2030! (NPC,! 2012)! contains! a! vision! for! the! future!
development! of! South! Africa,! and! the! Integrated! Development! Plans! on! local! level! and!
Provincial! Growth! and! Development! Strategies! on! provincial! level! are! some! of! the!
vehicles! that! can! be! used! to! execute! the! plan.! The! NDP! also! links! with! international!
initiatives!such!as!the!Millennium!Development!Goals,!and!the!proposed!new!sustainable!
development!goals.!From!a!planning!perspective!it!is!clear!that!there!is!a!vision!for!longD
term!sustainable!development!in!South!Africa!and!that!social!development!is!a!main!item!
on!the!agenda.!!
If!the!international!standards!and!governance!tools!are!considered,!the!social!agenda!is!
also! clear.! Human! rights,! labour! issues! and! community! wellbeing! are! common! themes.!
The! standards! are! not! explicit! about! social! development! issues,! which! can! be! seen! as! a!
weakness,!as!this!may!indicate!a!limited!understanding!about!the!concept,!but!given!that!
crucial! aspects! associated! with! social! development! such! as! human! rights! and! wellbeing!
are!included,!it!can!be!argued!that!the!intention!to!address!social!development!is!there.!It!
can! also! be! argued! that! companies! do! not! necessarily! see! social! development! as! their!
main! task,! and! that! they! first! should! get! the! basics! right,! but! as! indicated! in! the!
conclusions!below,!this!cannot!be!done!in!isolation.!!!
!
!
!
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The!following!observations!can!be!made!based!on!this!chapter:!
•
All!instruments!of!governance!consider!the!protection!of!basic!human!rights.!
•
According! to! the! framework! presented! in! this! chapter,! the! protection! of! the!
environment!must!include!the!promotion!of!social!and!economic!development!in!
a!sustainable!manner.!
•
The!social!and!bioDphysical!environment!cannot!be!separated.!
•
In! order! to! comply! with! the! relevant! acts! and! tools! of! governance! communities!
must!be!consulted!in!all!decisions!affecting!their!daily!lives.!!
•
Sustainable!social!and!economic!development!is!not!the!responsibility!of!only!one!
department,! nor! is! it! only! a! government! function.! Unless! all! spheres! of!
government,! the! affected! communities! and! industry! work! together,! it! is! unlikely!
to!be!achieved;!therefore:!
o Sustainable!development!can!only!be!achieved!via!cooperation!between!all!
roleDplayers,!including!communities,!authorities!and!industry.!
o Communities! must! be! empowered! to! participate! in! decisionDmaking!
processes,! although! they! do! have! certain! rights,! they! often! do! not! know!
how!to!apply!it.!
•
All!legislation,!policies!and!strategies!presented!in!this!chapter!aim!to!protect!the!
human! environment! from! harm,! or! to! prevent! the! human! environment! from!
inflicting! harm! on! something! else.! It! can! therefore! be! argued! that! South! African!
legislation!is!anthropocentric.!
•
The! fact! that! human! rights! are! protected! and! development! is! promoted! by!
numerous! acts,! policies! and! standards! does! not! mean! that! social! problems!
disappear!or!social!and!economic!development!automatically!occurs.!There!seems!
to!be!a!significant!incongruence!between!the!intentions!of!some!acts,!policies!and!
standards!and!the!current!situation.!
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!
•
The!implementation!of!any!given!act,!policy!or!standard!should!be!consistent!and!
true!to!its!original!intention,!otherwise!no!difference!is!made!on!community!level.!
This!chapter!confirms!the!relationship!between!the!instruments!of!governance!applicable!
to! the! biophysical! environment,! and! requirements! for! social! development.! It! suggests!
that! the! best! approach! to! maximise! the! benefit! of! the! relationship! would! be! through!
cooperative!governance.!Having!explored!the!legal!and!institutional!framework!for!social!
development! in! the! environmental! management! field,! the! next! chapter! presents! the!
research!methodology!that!was!used!to!investigate!whether!SIA!could!be!used!as!a!tool!
for!social!development.!
!
!
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Chapter'5. Research'methodology'
5.1 Introduction'
This!chapter!focuses!on!the!research!methodology!used!for!the!empirical!study!in!order!
to!answer!the!following!research!question:!!
•
Could!SIA!be!effectively!used!as!a!tool!for!social!development!in!the!South!African!
context?!
The!subDresearch!questions!that!guided!the!researcher!to!answer!the!research!question!
were!the!following:!!!
o To! what! extent! does! the! SIA! methodology! currently! practiced! in! South!
Africa!reflect!social!development?!
o Could! guidelines! for! SIA! assist! practitioners! with! achieving! social!
development!outcomes?!!!
The! chapter! commences! with! a! description! of! the! qualitative! and! quantitative! research!
methodology!used!in!this!study.!It!describes!the!theoretical!framework!for!the!research,!
research! approach,! research! design! and! methodologies,! type! of! research,! population,!
sample! and! sampling! methods.! It! includes! a! discussion! on! the! reliability,! validity! and!
trustworthiness!of!the!data.!It!further!considers!the!ethical!aspects!relevant!to!the!study!
and!concludes!with!a!discussion!on!the!limitations!of!the!study.!
5.2 Research'paradigm'and'approach'
This!study!aspired!to!determine!whether!SIA!could!be!effectively!used!as!a!tool!for!social!
development! in! the! South! African! context.! This! means! that! the! outcomes! of! the! study!
must!be!applicable!to!the!practice!of!SIA!in!addition!to!contributing!to!an!academic!body!
of!knowledge.!This!study!made!use!of!pragmatism!as!a!research!approach!in!an!attempt!
to!ensure!that!practitioners!can!use!the!outcomes.!Pragmatism!is!philosophically!built!on!
the! concept! that! the! outcomes! are! more! important! than! the! process! or! the! ideas!
(Mouton,! 2002:8).! A! pragmatic! approach! is! concerned! with! methodological! rather! than!
metaphysical!concerns!(Doyle,!Brady!&!Byrne,!2009:178).!This!study!therefore!aimed!to!
cumulate!in!a!tangible!outcome,!namely!a!strategy!to!implement!SIA!as!a!tool!for!social!
development,!rather!than!an!abstract!outcome.!Pragmatism!is!orientated!towards!solving!
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!
problems! in! the! real! world! (Feilzer,! 2010:7)! and! supports! an! eclectic! approach! in! which!
research! methods! and! concepts! are! based! on! whatever! is! needed! to! answer! the!
questions!(Doyle!et!al.,!2009:178;!Creswell,!2014:11).!The!freedom!of!choice!of!individual!
researchers! is! acknowledged! by! pragmatism,! and! it! allows! the! researcher! to! choose!
methods,!techniques!and!research!procedures!that!are!most!suitable!for!their!purposes!
(Creswell,! 2014:11).! The! study! therefore! used! mixed! research! methods! and!
opportunistically! tapped! into! available! resources! such! as! the! World! Cafés! (see! Section!
5.5.1.1)! to! ensure! that! the! researcher! could! find! answers! to! the! research! question! and!
subDquestions.!Pragmatic!researchers!view!the!research!problem!and!questions!as!more!
important! than! the! underlying! philosophical! assumptions! of! methods! used! (Giacobbi! et!
al.,!2005:21),!and!are!not!committed!to!a!single!system!of!philosophy!(Creswell,!2014:11)!
and! therefore! mixed! methods! that! are! appropriate! to! the! specific! research! questions!
were! used! in! this! study.! Such! an! approach! allows! for! easier! collaboration! between!
academics! and! practitioners! (Giacobbi! et! al.,! 2005:28),! which! is! seen! as! an! important!
potential! outcome! of! this! study,! as! most! SIA! practitioners! in! South! Africa! are! not!
academics.!!
From!a!pragmatic!perspective!the!research!process!guides!the!researcher!to!examine!all!
the!routes!towards!understanding!(Hildenbrand,!2004:17)!and!collect!and!analyse!data!in!
many! ways! (Creswell,! 2014:11).! This! study! used! qualitative! (see! Section! 5.5.1.1)! and!
quantitative! (see! Section! 5.5.1.2)! methods! to! examine! the! practice! of! SIA! from! a!
subjective! and! an! objective! perspective,! which! leads! to! a! deeper! understanding! of! the!
current! practice! of! SIA.! In! pragmatism,! the! research! question! is! used! as! the! basis! to!
determine! the! research! framework,! and! the! focus! is! on! the! best! way! of! addressing! the!
research! problem,! which! is! determining! how! SIA! could! be! effectively! used! as! a! tool! for!
social! development! in! the! South! African! context! (Wahyuni,! 2012:71).! The! role! of! the!
pragmatic! researcher! is! to! promote! change! and! create! knowledge! that! can! be! used!
actively!(Goldkuhl,!2012:143),!and!this!study!does!that!by!aiming!to!introduce!a!different!
way! to! practice! SIA! in! order! to! ensure! that! the! result! is! social! development! outcomes.!
Pragmatism!is!attractive!to!SIA!practitioners!as!it!focuses!on!realDworld!solutions!and!tries!
to! find! practical! answers! for! existing! problems! that! society! faces! (Giacobbi! et! al.,!
2005:21).! It! looks! at! action! and! change! and! the! relationship! between! knowledge! and!
!
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action.!This!study!explored!the!action!that!will!be!required!to!change!the!practice!of!SIA,!
and!also!what!knowledge!will!be!required!from!SIA!practitioners!to!ensure!that!they!can!
take! action.! The! pragmatic! approach! is! suitable! for! researchers! who! want! to! get!
physically! involved! in! solving! a! problem! rather! than! just! observing! it! (Goldkuhl,!
2012:135).! This! was! an! important! consideration! in! choosing! pragmatism! as! research!
approach!for!the!study,!since!the!researcher!was!looking!for!ways!in!which!she!can!not!
only!improve!her!own!practice,!but!also!improve!the!way!in!which!SIA!is!practiced!in!the!
South!African!context.!
Pragmatists!acknowledge!the!contextual!nature!of!scientific!inquiry!and!the!influence!of!
past! and! current! political,! social! and! historical! positions! (Giacobbi! et! al.,! 2005:21;!
Creswell,! 2014:11).! This! is! why! the! South! African! context! forms! an! important!
consideration! in! the! thesis! (see! Chapters! 2! &! 3),! as! social! impacts! are! contextDspecific!
(Slootweg,! Vanclay! &! Van! Schooten,! 2003:56)! and! therefore! any! research! conducted! in!
the!SIA!field!must!consider!the!surrounding!conditions,!current!and!historical.!Values!are!
important!when!results!are!interpreted!and!the!pragmatic!researcher!assumes!subjective!
and! objective! positions! (Wahyuni,! 2012:69).! The! researcher! worked! from! the! value!
systems!underpinning!social!work!and!SIA,!and!the!interpretation!of!the!results!obtained!
for!this!study!was!influenced!by!these!value!systems.!The!method!chosen!to!interpret!the!
quantitative!data!(see!Section!5.8.2)!was!an!attempt!to!remain!objective!and!unattached,!
while! the! interpretation! of! the! qualitative! data! (see! Section! 5.8.1)! was! more! subjective!
due! to! the! nature! of! the! data.! This! interDsubjective! approach! of! pragmatism! allows! the!
researcher! to! move! between! various! contexts! and! enhance! communication! and! shared!
meaning! between! research! participants! and! the! academic! world! (Morgan,! 2007:73).!
Sharing! the! results! of! this! study! with! practitioners! and! academics! should! enhance!
communication!between!these!parties.!Because!an!interDsubjective!approach!to!the!study!
is!essential,!SIA!practitioners!are!also!subjects!in!the!research.!Pragmatism!requires!that!
research! findings! and! outcomes! must! be! discussed! within! the! scientific! community!
(Giacobbi!et!al.,!2005:27),!and!therefore!the!findings!of!this!thesis!aim!to!stimulate!robust!
discussions!within!the!SIA!community,!locally!and!international,!and!also!between!the!SIA!
community!and!the!social!development!community.!!
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!
Despite! all! the! benefits! of! using! pragmatism,! it! is! acknowledged! that! there! are! some!
drawbacks! of! using! this! approach! and! it! must! be! acknowledged! that! the! process! of!
conducting!research!is!as!important!as!the!outcome!to!ensure!scientific!credibility.!In!this!
study,!using!a!pragmatic!approach!has!the!danger!that!the!researcher!may!focus!so!much!
on!the!potential!outcomes!of!SIA!as!a!tool!for!social!development!that!it!fails!to!capture!
the!essence!of!current!SIA!practice!(Kazi,!2000:762).!There!is!a!danger!that!the!focus!on!
past!practice!may!be!at!the!cost!of!developing!future!practice!(Kazi,!2000:762).!The!use!of!
reflextive! research! practice! is! especially! important! when! approaching! research! from! a!
pragmatic!perspective!(Feilzer,!2010:8)!to!ensure!that!the!pitfalls!are!avoided.!
Furthermore,!this!study!has!been!approached!from!a!functionalist!paradigm!meaning!that!
it! has! a! problemDsolving! orientation! that! leads! to! rational! explanation! (Bryman! &! Bell,!
2003:22).! A! number! of! activities! are! combined! in! the! term! SIA! and! each! of! these!
contribute!to!the!SIA!process.!In!this!study,!SIA!reports!and!SIA!practitioners!have!been!
studied.! This! aligns! the! study! further! with! structural! functionalism! where! social!
phenomena!(SIA!reports!and!SIA!practitioners)!are!divided!into!parts!that!each!serves!a!
function!for!the!operation!of!the!whole!(SIA!process)!(Babbie,!2010:38).!!
Given!the!pragmatic!theoretical!underpinnings!of!the!research,!the!researcher!deemed!it!
appropriate! to! use! multiple! methods! within! one! investigation! (Giacobbi! et! al.,! 2005:21;!
Mackenzie! &! Knipe,! 2006:195).! Diverse! approaches! were! used! and! a! mixed! method!
research! approach! combining! qualitative! and! quantitative! methods! was! adopted.!
Pragmatism! is! often! associated! with! mixed! method! research,! as! the! underlying!
assumption!is!that!the!realities!of!research!precludes!it!being!driven!by!theory!and!data!
exclusively! and! that! a! process! of! abduction! where! the! researcher! can! move! between!
inductive!and!deductive!reasoning!is!advocated!(Doyle!et!al.,!2009:178).!Qualitative!and!
quantitative! research! represents! different,! but! not! conflicting! research! strategies!
(Durrheim,!2011:47),!and!using!both!enrich!the!data!obtained.!
In!the!qualitative!study,!observations!and!findings!were!made,!confirming!viewpoints!and!
perceptions! held! by! the! SIA! community! about! the! current! practice! of! SIA.! Specific!
conclusions! from! this! information! were! reached! using! inductive! reasoning.! Induction! is!
the! logical! model! that! qualitative! researchers! use! to! develop! general! principles! from!
!
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specific! observations! (Babbie,! 2010:22;! Fouché! &! Delport,! 2011:64).! In! the! quantitative!
component! of! the! study! theoretical! variables! representing! SIA! best! practice! and! social!
development!outcomes!were!identified!and!their!inclusion!in!SIA!reports!were!analysed!
using!deductive!reasoning.!Quantitative!researchers!use!deduction!as!a!logical!model!to!
develop!specific!observations!from!general!principles!(Babbie,!2010:22),!and!in!this!study!
specific!observations!about!the!inclusion!of!social!development!variables!were!made.!
Quantitative! and! qualitative! research! is! based! on! different! kinds! of! information! and!
different!methods!of!data!collection!and!analysis!(Durrheim,!2011:47).!On!the!most!basic!
level! quantitative! data! can! be! described! as! numerical! and! qualitative! data! as! nonD
numerical! (Babbie,! 2010:23;! Durrheim,! 2011:47).! In! this! study! the! information! obtained!
from!the!interviews!and!World!Cafés!(see!Chapter!6,!Section!6.2)!were!analysed!in!a!nonD
numerical! manner,! and! the! information! obtained! from! the! SIA! reports! (see! Chapter! 6,!
Section! 6.3)! were! analysed! in! a! numerical! manner.! Using! qualitative! methods! for! the!
interviews! and! World! Cafés! permitted! more! inDdepth,! open! and! detailed! understanding!
of!the!information!emerging!from!the!data!(Durrheim,!2011:47).!The!quantitative!analysis!
entailed! a! series! of! preDset! categories! representing! SIA! best! practice! and! social!
development! outcomes,! and! the! results! of! the! analysis! were! used! to! make! broad! and!
generalisable!comparisons!between!the!categories!(Durrheim,!2011:47).!!
The!qualitative!part!of!the!study!sought!to!build!accounts!of!reality!based!on!the!collected!
data!by!trying!to!establish!the!views!of!the!SIA!community!regarding!certain!variables!on!
SIA!and!social!development.!The!researcher!became!immersed!in!the!details!and!specifics!
of!the!data.!These!qualities!are!innate!to!qualitative!research!(Babbie,!2010:22;!David!&!
Sutton,!2004:36;!Durrheim,!2011:47;!Fouché!&!Delport,!2011:65).!!
The! quantitative! section! of! the! study! was! more! structured! and! used! to! determine! the!
extent! to! which! the! variables! on! social! development! were! represented! in! SIA! reports!
(Fouché!&!Delport,!2011:64).!!!
!
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'
!
5.3 Type'of'research'
According! to! Babbie! (2010:25)! social! scientists! are! motivated! by! understanding! and!
application:! they! want! to! explain! phenomena,! but! also! use! their! knowledge! to! make! a!
difference,! as! is! the! case! in! this! study.! The! utilisation! of! research! findings! determine!
whether!it!is!basic!(pure)!or!applied!research!(Fouché!&!De!Vos,!2011:95).!Whereas!basic!
research! aims! to! extend! the! knowledge! in! a! field! and! contribute! to! the! scientific!
understanding!of!the!world!(Fouché!&!De!Vos,!2011:94),!applied!research!aims!to!solve!
practical! problems! (Durrheim,! 2011:44)! and! accomplish! tasks! (Fouché! &! De! Vos,!
2011:95).! Basic! and! applied! research! are! complementary! to! one! another! and! the! goals!
overlap! in! practice,! as! theoretical! findings! have! practical! implications,! and! practical!
findings!have!theoretical!implications!(Fouché!&!De!Vos,!2011:95).!The!goal!of!this!study!
was!to!explore!whether!SIA!as!currently!practiced!is!used!as!a!tool!for!social!development!
in!South!Africa,!and!as!such!it!is!applied!research.!This!thesis!is!an!example!of!how!basic!
and!applied!research!complement!each!other,!as!the!practical!findings!of!the!study!have!
definite!implications!for!SIA!theory.!!
Research! can! be! exploratory,! descriptive! or! explanatory! (Babbie,! 2010:92;! Durrheim,!
2011:44,! Fouché! &! De! Vos,! 2011:95)! depending! on! the! goals.! Exploratory! studies!
investigate!relatively!unknown!areas!and!explore!new!topics.!Descriptive!studies!describe!
phenomena,!situations!and!events,!and!explanatory!studies!explain!phenomena!(Babbie,!
2010:92D95;! Durrheim,! 2011:44;! Fouché! &! De! Vos,! 2011:95,! 96).! This! study! is! a!
combination!of!descriptive!and!exploratory!research.!There!is!an!existing!body!of!SIA!and!
social! development! literature! that! was! used! to! inform! the! study,! act! as! a! theoretical!
framework! and! to! design! the! empirical! study,! fitting! into! the! descriptive! category.! The!
integration! of! SIA! and! social! development! is! a! new! area! of! research,! and! therefore! the!
part! of! the! study! that! explored! this! new! topic! fits! into! the! category! of! exploratory!
research.!!
!
!
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5.4 Research'design'
A!research!design!is!a!strategic!framework!that!guides!research!activities!to!ensure!that!
rigorous! conclusions! can! be! reached! (Durrheim,! 2011:35).! A! research! design! provides! a!
framework! for! the! collection! and! analysis! of! data! (Bryman! &! Bell,! 2003:32).! An!
exploratory!sequential!mixed!methods!design!was!used!for!the!study,!as!the!relationship!
between!SIA!and!social!development!was!studied!in!depth!and!the!prevalence!of!social!
development! indicators! in! SIA! were! then! measured! (Delport! &! Fouché,! 2011:441;!
Creswell,! 2014:16).! The! study! was! conducted! in! two! phases,! with! the! qualitative!
component!of!the!study!that!explored!the!perceptions!of!the!SIA!community!about!the!
practice!of!SIA!conducted!first.!This!phase!was!followed!by!the!quantitative!component!of!
the!study!where!variables!identified!in!the!literature!study!and!the!qualitative!study!was!
used! to! analyse! SIA! reports.! A! twoDphased! design! where! the! results! of! the! first! phase!
inform! the! second! phase! is! one! of! the! characteristics! from! an! exploratory! sequential!
mixed!method!design!(Delport!&!Fouché,!2011:441;!Creswell,!2014:16).!The!advantage!of!
using!an!exploratory!sequential!mixed!method!design!is!that!the!information!gathered!in!
the! qualitative! phase! of! the! research! can! be! used! to! inform! the! quantitative! phase.!
Challenges! associated! with! this! type! of! design! are! finding! the! appropriate! qualitative!
findings!to!focus!on!and!the!sample!selection!for!both!phases!of!the!research!(Creswell,!
2014:15).!
5.4.1 Qualitative'study'
The!first!phase!of!the!mixed!method!design,!the!qualitative!study,!used!an!instrumental!
case! study! as! design.! The! instrumental! case! study! is! used! to! gain! knowledge! about! a!
specific! subject! (Delport,! Fouché! &! Schurink,! 2011:320).! The! researcher! specifically!
wanted! to! study! SIA! and! determine! whether! it! can! be! used! as! a! tool! for! social!
development,! and! since! a! case! study! is! concerned! with! the! complexity! and! particular!
nature!of!the!case!in!question!(Bryman!&!Bell,!2003:53),!it!was!deemed!an!appropriate!
design.!The!following!characteristics!of!the!case!study!design!are!relevant!to!this!research!
(Delport!et!al.,!2011:320;!Creswell,!2007:73):!
!
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!
!
•
Detailed,!inDdepth!data!collection!occurred!over!a!period!of!time.!
•
Multiple! sources! of! information! were! used! (OneDonDone! interviews,! telephonic!
interviews,!electronic!interviews,!World!Cafés).!
This! study! aimed! to! derive! new! insights! into! SIA! and! its! relationship! with! social!
development!in!South!Africa,!and!as!such!it!contributes!new!knowledge!to!the!SIA!field.!
The!contribution!of!new!knowledge!is!a!purpose!of!an!instrumental!case!study!(Delport!et!
al.,!2011:320).!In!this!study,!research!findings!aspired!to!provide!a!new!way!of!looking!at!
SIA! in! the! South! African! context.! The! information! obtained! in! the! qualitative! study! and!
literature! component! of! the! thesis! was! used! to! inform! the! data! collection! instruments!
used!in!the!quantitative!study.!!
5.4.2 Quantitative'study'
The!second!phase!of!the!mixed!method!design,!the!quantitative!study,!used!a!structured!
nonDparticipant! observation! design.! Although! structured! observation! is! often! associated!
with!the!study!of!human!behaviour,!this!design!seemed!appropriate!due!to!the!methods!
innate!to!the!design!that!was!employed!in!this!study!(Babbie,!2010:300;!Bryman!&!Bell,!
2003:178;!Kelly,!2011:309),!namely:!
•
The!study!aimed!to!be!nonDintrusive;!
•
The! review! of! the! reports! did! not! focus! on! the! analysis! of! the! content! of! the!
report,!but!rather!on!observations!whether!certain!variables!were!present!or!not;!!
•
Explicit!criteria!that!had!to!be!recorded!were!identified;!
•
Information!was!systematically!recorded!to!ensure!that!it!was!possible!to!combine!
the!findings!for!each!variable;!and!
•
The! resulting! data! resembled! questionnaire! data,! as! data! on! each! variable! was!
obtained.!
The!aim!of!the!quantitative!study!was!to!establish!what!the!current!reality!in!SIA!practice!
is,!and!whether!the!perceptions!obtained!through!the!qualitative!study!were!accurate.!!
The!methods!used!in!each!design!will!be!discussed!in!detail!in!the!following!section.!!!
!
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5.5 Research'methods'
This! section! presents! the! study! population! and! sampling,! data! collection! methods,! pilot!
study!and!data!analysis!for!the!qualitative!and!quantitative!studies!respectively.!!
5.5.1 Study'population'and'sampling'
A! population! is! defined! as! the! universe! of! units! from! which! a! sample! can! be! collected!
(Bryman! &! Bell,! 2003:572;! Durrheim! &! Painter,! 2011:139).! A! sample! is! a! subset! of! the!
population,! the! segment! that! is! selected! for! the! research! (Bryman! &! Bell,! 2003:573;!
Durrheim!&!Painter,!2011:139).!The!population!and!sample!used!in!the!qualitative!study!
differed! from! what! was! used! in! the! quantitative! study,! and! it! will! thus! be! discussed!
separately.!!
5.5.1.1 Sampling'for'the'qualitative'study'
There!are!no!rules!for!sample!size!in!qualitative!research!as!the!sampling!size!depends!on!
the!required!information,!the!purpose!of!the!study!and!usefulness,!credibility,!availability!
of! time! and! resources! (Strydom! &! Delport,! 2011:391).! The! population! for! this! study!
included! SIA! practitioners,! Environmental! Impact! Assessment! (EIA)! practitioners! and!
academics!with!an!interest!in!the!SIA!field!in!South!Africa.!The!size!of!the!population!is!
not! known,! as! the! industry! is! not! regulated! and! therefore! statistics! are! not! available.!
Sixteen! of! the! twentyDthree! universities! (including! Universities! of! Technology)! in! South!
Africa!present!environmental!management!courses.!!
NonDprobability! sampling! methods! have! been! used! for! the! interviews! and! World! Cafés,!
because! the! samples! have! not! been! randomly! determined! (Durrheim! &! Painter,!
2011:139).!!
The! study! commenced! with! the! interviews! and! the! World! Cafés! were! done! after! the!
interviews!were!completed.!A!purposive!sample!based!on!the!judgment!of!the!researcher!
was!used!to!select!participants!for!the!interviews!(Babbie,!2010:193;!Durrheim!&!Painter,!
2011:139;! Strydom! &! Delport,! 2011:392).! Purposive! sampling! means! that! the! sampling!
not! only! depends! on! the! availability! and! willingness! of! participants! to! partake! in! the!
study,!but!also!that!cases!most!characteristic,!typical!or!representative!of!the!population!
are!selected!(Durrheim!&!Painter,!2011:139;!Strydom!&!Delport,!2011:392).!Participants!
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!
were! selected! based! on! the! knowledge! that! the! researcher! has! about! the! population!
(Babbie,!2010:193),!and!participants!known!to!the!researcher!were!contacted!first.!This!
was! combined! with! snowball! sampling! where! participants! were! asked! to! refer! other!
people! that! can! contribute! to! the! study! (Babbie,! 2010:193;! Durrheim! &! Painter,!
2011:139;! Strydom! &! Delport,! 2011:392).! Given! the! relatively! small! number! of! SIA!
practitioners!in!South!Africa,!the!process!was!repeated!until!saturation!point!was!reached!
and! no! new! names! emerged.! The! criteria! used! to! identify! participants! included! the!
following:!
•
Participant!has!at!least!two!years’!experience!in!the!field!of!SIA.!
•
Participant!works!fulltime!in!the!SIA/EIA!field.!
•
Participant!is!based!and!work!in!South!Africa.!!!
•
Academics!teach!SIA/EIA!as!a!subject.!
TwentyDfour! people! were! interviewed! including! three! EIA! practitioners,! of! which! two!
manage! SIA! processes! and! integrate! the! findings! of! the! SIA! in! EIA! reports.! The! third!
practitioner! manages! teams! that! monitor! and! manage! social! impacts! on! large!
infrastructure!projects.!Six!academics!that!teach!SIA!and!EIA!were!interviewed,!of!which!
two!are!actively!involved!in!the!practice!of!SIA.!The!remaining!fifteen!participants!are!all!
SIA!practitioners.!!
Originally!the!researcher!intended!to!follow!up!on!the!interviews!with!a!round!of!focus!
group! meetings! to! discuss! the! results! of! the! interviews.! Before! this! could! happen,! the!
researcher!was!approached!to!conduct!workshops!about!SIA!by!significant!role!players!in!
the!SIA!field!namely!the!International!Association!for!Impact!Assessment!of!South!Africa!
(IAIAsa),!the!Development!Bank!of!South!Africa!(DBSA)!and!Eskom!(see!Section!5.6.2.1!for!
detailed!discussion),!and!decided!to!use!the!World!Café!format!for!these!sessions.!World!
Cafés!can!reach!a!much!larger!audience,!and!therefore!more!experts!could!be!included!in!
the! study,! therefore! the! researcher! decided! to! use! the! opportunity! in! the! place! of! the!
planned! focus! group! meetings.! Three! World! Café! meetings! in! total! (one! with!
Eskom/IAIAsa! and! two! with! the! DBSA/IAIAsa)! were! conducted! as! part! of! the! study! and!
attended! by! 143! people! in! total.! TwentyDeight! participants! in! total! attended! the!
!
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Eskom/IAIAsa! World! Café.! Ninety! people! attended! the! DBSA/IAIAsa! World! Café! in!
Midrand!and!twentyDfive!the!DBSA/IAIAsa!World!Café!in!Cape!Town,!resulting!in!a!sample!
size!of!115.!
The!population!for!the!World!Café!presented!by!Eskom!and!IAIAsa!included!all!the!Eskom!
sustainability!practitioners!based!in!Gauteng.!The!sustainability!practitioners!were!joined!
by! a! group! of! SIA! practitioners.! The! SIA! practitioners! were! selected! based! on! their!
availability! to! attend! the! event,! experience! with! Eskom! projects,! at! least! two! years! of!
working!experience!and!ability!to!contribute!to!the!discussion.!All!SIA!practitioners!known!
by! the! researcher! were! invited! to! attend! the! event,! and! encouraged! to! extend! the!
invitation!to!other!practitioners!that!meet!the!criteria.!!
The! researcher! advertised! the! World! Café! presented! by! DBSA! and! IAIAsa! via! the! IAIAsa!
webpage! and! IAIAsa! newsletters! that! were! distributed! electronically.! The! target!
population! included! members! of! IAIAsa,! big! environmental! consulting! firms,!
environmental!NGOs!and!smaller!firms!known!to!be!active!in!the!SIA!field.!The!invitation!
was!extended!to!IAIA!members!in!the!Southern!African!Development!Community.!There!
were!no!other!criteria!for!participants!other!than!their!interest!in!the!topic!and!ability!to!
attend!the!World!Café!in!Midrand!or!Cape!Town.!!
Since! the! size! of! the! population! was! not! known,! it! is! not! possible! to! establish! how!
representative!the!sample!was.!However,!the!researcher!is!confident!that!the!sample!was!
well!represented!based!on!the!following:!
•
Different!methods!have!been!used!to!identify!participants;!!
•
Participants!from!all!over!South!Africa!and!SADC!have!been!included!in!the!study;!
•
Participants! were! invited! to! participate! through! IAIAsa,! a! voluntary! organisation!
that!represents!the!interest!of!environmental!practitioners!and!allied!professions;!
and!
•
The!SIA!community!in!South!Africa!is!relatively!small!and!the!researcher!presented!
their! interest! on! the! NEC! of! IAIAsa! during! the! period! when! the! research! was!
conducted.!As!part!of!this!position!she!compiled!a!database!of!SIA!practitioners!in!
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!
South!Africa.!The!researcher!is!therefore!confident!that!key!people!in!the!SIA!field!
were!included!in!the!study.!!
5.5.1.2 Sampling'for'the'quantitative'study'
NonDprobability! sampling! has! been! used! in! the! quantitative! study! as! the! population! for!
this! study! included! all! SIA! reports! completed! in! South! Africa! between! 2008! and! 2014!
(Durrheim!&!Painter,!2011:139).!SIA!reports!are!in!the!public!domain!and!available!on!the!
websites!of!the!consulting!companies!that!conducted!these!studies.!All!the!reports!that!
could!be!found!were!included!in!the!analysis,!making!it!a!convenience!sample!(Strydom,!
2011a:233).! A! limitation! to! this! approach! is! that! reports! are! removed! from! the! website!
after! the! project! is! completed! at! the! discretion! of! the! company,! therefore! it! was! not!
possible!to!obtain!some!reports!that!were!conducted!during!this!time.!To!supplement!the!
convenience! sample,! key! informant! sampling! was! used! and! selected! practitioners! were!
asked! if! they! would! be! willing! to! contribute! reports! for! use! in! the! study! (Strydom,!
2011a:234).!These!practitioners!were!identified!based!on!their!experience,!qualifications!
and! reputation.! The! combination! of! the! sampling! methods! yielded! a! sample! of! 15! SIA!
reports.! The! researcher! attempted! to! include! the! entire! population! in! the! study,! taking!
into! consideration! that! many! SIA! practitioners! work! outside! South! Africa! and! that! only!
large! projects! are! usually! subjected! to! SIA.! The! researcher! excluded! her! own! reports! or!
reports!that!were!reviewed!by!her!from!the!study.!The!reports!included!in!the!study!were!
based!on!the!following!criteria:!
•
The!study!was!conducted!between!2008!and!2014;!
•
The!study!was!conducted!in!South!Africa,!and!
•
The!project!could!potentially!have!significant!social!impacts.!
As!indicated!above,!all!the!reports!that!could!be!found!have!been!included!in!the!study,!
and! it! represented! the! mining,! energy,! infrastructure! development! and! commercial!
sectors.!Four!of!the!nine!provinces!are!represented,!including!the!Western!Cape,!which!is!
an!economic!hub,!Limpopo,!which!is!one!of!the!poorest!provinces,!Mpumalanga,!which!is!
subjected! to! rapid! development! and! KwaZuluDNatal! where! communities! are! very!
politicised.!
!
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5.5.2 Data'collection'
Data! collection! methods! differ! between! qualitative! and! quantitative! research.! Two!
methods!were!used!to!collect!the!qualitative!data,!namely!interviews!and!World!Cafés.!A!
checklist! was! used! to! collect! quantitative! data.! The! three! different! methods! used! to!
collect!data!are!discussed!in!Section!5.6.2.1!and!5.6.2.2!below.!
5.5.2.1 Qualitative'data'collection'methods'and'research'instruments'
The! two! data! collection! methods! and! instruments! associated! with! each! method! will! be!
discussed!seperately!in!this!section!for!ease!of!reference.!
Interviews'
The! first! instrument! used! was! interviews! with! SIA! practitioners.! Guided! oneDonDone!
interviews!and!electronic!interviews!were!conducted,!depending!on!the!preference!and!
availability!of!the!participants.!An!interview!schedule!(see!Appendix!A)!with!openDended!
questions! was! use! to! guide! the! oneDonDone! interviews,! making! them! semiDstructured!
interviews.!The!majority!of!the!interviews!(21)!were!conducted!as!oneDonDone!interviews.!
The!rest!of!the!interviews!(3)!have!been!conducted!via!eDmails.!An!interview!schedule!is!a!
form!of!questionnaire!that!uses!a!set!of!preDset!questions!to!guide!the!conversation!with!
the!participants,!and!as!such!the!interview!schedule!was!used!as!a!questionnaire!for!the!
interviews! conducted! via! eDmail! (Fossey,! Harvey,! McDermott! &! Davidson,! 2002:727;!
Greeff,!2011:352).!!
The!semiDstructured!interviews!allowed!the!researcher!to!be!flexible!and!explore!aspects!
in!more!depth!if!required!(Greeff,!2011:348).!This!allowed!the!researcher!to!explore!the!
participant’s!views!around!SIA!and!social!development!in!more!depth!and!to!clarify!any!
ambiguities.!OpenDended!questions!allowed!the!researcher!to!explore!a!number!of!topics!
and! obtain! detailed! and! reflective! answers! (Colton! &! Covert,! 2007:133).! The! interviews!
were!conducted!across!South!Africa!and!the!participants!determined!the!venues,!which!
ranged!from!their!offices!to!coffee!shops.!The!interviews!took!about!an!hour!and!a!half!to!
two!hours,!depending!on!the!availability!and!interest!of!the!participants.!Interviews!were!
not! tapeDrecorded,! but! recorded! with! handDwritten! notes,! which! were! refined! after! the!
interviews!and!captured!electronically!in!a!table!format.!The!table!was!used!to!group,!sort!
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!
and!stow!the!answers!and!act!as!an!audit!trail.!The!journal!that!was!used!to!record!the!
notes! was! also! used! for! reflective! memos.! The! interviews! were! not! tape! recorded!
because!not!all!participants!were!comfortable!with!being!recorded,!and!in!the!interest!of!
consistency!no!recordings!were!used.!Using!hand!written!notes!allowed!the!researcher!to!
clarify!concepts!on!the!spot!and!participants!to!have!periodic!breathers.!In!addition,!the!
researcher!is!wellDversed!in!taking!hand!written!notes,!as!this!technique!is!used!as!part!of!
her!daily!job!since!many!of!the!respondents!in!SIA!processes!prefer!not!to!be!recorded.!!
World'Cafés'
The!second!data!collection!method!that!was!used!is!the!World!Café,!a!technique!used!for!
largeDgroup! intervention.! The! interviews! with! practitioners! raised! awareness! about! SIA!
amongst! the! environmental! management! community.! As! a! result! of! this,! the! DBSA!
contacted! IAIAsa! where! the! researcher! was! a! member! of! the! National! Executive!
Committee! responsible! for! SIA! at! the! time.! The! DBSA! suggested! that! IAIAsa! conduct! a!
workshop!to!discuss!SIA!guidelines!and!offered!to!assist!with!a!venue!and!logistic!support.!
The! researcher! was! asked! to! provide! technical! input! and! as! already! mentioned! above!
recognised! it! as! an! opportunity! to! inform! the! study.! The! researcher! suggested! that! the!
World! Café! format! should! be! used.! It! was! agreed! between! the! organisers! and! the!
participants! that! the! information! produced! by! the! World! Cafés! would! be! in! the! public!
domain,! and! that! the! researcher! could! use! it! to! inform! her! study.! The! researcher!
formulated! the! questions,! facilitated! the! World! Cafés,! analysed! the! data! that! was!
collected! with! help! from! the! participants! and! produced! an! abridged! record! of! the!
meeting.! The! discussions! for! the! first! two! World! Cafés! focused! around! three! specific!
topics,! namely! sharing! experience! around! SIA,! potential! guidelines! for! SIA! and!
qualifications!and!training!in!the!SIA!field.!The!questions!had!to!meet!the!criteria!of!the!
DBSA! and! IAIAsa,! and! were! therefore! not! directly! focussed! on! social! development,! but!
the! data! that! was! obtained! was! rich! and! relevant! to! the! study,! as! practitioners! shared!
their! experience! around! SIA! practice.! The! data! set! that! was! produced! could! be!
successfully! analysed! for! the! study’s! purpose,! as! it! contained! information! about! the!
current! practice! of! SIA! and! what! SIA! practitioners! would! like! to! include! in! guidelines,!
therefore! the! researcher! could! investigate! whether! social! development! outcomes! are!
!
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included! and! whether! SIA! practitioners! have! the! required! training! and! qualifications! to!
include!social!development!outcomes!in!SIA!practice.!This!information!provided!answers!
to!some!of!the!subDresearch!questions.!
Employees!of!Eskom!attended!the!first!World!Café!and!approached!the!researcher!in!her!
position!at!IAIAsa!to!present!a!similar!event!with!their!sustainability!practitioners!working!
in! the! environmental! field! to! assist! them! with! compiling! terms! of! reference! for! SIA!
studies.! The! researcher! recognised! the! opportunity! to! add! the! voice! of! industry! to! her!
research,!which!was!missing!at!that!stage.!In!addition,!sustainability!practitioners!should!
by! definition! be! concerned! with! social! development,! and! the! researcher! was! curious! to!
see! if! social! development! would! feature! in! the! data! produced! as! a! result! of! this! World!
Café.! IAIAsa! agreed! to! the! event! on! the! condition! that! the! outcomes! should! be! in! the!
public! domain.! The! three! topics! that! were! discussed! in! the! third! World! Café! were!
different! from! those! discussed! in! the! first! two! events! as! it! were! formulated! to!
accommodate! Eskom’s! specific! needs.! The! topics! include! an! exploration! on! what! SIA! is!
and! why! it! is! conducted,! what! should! be! included! in! a! SIA,! and! how! to! get! the! desired!
outcomes.! Again! the! researcher! formulated! the! questions! (with! input! from! Eskom),!
facilitated!the!World!Cafés!and!analysed!the!data!that!was!collected!with!help!from!the!
participants,! and! produced! it! as! a! summarised! document.! Although! the! questions! were!
not! specifically! about! social! development,! there! is! a! clear! link! with! the! subDresearch!
questions,!as!it!provided!data!on!current!SIA!methodology,!and!investigated!the!kind!of!
outcomes!industry!expect!from!SIA.!This!data!could!potentially!indicate!whether!industry!
link!social!development!outcomes!with!SIA.!!
The!World!Café!was!deemed!an!appropriate!method!to!use!for!these!events,!as!it!enables!
groups! of! all! sizes! to! participate! in! changing! rounds! of! dialogue! with! others! while!
remaining! part! of! a! larger,! connected! discussion! (Fouché! &! Light,! 2011:35,! Aldred,!
2009:58).! As! indicated! in! section! 5.5.1.1! purposive! sampling! that! focused! on! SIA!
practitioners!and!people!with!an!interest!in!the!field!of!SIA!was!used!for!the!World!Cafés.!
Purposive!sampling!is!based!on!the!judgement!of!the!researcher!and!ensures!the!sample!
contains! people! with! the! most! representative! qualities! of! the! population! (Strydom,!
2011a:232).! Three! World! Café! sessions! were! conducted.! World! Cafés! take! place! in!
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!
sociable! spaces,! and! therefore! the! rooms! were! arranged! like! a! café,! with! round! tables!
seating!about!eight!people!at!a!table!(Burke!&!Sheldon,!2010:16).!The!first!IAIAsa/DBSA!
World!Café!was!held!at!the!DBSA!offices!in!Midrand.!The!second!IAIAsa/DBSA!World!Café!
was!held!at!the!Victoria!Junction!Protea!Hotel!in!Cape!Town.!The!Eskom/IAIAsa!workshop!
was!held!at!Megawatt!Park!in!Midrand.!The!process!required!that!each!table!select!a!host!
that! remains! seated! at! the! table! for! the! entire! session! (Burke! &! Sheldon,! 2010:16).! In!
addition,! each! table! had! a! scribe! that! documented! the! discussion! using! colourful! pens,!
flipchart!paper!and!comment!sheets!to!record!the!discussions!around!specific!questions.!
The!table!hosts!therefore!assisted!with!the!data!collection!and!initial!recording.!
After!a!twentyDminute!discussion!of!each!topic!the!participants!were!asked!to!move!to!a!
different!table.!The!host!would!then!summarise!the!previous!discussion!before!the!next!
discussion!commenced.!At!the!end!of!the!session!each!table!was!asked!to!give!feedback!
on! the! three! topics,! verbally! and! in! writing! by! means! of! the! comment! sheets.! The!
comment! and! flipchart! sheets! were! collected! after! each! discussion,! as! these! were! the!
main!source!of!data,!but!the!researcher!also!moved!between!tables!and!made!notes!of!
the! feedback! sessions.! The! researcher! then! recorded! the! contents! of! the! comment! and!
flipchart! sheets! compiled! by! the! participants! electronically,! and! the! resulting! document!
serves!as!the!record!of!the!raw!data.!!
The!World!Café!was!deemed!an!appropriate!method!to!use!as!it!is!seen!as!a!meaningful!
way! in! which! large! groups! can! be! engaged! in! meaningful! and! authentic! conversations!
(Fouché! &! Light,! 2011:35).! The! technique! was! specifically! developed! to! facilitate! the!
exchange! of! knowledge,! which! was! a! need! in! the! dataDcollection! process! (Prewitt,!
2011:350).!It!is!less!timeDconsuming!than!focus!groups!and!allows!participants!to!actively!
engage!in!the!research!process.!The!World!Café!accentuates!enquiry!and!understanding!
rather!than!problem!solving,!and!the!aim!of!the!sessions!that!the!researcher!conducted!
was!to!obtain!a!deeper!insight!in!the!field!of!SIA,!the!associated!challenges!and!whether!
practitioners!link!SIA!practice!with!social!development!(Prewitt,!3011:351).!It!also!brings!
together!a!wide!representation!of!people,!as!indicated!in!Section!5.5.1.1.!
!
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5.5.2.2 Quantitative'data'collection'methods'and'research'instruments'
The! third! dataDcollection! method! was! used! in! the! quantitative! study! and! entailed!
structured!non!participant!observation,!where!data!was!collected!from!fifteen!SIA!reports!
that! were! produced! between! 2008! and! 2014,! to! collect! a! body! of! quantitative! or!
quantifiable! data! in! connection! with! thirtyDfour! criteria! that! were! identified! from! the!
literature! and! the! qualitative! study! (Bryman! &! Bell,! 2003:48;! Babbie,! 2010:106).! A!
checklist! was! developed! in! order! to! collect! data! that! could! be! analysed! by! means! of! a!
Guttmann!scale!(also!known!as!a!scalogram!analysis!or!cumulative!scaling)!(International!
Encyclopedia! of! the! Social! Sciences,! 2008).! A! Guttman! scale! was! chosen! because! it! is!
often! used! to! measure! attitudes! and! public! opinion! (International! Encyclopedia! of! the!
Social! Sciences,! 2008),! and! a! Guttman! scale! fitted! the! purpose! of! the! qualitative! study,!
which!was!to!determine!how!SIA!practitioners!approach!social!development!outcomes!in!
their!reports.!The!object!of!a!Guttmann!scale!is!to!measure!the!degree!to!which!a!series!
of! objects! are! distributed! oneDdimensionally! (Guest,! 2000:247).! When! using! a! Guttman!
scale! the! total! score! of! the! respondents! is! more! important! than! single! scores!
(International!Encyclopedia!of!the!Social!Sciences,!2008).!A!Guttmann!scale!orders!both!
the! items! and! respondents! on! a! single,! identifiable! continuum! that! reveals! intrinsic!
meaning!(Dane,!1990:334).!
Since!no!existing!tool!that!meets!the!requirements!of!the!study!was!available,!a!checklist!
specific! to! the! study! was! developed.! Delport! and! Roestenburg! (2011:202)! define! a!
checklist! as! a! type! of! questionnaire! that! consists! of! a! series! of! items! to! which! a!
respondent!must!reply!with!a!tick!whether!an!item!is!applicable.!In!order!to!develop!the!
checklist,! the! researcher! used! a! framework! that! started! with! defining! the! concept! to!
measure,!deciding!what!key!elements!should!be!included!and!finishing!with!formulating!
questions! that! can! be! used! as! indicators! (David! &! Sutton,! 2004:142;! Delport! and!
Roestenburg,!2011:202).!Social!development!as!an!outcome!of!SIA!was!identified!as!the!
overarching!concept!that!the!checklist!aimed!to!measure.!The!researcher!identified!three!
primary! themes! based! on! the! information! presented! in! the! literature! chapters! that!
should!be!included!in!the!checklist.!These!themes!are:!!
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!
•
The!presence!and!acknowledgement!of!a!legal!and!institutional!mandate!for!the!
specific!SIA!study;!
•
Aspects!in!the!SIA!study!that!could!promote!social!development;!and!
•
Whether! the! recommendations! in! the! SIA! report! go! beyond! minimum!
requirements!for!mitigation!and!monitoring,!to!outcomes!that!will!result!in!social!
development.!!
The! literature! was! then! used! to! formulate! questions! under! each! theme! that! represents!
criteria! for! social! development! and! in! the! end! 34! questions! were! answered! from! the!
content!of!each!report!(see!Chapter!6,!Section!6.4).!SIA!best!practice!was!included!in!the!
questions!where!appropriate!and!where!there!were!explicit!links!with!social!development!
that!already!emerged!in!the!literature!study.!The!checklist!was!developed!in!three!phases,!
consisting!of!a!peer!review,!a!selfDtest!and!a!pilot!study.!The!first!phase!of!the!checklist!
development!consisted!of!a!peer!review!of!the!contents!and!structure!of!the!checklist!by!
an!SIA!peer.!!Based!on!the!comments!received!from!the!peer,!the!researcher!adapted!the!
checklist.!For!the!second!phase!of!the!checklist!development,!the!researcher!tested!the!
checklist!herself!by!completing!it!using!data!from!one!of!the!reports!in!the!sample.!Based!
on! this! review,! the! researcher! adapted! the! checklist! once! again.! The! final! phase! of! the!
development! of! the! checklist! was! a! pilot! study! (see! Section! 5.5.3.2).! The! researcher!
completed!the!checklist!and!requested!two!SIA!peers!to!complete!the!checklist!as!well.!
No!further!changes!to!the!checklist!were!required.!The!pilot!study!therefore!formed!part!
of! the! development! of! the! checklist,! and! once! it! was! concluded,! the! researcher!
proceeded! with! the! data! collection! process.! The! data! used! for! the! pilot! study! was!
included!in!the!data!analysis!process.!!
The!data!obtained!from!the!checklist!was!recorded!in!a!matrix!(see!Appendix!B)!with!the!
set!of!questions!presenting!the!YDaxis!and!the!15!reports!presenting!the!XDaxis.!Two!of!the!
34! questions! were! not! used! in! the! final! Guttmann! analysis,! because! they! did! not! have!
dichotomous! answers.! These! two! questions! where,! however,! used! in! the! overDall! data!
analysis.!The!reliability!and!validity!of!the!checklist!and!the!Guttmann!scale!are!discussed!
in!more!detail!in!Section!5.6.1.2!of!this!chapter.!!!
!
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5.5.3 Pilot'study'
A!pilot!study!is!usually!conducted!before!research!commences.!The!aim!of!a!pilot!study!is!
to! identify! any! possible! faults! in! the! research! design! as! early! as! possible! (Fouché! &!
Delport,!2011:73).!
5.5.3.1 Qualitative'Pilot'study''
A!pilot!study!to!test!the!interview!schedule!was!not!conducted!because!it!was!not!feasible!
due! to! the! limited! number! of! available! participants,! the! costs! associated! with! the!
interviews!and!the!length!of!the!interviews,!but!the!first!interview!was!used!to!determine!
whether! the! questions! needed! any! changes.! This! is! common! practice! in! qualitative!
studies! where! participants! are! limited! and! opportunities! for! data! gathering! are! scarce!
(Fouché!&!Delport,!2011:74).!However,!an!SIA!practitioner,!who!is!an!expert!in!the!field!of!
qualitative! research,! reviewed! the! interview! schedule! before! it! was! presented! to! the!
ethics!committee!of!the!University!of!Pretoria!to!ensure!that!there!were!no!ambiguities.!
No! changes! to! the! interview! schedule! were! required! after! the! first! interview! was!
conducted.! No! pilot! study! was! conducted! for! the! World! Cafés,! but! the! researcher! is!
familiar!with!the!method!and!has!used!it!before.!!!
5.5.3.2 Quantitative'Pilot'study''
The! small! number! of! available! reports! meant! that! the! checklist! used! to! complete! the!
Guttmann! matrix! was! not! piloted! extensively.! The! pilot! study! commenced! with! the!
researcher! completing! the! checklist! as! a! form! of! selfDtesting.! After! that,! two! reviewers!
(both!SIA!practitioners)!were!used!to!pilot!the!checklist!using!data!from!the!same!report!
that!the!researcher!used!for!her!pilot!test.!There!was!a!small!difference!in!interpretation!
between! the! two! reviewers! (see! Section! 5.6.1.2! for! a! discussion! about! this! point).! The!
checklist! were! not! adapted! as! a! result! of! the! pilot! study,! as! the! difference! in!
interpretation!was!not!related!to!the!checklist,!but!to!the!understanding!of!the!SIA!report!
under! scrutiny.! The! researcher! therefore! deemed! that! the! checklist! was! valid! for! the!
study,!since!it!met!the!criteria!for!interDobserver!consistency!(Bryman!&!Bell,!2003:77).!!
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!
5.5.4 'Data'analysis'
The!data!analysis!used!for!the!qualitative!study!was!applied!to!both!data!sets!which!were!
interviews!and!World!Cafés.!The!quantitative!data!from!the!SIA!reports!was!analysed!in!a!
different!manner.!!
5.5.4.1 Qualitative'data'analysis'
The! qualitative! data! has! been! analysed! following! a! procedure! suggested! by! Creswell!
(2014:197)!who!identifies!six!steps!to!analyse!qualitative!data:!!
1. Organise!and!prepare!data!for!analysis.!
2. Read!through!the!data.!
3. Start!coding!the!data.!
4. Identify!themes!or!categories!for!analysis.!
5. Decide!how!the!themes!will!be!presented.!
6. Interpret!the!meaning!of!the!themes.!
These! steps! are! not! necessarily! linear,! but! can! be! interactive! as! the! various! stages! are!
interrelated!(Creswell,!2014:196).!There!are!similarities!in!the!processes!that!were!used!
to! analyse! the! data! gathered! through! interviews! and! the! data! gathered! through! the!
World!Cafés.!The!data!analysis!process!for!the!interviews!is!discussed!first.!!
The! interview! notes! were! typed! and! combined! in! a! table! representing! the! different!
questions.! The! researcher! could! then! produce! each! separate! question! with! all! the!
relevant! answers! typed! in! one! document.! The! researcher! read! this! document! several!
times.!The!questions!used!in!the!interview!schedule!acted!as!initial!coding!categories.!The!
answers!to!each!question!were!printed,!cut!out,!and!pasted!on!an!individual!page!of!the!
researcher’s! journal! with! corresponding! answers! pasted! on! the! same! page.! Highlighter!
pens!were!used!to!mark!words!that!occurred!repeatedly,!in!this!way!identifying!recurrent!
themes.! This! creative! process! stimulated! the! thinking! processes! as! the! answers! to! each!
question! were! summarised! and! combined! in! one! document.! The! researcher! recorded!
observations! in! the! journal! as! the! process! unfolded,! reflecting! on! emerging! themes,!
conflicting!information!and!making!assumptions!(Schurink!et!al.,!2011:406;!Terre!Blanche!
et!al.,!2011:323).!This!process!assisted!the!researcher!with!interpreting!the!data.!
!
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A!similar!process!was!followed!for!the!analysis!of!the!data!that!was!collected!in!the!World!
Cafés.!The!researcher!collected!the!comments!and!flipchart!sheets!and!recorded!the!data!
by! typing! it! up.! Each! of! the! three! questions! in! the! respective! World! Café! sessions! was!
recorded!separately.!The!records!were!printed,!and!highlighter!pens!of!different!colours!
used!to!identify!recurrent!themes.!The!data!was!rearranged!according!to!the!themes!and!
typed!up!as!a!record!of!the!World!Café!sessions.!The!records!were!distributed!to!all!the!
attendees!and!published!on!the!IAIAsa!website!asking!for!comments.!No!comments!were!
received.! The! researcher! used! the! journal! to! record! observations,! as! she! did! with! the!
interview!data.!!
The! data! was! grouped! to! represent! perspectives! from! industry! (Eskom! World! Café),!
perspectives! from! practitioners! (interviews)! and! a! mixed! audience! (IAIAsa/DBSA! World!
Cafés).! The! researcher! compared! the! data! of! the! respective! groups! and! looked! for!
emerging! themes! from! all! the! data.! Five! emerging! themes! that! were! present! in! each!
group!were!identified.!Through!this!process!theoretical!saturation!was!achieved!since!the!
researcher! observed! that! the! data! was! interrogated! to! an! extent! to! where! no! new!
insights!occurred!(Bryman!&!Bell,!2003:428).!The!qualitative!data!analysis!concluded!with!
a! process! of! interpretation! and! checking! (Terre! Blanche! et! al,! 2011:326).! The! written!
account! of! the! results! of! the! data! analysis! was! checked! for! contradictions! and! weak!
points.! The! researcher! used! the! journal! to! write! memos! that! could! guide! the! ultimate!
outcome!of!the!study,!which!is!an!alternative!way!to!approach!SIA!in!the!South!African!
context.! She! also! used! the! journal! to! pen! down! some! initial! findings! and!
recommendations.!!
5.5.4.2 Quantitative'data'analysis'
The!data!analysis!of!the!quantitative!study!was!done!by!means!of!univariate!analysis!and!
a! Guttmann! scale! (Guest,! 2000:247;! Fouché! &! Bartley,! 2011:254).! The! reports! were!
numbered! and! labelled! according! to! the! industry! in! which! they! were! conducted.! The!
practitioners! were! assigned! alphabetical! names! to! investigate! if! the! findings! in! the!
reports! are! consistent! amongst! the! practitioners,! irrespective! of! their! industry.! The!
univariate!analysis!entailed!the!analysis!of!each!of!the!32!questions!individually!(compare!
Babbie,! 2010:426;! Bryman! &! Bell,! 2003:241;! Fouché! &! Bartley,! 2011:254;! and! Theroux,!
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!
Pretorius!&!Steele,!2011:242).!Absolute!frequency!distribution!was!used!to!structure!the!
data,! meaning! that! the! occurrence! of! the! answer! to! each! question! was! simply! counted!
(Fouché!&!Bartley,!2011:254).!The!data!was!displayed!using!diagrams!in!the!form!of!pie!
diagrams! and! bar! charts! in! order! to! ensure! clarity,! simplicity! and! economy! of! space!
(Bryman! &! Bell,! 2003:242;! Fouché! &! Bartley,! 2011:255).! ! Given! the! relatively! simple!
calculations! required,! the! services! of! a! statistician! or! statistical! package! have! not! been!
used! and! all! the! calculations! have! been! done! manually.! The! results! of! the! univariate!
analysis!were!discussed!to!give!some!insight!in!the!current!reality!of!SIA!practice.!!
A! Guttmann! scale! was! utilised! to! find! trends! and! patterns! from! the! data! that! was!
collected.!The!Guttmann!scale!was!arranged!to!cluster!all!the!similar!statements!and!to!
group!reports!of!similar!content!(Dane,!1990:334;!Guest,!2000:247).!Cut!points!have!been!
identified!to!reveal!patterns!that!establish!which!aspects!are!most!often!included!in!the!
reports.! Similarly! the! approach! identified! clusters! of! issues! that! are! not! addressed,! or!
seldom! addressed,! and! group! the! reports! with! these! shortcomings.! The! results! of! the!
univariate! analysis! (Guest,! 2000:247;! Fouché! &! Bartley,! 2011:254)! and! the! Guttmann!
analysis!were!further!interrogated!to!derive!key!findings.!!
The!data!analysis!concluded!with!a!comparison!of!the!qualitative!and!quantitative!results,!
which!was!done!by!comparing!the!key!findings!and!looking!for!gaps!between!the!data.!!
5.6 Reliability,'validity'and'trustworthiness'of'the'data'
All!research!should!meet!certain!criteria!to!ensure!scientific!acceptability.!These!criteria!
are! different! for! qualitative! and! quantitative! research.! Qualitative! research! is! evaluated!
according! to! its! trustworthiness! and! quantitative! research! is! evaluated! according! to! its!
reliability!and!validity!(compare!Babbie,!2010:150D154;!Bryman!&!Bell,!2003:33!Strydom!
&!Delport,!2011:419!and!Van!der!Riet!&!Durrheim,!2011:89).!!!
5.6.1 Qualitative'study'
Trustworthiness! is! made! out! of! four! criteria! namely! credibility,! transferability,!
dependability! and! confirmability! (Bryman! &! Bell,! 2003:288;! Schurink! et! al.,! 2011:420).!
Credible! research! findings! are! convincing! and! believable! (Van! der! Riet! &! Durrheim,!
2011:92).!Credibility!can!also!be!compared!to!internal!validity,!meaning!that!the!research!
!
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was! done! in! a! way! that! ensures! that! the! research! subject! has! been! identified! and!
described! in! an! accurate! manner! (Bryman! &! Bell,! 2003:288;! Schurink! et! al.,! 2011:420).!
The! research! presented! in! this! study! ensures! credibility! by! implementing! the! following!
measures!(Creswell,!2014:202):!
•
Using!participants!representing!different!interest!such!as!SIA!practitioners!working!
in! small! businesses,! SIA! practitioners! working! for! large! corporates,! sustainability!
consultants,!academics,!and!EIA!consultants;!
•
Peer!debriefing!by!discussing!the!results!with!mentors!internationally!and!local;!
•
Distributing!notes!of!World!Café!proceedings!to!participants!for!review;!
•
Conducting!the!research!over!a!period!of!two!years,!and!
•
Triangulation!by!using!different!sources!of!data!and!methods.!
Transferability!refers!to!the!ability!to!transfer!findings!from!a!specific!situation!to!another!
(Schurink!et!al.,!2011:420).!By!using!more!than!one!dataDgathering!method!and!multiple!
participants!the!researcher!aimed!to!ensure!the!transferability!of!the!findings.!Although!
the!research!is!specific!to!the!South!African!context,!some!of!the!findings!will!be!relevant!
to!other!developing!countries!with!similar!challenges!(see!Section!5.5.1.1).!Dependibility!
is! a! parallel! to! reliability! in! quantitative! studies! and! to! establish! dependibility! some!
researchers!adopt!an!“auditing”!approach!which!entails!that!a!record!of!all!phases!of!the!
research! process! should! be! kept! in! an! accessible! manner! (Bryman! &! Bell,! 2003:289).!
These!records!are!available!for!this!study,!but!the!size!of!the!data!set!makes!it!unpractical!
for!another!social!scientist!to!“audit”!it.!However,!all!the!World!Cafés!have!been!recorded!
and! the! proceedings! have! been! distributed! to! the! participants! for! comment.! This!
contributed!to!the!dependability!of!the!study.!Dependability!refers!to!the!extent!that!the!
research!process!is!logical,!well!documented!and!audited!(Strydom!&!Delport,!2011:420).!
This! study! meets! the! criteria! of! dependability,! since! similar! results! were! obtained! using!
different! methods! and! subjects! over! time.! The! methods! have! been! described! and!
documented!in!detail!in!the!report,!and!can!therefore!be!repeated!by!other!researchers.!
Confirmability!means!that!a!researcher!acted!in!good!faith!and!has!not!allowed!personal!
values!or!theoretical!preferences!noticeably!sway!the!manner!in!which!the!research!were!
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!
done! or! the! findings! of! the! research! (Bryman! &! Bell,! 2003:289).! The! discussion! of!
reflexivity!in!Section!5.8!of!this!chapter!alludes!to!this!aspect!in!more!detail.!!
5.6.2 Quantitative'study'
Reliability! and! validity! are! important! concepts! in! quantitative! research! (Bryman! &! Bell,!
2003:74).!Reliability!refers!to!the!degree!to!which!the!results!are!repeatable!(Bryman!&!
Bell,! 2003:33;! Van! der! Riet! &! Durrheim,! 2011:92).! In! order! to! test! the! reliability! of! the!
checklist,!two!SIA!practitioners!were!asked!to!use!the!checklist!to!review!the!same!report,!
as! reliability! relates! to! the! consistency! of! the! measure! of! a! concept! (Bryman! &! Bell,!
2003:77).! In! the! context! of! this! study! reliability! was! established! by! using! interDobserver!
consistency!which!means!that!if!it!is!reliable,!the!instrument!will!yield!the!same!result!on!
repeated! trails! by! different! participants! (Bryman! &! Bell,! 2003:77).! Cohen’s! Kappa,! a!
measure!of!the!agreement!of!coding!between!two!people,!was!used!to!assess!the!interD
observer! consistency! (Bryman! &! Bell,! 2003:184;! Viera! &! Garrett,! 2005:361).! Cohen’s!
Kappa!produces!a!coefficient!between!D1!and!1,!and!the!closer!the!coefficient!is!to!one,!
the! higher! the! agreement! and! interDobserver! consistency.! A! coefficient! above! 0.81! is!
considered!an!almost!perfect!agreement,!between!0.61!and!0.8!a!substantial!agreement!
and!between!0.4!and!0.6!it!is!a!moderate!agreement!(Bryman!&!Bell,!2003:184;!Viera!&!
Garrett,! 2005:362).! Table! 5.1! below! presents! the! Cohen’s! Kappa! coefficients! obtained!
between!the!researcher!and!each!of!the!reviewers,!and!between!the!two!reviewers.!
Table'5.1:'Results'of'Cohen’s'Kappa'
Researcher'
Reviewer'1'
Reviewer'2'
!
Researcher'
D!
0,80!
0,72!
Reviewer'1'
D!
D!
0,68!
Reviewer'2'
D!
D!
D!
The!comparison!between!the!researcher!and!the!first!reviewer!produced!a!Cohen’s!Kappa!
of!0.8,!which!is!deemed!substantial.!The!Cohen’s!Kappa!of!the!comparison!between!the!
researcher!and!the!second!reviewer!was!0.72,!which!is!also!considered!substantial.!When!
!
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comparing! the! results! of! the! two! reviewers,! a! Cohen’s! Kappa! of! 0.68! resulted,! another!
substantial!measurement.!The!checklist!was!judged!as!reliable!based!on!the!outcome!of!
the!Cohen’s!Kappa.!!
The!two!reviewers!used!to!complete!the!checklist!agreed!on!about!30!out!of!32!possible!
answers.! The! difference! in! the! findings! can! be! attributed! to! different! interpretations!
about! certain! concepts.! On! a! question! relating! to! social! service! organisations,! both!
reviewers!were!of!the!opinion!that!impacts!on!these!organisations!are!mitigated!due!to!
the! reference! to! NGOs! in! general.! The! researcher! did! not! agree! with! this,! as! she! was!
looking! specifically! at! social! service! organisations,! and! not! NGOs! in! general.! The!
interpretation! of! the! term! was! therefore! problematic,! as! the! reviewers! and! the!
researcher! interpret! the! term! social! service! organisation! differently.! The! second!
ambiguity! was! whether! impacts! on! family! stability! would! be! mitigated,! where! the!
researcher!and!one!reviewer!were!of!the!opinion!that!it!would!not!be!mitigated,!whilst!
one! reviewer! thought! that! it! would! be! mitigated.! The! last! point! where! one! of! the!
reviewers! differed! from! the! researcher! and! the! other! reviewer! was! on! whether! the!
mitigation! measures! would! discourage! dependency! on! the! proponent.! Although! there!
were! differences! in! interpretation,! these! were! not! major.! The! comparison! of! ratings! by!
different! observers! with! each! other! is! the! standard! way! in! which! an! instrument! like! a!
checklist!is!tested!for!reliability!(Delport!&!Roestenburg,!2011:182).!
Validity! is! concerned! with! the! integrity! of! the! conclusions,! to! establish! whether! the!
researcher! observes,! identifies! or! measures! what! they! say! they! are! (Bryman! &! Bell,!
2003:33,287,! Durrheim! &! Painter,! 2011:147).! The! Guttmann! matrix! is! only! valid! if! the!
indicators! that! are! used! to! measure! social! development! really! measure! that! concept!
(Bryman!&!Bell,!2003:77).!The!checklist!used!in!this!study!is!based!on!a!review!of!the!most!
recent! literature! in! the! SIA! and! social! development! field! (see! Chapters! 2! and! 3)! and!
therefore! meet! the! requirements! of! criterionDrelated! validity! (Durrheim! &! Painter,!
2011:152).! The! face! validity! of! the! checklist! was! tested! by! a! peer! review! by! an! SIA!
practitioner,! which! established! that! it! appears! to! measure! what! it! is! supposed! to!
measure,! namely! social! development! indicators! in! SIA! reports! (Delport! &! Roestenburg,!
2011:174).!A!second!review!of!the!checklist!by!two!SIA!practitioners!also!established!that!
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!
it!meets!the!conditions!for!content!validity,!since!the!researcher!used!their!judgement!to!
establish!whether!the!checklist!covers!the!social!development!criteria!potentially!present!
in!SIA!reports!sufficiently!(Delport!&!Roestenburg,!2011:182).!!
5.7 Reflexivity'
Research!is!not!valueDfree,!and!therefore!it!is!important!to!include!a!section!of!reflexivity!
in!this!study.!Reflexivity!refers!to!the!role!that!the!personal!background,!prior!knowledge,!
experience,! culture! and! attitude! of! the! researcher! play! in! the! execution! of! a! study!
(Creswell,! 2014:! 186;! Bryman! &! Bell,! 2003:27).! The! researcher! is! an! experienced! SIA!
practitioner! that! has! conducted! in! excess! of! 100! SIA! studies! during! her! career.! She! is! a!
leading! expert! in! the! field! and! involved! with! SIA! education! on! postDgraduate! level.! She!
represented!the!SIA!community!on!an!international!forum!and!acts!as!specialist!advisor!
for! national! and! international! NGOs.! From! this! perspective,! her! insight! in! the! SIA! field!
could!be!a!disadvantage!to!the!study,!as!she!would!interpret!the!findings!from!a!position!
of! preDknowledge! and! therefore! bias! the! findings.! Embedded! in! her! knowledge! and!
experience!as!social!worker!and!of!social!development!the!researcher!is!aware!of!the!lack!
of!social!development!outcomes!from!SIA!studies,!and!therefore!some!of!the!information!
obtained!in!the!study!seems!obvious!to!her,!but!might!not!be!to!the!outsider.!Although!
the!principles!of!SIA!put!people!in!the!centre!of!development,!the!researcher!noticed!that!
in! practice! SIA! is! not! as! peopleDcentred! as! social! development! is,! and! that! there! is! a!
possible!synergy.!!
Being!well!known!in!the!field!had!the!advantage!that!people!were!willing!to!contribute!to!
the!study!and!dealing!with!gateDkeepers!was!minimised.!Although!the!data!gathered!for!
this! study! was! done! within! a! community! of! professionals,! the! researcher! assured!
participants!of!confidentiality!to!ensure!none!of!them!would!be!compromised.!Using!the!
World!Café!method!assisted!in!removing!the!researcher!further!from!the!participants!to!
ensure!greater!objectivity.!Being!a!selfDorganised,!voluntary!community!of!professionals,!
there!was!no!power!imbalances!where!participants!would!feel!intimidated,!as!they!are!all!
professionals!in!their!own!right,!working!on!the!same!level!as!the!researcher.!!
The! researcher! is! a! qualified! social! worker! with! a! postDgraduate! qualification! in!
environmental!management,!which!was!coDsupervised!by!two!academics!respectively!in!
!
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social! sciences! and! natural! sciences.! This! means! that! the! researcher! has! integrated! the!
two! fields! since! 2003,! works! as! a! social! scientist! in! a! natural! science! environment,! and!
continuously! needs! to! shift! between! fields! to! ensure! that! the! integrity! of! her! work! is!
acceptable! to! both! social! and! natural! scientists.! As! a! result! the! researcher! developed! a!
style!of!research!and!writing!which!is!a!hybrid!of!the!two!scientific!fields,!and!while!this!is!
the!pragmatic!solution!in!practice,!it!can!possibly!distract!from!academic!integrity.!!
The! researcher’s! social! work! background! influences! her! worldview! and! this! aspect! may!
bias! the! study! towards! favouring! social! development! as! an! outcome! of! SIA.! SIA!
practitioners! are! from! different! professions! such! as! psychology,! sociology,! human!
resource! management! and! others,! and! may! not! necessary! feel! as! strongly! about! social!
development!as!the!researcher!does.!!
In! order! to! address! potential! bias,! the! researcher! kept! a! reflective! journal! to! preDempt!
possible!outcomes,!and!engaged!in!discussions!with!peers!on!national!and!international!
forums.!The!peer!discussions!acted!as!sounding!board!to!ensure!that!the!researcher!does!
not! internalise! findings! too! much.! The! researcher! excluded! her! own! SIA! reports,! and!
reports!reviewed!by!her!from!the!sample,!which!made!the!sample!significantly!smaller.!In!
retrospect!this!would!not!have!changed!the!outcome!of!this!study,!as!the!researcher’s!SIA!
reports!would!also!not!meet!all!the!criteria!of!the!checklist!as!the!researcher!only!refined!
the!social!development!variables!with!this!study,!and!therefore!the!findings!of!this!study!
will!potentially!improve!her!SIA!practice!as!well.!!
5.8 Ethical'aspects'
The! social! sciences! have! a! special! obligation! to! safeguard! human! rights! and! dignity!
(Hoyle,! Harris! &! Judd,! 2002:45;! Strydom,! 2011b:113).! Ethics! is! a! set! of! moral! principles!
that!are!suggested!by!an!individual!or!group,!are!subsequently!widely!accepted,!and!offer!
rules!and!behavioural!expectations!about!the!most!correct!conduct!towards!experimental!
subjects! and! participants,! employers,! sponsors,! other! researchers,! assistants! and!
students!(Strydom,!2011b:114).!The!following!ethical!aspects!were!relevant!to!the!study:!
Voluntary!participation;!informed!consent;!anonymity!and!confidentiality;!competence!of!
the! researcher,! cooperation! with! contributors! and! publication! of! the! findings! in! a!
scientific!journal!(Babbie,!2011:63D75;!Strydom,!2011b:113D127).!!
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!
5.8.1 Voluntary'participation'
All! the! participants! in! this! study! participated! voluntary.! Some! people! who! were!
approached!by!the!researcher!declined!the!interview!because!they!felt!that!they!did!not!
know! enough! about! the! research! topic.! Participants! that! were! interviewed! all! signed!
informed!consent!documents.!Participants!in!the!World!Cafés!reacted!to!advertisements!
of!the!event,!and!could!withdraw!from!the!meetings!at!any!time!without!consequences.!!
5.8.2 Informed'consent'
The!informed!consent!of!the!interviewees!was!obtained!in!writing!(see!Appendix!C).!This!
complies! with! the! principle! of! informed! consent! under! which! research! participants! are!
provided!with!all!the!information!necessary!to!allow!them!to!make!a!decision!concerning!
their! participation! (Dane,! 1990:40;! Strydom,! 2011b:117;! Wassenaar,! 2011:72).! The!
proceedings! of! the! World! Cafés! and! the! reports! that! were! used! in! this! study! are! in! the!
public!domain.!The!participants!of!the!World!Cafés!were!informed!at!the!sessions!that!the!
proceedings! will! be! in! the! public! domain! and! used! in! this! study,! but! they! did! not! sign!
informed!consent!letters,!as!the!primary!aim!of!these!events!was!not!purely!to!inform!this!
study.!They!gave!their!consent!to!participate!in!the!study!on!these!grounds.!SIA!reports!
are!legally!required!to!be!in!the!public!domain.!The!ethical!committee!of!the!Faculty!of!
Humanities,!University!of!Pretoria!approved!the!study!(See!Appendix!D).!!
5.8.3 Anonymity'and'confidentiality'
The! information! obtained! in! the! interviews! were! analysed! and! presented! in! a! way! that!
protect! the! identity! of! the! participants.! None! of! the! participants! requested! to! stay!
anonymous,!but!the!researcher!decided!not!to!publish!the!names.!The!information!that!
was!obtained!is!not!of!a!confidential!nature,!but!to!the!advantage!of!the!SIA!community!
of!practice.!Although!the!reports!that!were!used!in!this!study!are!in!the!public!domain,!
the! authors! were! contacted! and! asked! for! permission! to! use! them.! The! analysis! of! the!
reports! was! conducted! in! a! manner! that! did! not! reveal! the! author! of! any! report,! to!
protect!them!against!findings!that!may!not!reflect!them!in!a!positive!light.!The!aim!of!the!
analysis! was! not! to! review! the! competence! of! the! authors,! but! to! identify! whether! the!
variables!identified!in!the!quantitative!section!of!the!study!were!addressed!in!the!report.!
!
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5.8.4 Cooperation'with'contributors'
The! SIA! community! contributed! to! this! research! by! participating! in! the! interviews! and!
World! Cafés.! They! also! contributed! by! making! SIA! reports! available.! Individual! SIA!
practitioners! contributed! their! time! for! informal! brainstorming! sessions,! to! review! the!
checklist!and!to!test!the!Guttmann!matrix.!The!researcher!has!an!obligation!towards!the!
SIA! community! to! report! correctly! on! the! analysis! of! data! and! the! results! of! the! study!
(compare!Babbie,!2010:71;!Dane,!1990:53;!Strydom,!2011b:123).!The!researcher!adheres!
to! the! codes! of! conduct! of! the! South! African! Council! for! Social! Service! Professions,! the!
International! Association! for! Impact! Assessment! (IAIA)! and! the! Principles! for! Social!
Impact! Assessment! as! prescribed! by! the! IAIA.! The! researcher! ensured! that! the!
investigation!has!been!conducted!correctly!and!that!no!one!was!deceived!by!the!findings!
(Dane,!1990:53;!Strydom,!2011b:126).!!
5.8.5 Publication'of'the'findings'
The!literature!study!revealed!that!there!are!limited!publications!on!the!practice!of!SIA!in!
South! Africa.! The! SIA! community! contributed! greatly! to! the! data! that! was! used! in! this!
study.! The! University! of! Pretoria! requires! the! publication! of! the! study! in! at! least! two!
scientific!journals.!The!researcher!is!therefore!scholarly!obliged!to!publicise!the!findings!
of!the!study!in!peerDreviewed!journals.!The!researcher!committed!to!share!the!findings!of!
the! thesis! with! the! SIA! practitioners! that! were! interviewed! and! supplied! her! with! SIA!
reports!through!making!this!thesis!and!the!scholarly!articles!available!to!them.!!
5.9 Limitations'of'the'study'
There! are! some! limitations! to! this! research! study.! The! reports! used! in! the! quantitative!
study! are! those! that! could! be! found! in! the! public! domain,! supplemented! with! reports!
supplied!by!practitioners.!It!is!possible!that!not!all!SIA!reports!produced!in!South!Africa!
during!the!specified!period!of!2008!to!2014!are!included!in!the!study,!because!reports!are!
kept! in! the! public! domain! for! a! limited! period,! after! which! they! are! archived.! The!
population!of!SIA!consultants!in!South!Africa!is!not!known,!and!therefore!people!may!not!
have! been! included! in! the! sample! for! the! qualitative! study.! No! social! development!
practitioners!were!included!in!the!study,!and!in!retrospect!it!would!have!been!valuable!to!
obtain! their! inputs! in! the! proposed! strategy! to! ensure! social! development! outcomes! of!
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!
SIA.!In!addition,!it!would!have!been!useful!to!include!social!development!practitioners!in!
the!development!of!the!checklist.!!
The!World!Cafés!were!presented!with!external!partners!and!the!questions!asked!had!to!
accommodate!their!agendas.!The!focus!of!this!study!was!the!South!African!context,!but!
the! World! Café! broadened! the! questions! to! cover! SADC,! since! people! from! across! the!
region! attended! the! events.! One! of! the! questions! pertained! to! guidelines! for! SIA,! and!
participants!answered!the!questions!referring!to!the!way!SIA!is!currently!practiced,!which!
is!a!minimum!set!of!requirements!that!need!to!be!met!in!order!to!legally!proceed!with!
development!projects.!!
The!study!commenced!with!the!intention!to!develop!guidelines!for!SIA.!At!the!same!time,!
an! international! process! to! develop! SIA! guidelines! was! launched! by! IAIA.! The! IAIA’s!
identification!of!the!need!to!develop!SIA!guidelines!was!thus!confirmed!with!this!study!in!
the!South!African!context.!The!research!findings!indicated!that!the!SIA!community!should!
create!guidelines!for!SIA!in!a!participatory!manner!(see!Chapter!6,!Section!6.2.5.1).!The!
researcher! did! not! foresee! that! the! international! SIA! guidelines! would! precede! the!
outcomes! of! this! study.! In! addition,! the! researcher! was! involved! in! the! international!
process!of!developing!SIA!guidelines,!and!during!this!process,!she!realised!a!duplication!of!
SIA!guidelines!in!a!South!African!context!would!influence!the!original!contribution!of!the!
intended!study!to!the!broader!SIA!study!field!and!scholar!community.!To!compensate!for!
this!limitation,!the!researcher!then!added!the!social!development!focus!to!the!study!as!it!
would! make! the! study! authentic! in! a! South! African! context! as! social! development! has!
been!adopted!by!the!government!as!a!development!approach!(Patel,!2005:1).!In!addition,!
research!findings!would!provide!lessons!learnt!for!SIA!in!other!developing!countries!that!
prioritise! social! development! for! social! and! economic! transformation.! Therefore! this!
study’s! focus! and! contribution! intend! to! influence! the! practice! of! SIA! to! move! towards!
social!development!outcomes.!Although!the!initial!intention!was!to!create!guidelines!on!
how!to!include!social!development!outcomes!in!SIA,!the!research!confirmed!the!need!for!
SIA!guidelines!in!South!Africa!and!expand!to!cumulate!into!a!strategy!on!how!to!ensure!
that!an!SIA!process!result!in!social!development!outcomes,!as!this!is!more!relevant!in!the!
South!African!context.!Developing!a!strategy!to!include!social!development!outcomes!in!
!
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the! SIA! process! also! contributes! to! the! scholarly! community! in! an! international! context!
because! the! Millennium! Development! Goals! and! postD2015! sustainable! development!
goals! commits! all! countries! that! are! signatories! of! the! Millennium! Declaration! to! Social!
Development!(UN,!2014a).!Although!it!could!be!seen!as!a!limitation!to!the!study!that!it!
had! to! change! focus! while! in! process,! the! researcher! is! confident! that! it! enriched! the!
study!as!the!outcome!is!more!relevant!to!the!current!conditions.!Due!to!the!changes!in!
the! study! described! in! this! paragraph,! the! informed! consent! letter! (Appendix! C)! still!
reflects! the! title! and! objectives! of! the! original! study.! Although! the! title! and! objectives!
changed,! the! information! gathered! during! the! interviews! were! valid! and! used! in! this!
study.!
5.10 Summary'
This!study!made!use!of!pragmatism!as!a!theoretical!framework!to!conduct!the!research.!It!
was! approached! from! a! functionalist! paradigm! and! utilised! mixed! methods! to! conduct!
the! research.! An! instrumental! case! study! design! was! used! as! a! research! design! for! the!
qualitative!study,!and!a!crossDsectional!design!for!the!quantitative!study.!Interviews!and!
World! Cafés! were! used! to! gather! the! qualitative! data,! and! an! analysis! of! SIA! reports!
yielded!the!quantitative!data.!The!research!meets!the!criteria!of!reliability,!validity,!and!
trustworthiness.! The! relevant! ethical! considerations! for! this! study! have! been! outlined.!
The!empirical!study!is!presented!in!Chapter!6.!!
!
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!
Chapter'6. Presentation'of'empirical'findings''
6.1 Introduction'
This! chapter! presents! and! analyses! the! results! of! the! empirical! study.! Mixed! data!
collection! methods! were! used! in! the! empirical! study.! The! results! are! first! presented! in!
separate! qualitative! and! quantitative! sections,! each! followed! by! a! summary! of! the!
findings.!The!key!findings!that!emerged!from!the!qualitative!and!quantitative!studies!are!
presented!in!the!final!section!of!the!chapter.!The!integration!of!the!literature!will!be!done!
in!the!discussion!of!the!findings,!which!follows!in!Chapter!7.!!
The!qualitative!section!presents!the!findings!obtained!from!participants!on!their!current!
perceptions!regarding!the!practice!of!SIA!in!South!Africa!and!aims!to!provide!insight!in!the!
current! practice! of! SIA! and! whether! there! are! any! existing! links! to! social! development.!
This! includes! the! perspectives! of! different! stakeholders! in! the! SIA! process! about!
strengths,!weaknesses!and!shortcomings!in!the!SIA!field!in!general.!!
The!following!quantitative!section!of!the!study!analyses!the!outputs!of!the!SIA!process!in!
the! form! of! 15! reports! taken! from! the! public! domain.! The! quantitative! study! uses!
Guttmann! scaling! (See! Chapter! 5,! Section! 5.6.4.2)! to! explore! the! patterns! of! report!
content.!The!theoretical!framework!of!the!study,!embedded!in!social!development!which!
underpins!the!context!of!poverty,!human!rights,!developmental!social!work!and!a!social!
protection!floor!(See!Chapter!2)!was!used!as!a!lens!for!the!analysis!of!the!data.!
6.2 Qualitative'study:'Insights'in'current'SIA'practice'
This! section! contains! the! results! of! the! qualitative! study! that! explored! how! SIA! is!
conducted! in! South! Africa.! It! addresses! the! subDresearch! questions! investigating! (1)! to!
what!extent!SIA!methodology!as!currently!practiced!reflects!social!development;!and!(2)!
whether! guidelines! for! SIA! could! assist! practitioners! with! achieving! social! development!
outcomes.!The!answers!to!the!questions!allowed!the!researcher!to!analyse!SIA’s!current!
interrelatedness!with!social!development.!The!data!covers!the!views!of!SIA!practitioners!
and!the!views!of!their!clients!(see!Chapter!5,!section!5.6.2!for!a!detailed!description!of!the!
methodology! used! to! generate! this! data).! The! discussions! for! the! first! two! World! Cafés!
focused!around!three!specific!topics:!
!
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•
Sharing!experience!around!SIA.!
•
Potential!guidelines!for!SIA.!
•
Qualifications!and!training!in!the!SIA!field.!
The!three!topics!that!were!discussed!in!the!last!World!Café!include:!
•
An!exploration!on!what!SIA!is!and!why!it!is!conducted.!
•
What!should!be!included!in!an!SIA.!
•
How!to!get!the!desired!outcomes!of!an!SIA.!
The!data!was!analysed!using!themes!to!categorise!the!statements!of!the!participants!into!
appropriate! categories! (Creswell,! 2014:199),! and! these! categories! where! influenced! by!
the! theoretical! framework! of! social! development! that! was! used! in! the! study.! The!
questions!used!in!the!interview!schedule!(see!Appendix!A)!acted!as!initial!themes!for!the!
data!generated!through!the!interviews.!A!similar!process!was!followed!for!the!analysis!of!
the!data!that!was!collected!in!the!World!Cafés.!The!researcher!recorded!the!data!received!
from! the! table! hosts! on! each! of! the! questions! used! in! the! specific! World! Café,! which!
constituted! three! different! sets! of! data! from! which! recurrent! themes! were! respectively!
identified.! The! data! from! the! respective! World! Cafés! was! then! rearranged! according! to!
the! common! emerging! themes.! The! researcher! then! compared! the! data! from! the!
respective! World! Cafés! and! looked! for! emerging! themes! across! all! the! qualitative! data,!
including!the!interview!data.!Five!recurring!themes!in!all!four!qualitative!data!sets!were!
identified.! Through! this! process! theoretical! saturation! was! achieved! when! further!
interrogation!of!the!data!yielded!no!new!insights!(Bryman!&!Bell,!2003:428).!!
Table!6.1!below!presents!the!five!themes!and!where!relevant!associated!subDthemes!that!
emerged!from!the!data!obtained!from!all!the!participants!in!the!qualitative!study.!
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!
Table'6.1'Themes'and'subathemes'that'emerged'from'the'qualitative'study'
Theme'
1. Motivation!for!SIA!from!the!
perspective!of!different!role!
players!
2. Current!challenges!to!SIA!
practice!from!different!
perspectives!
Subatheme'
!
2.1. Ignorance!about!social!science!
methodology!amongst!role!players!
2.2. SIA!is!a!pointDinDtime!assessment!
2.3. Inappropriate!use!of!SIA!by!some!role!
players!
2.4. Lack!of!capacity!amongst!authorities!to!
evaluate!SIA!
2.5. Project!versus!strategic!focus!of!SIA!
studies!
3. Important!aspects!to!consider!
when!conducting!SIA!
3.1. Terms!of!reference!need!to!be!clear!
3.2. SIA!process!is!important!
3.3. Outcomes!of!SIA!process!must!consider!
the!long!term!management!of!social!
impacts!
4. Ensuring!more!effective!SIA!in!
a!number!of!ways!
!
5. Improving!the!practice!of!SIA!
4.1. Flow!of!information!between!different!
role!players!
4.2. Information!requirements!between!
different!role!players!
4.3. Long!term!involvement!of!SIA!
practitioners!in!management!and!
mitigation!of!social!impacts!
5.1. Guidelines!for!SIA!to!ensure!a!
consistent!approach!amongst!all!role!
players!
5.2. Professional!body!for!SIA!practitioners!
5.3. Capacity!building!amongst!all!role!
players!
In!this!section!the!findings!of!the!study!in!relation!to!each!of!the!themes!will!be!discussed!
in! order! to! obtain! insight! in! the! practice! of! SIA! in! relation! to! the! extent! that! it! reflects!
social! development,! whether! SIA! as! currently! practiced! is! effective! as! a! tool! for! social!
!
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development,!and!to!investigate!whether!guidelines!for!SIA!could!assist!practitioners!with!
achieving! social! development! outcomes.! To! contextualise! the! findings,! the! types! of!
projects! subjected! to! SIA! that! participants! mentioned! should! be! considered.! These!
projects! included! large! water! infrastructure! projects,! dams,! electricity! infrastructure,!
nuclear!reactors,!wind!farms,!roads,!airports,!housing!developments,!golf!estates,!waste!
sites,!mines,!industrial!development,!land!restitution!and!casinos.!
6.2.1 Theme'1:'Motivation'for'SIA'from'the'perspective'of'different'role'players'
Participants!highlighted!that!the!obvious!motivation!for!SIA!is!to!determine!and!mitigate!
social!impacts.!This!was!summarised!by!a!participant!as!follows:!
“In$my$opinion,$the$purpose$of$doing$an$SIA$is$to$determine$and$then$mitigate$
potential$impacts$(positive$and$negative)$that$proposed$developments,$or$any$
other$kind$of$intervention,$may$have$on$its$surrounding$environment.$When$I$
say$surrounding$environment,$I$wish$to$place$emphasis$on$the$human$capital$
in$ those$ environments.$ Environmental$ Impact$ Assessment$ oftentimes$ do$ not$
distinguish$between$the$natural$and$social$impacts$and$it$is$therefore$crucial$
that$an$independent$scientist,$trained$in$the$field$of$social$sciences,$conduct$an$
SIA.”$
The! data! indicated! that! the! motivation! to! do! SIA! does! not! only! stem! from! a! concern!
about!communities,!but!it!also!meets!business!requirements!such!as!strategic!planning,!
corporate! social! investment! projects! and! risk! identification.! In! this! regard,! a! participant!
commented:!
“SIA$is$more$than$a$means$to$obtain$a$positive$Record$of$Decision;$it$is$also$a$
planning$ tool$ to$ enhance$ social$ sustainability$ of$ projects$ and$ to$ inform$ the$
design$ of$ CSI$ (Corporate$ Social$ Investment)$ initiatives.$$ Very$ often,$ the$
effectiveness$ of$ CSI$ projects$ is$ diminished$ because$ they$ do$ not$ properly$
address$the$needs$of$communities.$$By$providing$inXdepth$baseline$information$
on$communities,$SIA$can$help$address$this$shortcoming.”$
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!
Participants! pointed! community! relations! and! participation! out! as! a! primary! motivation!
for!SIA,!which!is!in!line!with!a!human!rights!approach!and!social!development.!One!of!the!
participants!stated:!!
“In$ line$ with$ modern$ development$ thoughts$ the$ participation$ process$ is$
critical,$no$project$can$be$conducted$without$participation.”$
The! findings! indicate! that! it! is! important! to! understand! the! needs! and! functioning! of!
affected!communities!in!order!to!make!informed!decisions!and!act!in!the!best!interest!of!
project!proponents!and!communities.!Participants!explained!this!as!follows:!!
“SIA$must$give$a$feeling$for$how$people$are$living$in$the$affected$area$and$how$
the$ project$ will$ affect$ them.$ It$ must$ identify$ positive,$ negative$ and$ knockXon$
effects,$ and$ make$ recommendations$ on$ dealing$ with$ potential$ negative$
impacts.”$$
“I$think$that,$in$select$circumstances,$a$SIA$can$have$an$immense$value$for$a$
client$who$actually$takes$the$time$to$page$through$the$report.$I$have$seen$how$
the$recommended$mitigation$measures$in$a$SIA$can$enhance$a$specific$project.$
If$the$client$pays$note$to$the$suggested$mitigation$measures$and$ensure$that$
they$are$employed,$both$the$client$and$the$surrounding$community$can$benefit$
from$the$SIA.”$$
“SIA$can$impact$on$policyXdecisions$at$higher$levels.”$
Some! participants! observed! that! SIA! is! not! always! used! as! a! decisionDmaking! tool! but!
rather! as! an! instrument! to! obtain! project! approval! or! the! superficial! buyDin! of!
communities.!Comments!from!participants!in!this!regard!were:!
“SIA$ does$ provide$ more$ information,$ but$ the$ information$ is$ not$ used$ as$ it$
should$be.$SIA$is$nothing$but$a$rubberXstamp$for$approval.”$
“I$am$not$convinced$that$SIA$adds$value$to$decisionXmaking,$but$I$hope$so.$It$is$
the$ stepchild$ of$ the$ process.$ It$ is$ sometimes$ airyXfairy$ and$ we$ must$ take$ the$
blame$for$it.$It$is$nothing$but$a$nuisance$to$constructors,$they$do$only$the$easy$
stuff.”$
!
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“SIAs$are$oftentimes$not$considered$as$a$useful$tool,$but$it$looks$good$to$show$
other$people$that$you$as$the$proponent$cared$about$the$people.”$$
Despite!this!sense!of!disillusion!expressed!in!the!comments!above,!participants!indicated!
that!an!important!motivation!for!SIA!is!to!represent!communities!and!communicate!their!
views!to!the!decisionDmakers:!!
“SIA$ works$ for$ the$ people.$ It$ acts$ as$ the$ voice$ of$ the$ community.$ The$ SIA$
practitioner$is$the$only$specialist$with$direct$access$to$the$community.”$
“The$SIA$practitioner$is$the$representative$of$the$community.”$
“A$ SIA$ practitioner$ is$ a$ storyXcollector,$ the$ person$ that$ summarise$ all$ the$
stories$ in$ a$ compelling$ narrative$ in$ such$ a$ way$ that$ it$ give$ voice$ to$ affected$
individuals$and$communities$in$a$way$that$protects$their$interest.”$
“The$ role$ of$ the$ SIA$ practitioner$ is$ to$ be$ the$ mouthpiece$ of,$ not$ just$ the$
environment,$but$also$the$people$who$live$in$it.”$
In!summary,!participants!expressed!that!SIA!is!not!only!a!tool!that!protects!the!interest!of!
affected! communities,! an! important! consideration! in! human! rights! and! social!
development,! but! also! a! tool! that! protects! the! interest! of! the! project! proponent.!
Although!it!is!not!always!used!in!the!way!it!is!intended!to!be!used,!which!is!to!protect!the!
interests!of!affected!communities,!this!finding!indicates!that!SIA!seeks!a!winDwin!situation!
by!acting!as!a!bridge!between!stakeholders!and!is!as!much!a!business!tool!as!it!is!a!tool!
for!community!participation.!
6.2.2 Theme'2:'Current'challenges'to'SIA'practice'from'different'perspectives'
Participants! mentioned! a! number! of! challenges! to! the! practice! of! SIA.! SubDthemes! that!
emerged! include! ignorance! about! social! science! methodology,! the! timing! of! conducting!
SIA! studies,! inappropriate! use! of! SIA,! the! capacity! amongst! authorities! and! the! lack! of!
strategic! focus.! These! subDthemes! are! discussed! in! more! detail! in! the! following!
paragraphs.!
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!
6.2.2.1 Subatheme'2.1:'Ignorance'about'social'science'methodology'amongst'different'
role'players'
The! findings! indicate! that! there! is! a! lack! of! understanding! about! how! social! science!
methodology! is! applied,! and! mentioned! that! EIA! consultants,! project! proponents! and!
communities! often! confuse! SIA! with! economic! impact! assessment.! Therefore! the!
expectation! is! that! the! SIA! will! produce! more! tangible! (quantifiable)! results.! One! of! the!
participants!expressed!this!view!as!follows:!!
“What$ do$ people$ want$ from$ a$ socioXeconomic$ impact?$ They$ expect$ figures$
whereas$ SIA$ practitioners$ usually$ have$ a$ social$ sciences$ background.$ Social$
and$Economics$should$be$seen$as$two$distinct$disciplines.”$$
The! data! indicated! that! the! ignorance! about! social! sciences! sometimes! impact! on! the!
credibility!of!SIA!practitioners,!because!SIA!does!not!meet!the!scientific!criteria!set!out!by!
the!natural!sciences.!From!the!comments!of!the!participants,!it!seems!that!this!ignorance!
is!not!only!limited!to!EIA!consultants,!project!proponents!and!communities,!but!that!SIA!
practitioners!are!also!responsible!for!the!situation:!
“Social$ scientists$ have$ not$ been$ successful$ in$ getting$ themselves$ accepted$ and$
acknowledged$ in$ the$ community$ of$ practitioners$ involved$ in$ many$ developments.$
Engineers$ dominate$ and$ amongst$ the$ social$ scientists,$ the$ economists$ are$ taken$
seriously.$Social$scientists$are$seen$as$idealistic$and$naïve.$It$is$often$true.$Sadly.”$
“The$level$of$SIA$practitioners$is$not$what$it$should$be.$There$is$a$lack$of$skills,$a$lack$
of$ understanding$ of$ social$ science$ theory,$ lack$ of$ experience,$ and$ mediocrity$ is$
accepted.$ Practitioners$ do$ not$ have$ the$ guts$ to$ stand$ up$ and$ identify$ issues.$ The$
level$ of$ EIA$ managers$ is$ not$ up$ to$ standard$ –$ they$ don’t$ practice$ strategic$
assessment$ and$ rigour$ and$ don’t$ have$ the$ guts$ to$ assume$ a$ position$ against$
developers.$Developers$do$not$understand$the$role$of$SIA$and$use$it$as$a$marketing$
tool.$There$is$simply$not$enough$guidance$and$expertise.”$$
“There$is$ignorance$about$the$role$of$social$sciences,$and$it$is$not$helped$by$the$
naïve$idealism$of$ivory$tower$social$scientists.”$$
!
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Participants!emphasised!that!SIA!is!a!social!science!tool!using!social!science!methodology;!
results! are! often! intangible;! and! the! data! is! qualitative! in! nature.! They! mentioned! that!
environmental! impact! assessment! is! firmly! entrenched! in! the! natural! sciences! where!
quantitative!data!is!used!and!tangible!results!are!a!given.!SIA!is!conducted!in!this!context!
and! practitioners! often! find! themselves! having! to! educate! or! convince! naturalDscience!
colleagues!of!the!scientific!value!of!their!studies.!Participants!commented:!!
“Environmentalists$do$not$understand$what$SIA$is.$It$differs$from$an$issuesXreport.”$
$“There$is$a$perception$amongst$some$people$that$SIA$is$inferior$to$an$EIA$(or$that$
the$EIA$team$can$do$it$at$the$same$time).”$
“The$industry$is$not$sensitive$enough$to$understand$the$value$of$SIA.”$
Participants! indicated! that! quantitative! data! relating! to! communities! are! not! always!
readily! available! and! it! is! expensive! and! timeDconsuming! to! generate! this! kind! of! data,!
especially!on!a!projectDlevel.!Therefore,!practitioners!are!forced!to!rely!on!secondary!data!
that!may!be!out!of!date!or!less!reliable.!
6.2.2.2 Subatheme'2.2:'SIA'is'a'pointainatime'assessment'
Participants! pointed! out! that! as! EIA! is! currently! undertaken! in! South! Africa,! the!
timeframes!for!SIA!do!not!allow!for!longitudinal!or!repeat!studies.!This!is!in!contrast!with!
a!social!development!approach!which!would!require!long!term!involvement.!A!participant!
explained!this!point:!!
“The$ SIA$ process$ needs$ to$ empower$ people$ and$ communicate$ concerns.$
People$must$get$adequate$information,$time$to$digest$and$communicate$back.$
The$specialist$must$have$enough$time$to$analyse$and$digest.$The$client$should$
understand$ this$ and$ be$ prepared$ to$ pay$ –$ it$ all$ comes$ back$ to$ time$ and$
budget.”$
The! participants! expressed! a! concern! about! the! validity! and! reliability! of! SIA! studies!
conducted! in! this! manner,! as! it! is! not! innate! to! social! sciences! to! conduct! studies! in! a!
short!time!and!not!repeat!it.!One!of!the!participants!illustrated!the!point!by!saying:!!
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!
“Developers$need$to$understand$that$relationships$and$a$sense$of$trust$being$
built$take$time$and$have$budgetXimplications.$Skilled$interviewers$cost$money$
and$are$hard$to$come$by.”$
Other!participants!commented:!!
“Clients$ are$ sometimes$ unrealistic$ in$ terms$ of$ timeframes$ and$ try$ to$ find$
practitioners$who$are$willing$to$do$an$SIA$in$three$weeks$or$less.”$
“Time$ is$ a$ problem,$ and$ it$ involves$ ethics$ –$ should$ you$ accept$ a$ job$ if$ the$
timeframes$are$so$tight?”$
All!the!participants!in!the!study!have!identified!time!and!budget!restraints!as!a!significant!
challenge! to! SIA.! As! long! as! these! restraints! remain,! it! is! does! not! bode! well! for! SIA’s!
potential!to!be!used!as!a!tool!for!social!development.!!
6.2.2.3 Subatheme'2.3:'Inappropriate'use'of'SIA'by'some'role'players'
Participants!indicated!that!there!is!a!general!lack!of!understanding!about!what!SIA!is.!This!
varies! from! hidden! agendas! of! the! proponent! and! lack! of! understanding! amongst! EIA!
practitioners! to! unrealistic! demands! from! communities.! Political! agendas! (and! here!
participants!emphasised!that!the!reference!is!not!only!to!partyDpolitics,!but!to!politics!in!
communities!between!different!stakeholders!as!well)!can!influence!the!outcomes!of!SIA,!
and!potentially!lead!to!human!rights!infringements.!Participants!believed!this!undermines!
the!ethos!of!SIA!and!made!the!following!comments:!
“The$SIA$process$is$meaningless$if$a$political$decision$is$made.”$
“The$public$needs$to$be$educated.$A$concern$is$not$necessarily$an$impact.”$
“Covert$scheming$and$politics$are$some$of$the$biggest$obstacles$to$SIA.”$
“Sometimes$the$client$has$his$own$agenda$and$doesn’t$want$to$listen.”$
“There$ is$ a$ lack$ of$ appreciation$ of$ the$ influence$ of$ politics.$ Politicians$ and$
developers$ influence$ SIA.$ The$ understanding$ of$ politics$ and$ power$ dynamics$
plays$a$fundamental$role$in$SIA.”$
!
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The! data! indicated! that! expectations! from! proponents! and! communities! influence! the!
way!in!which!they!perceive!SIA.!Participants!indicated!that!communities!often!have!high!
expectations! about! the! outcomes! of! the! SIA! process! and! mentioned! that! if! this! is! not!
managed!during!the!process!the!proponent’s!social!licence!to!operate!can!be!affected!in!
the!longDterm.!As!the!participant!quoted!below!indicates,!the!SIA!practitioner!often!needs!
to!act!as!mediator!between!the!proponent!and!communities:!
“The$SIA$provides$an$independent$view$of$what$the$community$says$and$the$
project$ promises.$ The$ community$ often$ does$ not$ know$ what$ they$ want.$ The$
proponent$ does$ not$ give$ them$ what$ they$ deserve.$ The$ SIA$ practitioner$
becomes$ the$ referee$ when$ there$ is$ conflict,$ and$ gives$ advice$ to$ the$
community.$He$helps$the$proponent$to$give$concessions$and$becomes$the$inX
between$person.”$
Participants! suggested! that! proponents! often! expect! SIA! to! deliver! aspects! that! are! not!
the!responsibility!of!the!SIA!practitioner,!but!that!of!the!proponent,!especially!given!the!
shortDterm!involvement!of!SIA!practitioners.!The!findings!show!that!there!seem!to!be!high!
potential! for! external! parties! to! attempt! to! manipulate! the! SIA! process! to! meet! their!
agenda,!which!contributes!to!the!perceived!lack!of!credibility!of!SIA!reports.!!
6.2.2.4 Subatheme'2.4:'Lack'of'capacity'amongst'authorities'to'evaluate'SIA'
Participants!pointed!out!that!SIA!is!evaluated!and!delivered!to!government!departments!
that! deal! with! the! physical! environment,! and! falls! under! the! acts! related! to! those!
functions.!This!means!that!the!parties!that!will!be!responsible!for!the!implementation!of!
mitigation!such!as!the!Department!of!Health!are!not!part!of!the!decisionDmaking!process.!
A!participant!commented:!
“The$Department$of$Environmental$Affairs$should$refer$relevant$issues$to$other$
government$departments,$who$should$make$recommendations$to$the$DEA,$for$
example$AIDS$issues$should$be$referred$to$the$Department$of$Health.”$
Participants!indicated!that!other!government!departments!should!become!involved!in!the!
SIA!process.!This!is!essential!if!the!multiDparty!involvement!innate!to!social!development!
is!considered.!The!other!government!departments!include:!
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!
o Department!of!Water!Affairs!
o Department!of!Health!!
o Department!of!Human!Settlements!(previously!housing)!
o Department!of!Social!Development!
o Department!of!Labour!
o Department!of!Mineral!Resources!
o Department!of!Energy!
o Departments!of!Education!(both!Basic!and!Higher)!
o Department!of!Agriculture,!Forestry!and!Fisheries!
o Department!of!Public!Works!
o Department!of!Trade!and!Industry!
o Department!of!Rural!Development!and!Land!Reform.!!
The! participants! indicated! that! the! lack! of! capacity! amongst! authorities! also! refers! to!
their!technical!abilities!and!availability!of!time,!and!the!participants’!view!on!the!matter!is!
that:!!
“I$ do$ not$ think$ that$ our$ government$ structures$ allow$ themselves$ the$ time$ or$
resources$to$page$through$SIAs$that$are$appended$to$EIA$reports.$Therefore,$I$
do$not$think$that$an$SIA$has$any$impact$on$their$final$decision.”$
“The$ Department$ of$ Environmental$ Affairs$ has$ few$ officials$ with$ any$ social$
background.$They$are$intimidated$and$let$everything$pass.$There$is$a$high$staff$
turnXover$–$they$are$overwhelmed$with$work.”$
The!data!indicated!that!budgets!do!not!allow!for!social!monitoring!and!there!is!very!little!
integration! with! other! government! structures! such! as! local! municipalities! –! it! is! usually!
limited!to!the!evaluation!of!documents!such!as!the!IDP!and!limited!consultation.!The!data!
further! indicated! that! there! is! also! a! lack! of! capacity! amongst! municipal! structures! to!
interact!with!the!SIA!process.!Participants!expressed!the!following!opinions:!
!
P a g e !|!163!
“A$lot$of$social$impacts$are$linked$with$the$fact$that$local$government$do$not$
have$ the$ capacity$ to$ deliver$ services.$ If$ the$ IDP$ process$ was$ of$ any$ value,$ all$
the$baseline$information$and$development$opportunities$would$be$known$up$
front.”$
“Better$ monitoring$ of$ baseline$ conditions$ and$ retrospective$ studies$ will$ only$
take$place$if$developers$are$forced$to$do$so,$as$bigger$budgets$are$required.”$
Participants!concur!that!without!suitable!competence!in!government!structures!enforcing!
mitigation!and!monitoring!measures!is!a!challenge.!Lack!if!government!capacity!resulting!
from!inequality!of!opportunity!impacts!on!the!practice!of!SIA.!!!
6.2.2.5 Subatheme'2.5:'Project'versus'strategic'focus'of'SIA'studies'
The! findings! show! that! SIA! is! driven! by! projects! and! not! by! strategic! programmes,! and!
therefore!the!footprint!of!each!study!needs!to!take!account!of!all!the!potential!impacts.!
Participants! view! this! as! a! challenge! to! the! effectiveness! of! SIA,! as! social! impacts! take!
place! on! a! broader! level.! The! findings! indicate! that! social! impacts! are! frequently!
cumulative! and! little! is! done! to! address! cumulative! impacts.! Participants! expressed! the!
following!concerns:!
“EIA$ processes$ are$ very$ project$ specific$ and$ very$ seldom$ consider$ cumulative$
impacts$on$an$area$or$community.”$
“Because$ of$ its$ projectXspecific$ focus,$ SIA$ is$ not$ well$ equipped$ to$ deal$ with$
CUMULATIVE$impacts$(including$impacts$arising$from$different$projects$being$
implemented$by$the$same$proponent).”$
Strategic!planning!is!required!to!mitigate!most!social!impacts,!and!because!mitigation!is!
prescribed!on!a!project!level,!it!often!fails!to!address!impacts!in!their!entirety.!This!can!
contribute!to!poverty,!inequality!and!a!decrease!in!wellbeing!of!project!affected!people.!
Participants!expressed!the!following!views!on!considering!SIA!in!a!strategic!manner:!
“It$is$good$for$the$industry$if$we$are$looking$at$ways$to$do$SIA$more$strategic$
rather$than$just$describing$social$phenomena.”$
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!
“A$good$SIA$must$be$strategic,$it$must$say$something$and$have$clear$findings.$
It$cannot$be$done$in$isolation,$and$is$done$within$a$certain$context.”$
“SIA$should$be$more$strategic$and$linked$to$the$IDPXprocess.”$
“The$ social$ is$ going$ to$ become$ increasingly$ important.$ Practitioners$ must$ be$
willing$ and$ capable$ of$ identifying,$ facilitating$ and$ analysing$ diverse$ types$ of$
forms$of$information$to$pursuit$the$bigger$picture.”$
To! summarise,! considering! the! challenges! to! SIA! practice! identified! by! participants,! the!
need! for! a! community! of! professionals! where! information! can! be! shared! and! training!
opportunities! can! be! generated! is! clear.! Participants! mentioned! that! many! of! the!
challenges! could! be! addressed! by! clearer! guidelines! for! SIA! and! changing! the! way! in!
which!SIA!is!conducted!(see!Section!6.2.5!for!a!related!discussion!on!guidelines).!!
6.2.3 Theme'3:'Important'aspects'to'consider'when'conducting'SIA'
Participants! identified! subDthemes! that! should! be! considered! when! SIA! is! conducted.!
These!subDthemes!are!related!to!the!importance!of!the!terms!of!reference,!aspects!that!
participants! view! as! valuable! to! include! in! the! SIA! process! and! attributes! that! they!
deemed!important!as!outcomes!of!the!process,!and!will!be!discussed!next.!!
6.2.3.1 Subatheme'3.1:'Terms'of'Reference'need'to'be'clear'
Participants! emphasised! that! clearly! defined! terms! of! reference! should! be! the! starting!
point!of!SIA,!especially!in!the!absence!of!guidelines.!The!terms!of!reference!must!describe!
the!scope!of!the!study!and!clarify!the!role!of!the!SIA!practitioner.!A!participant!mentioned!
that:!
$“The$ SIA$ should$ have$ clear$ boundaries$ in$ terms$ of$ its$ contents$ (as$ a$ final$
report)$and$measure$of$integration$into$OTHER$specialist$reports.”$
The! findings! indicated! the! importance! of! the! SIA! practitioner! considering! relevant!
legislation!and!policies!of!the!proponent!and!including!reference!to!this!in!the!report.!In!
this! way! SIA! could! potentially! contribute! to! strategic! social! development! intitiatives.! As!
one!participant!stated:!!
!
P a g e !|!165!
“I$ am$ becoming$ increasingly$ aware$ of$ SIA$ literature,$ and$ the$ legislation$ is$
critically$important.”$
The!data!showed!that!the!legislation!requirements!are!related!to!the!context!of!the!study,!
therefore!relevant!legislation!such!as!the!National!Water!Act!36!of!1998!or!the!Mineral!
and! Petroleum! Resources! Development! Act! 28! of! 2002! should! be! considered! in! some!
studies,! but! only! where! relevant.! Participants! identified! terms! of! reference! as! an!
important! tool! to! assist! with! integration! and! the! flow! of! information! between! different!
role!players!in!the!SIA!process.!
6.2.3.2 Subatheme'3.2:'SIA'process'is'important'
The! data! indicated! the! importance! of! following! a! process! and! including! aspects! like!
screening,! scoping,! public! consultation,! a! proper! baseline! study,! impact! assessment,!
mitigation,! monitoring! and! evaluation.! SIA! studies! should! investigate! impacts! in! all! the!
phases! of! the! project! cycle! and! present! clear! findings.! Participants! emphasised! the!
advantages!of!involving!SIA!practitioners!as!early!as!possible!in!the!project!life!cycle!and!
including!them!in!strategic!planning!processes.!They!were!of!the!opinion!that!continuous!
involvement!of!practitioners!would!ensure!social!aspects!are!taken!care!of!in!all!the!cycles!
of! the! project,! and! minimise! and! manage! social! risks.! In! some! instances! social! risks! can!
cumulate! into! human! rights! infringements.! Participants! made! the! following! comments!
about!the!involvement!of!SIA!in!different!phases!of!the!project:!
“SIA$needs$to$be$earlier$in$the$planning$and$decisionXmaking$process.$It$comes$
too$late$in$the$process$–$it$is$not$a$reactive$tool$–$it$should$rather$inform.”$
“SIA$needs$to$come$in$earlier$in$the$process$to$add$to$planning.”$
“In$ general$ SIAs$ do$ not$ adequately$ address$ the$ operation$ and$
decommissioning$ phases$ –$ should$ a$ Social$ and$ Labour$ Plan$ not$ be$ included$
across$all$spheres$of$industry$in$the$EMP?$The$social$issues$in$an$EMP$are$at$
this$stage$normally$very$general.”$
Participants! stated! that! it! is! important! to! consider! the! aim! of! the! SIA! and! to! reflect! on!
aspects! such! as! the! enhancement! of! positive! outcomes! and! increasing! the! company’s!
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!
social! licence! to! operate! (in! other! words! the! acceptability! of! their! activities! to! the!
affected!communities).!A!participant!summarised!this!by!stating:!
“The$ SIA$ is$ not$ about$ giving$ in$ to$ people’s$ demands$ or$ the$ platform$ to$
negotiate$ compensations.$ It$ should$ rather$ focus$ on$ establishing$ a$ winXwin$
situation$for$both$the$proponent$and$the$community$–$it’s$about$giving$people$
some$ social$ insurance,$ whilst$ at$ the$ same$ time$ trying$ not$ to$ disadvantage$
affected$ communities.$ It’s$ not$ about$ externalising$ what$ you’ve$ done$ for$ a$
community,$ it’s$ not$ a$ public$ relations$ exercise.$ It’s$ not$ a$ sales$ or$ marketing$
tool.”$$
Another!participant!concurred:!
“Mitigation$ is$ not$ just$ about$ avoiding$ or$ ameliorating$ negative$ impacts,$ but$
also$enhancing$positive$ones.”$
Findings! indicated! that! reliable! data,! robust! methodologies! and! scientifically! structured!
reports!with!substantive!content!would!contribute!to!the!credibility!of!SIA.!A!participant!
assented!with!the!following!statement:!
“There$should$be$a$clear$understanding$on$issues$relating$to$data$accessibility.$
The$ level$ of$ information$ should$ be$ stipulated$ correctly$ to$ ensure$ the$ quality$
and$scope$of$the$SIA$is$agreed$EARLY$in$the$process.”$
Participants!made!it!clear!that!the!description!of!affected!communities!must!be!broader!
than! demographic! data! and! include! intangible! aspects! and! existing! challenges.! The!
interaction! with! communities! must! be! done! in! a! culturally! sensitive! manner,! be!
representative! and! participatory! as! is! innate! to! a! human! rights! based! approach.! Local!
knowledge!pertaining!to!aspects!affected!by!the!potential!project!must!be!included!in!all!
reports.!Participants!expressed!the!following!views!in!this!regard:!
“Community$ consultation$ should$ be$ done$ based$ on$ stakeholders’$ literacy$
levels$to$ensure$complete$understanding$of$the$project,$but$this$takes$time$and$
creates$the$impression$that$different$segments$of$the$community$are$treated$
differently.$Still,$find$a$way$to$convey$the$same$message,$but$adapt$the$way$in$
which$it’s$conveyed.”$$
!
P a g e !|!167!
“The$end$result$must$give$an$idea$of$what$happens$in$the$community.$A$profile$
of$ the$ community,$ background$ –$ where$ are$ they$ coming$ from,$ how$ did$ they$
develop,$where$are$they$going$to.”$
“SIA$must$give$a$feel$for$how$people$are$living$in$the$affected$area,$how$the$
project$ will$ affect$ them$ –$ positive$ and$ negative,$ knockXon$ effects,$ and$ make$
recommendations$on$dealing$with$negative$impacts.”$
The! findings! show! that! feedback! to! communities! about! the! findings! and!
recommendations! of! SIA! are! deemed! important,! but! does! not! always! take! place.! This!
aspect!may!potentially!impact!on!the!rights!of!communities.!
6.2.3.3 Subatheme'3.3:'Outcomes'of'SIA'process'must'consider'the'long'term'
management'of'social'impacts'
Participants! deemed! it! important! that! mitigation,! monitoring! and! evaluation! must! be!
discussed!with!the!relevant!stakeholders!to!ensure!it!is!implemented.!The!data!indicated!
that! this! requires! longDterm! commitment! and! the! involvement! of! multiple! roleDplayers,!
which! is! in! line! with! a! social! development! approach.! Findings! show! that! SIA! should!
include! a! monitoring! plan! that! contains! recommendations! and! practical! tools! that! will!
assist! with! monitoring! and! evaluation.! Comments! from! participants! indicated! that! the!
mitigation,!monitoring!and!evaluation!of!social!impacts!is!a!weakness!in!the!process:!
“Most$ of$ our$ predictions$ regarding$ social$ impacts,$ and$ most$ of$ our$
recommendations$ regarding$ mitigation,$ are$ based$ on$ (at$ best)$ anecdotal$
evidence$ about$ the$ actual$ impacts$ of$ earlier,$ similar$ projects,$ or$ (at$ worst)$
simply$parroting$what$we$or$others$have$said$in$earlier$SIA$reports.$Until$there$
is$consistent$monitoring$to$determine$the$TRUE$social$impacts$of$projects,$and$
the$ effectiveness$ of$ mitigation$ measures$ to$ address$ these$ impacts,$ we$ are$
bluffing$ourselves$if$we$think$the$purpose$of$an$SIA$is$anything$other$than$to$
get$a$positive$Record$of$Decision.”$
“There’s$ a$ definite$ lack$ of$ enforcement$ on$ social$ mitigation/enhancement$
measures.$ It’s$ seen$ as$ a$ simple$ matter$ between$ the$ proponent$ and$ the$
community,$but$there$is$no$follow$up$after$the$implementation$of$change.”$$
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!
“How$ do$ we$ get$ good$ value$ from$ information$ obtained$ (good$ outcome)?$ –$
Through$ impact$ assessment$ and$ formulating$ a$ management$ plan.$
Management$ Plan$ must$ be$ clear,$ concise,$ practical,$ implementable,$ relevant$
to$the$client$and$situation$(one$has$to$know$beforehand$the$client’s$reference,$
frameworks,$business$constraints,$how$it$operates).$This$can$be$difficult$for$the$
impact$assessor,$who$must$be$independent$and$objective.”$
The! findings! confirm! that! participants! view! sustainable! and! social! development! as! an!
important! outcome! of! the! SIA! process.! The! following! comments! from! participants!
illustrate!the!point:!!
“How$ else?$ The$ problem$ with$ sustainable$ development$ is$ that$ if$ you$ do$ not$
understand$ and$ address$ social$ problems,$ you$ have$ no$ chance$ to$ solve$
environmental$problems.”$
“SIA$ should$ absolutely$ be$ used$ as$ a$ tool$ for$ sustainable$ development.$ SIA$ in$
itself$ is$ an$ intervention$ and$ a$ collaborative$ process.$ The$ social$ development$
process$ starts$ when$ issues$ are$ addressed$ and$ develop$ further.$ Management$
measures$can$assist$if$it$is$considered$carefully$and$developed.”$
“Social$ development$ should$ link$ to$ existing$ processes.$ It$ should$ start$ in$ the$
concept$ phase$ of$ SIA$ and$ become$ part$ of$ the$ process.$ Workshops$ could$ be$
conducted$ that$ give$ detailed$ information$ about$ implementation$ –$ it$ is$
important$that$the$community$should$take$ownership$of$the$process.”$
“The$SIA$process$is$hinged$on$sustainable$development.$It$can$be$the$base$for$
longXterm$ activities.$ It$ can$ be$ a$ way$ to$ ensure$ resources$ are$ used$ in$ a$
sustainable$way.$Nobody$should$be$left$worse$off$as$a$result$of$development.$
There$is$enormous$potential.”$
“Impacts$ should$ be$ assessed$ considering$ sustainability.$ This$ goes$ beyond$
considering$issues$raised$by$Interested$and$Affected$Parties.$Many$vulnerable$
affected$ parties$ (and$ not$ so$ vulnerable)$ are$ concerned$ about$ survival$ today$
and$are$less$concerned$about$long$term$impacts,$future$generations.”$
!
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These! quotes! illustrate! that! SIA! practitioners! are! sensitive! to! the! potential! SIA! has! as! a!
tool!for!social!development.!Another!participant!highlighted!the!challenges!of!integrating!
social!development!with!SIA:!!
“SIA$could$be$used$as$a$tool$for$social$development,$but$implementation$would$
be$difficult$–$whose$responsibility$is$it?$Is$it$in$the$terms$of$reference?$Can$the$
proponent$actually$do$these$things$–$does$he$have$the$authority?”$
Participants!were!of!the!view!that!Social!and!Labour!Plans!(SLP),!as!currently!used!in!the!
mining! industry,! are! a! potential! way! to! ensure! social! development! outcomes,! as!
expressed!by!this!participant:!!
“The$SLP$focuses$on$empowerment$and$skilling$and$these$principles$should$be$
applied$to$SIA.”$
In! summary,! the! important! aspects! identified! by! the! participants! when! conducting! SIA!
include!social!aspects,!from!the!conception!of!the!project!to!the!conclusion!of!the!project.!
It! underlines! the! importance! of! involving! communities! throughout! the! process.! These!
aspects!highlight!the!significance!of!a!continuous!strategic!approach!as!would!be!required!
by!social!development.!!
6.2.4 Theme'4:'Ensuring'more'effective'SIA'in'a'number'of'ways'
Participants! suggested! that! SIA! studies! could! be! made! more! effective! in! several! ways,!
including! effective! dissemination! of! information,! using! current! information,! and! longD
term!involvement!of!practitioners,!as!will!be!discussed!next!as!subDthemes:!
6.2.4.1 Subatheme'4.1:'Flow'of'information'between'different'role'players'
Participants!indicated!that!a!significant!way!to!improve!social!impact!studies!would!be!to!
ensure! that! there! is! a! proper! flow! of! information! between! the! SIA! consultant! and! the!
project! proponent.! The! findings! show! that! SIA! consultants! often! receive! secondary!
information!via!EIA!consultants!and!there!is!a!risk!that!some!information!is!not!conveyed!
correctly.!Participants!commented:!
$
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$
!
“Information$between$the$SIA$consultant$and$the$proponent$gets$lost$via$the$
Environmental$ Assessment$ Practitioner.$ Therefore$ the$ TOR$ [Terms$ of$
Reference]$ should$ call$ for$ more$ integration$ meetings$ so$ that$ there$ is$ more$
direct$contact$between$proponents$and$‘downstream’$(sub)$consultants.”$$
“There$ should$ be$ more$ transparency$ in$ terms$ of$ information$ flow$ between$
project$ proponents$ and$ consultants,$ but$ in$ such$ a$ fashion$ that$ it$ does$ not$
compromise$the$integrity$or$independency$of$the$consultant.$A$balance$in$the$
study$requires$credible$and$accurate$information.”$
Participants! were! of! the! opinion! that! the! proper! integration! of! the! findings! of! different!
specialist! studies! is! crucial! to! SIA,! especially! because! of! the! social! component! of! many!
environmental! impacts.! They! indicated! that! workshops! that! integrate! the! findings! of!
different! specialist! studies! used! in! the! EIA! process! would! go! a! long! way! to! address! this!
need.!Participants!had!the!following!views!about!this!aspect:!
$“There$should$be$structured$integration$meetings$with$the$larger$project$team$
(key$specialists$X$together$with$the$proponent).”$
“The$SIA$practitioner$should$be$afforded$an$opportunity$to$engage$the$various$
project$ specialists$ on$ SIA$ imperatives$ and$ concepts$ from$ the$ outset$ of$ the$
process$to$assist$with$aligning$a$socialXthinking$approach$to$project$design$and$
execution.”$
The!data!shows!that!SIA!consultants!should!become!more!involved!in!the!writing!of!the!
environmental! management! plan! (EMP)! and! ensure! that! their! recommendations! align!
with!those!of!other!specialists.!A!participant!expressed!this!as!follows:!
“The$ SIA$ consultant$ needs$ to$ appropriately$ inform$ the$ EMP.$ The$ Terms$ of$
Reference$can$be$used$here$to$ensure$that$the$SIA$practitioner$has$“signXoff”$
of$ the$ EMP.$ This$ will$ assist$ in$ ensuring$ the$ effective$ and$ tangible$ description$
and$qualification$of$roles$and$responsibilities$within$the$EMP.$The$description$
of$appropriate$mitigation$will$have$more$detail$on$the$relevant$action$plan$to$
implement$ the$ proposed$ mitigation.$ (e.g.:$ “Use$ local$ labour”…..$ This$ is$
meaningless$unless$supported$by$an$appropriate$plan$to$effect$this$solution).”$
!
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Participants! pointed! out! that! social! monitoring! has! some! issues! associated! with! it! and!
should! be! thought! through! and! discussed! within! the! project! team.! A! participant!
commented:!
“Monitoring$ and$ mitigation$ of$ social$ impacts$ during$ construction$ (and$
operation)$ should$ be$ considered.$ Should$ we$ not$ go$ beyond$ the$ Record$ of$
Authorisation?$ What$ about$ mitigation$ of$ unintended$ social$ impacts$ during$
construction?$ Monitoring$ of$ impacts$ will$ contribute$ to$ a$ strong$ evidenceX
based$approach$in$SIA.”$
The!data!indicated!that!a!positive!flow!of!information!in!the!different!phases!of!the!SIA!
process!is!required!to!ensure!sustainable!outcomes.!
6.2.4.2 Subatheme'4.2:'Information'requirements'between'different'role'players'
Participants!emphasised!the!importance!of!using!relevant!and!upDtoDdate!documents!and!
triangulating! the! information! through! interviews! with! key! stakeholders.! Participants!
highlighted!challenges!associated!with!obtaining!current!information!as!follows:!!
“What$ is$ a$ sufficient$ level$ of$ baseline$ information$ and$ sources$ of$ baseline$
information$(primary$and/or$secondary)?$The$cost$of$detailed$research$can$be$
high$and$may$not$be$feasible.”$
The!data!indicates!that!the!public!consultation!process!prescribed!by!the!EIA!process!is!a!
source! of! useful! information,! and! SIA! consultants! should! participate! in! this! process.!
Participants!stated:!
“It$is$the$ideal$that$the$SIA$practitioner$attends$public$meetings$during$public$
participation$ in$ the$ EIA$ process.$ One$ should$ also$ speak$ to$ participants$
afterwards,$especially$those$who$actively$participated$in$the$meeting.”$
“There$ should$ be$ a$ closer$ relationship$ between$ public$ participation$ and$ SIA.$
Public$participation$takes$what$people$say$at$face$value.$The$social$researcher$
is$the$most$import$tool$–$my$own$ability$to$interpret$what$is$said$in$the$field.”$
However,!SIA!consultants!must!approach!their!work!in!a!flexible!manner!to!allow!for!the!
variety! of! communities! and! cultures! in! South! Africa.! This! is! also! required! to! ensure! no!
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!
human! rights! are! affected.! The! need! for! flexibility! is! illustrated! in! the! following! list! of!
considerations!compiled!by!participants!in!the!Eskom/IAIAsa!World!Café:!
$“Remember$the$following$when$obtaining$information$from$communities:$
•
Pay$attention$to$language$needs;$
•
Do$research$on$the$community$beforehand:$language,$dress,$ways$of$doing;$
•
Understand$power$relationships$–$people$will$want$to$position$themselves;$
•
Keep$in$mind$that$you$are$seen$as$an$outsider;$
•
Keep$in$mind$that$your$agenda$is$unknown$to$the$community;$and$
•
Make$use$of$channels$such$as$traditional$authorities.”$
Another!participant!questioned!the!current!reporting!system!and!inclusion!of!vulnerable!
parties!in!the!SIA!process!with!the!following!statement:!!
“There$ is$ a$ challenge$ in$ producing$reports$ which$ meet$ requirements$ and$are$
also$understood$by$semiXliterate/illiterate.$Is$simple$translation$sufficient?$Do$
we$ workshop$ SIA$ results$ and$ assessments$ to$ a$ satisfactory$ level$ with$
Interested$ and$ Affected$ Parties?$ For$ that$ matter,$ are$ workshops$ the$ right$
approach?”$
The! data! confirmed! the! challenges! associated! with! obtaining! relevant! information! from!
affected! parties! in! a! culturally! diverse! and! socially! unequal! society.! Participants! in! the!
study! viewed! good! baseline! data! that! is! up! to! date! and! reliable! as! an! important!
component!of!the!SIA!process.!!
6.2.4.3 Subatheme'4.3:'Longaterm'involvement'of'practitioners'in'management'and'
monitoring'of'social'impacts'
Participants!stressed!that!social!impacts!must!be!monitored!and!managed!for!the!lifetime!
of!a!project,!but!SIA!practitioners!are!only!involved!at!a!pointDinDtime!at!the!beginning!of!
a!project.!Participants!expressed!their!opinions!about!the!shortDterm!involvement!of!SIA!
practitioners!as!follow:!
!
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“SIA$ can$ only$ add$ value$ if$ mechanisms$ are$ put$ in$ place$ to$ oversee$ the$
mitigation$measures$and$the$Monitoring$and$Evaluation$Plan.$In$most$cases$it$
is$only$a$compulsory$exercise$to$comply$with$legislation.$“$
“The$social$specialist$should$have$the$opportunity$to$review$the$EMP$to$ensure$
that$ social$ mitigation$ measures$ are$ addressed$ effectively,$ not$ only$ during$
construction$ but$ also$ most$ notably$ during$ operation$ as$ there$ are$ oftentimes$
onXgoing$social$issues$during$operation.”$
The! findings! indicate! that! unless! practitioners! get! involved! in! the! longDterm! the!
management!and!mitigation!of!social!impacts!will!remain!a!weakness,!because!if!there!is!
no!champion!for!implementation!it!is!unlikely!to!happen.!This!also!mean!that!there!will!be!
no!social!development!outcomes.!A!participant!concurred:!
“The$SIA$practitioner$should$be$contacted$as$a$specialist$in$the$planning$phase.$
You$need$at$least$a$year$for$research,$fieldwork$and$the$report.$The$client$that$
will$ implement$ the$ project$ should$ have$ a$ social$ specialist$ to$ implement$ the$
project.$ The$ same$ specialist$ that$ conducted$ the$ SIA$ should$ evaluate$ after$ a$
year$whether$the$decisions$taken$are$implemented.”$$
The!data!show!that!SIA!practitioners!are!of!the!opinion!that!in!order!for!SIA!to!reach!its!
full! potential! to! contribute! to! the! wellbeing! of! communities,! practitioners! need! to! be!
involved!in!all!phases!of!the!project!cycle!and!stay!involved!in!the!long!term.!Long!term!
involvement! of! social! scientists! are! essential! to! ensure! the! social! development! agenda!
stays!at!the!forefront!of!development.!
6.2.5 Theme'5:'Improving'the'practice'of'SIA'
Participants!identified!three!aspects!that!could!improve!the!practice!of!SIA!in!their!view.!
These! aspects! are! discussed! as! subDthemes! in! the! paragraphs! below! and! include!
guidelines!for!SIA,!a!professional!body!and!capacity!building.!!
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!
6.2.5.1 Subatheme'5.1:'Guidelines'for'SIA'to'ensure'a'consistent'approach'amongst'all'
role'players'
The! data! indicated! that! there! is! a! clear! need! for! a! consistent! approach! to! SIA! in! South!
Africa! and! that! guidelines! would! address! this! need.! Participants! concurred! with! the!
following!statements:!
“Guidelines$for$SIA$are$required$to$enable$consistency$and$to$assess$the$quality$
of$work.”$
“Guidelines$ drawing$ on$ collective$ knowledge$ are$ necessary$ to$ regulate$
practice$and$set$standards.$It$is$useful$to$share$knowledge.”$
Participants! indicated! that! the! need! is! not! about! how! to! conduct! SIA,! but! rather! about!
what!should!be!included!in!reports.!The!findings!showed!the!need!to!establish!local!best!
practice.!Participants!were!of!the!opinion!that!review!guidelines!are!also!required,!as!the!
quality!of!SIA!reports!are!highly!variable.!Participants!concurred!with!these!statements:!
“SIA$ can$ be$ improved$ by$ a$ clarification$ of$ glocal$ (global$ and$ local)$ homeX
grown$methodologies$and$a$set$of$guidelines,$principles$and$standards.”$
“Report$ quality$ is$ highly$ varied$ –$ from$ not$ considering$ people$ to$ the$ ‘whole$
army’.”$
“I$ have$ mixed$ opinions$ on$ report$ quality,$ it$ varies,$ from$ carelessness$ to$ high$
quality$information.”$
Participants! stated! that! these! guidelines! should! not! be! too! prescriptive,! but! a!
standardised!approach!that!creates!a!uniform!body!of!knowledge!that!can!be!used!as!a!
basis!to!measure!against!will!advance!the!practice!of!SIA.!Participants!were!of!the!opinion!
that!this!will!ensure!a!consistent!approach!to!SIA.!Although!there!are!existing!guidelines!
for! SIA! in! South! Africa,! they! are! not! universally! applied! and! they! are! euroDcentric.! The!
importance! of! a! standardised! approached! to! SIA! was! summarised! by! participants! as!
follows:!
!
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“There$ is$ definitely$ a$ need$ for$ guidance$ on$ SIA$ as$ it$ will$ create$ standardised$
assessment$and$a$uniform$body$of$knowledge.$It$will$be$something$to$measure$
against.”$
“Formalising$of$the$industry$is$required.$There$is$a$lack$of$understanding$about$
what$ it$ should$ be.$ Guidelines$ are$ essential,$ the$ SIA$ process$ must$ be$
standardised.”$$
Participants!agreed!that!the!creation!of!guidelines!should!be!a!participatory!process!that!
involves! all! the! key! stakeholders,! such! as! impacted! communities,! SIA! practitioners,!
academics,! environmental! scientists/consultants,! NGO’s,! government! and! industry.! The!
data! indicated! that! government! departments! other! than! DEA! and! DMR! should! be!
involved! in! the! review! of! SIA! and! implementation! of! mitigation! measures.! Participants!
commented!in!this!regard:!
“Local$authorities$should$see$opportunities$and$do$something$about$it.”$
“In$ integrated$ development$ projects$ local$ government$ must$ be$ included$ to$
ensure$seamless$integration.”$
The$government$department$involved$depends$on$the$sector$you$are$working$
in.$DEAT$is$not$necessarily$the$appropriate$authority,$they$are$to$bioXphysically$
focussed.”$
Participants! deemed! guidelines! a! better! solution! than! regulations,! as! they! were! of! the!
opinion!that!it!allows!for!more!creativity!in!the!approach!to!SIA.!The!data!indicated!that!
guidelines!would!promote!independence!of!SIA!practitioners!and!enhance!the!practice!of!
SIA.!
6.2.5.2 Subatheme'5.2:'Professional'body'for'SIA'practitioners'
The! findings! show! that! ways! of! ensuring! more! effective! SIA! are! related! to! the! lack! of! a!
professional! body.! Participants! indicated! that! aspects! for! which! a! professional! body!
usually!take!responsibility!are!lacking!in!SIA!practice!in!South!Africa.!These!aspects!include!
a! code! of! practice,! registration! of! practitioners,! SIA! guidelines,! databases! of! relevant!
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!
information,! awareness! creation! and! local! best! practice! standards.! Participants!
underpinned!the!need!for!a!professional!body!with!the!following!statements:!
“A$ formal$ institution$ or$ board$ should$ be$ established$ to$ regulate$ all$ SIA$
practitioners.$ More$ formal$ and$ structured$ courses$ or$ diplomas$ should$ be$
developed$and$presented.”$
“At$the$moment$everybody$is$just$doing$their$own$thing$without$any$clear$cut$
guidelines$to$follow.$This$is$not$due$to$their$own$inability,$but$due$to$the$fact$
that$there$is$no$regulatory$body$or$institution$to$guide$them.”$
The!findings!concur!that!a!professional!body!will!benefit!the!SIA!field.!A!professional!body!
will! ensure! that! minimum! guidelines! for! best! practice! are! prescribed.! It! is! important! to!
distinguish!between!a!professional!association!that!could!advance!the!practice!of!SIA!on!a!
voluntary! basis! and! a! statutory! body! that! could! regulate! SIA! practice! from! a! legal!
perspective.! The! data! indicates! that! although! practitioners! identified! a! need! for! a!
professional! body,! practicalities! around! the! nature! of! such! a! body! would! need! to! be!
considered!in!more!detail.!$
6.2.5.3 Subatheme'5.3:'Capacity'building'amongst'all'role'players'
Participants! pointed! out! that! there! are! few! training! opportunities! for! SIA! consultants! in!
South!Africa.!Formal!training!for!SIA!consultants!by!recognised!experts!in!the!field!or!at!
credible! academic! institutions! will! contribute! to! developing! the! capacity! of! consultants.!
Participants!indicated!that!training!opportunities!must!be!extended!to!authorities!and!EIA!
consultants.!!
“SIA$ can$ be$ improved$ if$ more$ people$ get$ a$ better$ understanding$ of$ best$
practice$ options$ and$ methodologies.$ General$ awareness$ must$ also$ be$ raised$
amongst$the$project$proponent$and$project$managers.”$
“Institutionalised$ training$ by$ experienced$ practitioners$ and$ registration$ at$ a$
national$body$will$improve$the$way$of$doing$SIA$in$South$Africa.”$
!
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Local!research!in!the!SIA!field!will!contribute!to!the!understanding!of!the!challenges!that!
SIA! practitioners! experience,! and! therefore! assist! with! developing! the! skills! required! to!
ensure!effective!SIA.!!
In! summary,! this! section! identified! aspects! that! can! increase! the! effectiveness! of! SIA! in!
general,! as! well! as! aspects! to! consider! when! investigating! SIA! practice! with! the! view! to!
use!it!as!a!tool!for!social!development.!!
6.2.6 Summary'of'qualitative'findings'
This!section!presents!a!brief!summary!of!the!findings!of!the!qualitative!study,!based!on!
the!information!gathered!from!the!participants.!!
The! findings! indicate! that! SIA! should! be! used! in! a! strategic! manner! to! optimise! its!
effectiveness,!as!using!it!only!on!a!project!level!limits!its!usefulness.!Participants!concur!
that!SIA!must!feed!into!planning!and!local!economic!development!processes,!which!is!in!
line!with!social!development!thinking.!In!this!way!SIA!can!be!used!as!a!planning!tool!to!
ensure! sustainable! outcomes! and! to! link! projects! with! existing! initiatives,! ensuring! long!
term! social! development! outcomes.! The! findings! confirm! that! SIA! plays! a! role! in! the!
decisionDmaking!processes!of!authorities,!communities!and!industry,!but!also!show!that!it!
can! potentially! add! more! value.! The! data! shows! that! local! government! is! seen! as! a! key!
role!player!in!the!SIA!process,!but!that!there!is!a!lack!of!capacity!in!municipal!structures!to!
engage!with!SIA.!!!
The!findings!indicate!that!the!current!authorisation!system!located!in!the!Department!of!
Environmental!Affairs!are!not!adequate!to!address!social!impacts,!as!implementation!of!
mitigation! measures! for! social! impacts! requires! the! input! from! multiple! stakeholders,!
including! the! active! involvement! of! communities.! The! data! show! that! mitigation,!
monitoring!and!evaluation!of!social!impacts!are!critically!important,!but!are!a!significant!
weakness!of!SIA,!as!there!is!a!lack!of!enforcement!of!social!mitigation.!!
The!findings!demonstrate!that!community!relations!and!participation!are!key!motivations!
to! conduct! SIA,! and! that! SIA! plays! an! important! role! in! enabling! communities! to!
contribute!to!planning!processes.!The!right!to!self!determination!is!a!basic!human!right!
(Constitution!of!the!Republic!of!South!Africa,!1996),!therefore!SIA!is!instrumental!in!the!
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!
protection! of! some! rights.! The! data! shows! that! SIA! can! be! an! entry! point! into! the!
community.!The!findings!indicate!that!SIA!should!involve!communities!from!grassroots!to!
leadership!level,!and!that!SIA!is!an!advocate!for!the!voiceless.!Participants!concur!that!SIA!
could! play! an! important! role! as! bridging! capital! between! proponents,! government! and!
communities.!These!findings!point!towards!a!potential!for!SIA!to!be!useful!as!a!tool!for!
social! development.! The! data! shows! that! SIA! is! a! tool! that! benefits! both! business! and!
society.!
The!findings!point!out!that!SIA!assists!developers!to!comply!with!legal!requirements,!but!
ends! up! being! little! more! than! a! rubberDstamping! process.! Participants! concur! that!
industry!undermines!SIA!in!this!way,!and!that!proponents!do!not!take!ownership!of!social!
management! plans.! The! findings! indicate! that! the! business! objectives! of! meeting! the!
minimum!requirements!and!the!SIA!objectives!of!meeting!international!best!practice!and!
protecting!the!interest!of!the!community!are!often!in!direct!competition!with!each!other.!!
The!data!indicate!that!the!limited!time!and!budget!for!SIA!studies!are!concerns.!In!order!
to! add! more! value! and! contribute! to! the! development! agendas! of! the! country! it! is!
imperative!that!SIA!practitioners!are!involved!in!projects!in!the!longDterm!and!not!only!as!
part!of!a!onceDoff!SIA!process.!
The! findings! demonstrate! that! communication! amongst! different! roleDplayers! is!
problematic!and!results!in!challenges!such!as!role!confusion,!timing!issues,!misuse!of!SIA,!
misinterpretation!of!scope!and!a!lack!of!integration!between!different!disciplines!that!can!
be!avoided.!!
The! data! show! that! a! regulatory! body! representing! various! disciplines! and! government!
departments! should! be! considered! to! regulate! SIA.! Participants! concur! that! SIA!
practitioners! need! a! professional! body! that! can! look! after! their! interests,! advance! the!
practice! of! SIA,! and! provide! training! and! professional! development! opportunities! for!
practitioners.!
The!findings!revealed!insight!into!the!current!SIA!practice!and!identified!challenges!that!
participants! experience! in! the! field.! The! findings! indicate! that! there! are! connections!
between!the!current!practice!of!SIA!and!social!development.!These!connections!include!
!
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the!promotion!of!people’s!wellbeing,!the!requirement!of!input!from!different!role!players!
to! achieve! sustainable! social! development! outcomes,! the! link! between! social! impact!
assessment!and!economic!development,!the!multifaceted!processes!involved!in!SIA,!and!
its! dynamic! and! progressive! nature! (Midgley,! 2014:13D17).! The! findings! provide! some!
insight!in!the!subDresearch!questions!regarding!the!extent!to!which!the!SIA!methodology!
currently! practiced! in! South! Africa! reflects! social! development,! and! whether! guidelines!
for!SIA!practitioners!could!assist!with!achieving!social!development!outcomes.!
The! quantitative! study! aimed! to! investigate! whether! the! interrelationship! between! SIA!
and!social!development!that!transpired!in!the!qualitative!study!is!reflected!in!SIA!reports.!
The!next!section!of!the!report!focuses!on!the!results!of!the!quantitative!study.!
6.3 Quantitative'study:'Inclusion'of'social'development'aspects'in'SIA'
reports'
This!section!contains!the!results!of!the!quantitative!research,!which!analyses!whether!SIA!
reports!include!aspects!of!social!development.!SIA!reports!are!the!outcome!of!SIA!studies,!
and! the! researcher! identified! them! as! an! appropriate! dataset! (see! Chapter! 5,! Section!
5.6.1.2)! for! this! analysis.! Three! main! themes! concerning! the! practice! of! SIA! were!
identified,!and!questions!associated!with!social!development!outcomes!were!formulated!
under!each!theme,!using!information!obtained!from!the!literature!study!(see!Chapter!5,!
Section! 5.6.2.2! for! a! detailed! discussion).! The! data! was! obtained! by! using! a! checklist! to!
establish!whether!the!questions!were!addressed!in!fifteen!SIA!reports.!!
First,!the!sample!for!the!study!will!be!described!and!this!is!followed!with!a!presentation!
of!the!findings!according!to!the!three!themes!and!the!underlying!questions.!The!answers!
to!the!questions!under!each!theme!are!then!analysed!by!means!of!a!Guttmann!scale.!The!
section!concludes!with!a!summary!of!the!quantitative!findings.!
6.3.1 Description'of'the'quantitative'sample''
SIA! reports! are! in! the! public! domain,! and! fifteen! SIA! reports! that! were! done! in! South!
Africa! between! 2008! and! 2014! were! reviewed.! The! date! filter! used! for! selecting! the!
reports! aimed! at! ensuring! that! the! data! reflects! the! current! practice.! The! reports! were!
identified!via!an!internet!search!and!by!directly!approaching!practitioners!and!requesting!
reports.! All! the! reports! that! could! be! acquired! in! this! manner! were! used! in! the! study!
P a g e !|!180!
!
indicating! that! the! sample! represents! the! population! of! available! reports.! The! shortest!
report! was! 63! pages! and! the! longest! 225! pages,! with! an! average! of! approximately! 110!
pages!per!report.!The!length!of!the!report!often!reflected!the!complexity!of!the!project!
that!was!assessed.!Eight!different!practitioners!produced!the!reports!that!were!selected!
for!analysis.!Some!reports!had!more!than!one!author.!!
In! the! following! section! the! qualifications! of! the! authors! will! be! presented.! This! is!
followed! by! a! presentation! on! the! sector! where! the! study! was! conducted.! The! section!
concludes!with!a!discussion!on!the!geography!of!the!studies.!
6.3.1.1 Qualifications'of'authors''
The! authors! of! the! studies! all! have! postDgraduate! qualifications.! Six! (75%)! of! these!
practitioners! have! a! masters! degree,! one! (12.5%)! a! PhD! and! one! (12.5%)! an! honours!
degree.!Four!(50%)!of!the!masters!degrees!were!obtained!in!the!social!science!field,!and!
two! (25%)! in! the! environmental! field.! The! PhD! and! honours! degree! are! both! social!
science! degrees.! Figure! 6.1! indicates! the! authors’! qualifications! of! the! reviewed! SIA!
studies.!!
Qualificahons'of'authors'
1!
1!
Social!Science!Honours!degree!!
2!
Environmental!Masters!degree!
Social!Science!Masters!degree!
Social!Science!Doctoral!degree!
4!
!
Figure'6.1:'Authors’'qualifications'of'the'reviewed'SIA'studies'
!
P a g e !|!181!
The!majority!of!practitioners!have!social!science!qualifications,!which!gives!them!a!basis!
to! better! understand! social! development! aspects.! SIA! practitioners! are! highly! qualified!
professional! people! in! various! disciplines! and! this! should! give! credibility! to! the!
occupation,!but!as!the!findings!of!the!qualitative!study!indicate!the!lack!of!a!professional!
registration! body,! guidelines! and! specific! training! undermines! the! credibility! of! the! SIA,!
despite!practitioners’!qualifications!in!their!respective!disciplines.!!
6.3.1.2 Sector'in'which'the'study'was'conducted'
SIA! is! conducted! in! different! sectors.! The! mining! sector! includes! all! mining! related!
activities,! including! prospecting.! Studies! in! the! energy! field! include! renewable! energy,!
nuclear! energy! and! coal.! Infrastructure! development! refers! to! infrastructure! such! as!
power!lines,!dams,!pipelines!and!factories.!Commercial!development!consists!of!housing!
developments,! shopping! malls,! golf! courses! and! other! commercial! activities.! Each! of!
these! sectors! has! different! activities! associated! with! the! sector,! and! therefore! different!
social!impacts!occur.!Figure!6.2!represent!the!sectors!in!which!the!reviewed!SIA!reports!
were!conducted:!!
Sector'study'was'conducted'in'
2!
6!
Mining!
Energy!
Infrastructure!development!
Commercial!development!
5!
2!
Figure'6.2:'Sectors'in'which'the'reviewed'SIA'studies'were'located'
P a g e !|!182!
!
!
Six!(40%)!of!the!reports!were!done!in!the!mining!industry,!two!(13%)!in!the!energy!sector,!
five!(33%)!was!concerned!with!infrastructure!development!and!two!(13%)!were!done!on!
commercial!developments.!This!represents!a!fair!sample!of!the!industries!that!uses!SIA.!!
6.3.1.3 Geography'of'studies''
There!are!nine!provinces!in!South!Africa.!The!studies!reviewed!for!the!thesis!covered!four!
of!the!nine!provinces.!Six!(40%)!of!the!studies!were!conducted!in!the!Western!Cape,!four!
(27%)!in!Mpumalanga,!three!(20%)!in!Limpopo,!and!two!(13%)!in!KwaZuluDNatal.!Figure!
6.3!presents!the!geography!of!the!studies!that!was!used!in!the!quantitative!research.!!
Geography'of'studies'
3!
6!
Western!Cape!
Mpumalanga!
2!
KwaZuluDNatal!
Limpopo!
4!
!
Figure'6.3:'Geographic'location'of'the'reviewed'SIA'studies'
Although! all! provinces! in! South! Africa! have! not! been! covered! by! the! studies,! the! four!
provinces!include!the!Western!Cape,!which!is!one!of!the!economic!hubs!of!the!country,!
and! Limpopo,! which! is! one! of! the! poorest! provinces.! In! addition,! Mpumalanga! is!
experiencing! high! levels! of! development! associated! with! mining! and! energy,! and!
KwaZuluDNatal!has!vast!areas!under!traditional!rule.!The!sample!can!therefore!be!seen!as!
representative! in! terms! of! the! socioDeconomic! challenges! associated! with! areas! of! high!
levels!of!development!and!poverty.!!
!
P a g e !|!183!
6.3.2 Presentation'of'findings'
Three! main! themes! for! analysing! the! link! between! SIA! and! social! development! were!
identified! through! the! literature! review.! The! three! themes! are! related! to! the! current!
practice!of!SIA.!The!first!theme!is!concerned!with!the!legal!and!institutional!mandate!for!
SIA,! the! second! theme! investigates! aspects! in! the! SIA! study! that! could! promote! social!
development!and!the!last!theme!examines!whether!the!recommendations!in!the!report!
go! beyond! the! minimum! requirements! for! mitigation! and! monitoring! to! outcomes! that!
will! result! in! social! development.! Under! each! theme,! a! number! of! questions! related! to!
social! development! were! formulated! to! establish! to! what! extent! social! development!
outcomes!are!considered!in!the!reports.!The!themes!and!questions!are!discussed!in!more!
detail!in!the!paragraphs!below.!
Theme'1:'Legal'and'institutional'mandate'for'social'development'in'SIA'
In! the! literature! chapters! (See! Chapters! 2,! 3! and! 4)! it! was! established! that! the!
environmental! legislation! in! South! Africa! provides! SIA! practitioners! with! a! mandate! for!
social!development!outcomes.!A!number!of!national!and!international!governance!tools!
and! standards! support! this! legal! mandate.! Seven! questions! related! to! the! legal! and!
institutional!mandate!of!SIA!and!the!theoretical!framework!including!social!development!
practice,! human! rights! and! equality! were! formulated! to! establish! whether! practitioners!
acknowledge! and! include! this! legal! and! institutional! mandate! in! their! reports.! The!
questions!under!Theme!1!were!the!following:!
o Is!there!background!information!on!the!relevant!legislation!in!the!report?!
o Is!there!reference!to!international!standards?!
o Is!there!reference!to!local!guidelines?!
o Are!human!rights!considered?!
o Are!there!any!social,!environmental!or!restorative!justice!issues?!
o Does!the!report!make!use!of!an!explicit!methodology?!
o Are! there! any! equity! issues?! (Who! pays! the! price! versus! who! gets! the!
benefits?)!
P a g e !|!184!
!
Theme'2:'SIA'as'a'tool'for'social'development'
The!study!used!social!development!as!part!of!the!theoretical!framework.!There!are!key!
aspects! associated! with! social! development,! as! discussed! in! Chapter! 2.! Theme! 2!
investigated! whether! these! aspects! are! currently! present! in! SIA! practice.! Fifteen!
questions!related!to!key!aspects!associated!with!social!development!were!formulated!to!
establish!whether!SIA!practitioners!consider!these!aspects!in!their!reports.!The!questions!
under!Theme!2!were!as!follow:!
o Was!a!participatory!process!followed?!
o Was!the!process!inclusive?!
o Is!the!wellbeing!of!the!entire!population!considered!and!promoted?!
o Do!mitigation!measures!discourage!dependency!on!proponent?!
o Do!mitigation!measures!promote!active!involvement!of!people?!
o Is!a!multiDsector!approach!to!mitigation!promoted?!
o Are!any!partnerships!between!civil!society,!government!and!private!sector!
suggested?!
o Do!mitigation!measures!require!cooperation!between!several!roleDplayers?!
o Will!mitigation!increase!capabilities!and!productivity!of!people?!
o Are!impacts!on!family!stability!mitigated?!
o Is!mitigation!on!social!service!organisations!included?!
o Will!the!outcomes!be!projectDneutral?!
o Will!mitigation!contribute!to!poverty!alleviation?!
o Does!mitigation!address!inequality!issues?!
o Will!there!be!inDmigration?!
'
!
'
P a g e !|!185!
Theme'3:'Going'beyond'minimum'requirements'for'mitigation'and'monitoring'towards'
social'development'outcomes''
The! last! theme! investigated! whether! the! reports! made! recommendations! for! the!
mitigation!and!monitoring!of!social!impacts!that!go!beyond!the!minimum!requirements!
for!SIA,!and!whether!these!recommendations!could!possibly!lead!to!social!development!
outcomes.!The!twelve!questions!formulated!under!this!theme!were!concerned!with!social!
development! outcomes! in! the! longer! term,! but! also! touched! on! SIA! international! best!
practice!that!originated!from!a!human!rights!approach,!since!human!rights!formed!part!of!
the! theoretical! framework! and! is! intrinsic! in! social! development.! The! questions!
formulated!under!Theme!3!were:!!
o Is!the!mitigation!specific!to!the!South!African!context?!
o Is!monitoring!of!mitigation!measures!suggested?!
o Who!is!proposed!as!the!funder!of!onDgoing!monitoring?!
o Are!impact!benefit!agreements!(IBA)!proposed?!
o Is!there!any!reference!to!Free,!Prior,!Informed!Consent!(FPIC)?!
o Are!there!any!proposals!for!economic!development!processes?!
o Will!the!outcomes!enhance!the!social!environment?!
o Are! the! affected! communities! involved! in! the! execution! of! the! mitigation!
measures?!
o Do! mitigation! measures! contribute! to! the! social! protection! floor! via!
suggestions!regarding!creation!of!employment?!
o Do! mitigation! measures! contribute! to! the! social! protection! floor! via!
suggestions!regarding!contributing!to!education/skills!development?!
o Do! mitigation! measures! contribute! to! the! social! protection! floor! via!
potential!establishment!of!infrastructure?!
o Are!regional!development!issues!considered!in!the!study?!!
P a g e !|!186!
!
The! findings! under! each! of! the! themes! will! first! be! presented! in! Sections! 6.3.2.1! to!
6.3.2.3.!The!Guttmann!scale!analysis!of!the!findings!will!follow!and!is!discussed!in!Section!
6.3.3!below.!
6.3.2.1 Theme'1:'Legal'and'institutional'mandate'for'social'development'in'SIA'
The! seven! questions! identified! for! data! analysis! of! this! theme! are! presented! in! Section!
6.3.2! above! and! relate! to! relevant! legislation,! international! standards,! local! guidelines,!
human! rights,! social,! environmental! or! restorative! justice,! explicit! methodology! and!
equity! issues.! The! following! Figure! 6.4! presents! the! findings! of! the! first! theme! dealing!
with!the!legal!and!institutional!mandate!for!SIA.!!
Legal'and'inshtuhonal'mandate'
16!
15!
15!
15!
14!
Number'of'studies'
12!
10!
10!
8!
8!
6!
4!
4!
2!
2!
0!
!Relevant!
legisla|on!
!Interna|onal! Local!guidelines! Human!rights!
Social,!
Explicit!
standards!
environmental! methodology!
or!restora|ve!
jus|ce!
Equity!issues!
Figure'6.4:''Analysis'of'legal'and'institutional'mandate'coverage'in'SIA'reports'
Only!two!(13%)!reports!considered!human!rights.!This!might!be!because!the!protection!of!
human! rights! is! a! core! value! of! SIA! (Vanclay,! 2003:6)! and! practitioners! view! it! as! an!
inherent! part! of! the! process.! Despite! the! lack! of! mention! of! human! rights,! social,!
!
P a g e !|!187!
!
environmental!and!restorative!justice!were!considered!in!all!the!reports,!which!indicates!
that!practitioners!work!from!a!specific!valueDsystem,!even!if!it!is!not!made!explicit.!!
The!four!(27%)!studies!that!refer!to!international!standards!were!all!done!in!the!mining!
industry,! an! industry! that! often! depends! on! foreign! funders.! Funding! from! an!
organisation!such!as!the!IFC!are!subjected!to!compliance!with!the!performance!standards!
for!environmental!and! social! sustainability! (IFC,! 2012:2)! and! therefore! it! is! seen! as! best!
practice! to! address! these! requirements! in! any! project! that! may! rely! on! funding! from!
external!parties!or!stakeholders!in!future.!!
As! established! in! Chapter! 3,! there! is! no! specific! legislation! that! requires! SIA! to! be!
conducted,! except! in! the! mining! industry.! All! six! (40%)! studies! conducted! in! the! mining!
industry!referred!to!relevant!legislation.!The!remaining!four!(27%)!studies!that!referred!to!
legislation! were! done! in! the! infrastructure! sector! (2,! 13%),! energy! sector! (1,! 7%)! and!
commercial!sector!(1,!7%).!Where!more!than!one!report!from!a!specific!practitioner!was!
used!the!data!indicated!that!two!practitioners!consistently!referred!to!legislation!and!two!
others!referred!to!legislation!in!the!case!of!mining,!but!not!in!the!case!of!other!projects.!
This! can! potentially! be! attributed! to! the! clearer! guidance! about! SIA! in! the! mining!
industry.!
Just!more!than!half!of!the!studies!(8,!53%)!referred!to!local!guidelines.!Half!of!the!mining,!
infrastructure! and! commercial! studies! and! all! the! energy! studies! referred! to! local!
guidelines.! The! local! guidelines! that! are! currently! available! in! South! Africa! are! SocioX
economic$ Impact$ Assessment:$ Integrated$ Environmental$ Management$ Series$ 22! (DEAT,!
2006)!and!Guideline$for$involving$Social$Assessment$Specialists$in$EIA$Processes!(Provincial!
Government! Western! Cape:! Department! of! Environmental! Affairs! and! Development!
Planning,!2007).!!
All! of! the! studies! make! use! of! an! explicit! methodology.! This! confirms! that! SIA!
practitioners! use! scientific! methods! and! produce! replicable! reports.! Equity! issues! were!
considered!in!terms!of!who!will!carry!the!social!cost!of!the!development!versus!who!will!
receive!the!benefits.!Equity!issues!are!addressed!in!all!the!reports,!confirming!SIA’s!role!as!
a!voice!for!the!voiceless!(Barbour,!2007:18).!!
P a g e !|!188!
!
6.3.2.2 Theme'2:'SIA'as'tool'for'social'development'
This!theme!deals!with!aspects!within!SIA!that!can!contribute!to!social!development.!The!
fifteen!questions!formulated!to!analyse!this!aspect!are!presented!in!Section!6.3.2!above,!
and! are! concerned! with! participation,! inclusiveness,! wellbeing! of! the! population,!
dependence! on! the! proponent,! active! involvement! of! people,! multiDsector! approach,!
partnerships,!cooperation!between!roleDplayers,!increase!in!capabilities!and!productivity,!
family! stability,! social! service! organisations,! project! neutral! outcomes,! inequality! issues,!
inDmigration! and! poverty! alleviation.! This! theme! aims! to! identify! aspects! in! the! current!
practice!of!SIA!that!can!potentially!contribute!to!social!development!outcomes,!even!if!it!
is!not!the!primary!purpose!of!SIA.!It!is!important!to!take!note!that!the!SIA!reports!only!
represent! the! recommendations! made! in! the! reports,! as! the! actual! outcomes! of!
implementing! the! recommendations! made! in! the! SIA! have! not! been! measured! for! the!
purpose! of! this! study.! The! following! figure! presents! the! results! of! the! analysis! of! the!
reports!regarding!the!potential!contribution!to!social!development:!
SIA'as'a'tool'for'social'development'
16!
Number'of'studies'
14!
14!
15!
14!
13!
12!
12!
11!
9!
10!
8!
7!
8!
9!
6!
6!
3!
4!
2!
0!
1!
1!
0!
Indicator!
!
Figure'6.5:'SIA'reports'potential'to'be'used'as'a'tool'for'social'development'
!
P a g e !|!189!
None! of! the! studies! took! the! potential! impact! of! the! project! on! social! service!
organisations!into!consideration,!and!only!one!(7%)!report!suggested!mitigation!measures!
to! address! family! stability.! This! may! indicate! that! SIA! practitioners! do! not! view! the!
mitigation!of!these!impacts!as!part!of!the!responsibility!of!the!proponent,!or!simply!that!
they!do!not!think!about!the!potential!of!the!project!to!impact!on!these!aspects.!!
Although!most!studies!followed!participatory!processes,!only!one!(7%)!of!the!studies!was!
clearly! inclusive.! Four! (27%)! were! not! inclusive,! and! it! is! unclear! how! inclusive! the!
remaining!studies!were,!as!it!is!not!made!explicit.!Processes!were!sometimes!not!inclusive!
due! to! external! factors! such! as! availability! of! participants! or! refusal! to! participate.! The!
short! timeframes! allowed! for! SIA! studies! can! also! contribute! to! this,! especially! in! the!
mining! industry! where! there! are! strict! timelines! that! must! be! followed,! or! when! SIA! is!
conducted!late!in!the!process.!!
Only!three!(20%)!of!the!studies!actively!discourage!dependence!on!the!proponent.!In!one!
study!this!question!was!not!relevant,!as!the!nature!of!the!development!did!not!require!
mitigation! measures! that! involve! funding! of! the! proponent! in! the! longDterm.! The!
remaining! eleven! (73%)! studies! suggested! mitigation! measures! that! would! only! be!
successful!as!long!as!the!proponent!funded!it.!!
The! mitigation! measures! suggested! in! six! (40%)! of! the! reports! have! the! potential! to!
contribute!to!poverty!alleviation.!Nine!(60%)!of!the!studies!suggest!mitigation!measures!
that! will! increase! the! capabilities! and! productivity! of! the! people.! Eight! (53%)! of! the!
studies! suggest! mitigation! measures! with! project! neutral! outcomes,! seven! (47%)! of! the!
studies! suggest! mitigation! measures! that! will! result! in! better! than! project! neutral!
outcomes!and!fourteen!(93%)!of!the!studies!considered!the!wellbeing!of!the!population.!
Nine! (60%)! of! the! studies! consider! inequality! issues.! SIA! therefore! has! significant!
potential! to! be! used! as! a! tool! with! social! development! outcomes,! as! these! aspects! are!
already!considered!in!reports.!The!true!impact!will!be!the!way!the!mitigation!measures!
are!implemented,!and!as!can!be!seen!from!the!qualitative!data,!this!remains!a!challenge.!
InDmigration,! one! of! the! processes! associated! with! significant! community! level! impacts,!
was!predicted!in!eleven!(73%)!of!the!studies.!This!indicates!that!when!a!project!requires!
an! SIA,! one! can! expect! significant! longDterm! impacts! in! the! surrounding! communities.!
P a g e !|!190!
!
Given! the! difficulty! in! managing! the! impacts! associated! with! inDmigration,! and! the!
number!of!roleDplayers!required!to!mitigate!these!kind!of!impacts!successfully,!it!is!crucial!
to!realise!that!the!management!of!social!impacts!should!be!done!in!a!strategic!manner.!
The!majority!(14,!93%)!of!the!reports!also!consider!that!SIA!mitigation!cannot!take!place!
in!a!vacuum,!or!be!the!responsibility!of!only!one!party.!In!thirteen!(87%)!of!the!studies!
active! involvement! of! people! (communities)! is! required! to! ensure! the! successful!
implementation! of! the! mitigation! measures.! Twelve! studies! (80%)! encourage! a! multiD
sector! approach! to! mitigation.! In! all! the! studies! cooperation! between! roleDplayers! are!
required! for! successful! mitigation.! However,! partnerships! are! not! universally! suggested,!
as!only!seven!(47%)!of!the!studies!suggest!partnerships!between!government,!civil!society!
and! the! private! sector! as! part! of! the! mitigation! process.! Participation! and! partnerships!
are!key!aspects!of!social!development!and!it!is!encouraging!to!see!that!it!is!considered!in!
some!of!the!studies,!as!it!is!a!potential!area!of!overlap!between!social!development!and!
SIA.!!
6.3.2.3 Theme'3:'Going'beyond'minimum'requirements'for'mitigation'and'monitoring'
towards'social'development'outcomes'
This! theme! investigates! whether! the! recommendations! in! the! studies! go! beyond! the!
minimum! requirements! that! are! acceptable! for! SIA.! Twelve! questions! were! formulated!
(see! Section! 6.3.2)! and! were! concerned! with! RSA! specific! mitigation,! monitoring,! the!
funder! for! mitigation,! IBA,! FPIC,! economic! development,! enhanced! social! development,!
involvement! of! communities,! employment! creation,! skills! development,! contribution! to!
infrastructure!and!regional!development.!In!the!figure!below!the!results!of!the!analysis!of!
the!studies!related!to!going!beyond!minimum!requirements!are!presented.!
!
P a g e !|!191!
!
Going'beyond'minimum'requirements'
16!
15!
14!
13!
11!
12!
9!
10!
11!
10!
11!
7!
8!
6!
4!
Regional!development!
Infrastructure!
Skills!development!
Employment!crea|on!
Involve!communi|es!
Enhance!social!environment!
Economic!development!
Funder!
Monitoring!!
0!
RSA!specific!mi|ga|on!
0!
Indicators!
1!
FPIC!
2!
IBA!
Number'of'studies'
15!
14!
Figure'6.6:'Scope'of'mitigation'in'SIA'reports'
None! of! the! studies! considered! IBA’s,! and! only! one! (7%)! study! considered! FPIC,!
something!currently!included!in!international!best!practice.!This!can!be!attributed!to!the!
legal! requirement! for! Social! and! Labour! Plans! in! the! Mining! Industry,! and! the! South!
African! legislation! that! does! not! make! provision! for! these! practices.! All! the! mitigation!
measures!were!specific!to!the!South!African!context.!!
Eleven!(73%)!of!the!reports!suggested!monitoring!of!mitigation!measures.!One!(7%)!study!
is! not! clear! about! who! should! fund! the! monitoring.! The! remaining! studies! (14,! 93%)! all!
suggest!that!the!proponent!should!fund!the!monitoring,!and!in!five!(33%)!of!the!studies!it!
is!suggested!that!the!local!government!should!act!as!coDfunder.!!
Nine! (60%)! of! the! studies! propose! economic! development! processes.! The! outcomes! of!
ten! (67%)! of! the! studies! will! enhance! the! social! environment.! All! the! studies! consider!
regional!development!issues.!!
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!
!
When!considering!the!potential!of!studies!to!contribute!to!the!social!protection!floor,!it!
seems! as! if! SIA! can! potentially! play! a! significant! role.! Eleven! (73%)! of! the! studies!
contribute! to! the! social! protection! floor! via! employment! creation,! education! or! skills!
development.! Seven! (47%)! of! the! studies! contribute! to! the! social! protection! floor! via!
infrastructure! development.! Although! SIA! is! not! the! right! tool! to! contribute! to! cash!
transfers! or! subsidies,! there! is! a! clear! role! for! SIA! to! contribute! to! basic! services,! as! an!
improvement! in! such! services! is! a! mitigation! of! impacts! in! itself.! Thirteen! (87%)! of! the!
studies!involve!local!communities!in!the!execution!of!mitigation!measures.!
The! data! presented! in! this! section! indicate! that! there! are! clear! strengths! in! the! current!
SIA! practice! in! South! Africa.! Many! reports! consider! and! recommend! aspects! that! go!
beyond!the!minimum!requirements!for!SIA.!The!lack!of!reference!to!some!international!
best!practice!principles!must!be!examined!critically.!There!are!two!possible!explanations.!
The!first!is!that!South!African!SIA!practice!is!not!on!international!standard.!Given!that!the!
information! is! consistently! found! in! South! African! reports,! this! explanation! is! not!
plausible.!The!second!explanation!is!that!the!two!international!standards!are!not!relevant!
in!the!South!African!context,!which!is!more!plausible!when!the!legislative!and!regulatory!
context!is!considered.!!
6.3.3 Guttmann'analysis'of'the'findings'
A! Guttmann! scale! was! used! to! analyse! the! current! status! of! how! social! development!
outcomes!are!considered!in!SIA!practice!in!South!Africa.!The!formulation!of!the!Guttmann!
scale! has! been! discussed! in! Chapter! 5! (Section! 5.6.4.2)! and! the! objective! is! a! two!
dimensional! classification! in! which! traits! are! listed! in! rows! of! a! matrix! and! the! columns!
represent! a! higherDlevel! classification! (Dane,! 1990:334;! Guest,! 2000:247).! The! columns!
each!represent!a!report.!Answers!to!the!thirtyDfour!questions!identified!in!the!literature!
chapters! (see! Section! 6.3.2)! are! the! criteria! that! are! sought! in! each! report.! With! the!
exception! of! two! questions,! dichotomous! questions! were! used! with! the! only! response!
possibility! being! Yes! (1)! or! No! (0).! The! two! questions! that! did! not! have! dichotomous!
answers! related! to! the! party! responsible! for! funding! of! mitigation! measures! and! the!
inclusiveness! of! the! participatory! process,! which! could! not! be! determined! with! a! high!
level! of! certainty.! For! the! purpose! of! the! Guttmann! analysis! only! the! 32! dichotomous!
!
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questions!were!used.!Once!the!matrix!has!been!populated!the!order!of!the!reports!and!
the!order!of!the!questions!was!adjusted!to!reveal!clustered!patterning.!The!objective!was!
to!order!the!reports!and!the!questions!in!such!a!way!that!all!the!yes!(1)!answers!cluster!in!
the!top!left!corner!of!the!matrix!and!the!no!(0)!answers!cluster!in!the!bottom!right!of!the!
matrix.! The! resulting! ordering! of! the! reports! and! questions! reveal! patterns! in! the!
inclusion! of! social! development! aspects! in! SIA.! The! researcher! identified! cut! points! to!
reveal! patterns! that! establish! which! aspects! are! most! often! included! in! the! reports.!
Similarly,! the! approach! identified! clusters! of! issues! that! are! not! addressed,! or! seldom!
addressed,! and! clusters! the! reports! with! these! shortcomings.! A! cut! point! of! 12! out! of!
fifteen!represents!80%!of!the!time,!and!was!used!to!identify!aspects!included!most!often!
in!the!report.!A!cut!point!between!8!(53%)!and!11!(73%)!out!of!15!was!used!to!identify!
aspects!that!were!considered!about!half!of!the!time,!and!a!cut!point!between!one!(7%)!
and!7!(47%)!out!of!15!was!used!to!identify!aspects!that!are!seldom!considered.!The!cut!
points!were!arbitrarily!assigned!at!the!discretion!of!the!researcher,!in!consultation!with!a!
research! expert.! The! Guttmann! scale! presenting! the! responses! to! each! question! is!
presented!in!Table!6.1.!
Table'6.2:'Effectiveness'of'SIA'as'a'development'tool'in'South'African'context'
!
Infrastructure'
Commercial'
Mining'
Infrastructure'
Infrastructure'
Mining'
Infrastructure'
Infrastructure'
Commercial'
SIA'reports'used'in'study'
'Report'number!
10' 2' 12' 3' 7' 14' 13' 8' 6' 15' 9' 5' 1' 11' 4'
Energy'
Questions'
Energy'
Mining'
Mining'
Mining'
Mining'
A' B' C' C' D' A' A' E' F' A' A' G' H' H' F'
!
!
Practitioner'
Do!mitigation!measures!require!cooperation!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
between!several!roleDplayers?!
Are! there! any! social,! environmental! or!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
restorative!justice!issues?!!
Does! the! report! make! use! of! an! explicit!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
methodology?!
Are! there! any! equity! issues?! (Who! pays! the!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
price!vs!who!gets!the!benefits)!
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1!
!
Questions!
SIA'reports'used'in'study!
'Report'number!
!
10! 2! 12! 3! 7! 14! 13! 8! 6! 15! 9! 5! 1! 11! !
Is!regional!development!issues!considered!in!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
the!study?!!
Is!the!mitigation!specific!to!the!South!African!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
context?!
Will!the!outcomes!be!projectDneutral?!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
!Is! the! wellbeing! of! the! entire! population!
1! 1! 1! 0! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1!
considered!and!promoted?!
Was!a!participatory!process!followed?!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 1! 1! 1!
Is! a! multiDsector! approach! to! mitigation!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 1! 1! 0! 0!
promoted?!
Is! monitoring! of! mitigation! measures!
1! 1! 1! 1! 1! 1! 0! 1! 0! 1! 1! 1! 1! 0! 0!
suggested?!
Do! mitigation! measures! promote! active!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 0! 1!
involvement!of!people?!
Are!the!affected!communities!involved!in!the!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 0! 1!
execution!of!the!mitigation!measures?!!
Do! mitigation! measures! contribute! to! the!
social! protection! floor! via! suggestions!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 0! 0! 0!
regarding! contributing! to! education/skills!
development?!
Do! mitigation! measures! contribute! to! the!
social! protection! floor! via! suggestions! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 0! 0! 0!
regarding!creation!of!employment?!
Will! the! outcomes! enhance! the! social!
1! 1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 0! 0! 0! 0!
environment?!
Do! mitigation! measures! contribute! to! the!
social! protection! floor! via! potential! 0! 1! 1! 1! 1! 0! 0! 1! 1! 1! 0! 0! 0! 0! 0!
establishment!of!infrastructure?!
Will!there!be!immigration?!
1! 1! 1! 1! 1! 1! 0! 1! 1! 1! 0! 0! 1! 1! 0!
Is! there! background! information! on! the!
1! 1! 1! 1! 0! 1! 1! 0! 1! 1! 0! 0! 1! 1! 0!
relevant!legislation!in!the!report?!
Does!mitigation!address!inequality!issues?!
1! 1! 1! 1! 1! 1! 1! 0! 1! 1! 0! 0! 0! 0! 0!
Will! mitigation! increase! capabilities! and!
1! 1! 1! 1! 1! 1! 1! 1! 1! 0! 0! 0! 0! 0! 0!
productivity!of!people?!
!
!
!
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Questions!
SIA'reports'used'in'study!
'Report'number!
!
10! 2! 12! 3! 7! 14! 13! 8! 6! 15! 9! 5! 1! 11! !
Are! there! any! proposals! for! economic!
1! 1! 1! 1! 1! 1! 1! 1! 0! 0! 0! 1! 0! 0! 0!
development!processes?!
Is!there!reference!to!local!guidelines?!
1! 0! 0! 0! 1! 1! 1! 0! 0! 1! 1! 1! 1! 0! 0!
Are! any! partnerships! between! civil! society,!
1! 1! 1! 1! 1! 1! 1! 0! 0! 0! 0! 0! 0! 0! 0!
government,!private!sector!suggested?!
Will! mitigation! contribute! to! poverty!
0! 1! 1! 1! 1! 1! 1! 0! 0! 0! 0! 0! 0! 0! 0!
alleviation?!
Is! there! reference!
standards?!
to!
Do! mitigation! measures!
dependency!on!proponent?!
international!
discourage!
1! 1! 1! 1! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0!
1! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 1! 1! !
Are!human!rights!considered?!
0! 0! 0! 1! 0! 0! 0! 0! 0! 0! 0! 0! 1! 0! 0!
Are!impacts!on!family!stability!mitigated?!
0! 0! 0! 0! 0! 0! 0! 0! 0! 1! 0! 0! 0! 0! 0!
Is!there!any!reference!to!FPIC?!
0! 0! 1! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0!
Are!impact!benefit!agreements!proposed?!
0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0!
Is! mitigation! on! social! service! organisations!
0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0! 0!
included?!
6.3.3.1 Aspects'that'are'generally'considered'
A! cut! point! of! 12! (80%)! or! more! yes! (1)! answers! out! of! 15! has! been! identified! as! an!
indication!that!a!certain!aspect!is!generally!considered!in!current!SIA!practice.!Twelve!out!
of!the!32!questions!fell!in!this!category,!namely:!!
o Do!mitigation!measures!require!cooperation!between!several!roleDplayers?!!
o Are!there!any!social,!environmental!or!restorative!justice!issues?!!
o Does!the!report!make!use!of!an!explicit!methodology?!!
o Are! there! any! equity! issues?! (Who! pays! the! price! versus! who! gets! the!
benefits?)!!
o Are!regional!development!issues!considered!in!the!study?!
o Is!the!mitigation!specific!to!the!South!African!context?!!
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!
o Will!the!outcomes!be!projectDneutral?!
o Is!the!wellbeing!of!the!entire!population!considered!and!promoted?!!
o Was!a!participatory!process!followed?!
o Is!a!multiDsector!approach!to!mitigation!promoted?!
o Do!mitigation!measures!promote!active!involvement!of!people?!!
o Are! the! affected! communities! involved! in! the! execution! of! the! mitigation!
measures?!
The! finding! means! that! only! 37,5! %! of! the! 32! questions! that! have! been! identified! are!
consistently!addressed!in!SIA!reports.!!
Social,!environmental!or!restorative!justice!and!equity!issues!are!considered!in!100%!of!
the! studies,! and! this! indicates! that! there! is! a! general! awareness! amongst! practitioners!
about!these!issues.!All!the!reports!(100%)!described!an!explicit!methodology!showing!that!
these! reports! are! consistently! approached! in! a! scientific! manner.! The! three! (9%)!
questions!discussed!in!this!paragraph!refer!to!the!legal!and!institutional!mandate!for!SIA!
(Theme!1).!
Six!(19%)!of!the!32!questions!that!are!generally!considered!refer!to!the!ability!of!SIA!to!be!
used!as!a!tool!for!social!development!(Theme!2).!In!14!(93%)!of!the!reports!SIA!considers!
the!wellbeing!of!the!entire!population!and!follows!a!participatory!process.!Twelve!(80%)!
of!the!reports!indicate!that!mitigation!of!social!impacts!requires!a!multiDsector!approach!
and!cooperation!between!several!roleDplayers!is!a!requirement!of!all!the!studies!(100%).!
The! active! involvement! of! communities! in! the! mitigation! process! is! encouraged! in! 13!
(87%)!of!the!studies.!
All! 15! studies! (100%)! considered! regional! development! issues! and! recommended!
mitigation!specific!to!the!South!African!context.!The!recommendation!to!involve!affected!
communities! in! the! execution! of! the! mitigation! measures! is! present! in! 13! (87%)! of! the!
studies.! The! three! (9%)! questions! discussed! in! this! paragraph! are! concerned! with! going!
beyond!the!minimum!requirements!for!SIA!(Theme!3).!
!
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6.3.3.2 Aspects'that'are'considered'about'half'of'the'time'
The!next!cut!point!represents!aspects!that!are!addressed!between!8!and!11!times!out!of!
15!or!about!half!of!the!time!in!current!SIA!practice.!Ten!(31%)!of!the!32!questions!fall!in!
this!category.!!
Two!(6%)!of!the!ten!questions!are!related!to!the!legal!and!institutional!mandate!for!SIA,!
namely! reference! to! relevant! legislation! and! local! guidelines! (Theme! 1).! Three! (9%)!
questions! referring! to! the! ability! of! SIA! to! be! used! as! a! tool! for! social! development! are!
included! in! about! half! of! the! reports! (Theme! 2).! This! includes! inDmigration,! ability! of!
mitigation! to! increase! capabilities! and! productivity! of! people! and! whether! mitigation!
address!inequality!issues.!
The!remaining!five!(16%)!questions!that!are!answered!about!half!of!the!time!are!related!
to! the! ability! of! SIA! to! go! beyond! the! minimum! requirements! for! mitigation! and!
monitoring!(Theme!3)!and!include!reference!to!the!contribution!of!the!social!protection!
floor!via!skills!development,!employment!creation,!outcomes!that!will!enhance!the!social!
environment,! proposals! for! economic! development! processes! and! the! monitoring! of!
mitigation!measures.!!
Only! 11! (73%)! reports! refers! to! the! monitoring! of! mitigation! measures,! which! confirms!
the!findings!of!the!qualitative!part!of!the!study!that!indicates!that!it!is!a!shortcoming!in!
the! SIA! process.! Outcomes! of! mitigation! that! enhance! the! social! environment! are! also!
only! present! approximately! half! of! the! time.! It! is! significant! that! 11! (73%)! SIA! reports!
recommend!mitigation!measures!that!can!contribute!to!the!social!protection!floor,!even!if!
they! may! not! be! familiar! with! the! concept! or! social! development! literature.! Mitigation!
measures! regarding! creation! of! employment! and! measures! that! contribute! to!
education/skills! development! are! such! recommendations.! Proposals! for! economic!
development!processes!can!potentially!contribute!to!social!development!outcomes!and!it!
is!encouraging!to!see!this!recommendation!in!nine!(60%)!of!the!SIA!reports.!!
!
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'
!
6.3.3.3 Aspects'that'are'seldom'or'never'considered'
A!cut!point!between!1!and!7!was!used!to!identify!aspects!that!are!seldom!considered!in!
SIA!reports.!Seven!questions!(22%)!fall!within!this!category.!International!standards!were!
considered! in! five! (16%)! reports! and! human! rights! were! only! considered! in! two! (4%)!
reports.!These!two!questions!relate!to!the!legal!and!institutional!mandate!for!SIA!(Theme!
1).!!
Four! of! the! questions! (13%)! that! were! seldom! considered,! namely! impacts! on! family!
stability,! discouragement! of! dependency,! partnerships! and! poverty! alleviation,! are!
related! to! the! ability! of! SIA! to! be! used! as! a! tool! for! social! development! (Theme! 2).!
Mitigation!measures!that!discourage!dependency!on!the!proponent!fall!in!this!category,!
and! it! was! mentioned! in! only! three! (20%)! of! the! studies.! Partnerships! between! civil!
society,!the!government!and!the!private!sector!are!recommended!in!seven!(47%)!of!the!
studies.!Mitigation!that!contributes!to!poverty!alleviation!was!present!in!six!(40%)!of!the!
reports!and!it!means!that!there!is!at!least!some!level!of!awareness!amongst!practitioners.!!
The! question! regarding! recommendations! of! mitigation! measures! that! involve! the!
establishment! of! infrastructure! was! addressed! in! seven! (47%)! studies.! Interestingly,! all!
these!studies!were!not!in!the!mining!industry!as!expected!due!to!the!requirements!of!the!
SLP,!but!included!studies!in!the!energy!and!infrastructure!fields.!FPIC!was!considered!in!
only! one! report! (3%).! These! are! the! only! two! questions! under! the! “going! beyond! SIA”!
theme! (Theme! 3)! that! are! seldom! considered.! In! addition,! the! two! (6%)! questions! that!
were!not!considered!in!any!of!the!reports,!namely!the!potential!impact!that!a!project!may!
have!on!social!service!organisations!and!the!international!best!practice!principle!of!IBA,!
also! form! part! of! the! theme! related! to! the! ability! of! SIA! to! go! beyond! the! minimum!
requirements!for!mitigation!and!monitoring!(Theme!3).!!
The!percentage!of!all!the!questions!considered!in!each!report!was!also!determined.!These!
percentages!varied!from!35%!to!78%.!This!means!that!none!of!the!reports!considered!all!
the! questions,! and! the! highest! score! is! only! 78%,! which! means! that! seven! (22%)! of! the!
questions! are! not! addressed! even! in! the! most! comprehensive! reports.! The! variance!
between! reports! is! one! of! the! most! significant! findings! that! can! be! made! from! the!
!
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analysis,! clearly! indicating! the! lack! of! standards! in! the! SIA! field! as! identified! in! the!
qualitative!study.!
6.3.4 Summary'of'quantitative'findings''
This!section!presents!a!brief!summary!of!the!findings!of!the!quantitative!study,!based!on!
the!information!gathered!from!the!reports.!!
The!findings!indicate!that!some!social!development!aspects!are!considered!in!SIA,!but!not!
in! a! structured! or! consistent! manner.! Economic! development! processes! and! poverty!
alleviation!are!important!aspects!to!consider!in!social!development!and!form!part!of!the!
SIA! recommendations.! The! findings! indicate! that! SIA! has! the! potential! to! contribute! to!
the!social!protection!floor,!especially!through!the!contributions!of!the!energy!and!mining!
sectors!to!skills!development,!job!creation!and!economic!development!initiatives.!
In! line! with! social! development! theory,! the! findings! demonstrate! that! the! mitigation! of!
social! impacts! must! involve! multiple! stakeholders,! including! communities! in! the!
implementation! of! mitigation! measures.! Despite! this,! partnerships! are! seldom!
recommended! as! part! of! SIA! mitigation,! and! independence! from! the! proponent! is! not!
promoted.! The! findings! show! that! SIA! practitioners! could! do! more! to! ensure! that!
proponents! are! accountable,! as! the! requirements! for! monitoring! and! management! of!
social!impacts!in!the!reports!occur!at!low!levels.!The!reports!are!clear!on!the!“what!to!do”!
aspects!of!mitigation,!but!less!clear!on!the!“how!to!do!it”!recommendations.!!
The!findings!indicate!that!the!minimum!legal!standards!are!addressed!in!SIA!reports,!but!
international! standards! and! local! guidelines! are! weakly! addressed.! The! data! show! that!
although! social,! environmental! and! restorative! justice! and! equity! issues! are! important!
considerations!in!SIA,!human!rights!are!seldom!addressed!in!SIA!reports.!!
The! findings! demonstrate! that! there! is! no! consistency! in! methodology! or! basic! report!
content! amongst! the! studies,! even! if! the! same! author! wrote! the! report.! Although!
communities! should! be! approached! individually,! standardised! basic! reporting! will! allow!
for!comparative!analysis!and!contribute!to!the!development!of!a!body!of!knowledge.!As!
the!findings!of!the!qualitative!study!indicated,!the!SIA!industry!will!benefit!from!a!definite!
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!
structure! and! guidance,! which! will! result! in! greater! consistency! in! reporting! and!
outcomes.!!
The! findings! confirm! that! there! is! an! interrelationship! between! SIA! and! social!
development.!This!interrelationship!will!be!discussed!further!in!Chapter!7.!!!
6.4 Summary''
This! chapter! presented! the! findings! of! the! qualitative! and! quantitative! research!
conducted! to! inform! this! study.! The! findings! of! the! quantitative! study! align! with! the!
findings! of! the! qualitative! study,! and! the! aspects! highlighted! under! each! of! the! themes!
support! and! compliment! the! qualitative! findings.! By! using! triangulation! the! information!
obtained!in!the!quantitative!and!qualitative!study!was!used!to!build!a!logical!explanation!
for! the! identification! of! the! common! themes! (Creswell,! 2014:201).! The! themes! are!
presented!and!discussed!in!Chapter!7.!
!
!
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Chapter'7. Discussion'of'empirical'findings'
7.1 Introduction'
The! results! of! the! empirical! study! were! presented! and! analysed! in! Chapter! 6.! Based! on!
the!analysis!of!the!qualitative!and!quantitative!data,!five!predominant!themes!capturing!
the! key! findings! of! the! study! were! identified.! The! aim! of! this! chapter! is! to! discuss! and!
integrate! the! findings! of! the! study! with! the! literature! and! within! the! theoretical!
framework!of!the!study.!The!key!findings!on!each!theme!will!be!discussed!under!related!
subDcategories! and! integrated! with! relevant! literature.! The! chapter! concludes! with! a!
summary!of!the!discussion.!!
7.2 Discussion'of'themes'
In!alignment!with!the!research!question!of!the!study,!the!five!common!themes!that!will!
form! the! basis! of! the! discussion! of! the! empirical! findings! are! directed! at! responding! to!
whether!SIA!can!be!used!as!a!tool!for!social!development.!In!the!pursuing!discussion!the!
respective!themes!will!be!briefly!introduced,!followed!by!a!discussion!of!the!underpinning!
key!findings!as!integrated!with!relevant!literature.!
7.2.1 Theme'1:'The'potential'of'SIA'to'contribute'to'social'development'outcomes'
Theme!1!examines!the!potential!contribution!of!SIA!to!social!development!outcomes.!The!
literature,! as! well! as! the! qualitative! and! quantitative! results,! confirm! that! there! is!
potential!for!SIA!to!contribute!to!social!development.!The!potential!is!highlighted!in!the!
findings!on!SIA!practitioners’!understanding!of!social!development;!existing!contributions!
that!SIA!make!to!social!development;!and!how!SIA!can!be!used!more!effectively!to!ensure!
it!contributes!to!social!development!outcomes.!!
7.2.1.1 SIA'practitioners’'understanding'of'social'development'
The! results! of! the! quantitative! study! indicate! that! SIA! reports! do! consider! social!
development! outcomes,! but! not! in! a! structured! manner.! This! can! be! attributed! to!
participants’!understanding!of!the!meaning!of!the!term!social!development.!The!majority!
of! participants! that! were! interviewed! as! part! of! the! qualitative! study! indicated! that! SIA!
can! and! should! be! used! as! a! tool! for! both! sustainable! development! and! social!
development.!When!interrogating!their!responses,!it!was!clear!that!most!of!them!did!not!
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distinguish!between!social!development!and!sustainable!development.!Most!participants!
viewed! social! development! as! one! of! the! three! pillars! of! sustainable! development.!
Although!there!is!inherently!no!problem!with!this!view,!it!may!present!a!narrow!definition!
of!social!development.!This!is!highlighted!when!considering!the!defintions!of!sustainable!
development! and! social! development! as! it! is! understood! in! this! thesis.! Sustainable!
development! is! defined! as! development! that! meets! the! needs! of! the! present! without!
compromising! the! ability! of! future! generations! to! meet! their! own! needs! (World!
Commission! on! Environment! and! Development,! 1987:24).! The! ideal! balance! between!
future! and! present! needs! rests! on! three! pillars! –! social! development,! economic!
development!and!environmental!protection!(Aucamp!et!al.,!2011:40).!Social!development!
as! used! in! the! developmental! social! welfare! context,! can! be! defined! as! a! process! of!
“planned!social!change!designed!to!improve!the!welfare!of!the!population!as!a!whole!in!
conjunction!with!economic!development”!(Midgley,!2014:236).!Participants!in!the!study!
therefore!understand!social!development!as!separate!from!economic!development.!This!
difference! in! focus! means! that! opportunities! to! enhance! social! development! outcomes,!
especially! where! there! is! a! potential! to! align! social! change! processes! with! economic!
opportunities,!might!be!disregarded!or!not!embraced!due!to!a!lack!of!understanding!of!
the! concept.! However,! it! can! be! argued! that! SIA! practitioners,! who! do! understand!
sustainable! development,! might! not! need! to! have! an! inDdepth! knowledge! of! social!
development! assuming! Peeters’! (2012:292)! argument! that! social! work! and! sustainable!
development! concur! on! aspects! such! as! equality,! human! rights,! participation! and!
wellbeing.! These! are! all! aspects! inherent! to! SIA! practice! and! encapsulated! in! the!
Principles! and! Values! of! SIA! (Vanclay,! 2003).! Furthermore,! the! aspects! mentioned! by!
Peeters!(2012:292)!are!also!innate!to!developmental!social!work!and!social!development!
(Patel,! 2005:207;! Patel,! Hochfeld,! Graham! &! Selipsky,! 2008:5;! Midgley,! 2014:13D17).!
Therefore,!there!is!a!clear!connection!between!SIA!and!social!development,!human!rights,!
equality! and! the! enhancement! of! wellbeing! and! SIA! practitioners! should! embrace!
integrating! social! development! as! part! of! SIA! practice.! Considering! that! social!
development!refers!to!both!a!process!and!a!product!(McBride!et!al.,!2003:1),!as!does!SIA!
(Vanclay,!Esteves,!Aucamp!&!Franks,!2015:1),!there!is!scope!to!educate!SIA!practitioners!
!
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about! the! theory! around! social! development! in! order! to! empower! them! to! use! it!
effectively!as!both!part!and!a!potential!outcome!of!the!SIA!process.!!
Although! most! SIA! practitioners! are! highly! qualified! in! different! specialised! fields! none!
have! primary! qualifications! specific! to! social! development! as! defined! in! this! thesis! (see!
Chapter! 6,! Section! 6.3.1.1).! However,! the! reports! reviewed! as! part! of! the! quantitative!
study! indicate! that! there! are! some! practitioners! with! a! clear! understanding! of! social!
development! outcomes! (see! Chapter! 6,! Section! 6.3.2)! and! thus! see! development!
holistically!and!understand!that!one!sector!cannot!be!developed!at!the!cost!of!another.!
This!could!be!attributed!to!their!general!social!science!background,!and!the!link!between!
sustainable!outcomes!of!SIAs!and!social!development!as!will!be!discussed!next.!!
7.2.1.2 Existing'SIA'contributions'to'social'development'outcomes'
The!quantitative!study!reveals!that!existing!mitigation!measures!suggested!in!SIA!reports!
could! potentially! contribute! to! social! development! outcomes.! The! analysis! of! the! SIA!
reports!shows!that!nine!(60%)!included!recommendations!about!economic!development!
processes,! and! four! (27%)! of! the! studies! could! potentially! contribute! to! poverty!
alleviation.!This!is!in!line!with!social!development!!which!aims!to!ensure!that!economic!
development!results!in!real!positive!improvements!in!the!quality!of!life!of!the!poor!(Gray,!
2006:S56).! One! of! the! most! significant! potential! contributions! to! social! development! is!
related!to!social!protection,!which!contributes!to!the!protection!of!human!rights).!In!an!
attempt!to!protect!the!most!vulnerable!sector!of!society,!the!South!African!government!
implemented! a! social! protection! framework! (RSA,! 2013b).! The! National! Development!
Plan! (NDP)! views! social! protection! as! a! right! in! line! with! the! Constitution! 1996! and!
proposes!an!ambitious!social!protection!plan!(see!Chapter!11!of!the!NDP)!as!part!of!Vision!
2030! (NPC,! 2012:357).! Although! the! social! protection! framework! is! based! on! targeted!
cash! transfers,! aspects! like! creation! of! employment,! skills! development! and!
establishment! of! basic! infrastructure! such! as! water,! housing,! energy! and! schools! also!
contribute!to!the!creation!of!a!social!protection!floor!(ILO,!2011:4).!!
A! key! finding! of! the! quantitative! study! is! that! SIA! reports! recommended! mitigation!
measures! that! could! contribute! to! the! social! protection! floor! through! creation! of!
employment!and!skills!development!in!11!(73%)!of!the!studies.!Skills!development!can!be!
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seen!as!a!resource!that!individuals!can!use!to!develop!their!capabilities!(Gatenio!Gabel,!
2012:540),! therefore! assisting! them! to! escape! the! poverty! trap.! Midgley! (2014:120)!
emphasises!the!role!of!regular!employment!in!social!development.!Unemployment!is!one!
of!the!biggest!challenges!in!South!Africa!and!a!quarter!of!economically!active!people!in!
South! Africa! are! unemployed! (StatsSA,! 2014c:v).! One! of! the! root! causes! of! poverty! in!
South! Africa! is! the! inability! of! the! labour! market! to! create! opportunities! for! lowDskilled!
workers!(Chibba!&!Luiz,!2011:311).!The!NDP!acknowledges!that!employment!is!the!most!
effective! form! of! social! protection,! but! that! it! will! take! time! to! address! structural!
unemployment! in! South! Africa! (NPC,! 2012:355).! An! “inadequately! educated! workforce”!
as!described!by!the!WEF!(2014:340)!is!another!significant!obstacle!to!social!development.!!
The! prospective! of! SIA! mitigation! to! contribute! to! the! social! protection! floor! can!
potentially! lessen! the! financial! burden! on! the! government,! as! social! protection! is!
currently! funded! by! tax! revenue.! This! is! untenable! if! one! considers! there! are! already!
more!people!in!South!Africa!receiving!social!grants!than!people!who!work!(Goko,!2013).!
At! the! end! of! the! 2012/13! financial! years! 16,1! million! South! Africans! received! social!
assistance!through!grants!(Jones,!2013).!!
Mitigation! related! to! the! establishment! of! infrastructure! was! recommended! in! seven!
(47%)!of!the!studies.!The!quantitative!study!confirms!that!SIA!mitigation!can!contribute!to!
funding! aspects! such! as! infrastructure! development! and! cover! costs! of! associated! skills!
development! initiatives,! thereby! creating! more! sustainable! funding! sources! for! a! social!
protection! framework.! Given! that! service! delivery! protests! are! fuelled! by! structural!
inequality! (de! Visser! et! al.,! 2012:5;! Karamoko,! 2011:31),! contributions! to! the!
development!of!infrastructure!would!not!only!contribute!to!social!development!in!South!
Africa,! but! also! increase! the! effectiveness! of! service! delivery.! At! the! moment! the!
government! complements! its! cash! transfers! to! poor! and! vulnerable! people! by! funding!
services! such! as! primary! education,! primary! health! care,! housing,! basic! services,!
employment! creation! though! public! works! and! support! for! micro! and! small! enterprises!
(Patel! &! Hochfeld,! 2013:692).! However,! the! provision! of! these! basic! social! services! is!
limited!by!administrative!incompetence,!poor!quality!of!services!and!corruption!(Patel!&!
Hochfeld,! 2013:692),! which! impacts! on! the! human! rights! of! people! and! creates! further!
!
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inequalies.!Although!the!provision!of!basic!social!services!is!undeniably!the!responsibility!
of!the!government,!SIA!mitigation!can!potentially!complement!the!services,!especially!in!
areas! where! the! project! proponent! who! commissions! the! SIA! have! related! expertise.!
Employment!creation!and!support!of!small!or!micro!enterprises!are!specific!focus!areas!
with!high!potential!to!benefit!from!SIA!mitigation.!!
The! results! of! the! quantitative! study! show! that! the! mining! and! energy! sectors! are!
theoretically!consistently!contributing!to!aspects!such!as!skills!development,!job!creation!
and! economic! development! programmes! through! social! mitigation! measures.! This!
indicates! that! requirements! of! Social! and! Labour! Plans! (SLPs),! conducted! under! the!
Mineral! and! Petroleum! Resources! Development! Act! (MPRDA)! 28! of! 2002,! which! is! to!
promote!employment!and!advance!the!social!and!economic!welfare!of!all!South!Africans!
and!to!ensure!economic!growth!and!social!development!(DMR,!2010:4),!are!addressed!in!
the! reports! that! were! reviewed.! Although! SLPs! are! by! no! means! a! panacea! for! the!
problems!associated!with!resource!development,!the!researcher!views!it!as!a!step!in!the!
right! direction.! SLPs! are! audited! and! must! be! renewed! every! five! years,! and! therefore!
there!is!at!least!some!form!of!mechanism!to!manage!the!implementation!of!these!plan.!In!
practice! the! researcher! has! seen! an! improvement! in! the! type! of! SLPs! and! the!
management!from!the!government’s!side.!Especially!big!mines!have!done!significant!work!
to!ensure!aspects!such!as!enterprise!development!and!often!have!dedicated!community!
development! sections.! However,! the! actual! success! of! SLPs! have! not! been! measured!
officially.!Given!that!SLP!is!a!long!term!commitment!on!the!side!of!mines,!and!the!official!
implementation! has! been! a! requirement! for! a! decade,! the! researcher! is! of! the! opinion!
that! a! study! investigating! the! true! impact! of! SLPs! would! provide! valuable! insights! and!
potentially! strengthen! the! findings! of! this! thesis.! Such! a! study! would! be! a! significant!
undertaking! and! falls! outside! the! scope! of! this! thesis.! This! finding! shows! that! the!
recommendation!of!participants!in!the!qualitative!study!to!make!SLPs!a!requirement!in!all!
projects!that!require!an!SIA,!and!not!only!limit!it!to!the!mining!sector,!will!enhance!the!
contribution! that! SIA! could! make! to! social! development! outcomes,! and! should! be!
considered!when!investigating!the!more!effective!utilisation!of!SIA.!The!expansion!of!SLPs!
to!sectors!outside!the!mining!sector!in!South!Africa!is!supported!in!recent!SIA!publications!
(Aucamp!et!al.,!2011:56;!Hildebrandt!&!Sandham,!2014:23).!!
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It!is!important!to!note!that!all!the!social!development!outcomes!discussed!in!this!section!
require! the! involvement! of! external! parties,! whether! it! is! by! making! opportunities!
available,! providing! training! or! establishing! infrastructure.! The! existing! contributions! of!
SIA! to! social! development! therefore! requires! intervention! and! input! in! different! forms!
from! different! role! players! to! achieve! social! development! goals.! The! multiDsector!
approach!is!a!key!aspect!of!social!development,!underlining!the!synergies!between!social!
development! and! SIA! (Midgley,! 2014:15).! The! empirical! study! confirms! that! SIA! already!
contributes! to! social! development! outcomes! through! increasing! people’s! capabilities,!
promoting! their! wellbeing,! and! contributing! to! social! and! economic! development!
(Hawkins!&!Roa,!2008:33;!Midgley,!2014:13D17)!but!it!also!indicates!that!it!could!be!done!
more!effectively,!as!will!be!discussed!next.!
7.2.1.3 More'effective'utilisation'of'SIA'to'ensure'social'development'outcomes'
More!effective!use!of!SIA!is!a!crosscutting!theme!that!relates!to!all!the!discussions!in!this!
chapter.! Aucamp! et! al.! (2011:48)! state! that! the! gap! between! SIA! and! sustainable!
development!is!often!not!in!what!is!carried!out!in!SIA,!but!in!what!is!omitted.!The!findings!
of!the!quantitative!study!confirm!this!and!indicated!that!SIA!does!what!it!is!traditionally!
supposed! to! do! –! it! assesses! the! social! impacts! of! development! projects! and! suggests!
mitigation!and!management!measures!in!order!to!ensure!environmental!approvals!from!
the! regulatory! authorities.! The! “what! is! omitted”! argument! (Aucamp! et! al.,! 2011:48)!
extends! to! the! contribution! that! SIA! can! make! to! social! development.! Esteves! et! al.!
(2012:34)! supports! the! argument! that! SIA! should! contribute! to! development! in! a! paper!
about!the!state!of!the!art!in!SIA!where!they!assert!that!SIA!is!not!only!a!field!of!research,!
but! also! an! approach! that! can! be! used! to! achieve! better! development! outcomes! for!
communities.! This! resonates! with! the! findings! of! the! qualitative! study,! which! indicates!
that! SIA! should! be! used! on! a! strategic! level! to! optimise! its! effectiveness.! Participants!
indicated!that!the!focus!of!SIA!should!not!only!be!on!the!specific!project,!but!also!include!
broader! development! opportunities! to! ensure! SIA! is! used! in! a! more! effective! manner.!
Baines!and!Taylor!(2002:3)!point!out!that!difficulties!in!projectDrelated!SIAs!are!often!the!
result!of!the!absence!of!strategic!SIA!on!plans,!policies!and!legislation.!They!added!that!it!
!
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would! also! be! easier! to! address! cumulative! social! impacts! if! SIA! is! approached! in! a!
strategic!manner!(Baines!&!Taylor,!2002:7).!
One! of! the! interviewed! participants! stressed! that! in! order! to! be! more! effective,! SIA!
should!be!conducted!much!earlier!in!the!planning!process!and!is!of!the!opinion!that!the!
current! approach! is! reactive! and! therefore! undermines! the! role! it! can! play! in!
development.! This! is! an! accurate! observation! since! social! development! is! a! proactive!
process! of! planned! change! (Midgley,! 1995:25).! Participants! in! the! qualitative! study!
indicated! that! important! considerations! to! enhance! the! social! development! agenda!
include!the!potential!links!with!existing!initiatives,!coDoperative!planning!and!the!type!and!
lifespan! of! the! project.! SIA! outcomes! will! align! more! with! social! development! practice,!
where! economic,! social! and! other! interventions! are! linked! and! social! investments! are!
used!to!advance!social!wellbeing,!if!it!is!linked!to!existing!initiatives!(Midgley,!2014:14).!
These!considerations!involve!several!role!players!and!earlier!involvement!in!the!planning!
process.!The!quantitative!study!confirmed!that!cooperation!between!several!role!players!
is! required! for! the! mitigation! of! impacts,! with! 100%! of! reports! containing! this!
recommendation.! This! resonates! with! social! development,! which! encourages! a! multiD
sector!approach!and!partnerships!(Patel,!2008:73).!
Three!of!the!most!important!role!players!that!can!contribute!to!the!mitigation!of!social!
impacts! are! explored! in! the! next! three! themes.! These! role! players! are! the! government,!
communities!(or!civil!society),!and!the!private!sector.!!
7.2.2 Theme'2:'Relationship'between'the'practice'of'SIA'and'the'government'
Theme!2!examines!the!relationship!between!the!practice!of!SIA!and!the!government.!SIA!
is! predominately! commissioned! by! the! government! as! part! of! the! EIA! legislation! (Du!
Pisani!&!Sandham,!2006:712).!The!results!of!the!empirical!study!shed!more!light!on!the!
current!relationship!between!the!practice!of!SIA!and!the!government.!This!relationship!is!
twofold,! namely! the! role! that! the! government! currently! plays! in! the! authorisation!
process,!and!issues!with!the!existing!authorisation!system.!!
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7.2.2.1 The'role'of'the'government'in'the'authorisation'of'the'SIA'process'
Results! of! the! qualitative! study! indicate! that! government! is! a! key! roleDplayer! in! the! SIA!
field,!being!the!partner!that!most!often!commissions!SIA!via!the!EIA!process,!in!order!to!
assist! them! with! decisionDmaking.! The! theoretical! framework! used! for! this! study!
highlights! the! important! role! that! the! government! plays! to! ensure! social! development!
outcomes,!especially!through!the!implementation!of!policy!(see!Chapter!3,!Section!3.4),!
ttherefore!it!can!be!argued!that!the!decisionDmaking!processes!utilised!by!government!is!
potentially! an! important! factor! in! ensuring! that! social! development! outcomes! can! be!
achieved.!One!of!the!key!findings!of!the!qualitative!study!was!that!SIA!fails!to!add!value!to!
the! decisionDmaking! process! because! government! neither! has! the! resources! to!
implement!recommendations!made!in!SIA!studies,!nor!the!technical!personnel!to!review!
SIA! reports.! An! article! about! “State! of! the! Art! SIA”! cited! the! contribution! of! SIA! to!
decisionDmaking!processes!of!authorities!as!one!of!the!strengths!of!current!SIA!practice,!
but!acknowledges!that!the!limited!capability!of!decisionDmakers!and!resources!dedicated!
to!quality!control!have!an!impact!on!the!standard!of!SIA!(Esteves!et!al.,!2012:36).!Capacity!
of!decisionDmakers!therefore!seems!to!be!a!global!challenge.!
In!a!study!that!reviews!the!quality!of!SIA!aspects!included!in!EIA!reports,!Hildebrandt!and!
Sandham! (2014:24)! confirm! the! shortage! of! skills! amongst! authorities! to! review! SIA!
reports.!The!potential!of!EIA!(of!which!SIA!is!an!integral!part)!to!integrate!development!
and!environmental!issues!to!ensure!sustainable!outcomes!has!been!eroded!through!overD
complicated! legislative! amendments! and! weak! capacity! in! South! Africa! (Bond! et! al.,!
2014:50).!!
Participants! identified! local! government! as! a! key! roleDplayer! in! the! SIA! process! and!
indicated! that! SIA! should! feed! into! the! planning! and! local! economic! development!
processes!led!by!local!government.!Participants!indicated!that!if!these!processes!are!not!
robust,! it! renders! SIA! ineffective.! All! the! SIA! reports! that! were! reviewed! as! part! of! the!
quantitative! study! considered! regional! development! issues.! It! can! be! argued! that! the!
intention! for! local! government! to! be! actively! involved! in! processes! regarding!
development!such!as!SIA!is!clear!from!a!policy!perspective,!as!the!White!Paper!for!Local!
Government! (RSA,! 1998b)! states! that! local! government! should! work! with! citizens! and!
!
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groups! in! the! community! to! find! sustainable! ways! to! meet! their! social,! economic! and!
material! needs! and! improve! the! quality! of! their! lives! (Cooperative! Governance! and!
Traditional!Affairs![CoGTA],!2009a:12).!It!is!therefore!appropriate!that!local!government!
plays!an!important!role!in!the!SIA!process!and!does!not!place!an!unrealistic!expectation!
on!the!side!of!SIA!practitioners.!!
Participants!pointed!out!that!there!is!a!lack!of!capacity!amongst!municipal!structures!to!
engage! with! SIA! practitioners,! and! a! lack! of! integration! between! SIA! and! IDP.! This! is!
contrasted! by! the! fact! that! IDPs! were! consulted! in! all! 15! SIA! reports! studied! in! the!
quantitative!study.!The!crisis!in,!and!challenges!faced!by,!local!government!is!confirmed!in!
a!review!conducted!by!the!Department!of!Cooperative!Governance!and!Traditional!Affairs!
(CoGTA,! 2009a:4)! and! the! resulting! five! year! plan! to! implement! a! Local! Government!
Turnaround!Strategy!(CoGTA,!2009b:3).!This!crisis!in!local!government!causes!an!increase!
in! inequality! and! human! rights! infringements! which! can! potentially! be! exacerbated! by!
development! projects! where! social! and! environmental! impacts! are! not! managed!
carefully.!!
The!formation!of!partnerships!between!government,!civil!society!and!the!private!sector!is!
a! logical! vehicle! to! ensure! sustainable! outcomes,! but! the! quantitative! study! found! that!
this! is! not! often! enough! suggested! in! current! practice.! A! reason! for! this! might! be! the!
complex! nature! of! such! a! relationship.! As! pointed! out! by! Gray! (2006:S56)! and! Patel!
(2008:73),!partnerships!are!vital!to!social!development.!A!nonDprofit!or!nonDgovernment!
organisation!is!usually!the!vehicle!through!which!civil!society!engages!into!a!partnership!
with!the!government!(Patel,!2003:5).!Models!associated!with!this!kind!of!relationships!are!
usually!based!on!two!aspects,!namely!the!financing!and!authorisation!of!services,!and!the!
actual! delivery! of! services! (Patel,! 2003:5).! In! the! Government! Dominant! Model! the!
government! directly! provides! financing! and! services,! and! in! the! Third! SectorDDominant!
Model!services!are!financed!and!delivered!voluntary!(Patel,!2003:5).!A!fusion!of!the!two!
models! is! called! a! Dual! or! ParallelDtrack! Model! where! NPOs/NGOs! could! either!
supplement!or!complement!public!provision!(Patel,!2003:5).!The!partnership!approach!to!
service!delivery!is!hailed!as!one!of!the!significant!achievements!of!the!social!development!
approach!in!South!Africa!(Patel,!2003:5).!Given!that!social!development!practitioners!are!
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familiar!with!these!models,!it!can!be!concluded!that!SIA!practitioners!would!benefit!from!
engaging! with! social! development! practitioners! about! the! practical! application! of! the!
models.!!
Participants! in! the! qualitative! study! indicated! that! local! government! should! be! able! to!
leverage! social! development! initiatives! using! the! SIA! route,! but! as! it! does! not! happen,!
opportunity!is!lost.!Social!development!can!be!expressed!through!different!interventions,!
for!example!communityDbased!sanitary!and!water!supply!interventions!(Midgley,!2013:6),!
and!it!is!here!that!SIA!can!provide!a!direct!link!between!the!government!and!communities!
with!specific!infrastructural!needs,!especially!if!their!human!rights!are!affected!by!the!lack!
of! infrastructure.! Section! 24! of! the! South! African! Constitution! 1996! and! the! National!
Environmental!Management!Act!107!of!1998!unambiguously!provide!an!opportunity!for!
sustainability! thinking! by! highlighting! the! connection! between! poverty,! environmental!
degradation!and!quality!of!life!issues!(Bond!et!al.,!2014:50).!Some!issues!with!the!current!
authorisation! system! which! will! be! discussed! next! build! on! the! results! discussed! in! this!
section.!
7.2.2.2 Issues'with'the'existing'authorisation'system'for'development'projects'that'
requires'SIA'studies'
Currently!the!responsibility!for!evaluating!and!implementing!SIA!lies!with!the!Department!
of!Environmental!Affairs!(DEA),!backed!by!the!policies!discussed!in!Chapter!4!(see!Chapter!
4,!Section!4.3).!The!results!of!the!qualitative!study!indicated!that!aspects!unrelated!to!the!
DEA! are! often! key! issues! in! SIA! and! participants! were! of! the! opinion! that! other!
government! departments! should! be! involved,! depending! on! the! issues! relevant! to! the!
project.! The! participants! in! the! qualitative! study! indicated! that! the! evaluation! and!
implementation! of! SIA! requires! coDoperative! governance,! a! key! requirement! for! social!
development!(Midgley,!2014).!Departments!of!Water!Affairs;!Health;!Human!Settlements;!
Labour;!Social!Development;!Mineral!Resources;!Energy;!Education;!Agriculture,!Forestry!
and!Fisheries;!Public!Works;!Trade!and!Industry!and!Rural!Affairs!and!Land!Reform!were!
mentioned!by!participants!as!possible!roleDplayers!in!the!SIA!process.!According!to!Patel!
(2003:5)!social!development!in!South!Africa!already!features!interDsectorial!collaboration!
between! different! government! departments,! but! overcoming! fragmentation! and!
!
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replication! remains! challenging.! SIA! could! therefore! potentially! learn! from! social!
development!and!coordinate!rather!than!reinvent!the!practice.!
Despite!an!expressed!lack!of!faith!in!cooperative!governance!evident!from!the!empirical!
study,!fourteen!(93%)!out!of!the!fifteen!reports!reviewed!as!part!of!the!quantitative!study!
suggested! that! a! multiDsector! approach! is! needed! to! mitigate! impacts.! Seven! (47%)!
reports! suggested! partnerships! between! the! government,! civil! society! and! the! private!
sector.! According! to! Patel! (2008:73)! a! central! attribute! of! social! development! is! that! it!
foresees!a!collaborative!partnership!approach!between!the!government,!civil!society!and!
the!private!sector,!with!the!government!playing!an!active!leadership!role,!and!therefore!
there! is! an! obvious! link! between! this! finding! and! social! development.! The! SIA! reports!
suggested! that! partnerships! were! predominantly! encouraged! in! the! mining! and! energy!
sector.!Only!five!(33%)!reports!recommended!that!the!local!government!contribute!to!the!
cost! of! the! mitigation! measures,! notably! the! assessments! of! projects! with! more!
significant!capital!outlay.!!
Involving! different! government! departments! may! be! a! challenge! given! that! in! some!
instances!like!housing,!all!three!spheres!of!government!will!be!affected!and!there!may!be!
fragmentation,! duplication! and! confusion! about! responsibilities! (Cameron,! 2012:4).! It! is!
not! an! unattainable! challenge,! however,! as! air! pollution! control! is! a! function! of!
cooperation! between! the! spheres! of! government! (Naiker,! Diab,! Zunckel! &! Hayes,!
2012:63),! meaning! that! there! are! existing! examples! of! such! cooperative! governance.! It!
must!be!considered!that!the!Department!of!Environmental!Affairs!is!already!involved!in!
programmes! encouraging! social! development! outcomes! such! as! Working! for! Water,!
where!it!works!with!communities!through!job!creation!and!skills!development!to!protect!
the! environment.! Working! for! Water! also! addresses! aspects! such! as! HIV/Aids,! Planned!
Parenthood,! reproductive! health! and! reDintegration! of! exDoffenders! in! society! in!
partnership! with! NGOs! and! the! Department! of! Social! Development! (Department! of!
Environmental! Affairs! (DEA),! [sa]).! This! illustrates! that! it! is! possible! for! government!
departments!and!NGOs!to!work!together!in!a!cooperative!manner,!since!the!Working!for!
Water!project!has!been!implemented!since!1995!(DEA,![sa]).!
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!
Another! finding! of! the! qualitative! study! suggests! that! a! body! representing! various!
disciplines! and! government! departments! should! be! established! to! regulate! SIA.! This!
resonates! with! the! social! development! which! encourage! development! through!
participation!and!partnerships!(!Midgley,!2014!).!Du!Toit,!Biggs!and!Pollard!(2011:20)!refer!
to! such! a! decentralised,! democratised! approach! to! involve! stakeholder! groups! in!
participatory! decisionDmaking! as! multiDstakeholder! platforms.! Although! the! researcher!
can!see!the!advantages!of!such!a!body,!it!is!important!to!consider!that!there!will!also!be!
pitfalls.! MultiDstakeholder! platforms! have! the! prospect! of! a! holistic! and! cohesive!
approach! to! management! of! resources,! but! conflict,! divergence! and! tension! are! also!
innate!to!processes!bringing!together!different!values,!cultures,!norms!and!views!(Du!Toit!
et! al.,! 2011:20).! There! are! existing! examples! and! lessons! learned! of! cooperative!
management! that! involve! all! stakeholders! from! grassroots! levels! upwards.! Water!
management!in!South!Africa!is!done!in!such!a!collaborative!manner,!using!a!multiDsector!
approach! (Du! Toit! et! al.,! 2011:20;! Mirumachi! &! Van! Wyk,! 2010:26).! This! approach! is! in!
accordance! with! social! development,! which! employs! a! multiDfaceted! and! multiD
stakeholder! approach! to! ensure! successful! interventions! (Gray,! 1996:9;! Patel! et! al.,!
2012:215).! MultiDstakeholder! platforms! bring! decisionDmaking! much! closer! to! all! the!
stakeholders.!The!role!that!SIA!plays!in!decisionDmaking!processes!will!be!discussed!in!the!
next!theme.!!!
7.2.3 Theme'3:'Relationship'between'SIA'practice'and'community'involvement'
The! focus! of! theme! 3! is! on! the! relationship! between! SIA! practice! and! community!
involvement.! The! aim! of! SIA! is! to! assist! all! affected! parties! to! understand! the! social!
consequences! of! proposed! development! on! human! populations! and! communities! (Du!
Pisani!&!Sandham,!2006:708).!The!relationship!between!SIA!and!communities!is!therefore!
at! the! core! of! SIA.! The! findings! of! the! study! support! this! statement.! SIA,! like! social!
development! is! peopleDcentred! (Gray,! 2006:S56,! Vanclay,! 2003:9).! The! importance! of!
community!participation!and!involvement,!and!the!potential!of!SIA!to!link!different!roleD
players!with!each!other!to!ensure!social!development!outcomes!are!discussed!under!this!
theme.!!
!
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7.2.3.1 Importance'of'community'participation'and'involvement'in'the'SIA'process'
Participants!in!the!qualitative!study!pointed!out!community!relations!and!participation!as!
key!motivations!for.!Community!participation!is!a!key!aspect!of!community!development,!
which! is! a! strategy! of! social! development! (Midgley,! 1995).! ! Parsons! and! Moffat!
(2014:275)! confirm! the! importance! of! community! participation! in! SIA! by! describing!
community!engagement!as!a!core!element!of!a!good!SIA.!As!such,!the!participation!of!civil!
society! plays! an! important! role! in! SIA.! Civil! society! in! South! Africa! includes! nonDprofit!
organisations,!nonDgovernment!organisations,!humanitarian!charities,!trusts,!faithDbased!
organisations,! ratepayers! associations,! philanthropic! groups,! advocacy! groups,!
professional!associations,!community!based!organisations,!woman’s!organisations,!trade!
unions,! credit! and! burial! associations,! selfDhelp! groups,! neighbourhood! associations,!
business! and! economic! empowerment! associations,! youth! organisations,! farmers’!
organisations,! coalitions,! independent! media,! student! unions! and! independent! research!
institutes,! but! not! political! parties! (Mukute! &! Taylor,! 2013:610;! Themudo,! 2013:67).!
These!stakeholders!are!typically!consulted!in!an!SIA!process,!and!involve!locally!affected!
communities.! These! are! also! the! stakeholders! deemed! important! in! the! social!
development!process.!Harvey!and!Bice!(2014:230)!distinguish!between!stakeholders!and!
communities! by! describing! stakeholders! as! all! individuals! or! groups! that! can! affect! a!
project! or! operation,! and! communities! as! those! directly! affected! by! a! project! or!
operation.! The! qualitative! study! confirms! that! SIA! plays! an! important! role! in! enabling!
communities! to! contribute! to! processes! pertaining! to! physical! development! that! may!
affect! their! lives,! a! key! requirement! in! a! human! rights! approach.! This! corresponds! with!
social! development,! which! promotes! the! active! involvement! of! people! in! their! own!
development! and! is! also! underpinned! by! human! rights! (Gray,! 1996:9;! Patel! et! al.,!
2012:215).!
Participants!in!the!qualitative!study!stated!that!SIA!involvement!in!communities!should!be!
on!grassroots!and!leadership!levels!and!that!communities!should!become!more!involved!
in! SIA! processes.! They! indicated! that! community! participation! from! the! onset,! and!
following!a!comprehensive!and!representative!process,!are!crucial!to!SIA.!In!addition,!SIA!
must!provide!civil!society!with!the!opportunity!to!give!their!opinion,!communicate!their!
concerns! and! be! used! as! a! tool! to! empower! communities.! The! right! of! people! to! be!
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!
involved! in! decisionDmaking! about! planned! interventions! that! will! affect! their! lives,!
importance! of! local! knowledge! and! experience,! right! to! a! healthy! environment! and!
consideration! of! intangible! social! dimensions! of! the! environment! are! core! values! of! SIA!
(Vanclay,!2003:9),!and!support!human!rights.!The!finding!confirms!that!SIA!practitioners!
associate! with! and! implement! the! values! of! SIA! practice.! In! addition,! given! that! social!
development! promotes! the! integration! of! social,! political,! economic,! cultural,!
environmental,! gender! and! other! dimensions! (Midgley,! 2014:14),! as! well! as! promoting!
the! active! involvement! of! people! in! their! own! development! (Gray,! 1996:9;! Patel! et! al.,!
2012:215),! it! can! be! argued! that! SIA! practitioners! inherently! implement! principles! of!
social!development!in!their!SIA!practice.!This!further!confirms!that!there!is!a!link!between!
SIA!and!social!development.!
Participants! indicated! that! SIA! assists! communities! to! understand! major! issues! about!
potential! development! projects! and! the! implications! of! these! issues.! According! to! the!
findings,! communities! can! access! information! easier! if! a! project! has! to! do! a! SIA.! This!
finding!is!supported!by!Buchan!(2003:168)!who!indicates!that!community!participation!is!
a!principle!tool!used!as!part!of!the!SIA!methodology!with!the!objective!of!developing!an!
informed! community! that! can! express! its! interests! and! make! informed! personal! and!
shared!decisions.!From!this!perspective!community!participation!can!be!used!to!increase!
the! capabilities! of! the! affected! communities,! which! corresponds! with! the! capabilities!
approach!used!in!developmental!social!work!(Lombard,!2011:237).!
The!participatory!nature!of!SIA!is!reflected!in!the!reports!analysed!as!part!of!the!study,!
where!only!one!report!did!not!follow!a!participatory!process,!but!it!did!use!information!
obtained!via!the!public!participation!process!done!for!the!EIA.!The!analysis!of!the!reports!
showed!that!SIA!practitioners!clearly!make!an!effort!to!ensure!the!inclusion!of!civil!society!
in!the!process!and!view!it!as!an!important!part!of!the!study.!Some!of!the!reports!listed!
the!inability!to!consult!with!certain!groups!in!society!due!to!factors!outside!their!control,!
such! as! restricted! timeframes! for! the! study,! as! a! specific! limitation! to! the! study,!
underlining!the!importance!of!an!inclusive!process.!It!must!be!noted!that!there!is!a!risk!of!
human!rights!infringements!if!an!inclusive!and!participatory!process!is!not!followed.!The!
shortDterm! involvement! of! SIA! practitioners! was! pointed! out! as! a! shortcoming! in! the!
!
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qualitative! study,! as! this! makes! the! participation! process! more! challenging.! Rowan! and!
Streather! (2011:225)! are! of! the! opinion! that! meaningful! stakeholder! engagement! and!
consultation!can!act!as!a!catalyst!for!community!development!in!areas!where!vulnerable,!
disempowered!communities!with!a!lack!of!entitlement!reside.!From!a!social!development!
perspective!it!must!be!noted!that!informal,!communityDbased!organisations!are!seen!to!
have! a! reasonable! advantage! over! formal! organisations,! as! they! are! more! accessible! at!
the!local!level!(Patel,!2003:4),!and!therefore!it!is!important!that!SIA!practitioners!include!
these! organisations! in! the! participation! process.! Patel! (2003:8)! further! states! that! local!
development! partnerships! strengthen! democracy! in! the! sense! that! communities! can!
participate!in!their!own!development.!If!managed!correctly!it!can!also!act!as!a!watchdog!
to!ensure!no!human!rights!infringements!take!place.!!
Participants! deemed! aspects! such! as! social! and! community! dynamics,! social! justice! and!
power!relationships!important!for!every!SIA.!This!corresponds!with!Lombard’s!(2014:43)!
statement! that! power! and! politics! play! an! important! role! in! development.! The! rightsD
based! approach,! which! is! embedded! in! social! development! (Patel,! 2005),! is! reflected! in!
SIA! practice,! as! 100%! of! the! reports! studied! as! part! of! the! qualitative! study! considered!
equity! issues! and! social,! environmental! or! restorative! justice! in! the! description! of! the!
environment! and! in! the! mitigation! measures.! This! confirms! that! participants! adhere! to!
the!specific!principle!of!SIA!that!refers!to!equity!considerations!as!a!fundamental!element!
of!impact!assessment!and!development!planning!(Vanclay,!2003:9).!It!is!also!compatible!
with! social! development! practice! of! which! social! justice! is! one! of! the! primary! values!
(Hare,! 2004:416;! Lombard! &! Twikirize,! 2014:316).! The! rightsDbased! approach! is!
frequently! adopted! by! social! development! organisations! and! the! language! of! rights! is!
increasingly!used!in!social!development!practice!(Midgley,!2014:201).!!
Participants! in! the! qualitative! study! indicated! that! a! representative! and! participatory!
process!is!an!important!aspect!to!consider!in!SIA!studies.!They!view!SIA!practitioners!as!
advocates!for!the!voiceless!and!for!sustainability!and!emphasised!the!important!role!the!
public! plays! in! SIA.! Parsons! and! Moffat! (2014:275)! emphasise! the! importance! of! this!
finding!by!saying!that!if!SIA!is!to!be!meaningful!and!useful,!affected!communities!must!be!
engaged! in! the! process.! Participants! in! the! qualitative! study! identified! a! number! of!
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!
participatory!methods!that!are!used!in!the!SIA!process!in!order!to!enhance!participation.!
Participatory!processes!and!creating!spaces!for!purposeful!discussions!with!communities!
to!obtain!their!input!in!the!SIA!process!is!one!of!the!activities!identified!as!current!good!
practice! in! the! SIA! field! (Esteves! et! al.,! 2012:35)! and! this! finding! indicates! that! the!
practice!of!SIA!is!at!least!in!some!areas!on!par!with!international!best!practice.!It!must!be!
considered,!however,!that!a!number!of!recent!papers!pointed!out!that!SIA!aspirations!for!
community! engagement! often! fall! short! in! practice! (compare! Esteves! et! al.,! 2011:37;!
Harvey!&!Bice,!2014:328!and!Parsons!&!Moffat,!2014:275).!Although!the!findings!of!the!
empirical!study!confirm!the!importance!of!participatory!processes,!the!execution!of!this!
in! practice! has! not! been! investigated! in! this! study.! Participation! in! development,! active!
citizenship,! and! individual! and! collective! empowerment! are! essential! to! ensure! social!
development!outcomes!(Patel!&!Hochfeld,!2012:692).!However,!the!reality!of!community!
interventions! is! that! it! is! time! and! resource! intensive,! and! nonDmaterial! goods! such! as!
participation! and! social! capital! adds! little! value! if! communities! do! not! have! access! to!
resources,! services! and! infrastructure! (Gray,! 2010:469).! It! is! therefore! important! to!
enable! communities! to! participate! by! providing! the! necessary! material! support! such! as!
transport!to!meetings!and!venues.!
SIA! is! conducted! as! part! of! the! EIA! process! in! South! Africa! (Hildebrand! &! Sandham,!
2014:21)!and!there!are!indications!that!the!participatory!roots!of!SIA!might!be!at!risk!if!
this! situation! persists.! Although! the! fundamental! rights! to! participate! in! environmental!
processes! in! South! Africa! are! in! place,! there! are! negative! perceptions! amongst! the!
highest!level!of!government!about!the!time!consultation!takes!and!the!perceived!risk!it!
poses!to!development!(Bond!et!al.,!2014:51).!The!Presidential!Infrastructure!Coordinating!
Commission! (PICC)! identified! three! major! risks! for! bulk! infrastructure! development! in!
South! Africa,! namely:! delays! due! to! the! EIA! process,! expropriation,! and! procurement!
(PICC,! 2012:29).! Through! experience! in! the! field,! the! researcher! knows! that! these! risks!
factors!all!involve!social!aspects!and!have!the!potential!to!affect!the!rights!and!wellbeing!
of!communities.!The!fact!that!the!government!views!impact!assessment!as!a!burden!that!
threatens!economic!development!(Bond!et!al.,!2014:52)!does!not!bode!well!for!the!future!
of!consultation!processes!in!the!environmental!field.!SIA!is!currently!mostly!conducted!as!
part!of!the!EIA!process!(Aucamp!et!al.,!2011:48;!Hildebrand!&!Sandham,!2014:21)!and!it!
!
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means!that!threats!to!the!EIA!process!will!filter!through!to!SIA!practice!as!long!as!it!forms!
part! of! the! same! regulatory! process.! It! can! be! argued! that! social! development! should!
promote! the! wellbeing! of! people! and! simultaneously! allow! for! economic! development!
(Midgley,! 1995:25),! therefore! there! should! be! a! way! to! ensure! that! the! environmental!
processes! is! not! done! at! the! cost! of! the! economic! processes! if! principles! of! social!
development!are!applied.!However,!this!may!be!difficult!in!a!regulatory!situation!where!
there! are! inflexible! timeframes.! The! empirical! study! indicated! a! disjoint! between! the!
practice! of! SIA! and! where! it! is! situated! within! the! EIA! process! as! discussed! in! Section!
7.2.2.2! above.! Harvey! and! Bice! (2014:32)! point! out! that! regulatory! SIA! does! not!
encourage!the!development!of!trust,!for!even!when!community!outcomes!are!favourable,!
it! is! clear! that! developers! only! aim! to! achieve! compliance! and! are! not! motivated! by! a!
commitment!to!build!trust!and!join!forces.!!
South! African! environmental! legislation! is! becoming! overly! prescriptive! and! this! will!
reduce! opportunities! for! environmental! and! developmental! requirements! to! be!
evaluated! in! an! integrated! manner! (Bond! et! al.,! 2014:52).! In! turn,! this! may! impact!
negatively!on!the!rights!and!wellbeing!of!communities.!The!findings!of!the!empirical!study!
indicate!that!SIA!has!the!potential!to!link!stakeholders!to!ensure!that!environmental!and!
developmental!requirements!are!integrated.!This!potential!will!be!discussed!next.!
7.2.3.2 Potential'of'SIA'to'link'different'parties'to'assist'with'social'development'
outcomes'
The!empirical!study!confirms!that!SIA!has!an!important!role!to!play!with!regards!to!civil!
society.! As! discussed! in! paragraph! 7.2.3.1! above,! the! essence! of! SIA! is! community!
participation.!Participants!in!the!qualitative!study!indicated!that!community!participation!
conducted!as!part!of!the!SIA!process!assists!with!identifying!and!establishing!networks!for!
further! interaction.! Networks,! direct! and! indirect,! provide! ties! to! people! and! resources,!
which!may!assist!with!development!efforts!(Adler!&!Kwon,!2000:98).!Networks!forms!part!
of! social! capital,! which! is! defined! as! the! norms! and! networks! that! facilitate! action!
(Woolcock,!2001:13).!Social!capital!can!be!used!as!an!instrument!to!build!the!capabilities!
required!to!assist!with!addressing!inequality!(Ansari,!Munir!&!Gregg,!2012:822).!There!are!
three! primary! forms! of! social! capital,! namely! bonding,! bridging! and! linking! capital!
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!
(Woolcock,! 2001:13).! Bonding! social! capital! refers! to! relations! between! close! friends,!
family!members!and!neighbours!(Ansari!et!al.,!2012:821;!Woolcock,!2001:13),!where!the!
strengths! of! communities! can! be! found! in! the! stability! and! intensity! of! the! social!
networks!established!between!community!members!(Midgley,!2014:108).!Bridging!social!
capital!is!essentially!a!horizontal!metaphor!and!refers!to!relations!between!more!distant!
friends,! associates! and! colleagues.! It! implies! connections! between! people! who! share!
broadly!similar!characteristics!(Ansari!et!al.,!2012:821;!Woolcock,!2001:13).!Linking!social!
capital! has! the! capacity! to! leverage! resources,! ideas! and! information! from! formal!
institutions!beyond!the!community,!and!allows!the!less!powerful!to!access!resources!that!
otherwise!might!have!been!outside!their!reach,!an!essential!requirement!to!ensure!social!
development! outcomes! (Evans! &! Syrett,! 2007:58;! Woolcock,! 2001:13).! The! poor! often!
have! good! access! to! bonding! social! capital,! less! access! to! bridging! social! capital! and!
almost! no! access! to! linking! social! capital! (Woolcock,! 2001:13).! This! is! where! there! is! a!
clear!role!for!SIA!to!play!as!a!form!of!linking!social!capital!in!a!way!to!harnass!its!potential!
as! a! tool! for! social! development.! The! vehicle! for! this! linking! social! capital! could! be! the!
execution!of!the!mitigation!measures!suggested!in!the!SIA.!In!the!quantitative!study,!13!
(87%)! of! the! 15! reports! required! the! active! involvement! of! communities! in! the!
implementation! of! mitigation,! and! in! all! the! reports! mitigation! required! the! active!
cooperation!between!several!role!players.!The!mitigation!process!brings!all!the!relevant!
parties!together!to!ensure!equitable!outcomes!which!could!promote!social!development.!
Many!of!these!parties!would!never!form!associations!if!there!were!no!SIA!process.!Social!
capital!is!an!integral!part!of!social!development!theory!(Midgley,!2014:102),!and!the!link!
between!SIA!and!social!capital!therefore!links!SIA!with!social!development!theory.!!
Participants! in! the! qualitative! study! pointed! out! that! SIA! could! provide! valuable!
information!about!potential!initiatives!for!longDterm!projects!and!could!be!an!entryDpoint!
into!the!community.!The!qualitative!study!indicates!that!the!types!of!projects!subjected!
to! SIA! included! large! water! infrastructure! projects,! dams,! electricity! infrastructure,!
nuclear!reactors,!wind!farms,!roads,!airports,!housing!developments,!golf!estates,!waste!
sites,! mines,! industrial! development,! land! restitution! and! casinos.! Most! of! the! projects!
mentioned! have! a! significant! construction! period,! and! may! cause! social! impacts! in! the!
operation!phase,!meaning!that!there!is!potential!for!longDterm!community!involvement.!
!
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Several! of! these! developments! address! structural! issues! such! as! water! and! electricity!
supply,! waste! management,! creation! of! infrastructure,! housing! and! transport,! all! that!
impacts! on! equality! of! opportunity.! The! proponent! for! these! studies! is! often! the!
government,!and!it!can!be!argued!that!the!creation!of!the!infrastructure!is!contributing!to!
social!development!and!the!establishment!of!the!social!protection!floor.!This!places!SIA!
practitioners!at!the!forefront!of!development!and!provides!them!with!the!opportunity!to!
identify!the!relevant!social!development!practitioners,!such!as!social!workers,!working!in!
the!potentially!affected!areas!early!in!the!process.!If!no!social!development!practitioners!
are!active!in!the!community,!SIA!practitioners!can!link!the!affected!communities!with!the!
relevant! professionals.! Early! involvement! of! social! development! practitioners! will! give!
them!more!leverage!to!manage!the!potential!social!change,!enhance!benefits,!potentially!
address! existing! inequality! and! avoid! future! inequality.! Managing! social! change! and!
adressing! inequality,! especially! if! the! proposed! development! project! may! result! in!
cumulative!impacts,!requires!SIA!practitioners!to!engage!with!other!professionals!and!to!
refer! relevant! aspects! to! the! most! appropriate! profession! to! deal! with! the! aspect! in!
question,! e.g.! social! workers.! This! resonates! with! the! multiDfaceted! and! multiDsector!
approach!required!to!ensure!social!development!(Gray,!1996:9;!Patel!et!al.,!2012:215).!
Other! projects! mentioned! by! participants! are! focused! more! on! pure! economic!
development!aimed!at!profit!such!as!mining,!industry!and!commercial!developments.!The!
empirical!study!indicated!that!such!profitDdriven!projects!are!more!inclined!to!contribute!
to! economic! development! processes! within! communities,! skills! development! and! job!
creation!than!infrastructure!projects.!This!may!be!attributed!to!legal!and!Corporate!Social!
Investment! (CSI)! requirements! for! industry! and! to! the! fact! that! the! proponent! of! the!
study! is! not! a! government! department.! SIA! practitioners! have! the! opportunity! in! these!
developments! to! assist! developers! to! go! beyond! impact! assessment! and! contribute! to!
social!development.!In!this!way,!SIA!practitioners!can!ensure!that!economic!development!
results!in!real!positive!improvements!in!the!quality!of!life!of!the!poor!through!initiating!
empowering! social! programmes! and! administrative! arrangements! (Gray,! 2006:S56).! SIA!
practitioners! need! to! act! as! change! agents! to! ensure! that! a! sustainable! way! of! thinking!
becomes! engrained! in! project! development! in! order! to! ensure! social! development!
outcomes!(Aucamp!et!al.,!2011:56).!!
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!
Rowan!and!Streather!(2011:218)!state!that!there!are!benefits!for!developers!in!fostering!
mutually!beneficial!relationships!with!communities,!and!that!measures!to!enhance!social!
environment! are! more! effective! if! they! relate! to! project! activities! and! objectives,! for!
example! if! an! electricity! distribution! project! contributes! to! electrifying! local! villages! as!
part!of!the!project!benefits.!This!again!highlights!the!potential!for!SIA!to!act!as!a!form!of!
linking!social!capital!and!to!address!structural!inequality.!One!of!the!areas!with!the!most!
potential!for!successful!connections!is!the!linking!of!the!private!sector!with!communities.!
The!relationship!between!SIA!and!the!private!sector,!and!the!potential!of!harnessing!this!
relationship!will!be!discussed!under!Theme!4.!!
7.2.4 Theme'4:'SIA'practice'and'its'relationship'with'the'private'sector'
Theme! 4! explores! the! relationship! between! SIA! practice! and! its! relationship! with! the!
private! sector.! The! private! sector! includes! all! privately! owned! or! controlled! companies,!
organisations!and!entities!(Agrawala,!Carraro,!Kingsmill,!Lanzi,!Mullen!&!PrudentDRichard,!
2011:13).! It! does! not! include! other! private! actors! such! as! individuals! or! households!
(Agrawala!et!al.,!2011:13),!which!form!part!of!civil!society.!When!used!in!this!study,!the!
term!private$sector!therefore!refers!to!large!corporate!organisations,!mining,!commercial,!
industrial! and! profitDgenerating! organisations! in! general.! The! empirical! study! reveals!
some! positive! and! negative! aspects! in! the! relationship! between! SIA! and! the! private!
sector,! relating! to! the! value! of! SIA! as! a! business! tool,! constraints! affecting! the!
relationship,! and! issues! around! the! mitigation,! monitoring! and! management! of! social!
impacts!which!will!be!discussed!next.!
7.2.4.1 Using'SIA'as'business'tool'to'benefit'the'private'sector'
Participants!in!the!qualitative!study!indicated!that!SIA!is!a!tool!that!can!be!used!to!benefit!
both!business!(private!sector)!and!civil!society!in!a!number!of!ways.!They!viewed!assisting!
developers! to! comply! with! legal! requirements! as! one! of! the! main! functions! of! SIA.! The!
quantitative! study! confirms! that! minimum! legal! standards! are! addressed! in! SIA! reports.!
Legal!requirements!that!pertain!to!the!environmental!management!field!in!South!Africa!
relate! to! the! following! acts:! National! Environmental! Management! Act! 107! of! 1998;!
National!Water!Act!36!of!1998;!Mineral!and!Petroleum!Resources!Development!Act!28!of!
!
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2002,! and! Development! Facilitation! Act! 67! of! 1995,! inter! alia! (for! a! detailed! discussion!
see!Chapter!4,!Section!4.3).!!
Although!SIA!assists!developers!to!comply!with!legal!requirements,!participants!indicated!
that!it!often!ends!up!being!little!more!than!a!rubber!stamping!process.!Harvey!and!Bice!
(2014:328)! support! this! finding! by! describing! their! experience! of! regulatory! SIA! as! “a!
permitting!hurdle!rather!than!an!integral!part!of!operational!planning!and!management,!
let! alone! a! tool! for! democratic! development”.! Using! SIA! only! for! permitting! purposes!
dilutes! the! potential! positive! contribution! it! can! make! to! business! and! to! social!
development.!The!data!shows!that!SIA!in!South!Africa!does!not!seem!to!go!much!further!
than!compliance!with!the!minimum!legal!standards,!despite!many!potential!advantages.!
Esteves!et!al.!(2012:36)!list!eight!benefits!for!business!if!social!impacts!are!assessed!and!
managed!efficiently:!!
•
Better!chance!for!project!success!and!more!certainty!about!project!investments;!
•
Prevention!and!decrease!of!social!and!environmental!risks!and!conflicts!faced!by!
proponents!and!communities;!
•
Early! identification! of! issues! reduces! costs! and! allows! unavoidable! costs! to! be!
included!in!feasibility!assessments!and!project!planning;!
•
Enhanced!planning!for!social!and!environmental!infrastructure;!!
•
Informing! and! including! internal! and! external! stakeholders! and! assisting! in!
developing!trust!and!mutually!beneficial!futures;!
•
Better!quality!of!life!for!employees!and!attracting!and!retaining!skilled!workers;!!
•
A!positive!legacy!past!the!life!of!the!project;!and!
•
An! improved! competitive! advantage! through! better! social! performance! and!
corporate!reputation.!!
The!first!two!benefits!referred!to!by!Esteves!et!al.!(2012:36),!namely!project!investments!
and! risk! identification,! were! mentioned! in! the! qualitative! study.! Participants! linked! SIA!
with!CSI!associated!with!project!investments!and!indicated!that!the!private!sector!could!
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!
use! SIA! to! influence! their! CSI! programmes! and! make! an! investment! in! sustainable!
community!development.!Apart!from!the!aspects!listed!by!Esteves!et!al.!(2012:36)!above,!
SIA!can!contribute!to!social!and!environmental!justice!by!ensuring!benefits!and!risks!are!
distributed! fairly! through! a! society;! local! residents! participate! fully! in! environmental!
decisionDmaking;! local! culture,! traditions,! knowledge! and! way! of! life! are! acknowledged;!
and! local! communities! and! individuals! are! assisted! to! make! effective! and! successful!
choices!(Dominelli,!2012:98;!King,!2012:464).!
Participants!indicated!that!SIA!can!be!used!as!a!planning!tool!and!inform!the!design!of!CSI!
initiatives,!as!the!effectiveness!of!CSI!projects!are!often!diminished!because!they!do!not!
properly!address!the!needs!of!communities.!This!highlights!the!importance!of!not!only!SIA!
practitioners,! but! also! social! workers! to! become! involved! in! the! process,! since! social!
workers! are! trained! to! promote! active! citizenship! and! assist! communities! with!
participation! in! development! (Lombard! &! Twikirize,! 2014:318;! Patel! &! Hochfeld,!
2013:692).!!
The!participants!identified!certain!challenges!with!linking!SIA!to!CSI!namely:!there!should!
be!a!clear!distinction!between!mitigation!of!social!impacts!and!CSI!as!the!purpose!of!each!
concept! is! different;! CSI! are! often! handled! by! different! departments! within! client!
organisations;! SIA! has! a! projectDspecific! focus! and! is! not! wellDequipped! to! deal! with!
cumulative! impacts,! and! CSI! initiatives! might! be! seen! as! a! way! to! buy! goodwill! from!
communities! which! does! not! sit! well! with! the! independence! requirement! of! SIA.!
Participants!indicated!that!lines!between!CSI!and!SIA!mitigation!seem!to!blur!from!time!to!
time,! but! with! CSI! being! associated! with! a! corporate! function! and! SIA! with! a! technical!
function,!these!processes!are!mostly!handled!separately.!A!social!development!approach!
to!SIA,!involving!multiple!stakeholders!and!a!multiDsectorial!approach!(Midgley,!2014:14),!
could! assist! with! addressing! these! issues,! as! it! places! people! in! the! centre! of!
development,! focussing! the! outcomes! to! an! increase! of! wellbeing! and! capabilities! of!
impacted! communities.! By! doing! so,! a! number! of! secondary! challenges! such! as!
addressing!cumulative!impacts,!independence!and!ownership!of!initiatives!would!also!be!
addressed.!
!
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The!results!of!the!quantitative!study!indicate!that!the!energy!and!mining!sectors!are!the!
main! contributors! to! skills! development,! job! creation! and! economic! development!
initiatives.!This!can!be!ascribed!to!the!regulatory!requirements!in!the!form!of!SLPs!that!
are! associated! with! these! industries,! as! discussed! in! Section! 7.2.1.2! above.! Skills!
development,! job! creation! and! economic! development! initiatives! are! innate! to! social!
development!and!encourage!the!development!of!capabilities!amongst!the!poor!in!order!
to!secure!livelihoods!(Patel!&!Hochfeld,!2013:693).!Given!that!this!finding!is!based!on!the!
review! of! SIA! reports,! and! not! SLP! reports,! it! can! be! concluded! that! SIA! assists! with!
compliance! with! the! SLP! requirements,! which! includes! requirements! for! local! economic!
development!and!investments!in!the!host!communities.!
The! role! that! SIA! can! play! in! risk! assessment,! a! further! benefit! for! business,! was!
highlighted! in! the! qualitative! study.! In! an! unequal! society! such! as! South! Africa! (see!
Chapter! 3,! Section! 3.3)! social! risk! and! conflict! may! have! severe! implications! for! the!
private!sector!and!communities!alike,!as!can!be!seen!in!the!frequent!labour!unrest!in!the!
mining!sector,!primarily!fuelled!by!structural!inequality.!Participants!indicated!that!SIA!is!
an! important! tool! in! the! management! of! risks! to! companies,! since! it! assists! with!
understanding! the! context! where! activities! will! take! place! and! the! dynamics! of!
communities.!This!finding!is!supported!in!the!literature.!Vanclay!and!Esteves!(2011a:10)!
describe! SIA! as! an! investment! in! risk! management.! Risk! management! does! not! only!
benefit! business,! but! also! ensures! environmental! and! social! justice! in! affected!
communities! (Dominelli,! 2012:98;! King,! 2012:464).! Kemp! (2011:27)! underlines! the!
importance! of! presenting! SIA! findings! into! risk! management! language! to! ensure! the!
private! sector! can! relate! to! SIA! within! their! existing! management! frameworks.! This!
concurs!with!one!of!the!roles!for!the!SIA!practitioner!that!was!identified!in!the!qualitative!
study,! namely! the! role! of! translator! between! communities! and! the! private! sector.!
However,!the!relationship!between!SIA!practitioners!and!the!private!sector!is!not!without!
its!caveats,!and!the!next!key!finding!will!discuss!these!constraints!in!more!depth.!!
!
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'
!
7.2.4.2 Constraints'affecting'the'relationship'between'SIA'and'the'private'sector'
The! discussion! under! 7.2.4.1! above! demonstrates! that! the! private! sector! views! legal!
compliance!as!one!of!the!main!purposes!of!SIA.!The!empirical!study!shows!that!this!view!
from! the! private! sector! seems! to! be! misguided.! Participants! were! critical! towards!
regulatory! SIA! and! indicated! that! the! private! sector! undermines! SIA! by! doing! it! just! for!
compliance!purposes.!It!emerged!from!the!data!that!SIA!is!sometimes!not!considered!a!
useful!tool,!but!done!because!it!“looks!good”!and!creates!a!perception!that!the!developer!
cares!about!the!people.!Participants!were!of!the!opinion!that!the!business!objectives!of!
meeting!minimum!requirements!and!SIA!objectives!of!meeting!international!best!practice!
and!protecting!the!interest!of!the!community!are!often!in!direct!competition!with!each!
other.!Harvey!and!Bice!(2014:328)!support!this!finding,!stating!that!regulatory!SIA!focuses!
more!on!compliance!with!global!practices!than!on!focussing!on!exploring!local!concerns!
and!objectives.!Community!members!are!often!seen!as!environmental!objects,!assumed!
to! be! submissive! and! vulnerable! (Harvey! &! Bice,! 2014:328).! The! way! the! private! sector!
acts!towards!communities!in!these!situations!is!alienating;!it!takes!away!the!community’s!
right! to! selfDdetermination! and! marginalises! them! even! further! from! the! private! sector!
(Harvey! &! Bice,! 2014:328).! This! may! result! in! human! rights! infringements,! as! the!
principles! associated! with! environmental! justice,! namely! full! participation! in! decisionD
making! and! informed! choices! are! affected! (Dominelli,! 2012:98).! In! contrast,! if!
communities! are! recognised! as! key! stakeholders,! consulted! regularly,! and! included! in!
discussions! about! impacts,! it! results! in! better! companyDcommunity! relations! and! more!
sustainable!longDterm!outcomes!(Harvey!&!Bice,!2014:328).!
There!seems!to!be!uncertainty!about!the!boundaries!between!the!involvement!of!the!SIA!
practitioner!and!the!involvement!of!the!private!sector!in!the!impact!assessment!phase!of!
development,! as! participants! in! the! qualitative! study! indicated! that! proponents! often!
expect!SIA!to!deliver!on!aspects!that!are!not!the!responsibility!of!the!SIA!practitioner,!but!
that!of!the!proponent!or!the!government.!Wong!and!Ho!(2015:130)!state!that!one!of!the!
roles! of! an! SIA! practitioner! is! to! coordinate! involvement! between! the! different! parties!
involved!in!the!SIA!process!and!facilitate!conversations!and!negotiations.!The!qualitative!
study! indicates! that! there! seem! to! be! challenges! with! the! coordinating! role! that! SIA!
practitioners! are! supposed! to! play! in! the! practice! of! SIA! in! South! Africa.! Given! the!
!
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importance! of! involving! an! assortment! of! role! players! and! sectors,! and! partnerships!
between! the! state,! provincial! government! and! all! other! stakeholders! in! social!
development!(Gray,!1996:9;!Patel!et!al.,!2012:215),!it!can!be!argued!that!challenges!in!the!
coordinating! role! of! the! SIA! practitioner! will! stand! in! the! way! of! social! development!
outcomes.!!
Participants! reported! that! communication! amongst! different! roleDplayers! in! SIA! is!
problematic! and! the! weak! communication! results! in! challenges! such! as! roleDconfusion,!
timing!issues,!misuse!of!SIA,!misinterpretation!of!scope!and!lack!of!integration!between!
the! different! disciplines! involved! in! the! SIA! field! that! can! be! avoided.! This! may! be!
attributed! to! SIA! being! seen! as! the! “lesser! sibling”! of! EIA! in! South! Africa,! with! the! EIA!
system!being!greatly!biased!towards!the!biophysical!environment!in!terms!of!regulations,!
guidance! and! practice! (Hildebrandt! &! Sandham,! 2014:21).! Du! Pisani! and! Sandham!
(2006:713)!observe!that!integration!of!impact!assessments!may!not!be!a!big!challenge!in!
South!Africa,!since!there!are!seldom!several!social!scientists!involved!in!an!EIA,!except!in!
very!largeDscale!projects.!The!researcher!does!not!agree!with!this!observation,!since!her!
experience!in!practice,!having!conducted!more!than!100!SIA!studies!in!the!past!decade,!
has!shown!that!there!are!usually!at!least!three!social!scientists!involved,!namely!the!social!
specialist,!the!economist!(usually!specialising!in!socioDeconomic!studies)!and!the!heritage!
specialist.!In!addition,!visual!and!health!studies!are!also!included!as!part!of!the!specialist!
study! bouquet! from! time! to! time.! Experience! in! practice! therefore! supports! the!
observations! of! the! participants! that! integration! is! a! challenge.! The! fact! that! most!
biophysical!impacts!have!social!dimensions!must!also!be!considered!when!integration!of!
impacts!is!considered!(Slootweg,!Vanclay!&!Van!Schooten,!2003:66).!!
The! finding! related! to! the! misinterpretation! of! scope! and! timing! issues! resulting! in!
challenges!to!the!practice!of!SIA!is!confirmed!in!the!literature.!The!focus!or!scope!of!SIA!
has! been! identified! as! a! challenge! in! practice,! with! a! too! narrow! scope! being! more!
common! (Du! Pisani! &! Sandham,! 2006:714).! The! reasoning! behind! practitioners! using! a!
too! narrow! scope! is! the! tendency! to! meet! only! regulatory! requirements,! and! trying! to!
minimise! cost! and! time! spent! on! assessments! (Du! Pisani! &! Sandham,! 2006:714).!
Participants!in!the!qualitative!study!expressed!their!concern!about!the!limited!time!and!
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!
budgets! allowed! for! SIA! studies.! They! indicated! that! the! longDterm! involvement! of! SIA!
practitioners! is! imperative! to! add! more! value! and! to! contribute! to! the! development!
agenda,! something! that! the! onceDoff! SIA! process! could! not! do.! Social! development!
recognises! development! as! an! onDgoing! process,! and! involving! different! phases,! all! of!
which! need! the! input! and! participation! of! community! members! (Maistry,! 2012:34).! SIA!
practitioners! are! in! a! good! position! to! facilitate! the! participation! of! the! community,!
especially! if! they! engage! with! NGOs! and! other! organisations! or! professionals! in! the!
community! that! are! already! involved! in! social! development! initiatives,! such! as! social!
workers.!!
The! international! community! seems! to! share! the! concerns! of! the! participants! about!
timing!and!resources.!It!is!reported!that!the!resources!devoted!to!SIA!are!relatively!small!
in!comparison!to!the!biophysical!assessment!process!(Esteves!et!al.,!2012:36;!Parsons!&!
Moffat,!2014:275).!Harvey!and!Bice!(2014:328)!argue!that!time!and!cost!often!constrain!
efforts!to!involve!communities!and!technical!people!more!in!the!SIA!process.!Parsons!and!
Moffat!(2014:275)!elaborate!further!on!the!timeDissue,!by!pointing!out!that!traditionally!
SIA!is!conducted!once!prior!to!development!taking!place,!and!remains!unchanged!despite!
the!unavoidable!fluctuation!associated!with!the!development!cycle,!ignoring!the!fact!that!
SIA,!as!social!development,!is!both!a!process!and!an!outcome!!(Midgley,!2014,!Vanclay!et!
al.,2015).! Harvey! (2011:xxxii)! criticises! SIA! as! presenting! a! point! in! time! and! failing! to!
create!a!system!that!can!consider!changing!conditions.!However,!longitudinal!models!for!
SIA! that! take! the! evaluation,! monitoring! and! management! of! social! impacts! in!
consideration! are! emerging! (Parsons! &! Moffat! 2014:275)! and! this! requires! longerDterm!
involvement!of!SIA!practitioners.!This!is!a!clear!opportunity!to!include!social!development!
outcomes! in! the! SIA! process.! Du! Pisani! and! Sandham! (2006:716)! recommend! that! SIA!
should! adopt! a! strategy! that! can! anticipate! and! adapt! to! change.! When! longerDterm!
involvement! of! SIA! is! considered,! the! issues! around! the! mitigation,! monitoring! and!
management! of! social! impacts! must! be! interrogated.! SubDheading! 7.2.4.3! below! will!
discuss!the!findings!around!these!aspects.!!
!
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7.2.4.3 Issues'around'mitigation,'monitoring'and'management'of'social'impacts'that'
stands'in'the'way'of'social'development'outcomes'
Participants! in! the! qualitative! study! acknowledged! the! importance! of! mitigation,!
monitoring!and!management!of!social!impacts,!but!identified!it!as!a!particular!weakness!
of! current! SIA! practice! in! South! Africa.! Theoretically! mitigation,! management! and!
monitoring! are! part! of! the! SIA! process,! but! management! and! monitoring! specifically!
received!little!attention!in!practice!until!recently.!SIA!has!historically!been!regulated!as!a!
onceDoff,!pointDinDtime!assessment!document!(Franks!&!Vanclay,!2013:41),!rather!than!a!
process! instated! for! the! lifetime! of! a! project.! It! is! predominantly! conducted! in! a!
regulatory!context!as!part!of!the!EIA!process,!which!may!explain!the!lack!of!focus!on!the!
management! and! monitoring! of! social! impacts,! as! numerous! social! aspects! seem! to! be!
diluted!in!the!EIA!studies!(Hildebrandt!&!Sandham,!2014:21).!This!does!not!bode!well!for!
social!and!environmental!justice,!or!social!development,!as!the!social!patterning!of!costs!
and! benefits! would! therefore! not! be! explicitly! managed! and! monitored! from! a! social!
perspective! throughout! the! project! cycle! (Walker,! 2010:312).! While! SIA! is! still! used! and!
regulated!as!a!pointDinDtime!assessment,!it!will!be!limited!in!its!usefulness!to!contribute!to!
social!development,!which!is!both!a!process!and!an!outcome,!and!can!therefore!not!be!
achieved!by!a!single!shortDterm!intervention!(Estes,!1998:2;!Lombard,!2008:159;!McBride,!
Benitez!&!Danso,!2003:1).!
Participants! in! the! qualitative! study! pointed! out! that! an! SIA! should! recommend! a!
management/monitoring!tool!that!applies!to!the!construction!and!operation!phase.!They!
indicated!that!a!mitigation!plan!and!monitoring!and!evaluation!measures!form!part!of!the!
SIA!process!that!they!follow.!This!is!a!true!reflection!of!SIA!practice,!as!was!confirmed!in!
the! quantitative! study,! where! 11! (73%)! of! the! reports! referred! to! the! monitoring! of!
mitigation! measures.! However,! this! does! not! mean! that! it! is! always! done! efficiently,! as!
Hildebrandt!and!Sandham!(2014:23)!found!in!a!review!conducted!on!SIA!report!quality!in!
South! Africa,! that! alternatives! and! mitigation! were! the! areas! with! the! poorest!
performance!in!SIA!reports.!This!implies!that!the!weakness!of!mitigation,!monitoring!and!
management!of!social!impacts!can!at!least!partially!be!attributed!to!the!manner!in!which!
it!is!communicated!in!reports,!and!that!the!private!sector!should!not!carry!all!the!blame.!
SIA! practitioners! should! therefore! be! made! aware! of! the! disconnect! between! their!
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intentions! when! they! produce! reports! and! the! real! potential! of! human! rights!
infringements! that! may! result! due! to! weak! mitigation,! monitoring! and! social! impact!
management!measures.!
Participants! in! the! qualitative! study! were! of! the! opinion! that! developers! do! not! take!
ownership! of! social! management! plans.! Franks! et! al.! (2009:40)! report! that! there! is!
frequently! a! lack! of! integration! between! SIA! and! social! impact! management,! often!
because! the! SIA! is! conducted! by! external! consultants! for! regulatory! purposes,! and! the!
management! of! social! impacts! falls! within! the! ambit! of! the! project! developer! and! are!
managed! inDhouse.! The! management! of! social! impacts! requires! coordination! across! the!
operation,! but! this! frequently! fails! to! happen! and! remains! the! responsibility! of! a! small!
section! of! the! business! (Franks! et! al.! 2009:40).! It! can! be! argued! that! social! impact!
management!not!only!requires!coordination!across!operations,!but!also!across!other!role!
players!such!as!local!government.!This!coordination!is!especially!important!if!the!required!
outcome! is! social! development,! as! a! multiDfaceted! approach! is! intrinsic! to! social!
development!(Midgley,!2014:14).!!
In! contrast,! Harvey! (2014:11)! warns! against! the! oneDsided! delivery! of! programmes! that!
are! not! related! to! the! company’s! core! business,! and/or! implemented! by! outsiders! or!
company! people! who! are! isolated! from! the! rest! of! the! company.! He! recommends! that!
internal! business! activities! must! be! aligned! with! the! achievement! of! human! and! social!
development! goals! to! ensure! greater! success! (Harvey,! 2014:11).! If! Harvey’s! (2014:11)!
argument!is!accurate,!it!can!be!reasoned!that!unless!the!company!buys!in!to!a!multiDparty!
approach!to!mitigation,!social!development!outcomes!would!be!unlikely,!since!companies!
in! question! would! only! uphold! initiatives! while! they! are! in! business,! and! the! end! result!
would! not! be! sustainable.! It! seems! as! if! companies! do! not! take! ownership! of! social!
management! plans! because! they! are! too! far! removed! from! their! core! business,! and!
therefore! they! do! not! have! the! expertise! or! inclination! to! give! attention! to! them,! and!
they! do! not! have! the! skills! or! receive! the! necessary! guidance! to! assist! them! with!
achieving!social!development!outcomes.!!
Participants!in!the!qualitative!study!indicated!that!there!is!a!definite!lack!of!enforcement!
of!social!mitigation/enhancement!measures.!Du!Pisani!and!Sandham!(2006:716)!confirm!
!
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that!SIA!does!not!form!part!of!longerDterm!environmental!processes!in!South!Africa,!and!
that! postDimplementation! monitoring! and! auditing! of! social! impacts! are! not! legally!
enforced,!although!it!is!a!legal!requirement!to!appoint!an!environmental!control!officer!
(ECO)! to! ensure! that! the! conditions! of! authorisation! under! the! National! Environmental!
Management!Act!107!of!1998!as!spelled!out!in!Regulation!543,!37.1!d!ii!are!met.!Social!
aspects!are!seldom!considered!by!ECOs!as!the!focus!is!on!the!biophysical!components!of!
sustainability! (Wessels,! MorrisonDSaunders! &! Retief,! 2015:182).! It! appears! that! unless!
social!management!and!monitoring!is!imposed!in!one!way!or!another,!or!it!is!redirected!
towards! explicit! social! development! outcomes,! it! will! continue! to! be! a! weakness! in! the!
SIA!process.!
The!qualitative!study!shows!that!project!proponents!on!their!own!are!not!well!equipped!
to! make! sustainable! contributions,! except! in! largeDscale! projects.! Participants! indicated!
that!it!is!therefore!important!to!involve!all!parties!in!a!collaborative!planning!process!to!
ensure!sustainable!outcomes.!The!findings!of!the!quantitative!study!confirm!that!this!is!
implemented!in!practice,!since!collaborative!planning!involving!multiple!stakeholders!are!
recommended!in!the!majority!of!the!reports!(see!Chapter!6,!Section!6.4.2).!This!is!in!line!
with!social!development!practice!that!requires!a!collective!approach!to!planning!involving!
several! stakeholders! (Gray,! 1996:9;! Patel! et! al.,! 2012:215).! Despite! this! finding,! the!
quantitative! study! shows! that! the! weight! of! the! responsibility! for! carrying! the! costs! for!
the! mitigation! was! on! the! proponent! alone! (see! Chapter! 6,! Section! 6.4.3).! The!
quantitative!results!indicated!that!11!(73%)!of!the!studies!recommended!mitigation!that!
will!only!be!successful!as!long!as!the!proponent!funds!it.!Such!an!approach!will!not!result!
in! social! development! outcomes,! and! is! not! sustainable.! The! implications! of! giving! the!
sole!financial!responsibility!to!project!proponents!are!that!these!proponents!are!often!left!
with! significant! financial! obligations! to! implement! mitigation! measures! that! may! not!
necessarily! be! their! responsibility.! Holm! et! al.! (2013:219)! stress! that! SIA! should! not!
require! companies! to! provide! or! fund! a! service! that! is! normally! the! function! of!
government.! In! South! Africa,! it! is! often! tempting! to! get! these! funds! or! services! from!
external! companies,! since! poor! project! planning,! management! and! lack! of! capacity! to!
execute! plans! leads! to! underD! or! overDspending! of! budgets! on! local! municipal! level,!
causing! structural! inequality.! The! result! of! this! weak! financial! management! is! that! the!
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funds!allocated!to!service!delivery!and!infrastructure!are!not!spent!astutely!according!to!
demand! (Managa,! 2012:3),! and! as! a! result! the! local! communities! suffer.! Social! impact!
management!strategies!could!assist!with!reaffirming!the!role!of!government!in!providing!
these! services! (Franks! &! Vanclay,! 2013:41;! Holm! et! al.,! 2013:2019).! The! private! sector!
needs! a! framework! to! identify,! assess! and! manage! social! impacts! in! their! control! and!
sphere!of!responsibility!(Franks!&!Vanclay,!2013:41;!Holm!et!al.,!2013:219).!It!is!important!
to! consider! that! social! impact! management! is! only! one! aspect! of! a! company’s! social!
performance! (Holm! et! al.,! 2013:219;! Parsons! &! Moffat,! 2014:273).! Aspects! such! as!
community! engagement,! benefit! sharing,! social! return! on! investment,! social! auditing,!
social!licence!to!operate,!stakeholder!engagement!and!grievance!management!also!form!
part! of! the! social! performance! package! and! can! potentially! contribute! to! the! social!
development! of! communities! in! projectDaffected! areas! as! will! be! expanded! on! the!
paragraph!below!(Holm!et!al.,!2013:219;!Parsons!&!Moffat,!2014:273).!!!
The! onDgoing! monitoring,! management! and! evaluation! processes! encouraged! by!
contemporary! SIA! promotes! the! nurturing! of! relationships! with! affected! communities,!
which! in! turn! assists! with! the! achievement! of! a! social! licence! to! operate! (Parsons! &!
Moffat,!2014:276).!It!also!contributes!to!other!aspects!included!in!the!social!performance!
packages!as!identified!by!Holm!et!al.!(2013:219)!and!Parsons!and!Moffat!(2014:273).!OnD
going! monitoring,! management! and! evaluation! processes! will! also! contribute! to! social!
development! outcomes,! as! it! will! allow! for! adaptive! management! as! the! project!
progresses,! ensuring! the! wellbeing! of! people! is! promoted! throughout! the! process!
(Midgley,! 2014:17).! Efficient! monitoring! and! management! processes! will! therefore! be!
beneficial!to!the!private!sector!to!ensure!positive!outcomes!for!all!parties!concerned.!
7.2.5 Theme'5:'Professional'development'in'the'SIA'field'required'to'strengthen'and'
improve'SIA'practice'
Aspects! around! professional! development! in! the! SIA! field! required! to! strengthen! and!
improve!SIA!practice!featured!strongly!in!the!empirical!study.!The!findings!indicate!that!
there!is!a!need!amongst!SIA!practitioners!to!engage!with!a!community!of!professionals,!
and!for!more!guidance!about!certain!aspects!of!SIA.!These!findings!will!be!next!discussed!
under!two!key!findings,!namely!the!need!for!a!professional!body!to!advance!SIA!practice,!
!
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and!the!need!for!SIA!guidelines!to!guide!SIA!practitioners,!and!inform!other!role!players!in!
the!SIA!field.!
7.2.5.1 Need'for'a'professional'body'to'advance'SIA'practice'
The! participants! in! the! qualitative! study! indicated! that! SIA! practitioners! need! a!
professional!body!that!can!look!after!their!interests!and!advance!the!practice!of!SIA.!Du!
Pisani! and! Sandham! (2006:713)! support! this! finding! and! declare! that! as! long! as! SIA!
practitioners!are!not!legally!required!to!register!with!a!professional!body!there!will!always!
be! ambiguities! about! who! should! take! the! lead! in! SIA.! Key! recommendations! from! Du!
Pisani!and!Sandham’s!assessment!of!the!performance!of!SIA!in!the!EIA!context!in!South!
Africa! include! a! system! of! mandatory! registration! for! SIA! practitioners! and! specialised!
accredited! training! programmes! (Du! Pisani! &! Sandham! 2006:720).! Aucamp! et! al.!
(2011:55)! echo! this! view! and! identified! an! institutional! home! for! SIA! that! includes!
professional!registration!and!continual!professional!development,!as!changes!required!in!
SIA! to! ensure! more! sustainable! outcomes.! Barrow! (2000:71)! states! that! professional!
accreditation! and! monitoring! of! practitioners! would! improve! the! practice! of! SIA! by!
establishing! international! standards,! which! will! improve! quality! and! consistency,! and!
professional! ethics.! It! will! also! assist! with! ensuring! SIA! results! in! social! development!
outcomes,!as!there!will!be!a!dedicated!body!to!develop!this!potential.!
In!order!to!attain!professional!certification,!as!is!an!aspiration!of!some!participants!in!the!
qualitative! study,! SIA! would! need! to! be! classified! as! a! profession.! Whether! SIA! can! be!
classified!as!a!profession!is!debatable!and!depends!on!the!definition!used!to!describe!a!
profession,! since! interpretation! of! the! concept! is! broad! (compare! Adams,! 2010;! Brante,!
2011;! Evetts,! 2013;! Saks,! 2012! and! Theletsane,! 2013).! The! dominating! definition! of! a!
profession! seems! to! include! a! list! of! attributes! such! as! a! body! of! knowledge,! extended!
education,!examinations,!licensing,!a!specific!association!or!organisation,!various!types!of!
control,! community! of! practitioners,! work! for! the! common! good,! autonomy! and!
confidentiality!(Brante,!2011:5).!Based!on!Brante’s!definition!(2012:5)!SIA!does!not!meet!
all!the!requirements!to!be!classified!as!a!profession,!but!there!are!indications!that!SIA!is!
moving!in!that!direction.!Esteves!et!al.!(2012:34)!describe!SIA!as!“…a!field!of!research!and!
practice,!a!discourse,!paradigm!or!subDdiscipline!in!its!own!right”.!There!is!an!established!
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body! of! knowledge! about! theory! and! methods,! a! collection! of! tools,! accrued! practical!
experience,! insight! and! recorded! case! studies,! as! well! as! international! principles!
describing! the! values! of! SIA,! whilst! the! International! Association! for! Impact! Assessment!
provides! SIA! researchers! and! practitioners! with! a! professional! home! (Esteves! et! al.,!
2012:34).!Some!of!the!attributes!of!a!profession!are!therefore!already!present!in!SIA.!It!
must! also! be! considered! that! the! definition! and! requirements! to! be! a! profession! are!
changing,!as!the!nature!of!professions!vary!across!time,!place!and!field!and!overDarching!
structural!qualities!might!be!more!appropriate!than!a!list!of!qualities!(Adams,!2010:53).!
Creating! closer! linkages! between! SIA! and! social! development! may! advance! the!
aspirations! of! the! SIA! community! to! be! classified! as! a! profession,! given! that! social!
development!is!already!affiliated!with!social!work,!an!existing!profession!with!their!own!
council,!the!South!African!Council!for!Social!Service!Professionals!(Patel,!2008:74).!
Another! important! consideration! when! investigating! the! professionalising! of! SIA! is! the!
fact!that!environmental!assessment!professionals!(EAPs)!in!South!Africa!are!busy!with!a!
process! of! regulation! that! includes! certification! (Mostert,! 2014:26).! The! National!
Environmental!Management!Amended!Act!25!of!2014!makes!provision!for!a!professional!
certification! body! in! Section! 24H.! The! only! certification! body! that! could! possibly!
accommodate!SIA!practitioners!is!the!Certification!Board!for!Environmental!Practitioners!
in! South! Africa! (EAPSA),! but! the! requirement! for! a! degree! in! environmental! practice!
(EAPSA,! [sa])! will! exclude! many! SIA! practitioners.! According! to! EASPA,! [sa]! registration!
will!initially!focus!on!the!certification!of!environmental!assessment!practitioners,!implying!
that! it! will! later! extend! to! the! full! spectrum! of! environmental! practitioners,! which!
includes! SIA! practitioners.! It! appears! as! if! there! may! be! future! opportunities! for! SIA!
practitioners! to! be! certified,! but! at! the! time! of! writing! there! are! no! registration!
opportunities!available!to!practitioners,!unless!they!can!register!with!a!professional!body!
associated! with! their! primary! qualifications! such! as! the! South! African! Council! for! Social!
Service!Professions!in!the!case!of!social!workers.!
Participants! indicated! that! there! is! a! need! for! training! and! professional! development!
opportunities!amongst!practitioners.!This!finding!is!supported!in!the!literature!(Aucamp!
et! al.,! 2011:55;! Du! Pisani! &! Sandham! 2006:713),! but! without! a! professional! body! or!
!
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association!that!champions!these!activities,!such!opportunities!may!not!transpire.!Given!
the! links! between! SIA! and! social! development! such! as! peopleDcentred! development;!
participation;! social! and! environmental! justice;! multiple! role! players;! potential! for!
partnerships;! and! the! promotion! of! wellbeing! that! have! been! identified! in! this! study,! it!
can! be! deduced! that! SIA! practitioners! may! benefit! from! training! and! professional!
development!in!the!field!of!social!development.!The!empirical!study!indicates!that!apart!
from!the!need!for!training!and!professional!development,!the!practice!of!SIA!would!also!
benefit!from!guidelines!as!will!be!discussed!next.!!
7.2.5.2 Need'for'SIA'guidelines'to'inform'all'the'role'players'in'the'SIA'process'
The! empirical! study! reveals! that! SIA! practitioners! come! from! a! variety! of! disciplines.!
Participants!indicated!that!this!adds!depth!to!the!field,!but!also!underlines!the!need!for!
guidelines!that!will!ensure!a!consistent!approach.!Esteves!et!al.!(2012:34)!state!that!SIA!is!
an!interD!or!transDdisciplinary!social!science!that!includes!many!fields!such!as!psychology,!
sociology,!anthropology,!development!studies,!social!and!cultural!geography,!economics,!
human! rights,! law! and! political! science,! amongst! others.! The! interD! or! transDdisciplinary!
nature!of!SIA!was!reflected!in!the!qualifications!of!the!participants!in!the!empirical!study!
that! included! economists,! lawyers,! geographers,! anthropologists,! psychologists,! town!
planners,! sociologists,! natural! scientists,! communication! specialists,! demographers,!
political! scientists,! statisticians,! project! management! specialists,! tourism! specialists,!
heritage!specialists!and!social!workers.!Given!this!assortment!of!occupations,!the!need!for!
guidance!to!conduct!SIA!is!clear.!
Participants!expressed!a!need!for!guidance!on!SIA!on!a!number!of!levels.!The!first!level!is!
from! a! proponent’s! perspective! that! draws! up! a! Terms! of! reference.! Esteves! et! al.!
(2012:40)!support!the!need!for!guidance!about!SIA!for!role!players!who!commission!SIA,!
as!they!identified!limited!understanding!and!skills!amongst!this!group!as!a!major!barrier!
to! innovative,! positive! development! outcomes.! Therefore,! if! a! proponent! comprehends!
what!value!SIA!can!add,!and!what!its!limitations!are,!it!will!be!easier!to!direct!funds!and!
resources!towards!SIA!and!decide!on!desired!outcomes.!!
The! second! level! where! participants! indicated! a! need! for! guidance! is! from! an! EIA!
practitioner’s! perspective! to! ensure! that! consultants! are! aware! of! minimum!
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requirements.!Hildebrandt!and!Sandham!(2014:24)!ascribe!the!poor!performance!of!SIA!
reports! in! their! study! partially! to! the! lack! of! understanding! of! the! need! for! SIA! by!
developers,! EIA! practitioners! and! authorities,! and! lack! of! skill! for! conducting! and!
reviewing!SIA.!Better!guidance!about!SIA!amongst!EIA!practitioners!should!therefore!lead!
to! better! quality! SIA! reports,! as! it! will! assist! with! focussing! SIA! studies! within! the! EIA!
process.!!
The! third! level! where! participants! indicated! a! need! for! guidance! is! at! the! level! of! SIA!
practitioners! to! guarantee! that! basic! topics! are! included! in! reports.! Du! Pisani! and!
Sandham! (2006:720)! indicate! that! a! policy! framework! and! guidelines! are! needed! to!
improve! the! practice! of! SIA! in! South! Africa.! Aucamp! et! al.! (2011:55)! support! this! by!
recommending!that!there!should!be!regulation!for!SIA!–!either!through!legal!processes!or!
international! best! practice! standards.! The! quantitative! study! reveals! that! international!
best!practice!guidelines!were!seldom!considered!in!SIA!reports,!and!local!guidelines!were!
considered! in! about! half! of! the! studies.! This! is! incongruent! with! the! findings! of! the!
qualitative! study! where! most! of! the! participants! in! the! interviews! indicated! that! they!
focus!on!international!literature!and!guidelines!to!direct!their!work.!!
The! fourth! level! where! participants! indicated! a! need! for! guidance! is! for! standard!
reviewing! guidelines! and! a! shared! understanding! of! SIA.! The! participants! in! the!
qualitative! study! indicated! two! types! of! review,! namely! review! by! authorities! and! peer!
reviews.! In! this! regard! they! said! that! peer! review! processes! should! be! prescribed! to!
remove! bias.! There! are! some! inherent! challenges! in! evaluating! SIA,! as! it! has! to! be!
considered!that!SIA!takes!place!in!different!contexts!and!for!different!reasons!(Vanclay,!
2003:7).! Reviewers! evaluating! SIA! should! consider! the! intended! purpose! of! the! specific!
SIA! (Vanclay,! 2003:7).! As! far! as! authority! review! is! concerned,! it! is! suggested! that! the!
limited!capacity!of!authorities!and!resources!available!for!quality!control!has!a!negative!
impact! on! the! standard! of! SIA,! resulting! in! SIA! reports! that! meet! only! minimum!
requirements!(Esteves!et!al.,!2012:36).!!
The!last!level!where!participants!indicated!a!need!for!guidance!is!for!authorities!to!inform!
them!what!critical!aspects!should!influence!their!decisionDmaking.!Esteves!et!al.!(2012:37)!
state! that! authorities! could! assist! with! improving! the! quality! of! SIA! by! formulating! the!
!
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terms! of! reference! for! SIA! studies! better,! as! it! should! include! spatial,! temporal! and!
stakeholder! distribution! of! impacts! and! benefits.! Authorities! should! also! enforce! better!
integration! amongst! different! specialist! studies! and! ensure! key! issues! are! addressed!
(Esteves!et!al.,!2012:37).!The!discussion!under!Theme!2!(see!Sections!7.2.2.1!to!7.2.2.2)!of!
this!chapter!indicates!that!South!African!authorities!would!not!be!able!to!fulfil!this!role!
unless! they! receive! guidance! and! capacity! building! from! external! partners,! such! as! SIA!
practitioners.!
Participants!interviewed!for!the!qualitative!study!indicated!that!SIA!guidelines!would!be!
preferred! above! regulations.! This! is! in! contrast! with! participants! from! the! World! Café,!
who! could! not! reach! consensus! on! whether! SIA! should! be! legislated.! It! should! be!
considered!that!the!establishment!of!a!professional!body!would!require!regulation!of!the!
profession,!therefore!it!seems!as!if!the!SIA!practitioners!would!still!need!to!conclude!the!
debate!about!guidelines!versus!regulation!before!they!can!advance!on!the!path!towards!
registration.! Hildebrandt! and! Sandham! (2014:24)! state! that! the! lack! of! regulatory!
prescription! regarding! SIA! has! a! positive! side,! as! it! forces! SIA! practitioners! to! develop!
their! practice! continually! in! striving! to! meet! international! best! practice.! Their! research!
found! that! SIA! performance! has! improved! in! spite! of! the! absence! of! explicit! regulatory!
requirements!(Hildebrandt!&!Sandham,!2014:!24).!
Participants!in!the!qualitative!study!indicated!the!importance!of!a!consistent!approach!to!
SIA!in!South!Africa.!A!recently!published!(April!2015)!international!guideline!for!SIA!under!
the!auspices!of!the!International!Association!for!Impact!Assessment!may!partially!address!
this! need! (Vanclay! et! al.,! 2015:i).! The! purpose! of! this! document! is! to! provide! advice! to!
various!stakeholders!about!good!practice!SIA!and!social!impact!management!(Vanclay!et!
al.,!2015:i).!This!document!aspires!to!provide!a!muchDneeded!benchmark!for!SIA!practice!
across!the!globe,!and!will!address!many!of!the!concerns!highlighted!above.!However,!the!
new!SIA!guidance!document!(Vanclay!et!al.,!2015)!does!not!give!explicit!guidance!on!how!
to! ensure! social! development! outcomes! as! part! of! the! SIA! process,! although! human!
rights,! the! capabilities! approach,! sustainable! social! development! and! the! postD2015!
sustainable!development!goals!are!important!considerations!in!the!document!(Vanclay!et!
al.,! 2015:10D13).! However,! it! must! be! noted! that! it! is! an! international! guideline,! and!
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!
therefore! many! aspects! are! addressed! generically.! There! is! therefore! scope! for! SIA!
practitioners!in!South!Africa!to!adapt!it!to!ensure!it!is!locally!relevant.!
7.3 'Summary'
The!key!findings!of!the!study!were!interpreted!under!five!themes!in!this!chapter,!namely!
the! potential! contribution! of! SIA! to! social! development! outcomes;! the! relationship!
between! SIA! and! the! government,! the! relationship! between! SIA! and! communities;! the!
relationship!between!SIA!and!the!private!sector;!and!professional!development!in!the!SIA!
field.!The!theoretical!framework!of!the!study,!social!development,!was!used!as!a!lens!to!
reflect!on!these!five!themes.!
The!findings!indicate!that!SIA!practitioners!need!to!be!capacitated!in!social!development!
theory! to! ensure! SIA! contributes! to! social! development! outcomes.! Although! their!
understanding! of! areas! of! social! development! is! lacking,! there! are! clear! connections!
between! SIA! practice! and! social! development! such! as! peopleDcentred! development;!
participation;! social! and! environmental! justice;! multiple! role! players;! potential! for!
partnerships;! and! the! promotion! of! wellbeing.! Therefore,! despite! the! limited!
understanding! about! social! development! theory,! there! are! indications! that! SIA!
contributes!to!social!development,!and!that!there!are!opportunities!to!capitalise!on!these!
contributions!to!ensure!even!better!outcomes.!The!findings!indicate!that!in!order!for!SIA!
to!contribute!to!social!development,!some!changes!in!the!practice!of!SIA!will!be!required.!!
The!findings!confirm!that!the!government!is!a!key!role!player!in!the!SIA!field,!but!that!SIA!
does! not! reach! its! full! potential! as! decisionDmaking! instrument.! There! are! some!
challenges! with! capacity! and! skills! amongst! government! officials.! This! is! a! matter! of!
concern!given!South!Africa’s!aspiration!to!be!a!developmental!state,!and!the!role!that!the!
government! should! play! in! social! development! as! spelled! out! in! the! White! Paper! for!
Social!Welfare!(RSA,!1997)!and!the!White!Paper!on!Local!Government!(RSA,!1998b).!The!
findings!also!point!out!that!SIA!requires!corporative!governance!and!the!involvement!of!
government! departments! other! than! just! the! Departments! of! Environmental! Affairs! or!
Mineral!Resources,!such!as!the!Department!of!Social!Development.!The!findings!indicate!
that! the! existing! authorisation! process! for! SIAs! is! inadequate! and! is! not! likely! to! assist!
with!social!development!outcomes.!!
!
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The!findings!affirm!the!importance!of!community!participation!in!the!SIA!process.!It!is!at!
the!centre!of!SIA!practice!and!meaningful!participation!of!communities!was!identified!as!
imperative!to!ensure!social!development!outcomes.!The!findings!confirm!that!SIA!has!the!
potential!to!act!as!a!link!by!connecting!communities!with!other!role!players.!Therefore,!
SIA!can!potentially!contribute!to!the!post!2015!development!agenda.!!
The!results!of!the!study!show!that!SIA!has!significant!potential!to!act!as!a!business!tool,!
and!that!one!of!the!main!reasons!for!conducting!SIA!is!to!ensure!legal!compliance.!Some!
constraints!in!the!relationship!between!SIA!and!the!private!sector!limit!its!usefulness!as!a!
social!development!tool.!The!findings!indicate!that!these!constraints!can!be!attributed!to!
SIA!practitioners!and!the!private!sector!alike.!There!are!missed!opportunities!that!can!be!
mutually! beneficial! for! both! parties! if! they! are! embraced.! Another! important! finding! is!
that! when! SIA! is! used! only! as! a! pointDinDtime! assessment,! its! value! and! usefulness! as! a!
tool!for!social!development!decreases.!The!study!identified!clear!benefits!in!involving!the!
private!sector!with!evaluating,!monitoring!and!managing!social!impacts!in!the!long!term,!
but! warns! against! allowing! the! private! sector! becoming! a! “surrogate! government”! (see!
Chapter!6,!Section!6.2.2).!
The! findings! indicate! that! there! is! a! need! for! professional! development! in! the! SIA! field,!
with! better! guidance! and! regulation,! although! the! exact! nature! is! still! a! discourse.! The!
guidance! is! required! for! all! parties! involved! in! the! SIA! field,! from! clients! commissioning!
the!studies!to!EIA!consultants!and!authorities,!and!finally!to!SIA!consultants!themselves.!!
The!next!chapter!concludes!this!study!with!a!summary!of!the!key!findings!in!relation!to!
how! the! goal! and! objectives! of! the! study! were! obtained,! conclusions! and!
recommendations!of!the!study.!!
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!
Chapter'8. Conclusions'and'recommendations'
8.1 Introduction'
This!chapter!presents!conclusions!based!on!the!key!findings!integrated!from!the!literature!
review! (Chapters! 2,! 3! and! 4)! and! the! empirical! study! (Chapters! 6! and! 7),! and! assesses!
whether! the! goal! and! objectives! of! the! study! have! been! reached! using! the! theoretical!
framework! (Chapter! 2)! of! social! development! borrowing! from! theory! underpinning!
poverty,! human! rights,! the! social! protection! floor! and! developmental! social! work! as! a!
lens.!The!chapter!concludes!with!recommendations!derived!from!the!findings.!!
8.2 Goal'and'objectives'of'the'study'
The!goal!of!the!study!was!to!explore!SIA!as!a!tool!for!social!development!in!South!Africa.!
The! achievement! of! this! goal! was! guided! by! the! following! research! and! subDresearch!
questions:!!
•
Could!SIA!be!effectively!used!as!a!tool!for!social!development!in!the!South!African!
context?!
The!subDresearch!questions!that!guided!the!researcher!to!answer!the!research!question!
were!the!following:!!!
o To! what! extent! does! the! SIA! methodology! currently! practiced! in! South!
Africa!reflect!social!development?!
o Could! guidelines! for! SIA! assist! practitioners! with! achieving! social!
development!outcomes?!!!
The!goal!was!achieved!through!the!following!objectives:!!
•
Objective' 1:! To! contextualise! SIA! as! a! development! tool! within! a! social!
development!framework.!
This! objective! was! achieved! through! a! literature! study! presented! in! Chapter! 2! that!
presented! social! development! as! a! theoretical! framework! for! the! study,! and! Chapter! 3!
that!presented!SIA!in!the!South!African!context.!Chapter!2!commenced!with!a!discussion!
!
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on!the!theory!of!poverty!(Section!2.2)!and!included!a!section!on!poverty!and!inequality!in!
the!South!African!context!(Section!2.2.2)!to!provide!a!background!on!the!need!for!social!
development.! Human! rights! (Section! 2.3),! developmental! social! work! (Section! 2.4),! the!
social! protection! floor! (Section! 2.4.2)! and! the! link! between! social! work! and! the!
environment! (Section! 2.4.3)! were! used! to! inform! the! social! development! theoretical!
framework! (Section! 2.5).! Chapter! 3! introduced! the! South! African! context! based! on!
geography,! demographics,! migration! and! xenophobia! (Section! 3.3.1).! It! provided! an!
overview!of!the!importance!of!race!and!culture!to!provide!insight!in!the!context!where!
SIA! is! conducted! (Section! 3.3.2).! Chapter! 3! included! a! brief! orientation! into! the!
government! and! administration! system! where! SIA! is! positioned! (Section! 3.4).! Current!
international!best!practice!in!SIA!was!juxtaposed!with!the!South!African!situation!(Section!
3.5).!These!chapters!established!that!from!a!theoretical!perspective!SIA!could!potentially!
contribute!to!social!development!outcomes,!since!there!are!links!between!these!fields.!
•
Objective' 2:! To! explore! the! extent! of! the! policy! mandate! to! integrate! social!
development!issues!in!the!environmental!management!field.!
This! objective! was! achieved! through! a! literature! review! of! the! legal! and! institutional!
instruments! promoting! social! sustainability! presented! in! Chapter! 4.! The! chapter!
presented! a! discussion! on! the! Constitution! of! the! Republic! of! South! Africa! 1996,!
establishing! that! there! are! constitutional! rights! pertaining! to! the! social! environment!
(Section! 4.2).! A! review! of! South! African! environmental! and! social! legislation! confirmed!
the! anthropocentric! nature! of! these! acts! and! firmly! established! a! legal! mandate! to!
integrate!social!development!issues!in!the!environmental!management!field!(Section!4.3).!
Other! governance! tools! such! as! Local! Agenda! 21,! Integrated! Development! Plans,!
Provincial! Growth! and! Development! Strategies,! the! National! Development! Plan! and! the!
Millennium! Development! Goals! support! the! legal! mandate! (Section! 4.4).! The! legal!
mandate! is! further! strengthened! by! national! and! international! standards! (Section! 4.5).!
This!confirms!that!the!mandate!to!include!social!development!issues!in!the!environmental!
field!extends!not!only!nationally,!but!also!internationally!and!is!supported!by!all!spheres!
of!government.!!
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•
Objective'3:!To!explore!whether!the!SIA!methodology!currently!practiced!in!South!
Africa!reflects!social!development.!
This!objective!was!addressed!through!a!qualitative!study!comprising!three!World!Café’s!
and!24!interviews!that!explored!how!SIA!is!conducted!in!South!Africa,!how!effective!it!is!
as!a!tool!for!social!development!and!how!guidelines!for!SIA!could!improve!the!quality!of!
SIA!in!South!Africa!(Chapter!6,!Section!6.2).!This!was!supported!by!a!quantitative!study!of!
existing!SIA!reports!to!determine!their!effectiveness!as!a!tool!for!social!development.!It!
establishes!that!there!is!potential!for!SIA!to!contribute!to!social!development!outcomes!
(Chapter! 6,! Section! 6.3).! It! emerges! that! the! relationships! between! communities,! the!
government! and! the! private! sector! could! be! leveraged! to! enhance! the! effectiveness! of!
SIA!as!a!tool!for!social!development!(Chapter!7,!Sections!7.2.1!to!7.2.4).!
•
Objective'4:!To!determine!whether!SIA!as!currently!practiced!is!effective!as!a!tool!
for!social!development!in!the!South!African!context.!
This!objective!was!achieved!in!Chapters!6!and!7!where!the!data!obtained!in!the!empirical!
study! are! presented! and! discussed! (Chapter! 6,! Sections! 6.1! to! 6.3;! Chapter! 7,! Sections!
7.2.1.! to! 7.2.5).! It! indicates! the! need! for! guidance! on! different! levels! –! proponents,! EIA!
practitioners,!authorities!and!SIA!practitioners.!The!study!indicated!that!SIA!practitioners!
have!limited!knowledge!about!social!development,!therefore!guidance!on!how!to!ensure!
social!development!outcomes!would!be!required!to!ensure!SIA!reaches!its!full!potential!
as!a!tool!for!social!development!(Chapter!7,!Section!7.2.5).!
•
Objective' 5:! To! give! guidance! to! SIA! practitioners! on! how! to! use! SIA! to! ensure!
social!development!outcomes.!!
This!objective!is!achieved!in!this!chapter!(see!8.4.1)!where!a!strategy!to!implement!SIA!as!
a!social!development!tool!is!suggested,!based!on!the!integrated!research!findings.!!
!
!
'
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8.3 Key'findings'and'conclusions'
The!key!findings!and!conclusions!that!emerged!from!the!study!are!summarised!below:!
•
Finding' 1:' There! is! a! link! between! SIA! and! social! development! which! intersect!
strongly! in! the! human! rights! arena.! Social! development! is! a! desired! outcome! of!
the!SIA!process.!
Conclusion:! The! link! between! SIA! and! social! development! has! implications! for! the!
practice! of! SIA! and! social! development! practitioners.! The! practice! of! SIA! requires! some!
changes!in!order!to!enhance!this!link.!SIA!can!potentially!play!a!role!in!the!protection!of!
human! rights! and! poverty! alleviation.! Business! as! usual! will! not! result! in! strong! social!
development!outcomes.!Social!development!practitioners!such!as!social!workers!will!be!
required!to!engage!more!with!the!SIA!field!in!order!to!strengthen!the!link.!
•
Finding' 2:' SIA! practitioners! do! not! have! sufficient! knowledge! about! social!
development,!and!this!is!a!hindrance!to!social!development!outcomes.!
Conclusion:!There!is!space!for!social!development!experts!in!the!SIA!field.!Although!some!
SIA!practitioners!have!an!understanding!of!social!development,!it!is!often!theoretical.!In!
order! to! enhance! social! development! outcomes,! SIA! practitioners! must! get! greater!
exposure! to! the! practical! side! of! social! development.! This! will! assist! with! ensuring! SIA!
reaches! its! potential! to! contribute! to! social! protection! measures! such! as! employment!
creation! and! infrastructure! development.! Training! in! and! learning! about! social!
development! with! social! development! experts! such! as! social! workers! must! be!
encouraged! to! ensure! SIA! practitioners! are! aware! of! areas! where! they! can! be!
instrumental.!
•
Finding' 3:' SIA!can!strengthen!the!government’s!means!to!implement!their!social!
development! strategies! and! provides! a! number! of! opportunities! and! access! to!
stakeholders!that!can!advance!partnerships!between!role!players.!
Conclusion:!The!government!needs!assistance!from!other!stakeholders!to!implement!its!
social! development! strategies! and! address! the! inequalities! in! the! South! African! society.!
Until! now! the! potential! of! SIA! to! assist! with! this! aspect! has! not! been! investigated.! To!
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ensure! sustainable! outcomes! the! project! proponent! cannot! work! in! isolation.! Unless! all!
the!roleDplayers!contribute!to!the!outcomes,!success!will!only!be!guaranteed!if!the!project!
proponent!is!involved.!A!single!party!cannot!achieve!sustainable!outcomes!that!result!in!
social! development! and! therefore! partnerships! between! different! roleDplayers! are!
important.! It! is! important! that! the! participation! and! involvement! of! communities! is! not!
superficial! or! done! only! to! meet! legal! requirements.! Unless! some! power! is! given! to!
communities,! and! their! participation! can! influence! decisionDmaking,! participation! is!
artificial! and! can! be! seen! as! window! dressing.! Although! the! SIA! process! involves!
government,! civil! society! and! the! private! sector,! it! does! not! mean! that! it! creates! links!
between! these! roleDplayers.! Unless! the! SIA! practitioner! makes! a! concerted! effort,! no!
longDterm! relationships! will! be! established! and! no! partnerships! will! result! from! these!
links.!This!will!be!to!the!detriment!of!social!development!intiatives!that!may!result!from!
development!projects.!!
•
Finding'4:'Using!SIA!only!for!regulatory!purposes!dilutes!the!potential!value!of!SIA!
and!does!not!enhance!the!social!development!agenda.!
Conclusion:!SIA!is!not!in!a!position!to!prove!its!other!benefits,!as!it!remains!a!onceDoff,!
pointDinDtime! assessment! and! is! viewed! as! an! outcome,! not! as! a! process.! The! current!
ineffective!authorisation!system!for!EIA!does!not!allow!SIA!to!come!to!its!right!as!a!tool!
for!social!development,!therefore!it!does!not!contribute!to!sustainable!development!in!its!
current! format.! Allowing! SIA! to! reach! its! full! potential! will! require! a! different! type! of!
commitment! from! the! private! sector,! as! it! is! necessary! to! use! it! outside! the! regulatory!
context! as! well,! and! in! the! longer! term.! There! are! financial,! resourcing! and! timing!
implications.! It! is! more! likely! that! local! economic! development! and! community!
investment! will! be! implemented! if! it! is! a! legal! requirement! enforced! for! the! life! of! the!
project,!which!it!is!not!currently,!except!in!the!mining!industry.!SIA!is!an!important!tool!
that! can! assist! with! understanding! communities! better! and! informing! development!
initiatives! throughout! the! project! cycle,! leading! to! sustainable! development.! The!
government! needs! assistance! with! fulfilling! their! role! as! commissioning! and! reviewing!
partner!of!SIA!studies.!Unless!government!officials!have!a!clear!understanding!of!SIA!and!
what! they! want! to! achieve! by! commissioning! these! studies,! it! is! unlikely! that! it! will! be!
!
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seen! as! a! contributor! to! social! development! outcomes.! There! is! a! need! for! skills!
development! and! capacity! building! amongst! government! officials.! If! this! does! not!
happen,! the! communities! affected! by! industrial! development! will! pay! the! price,! as! the!
necessary!checks!and!balances!may!not!be!implemented,!or!only!be!implemented!for!a!
short!period,!due!to!a!lack!of!expert!knowledge!on!the!side!of!the!government.!
•
Finding' 5:' Community! participation! and! involvement! in! the! SIA! procedure! is!
crucial! to! ensure! social! development! outcomes,! equal! opportunities! and! protect!
human!rights.'
Conclusion:!Communities!will!not!be!able!to!participate!on!an!equal!level!if!they!are!not!
capacitated!with!the!necessary!training!and!platform!from!which!to!communicate.!It!is!of!
no! value! if! communities! have! the! right! to! participate! in! decisionDmaking! processes,! but!
their! inputs! are! dismissed! when! they! do! not! correspond! with! the! agenda! of! the!
government!or!private!sector.!This!may!cause!unintended!human!rights!infringements!on!
the!community!level.!Community!participation!must!be!approached!differently!to!ensure!
that! the! voice! of! communities! are! truly! heard.! This! will! require! a! shift! in! the! powerD
balance!and!giving!more!agency!to!communities.!It!must!be!acknowledged!that!the!innate!
power! imbalance! between! civil! society,! government! and! the! private! sector! must! be!
accounted!for.!
•
Finding' 6:!SIA!should!be!used!to!address!development!challenges!experienced!in!
South!Africa!by!applying!it!in!a!strategic!manner!rather!than!as!a!projectDspecific!
tool.!
Conclusion:!The!contribution!of!SIA!to!social!development!outcomes!are!restricted!by!its!
current! projectDbased! format.! In! order! to! increase! SIA’s! contribution! to! social!
development!goals,!the!practice!of!SIA!must!be!reconsidered.!Doing!SIA!on!a!projectDbyD
project!basis!is!not!effective!and!does!not!allow!for!the!strategic!management!of!social!
impacts.! SIA! will! make! a! stronger! contribution! to! social! development! if! the! social!
environment! is! not! compartmentalised! and! approached! in! its! entirety.! To! do! this!
successfully,!a!strategic!approach!is!required.!
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•
Finding' 7:' Communication! channels! between! civil! society,! government! and! the!
private! sector! in! SIA! processes! must! be! improved! and! made! more! accessible! to!
enable!SIA!to!contribute!to!social!development!outcomes.!
Conclusion:! Communication! issues! between! the! different! roleDplayers! in! the! SIA! field!
might!be!attributed!to!the!different!outcomes!these!roleDplayers!expect!of!a!SIA!process.!
Unless!these!expectations!can!be!aligned!this!issue!will!continue!to!plague!SIA!and!be!an!
obstacle!to!social!development.!The!different!receptors!of!SIA!reports!do!not!make!this!
any!easier,!and!the!outcomes!of!an!SIA!is!presented!to!different!parties!at!different!times!
and! in! different! forums.! This! creates! a! breeding! ground! for! mistrust! and! further!
miscommunication.! Communities! are! the! most! severely! affected! in! this! process,! since!
they! are! the! receptors! of! the! impacts.! Mistrust! and! miscommunication! on! community!
level!will!hamper!any!attempt!to!social!development,!and!can!result!in!conflict!leading!to!
human!rights!infringements..!
•
Finding' 8:' Mitigation,! monitoring! and! management! of! social! impacts,! is! a!
particular!weakness!of!current!SIA!practice!in!South!Africa,!and!there!is!a!definite!
lack!of!enforcement!of!social!mitigation/enhancement!measures.'
Conclusion:! Weakness! in! mitigating,! monitoring! and! managing! social! impacts! in! South!
Africa!can!be!linked!to!the!limited!capacity!of!the!authorities,!and!the!private!sector!using!
SIA!only!for!regulatory!purposes.!The!lack!of!capacity!explains!the!lack!of!enforcement!by!
the! authorities.! Given! the! financial! implications! of! mitigating,! managing! and! monitoring!
social! impacts! it! is! easy! for! the! private! sector! to! ignore! this! facet! if! there! are! no!
consequences! for! nonDcompliance.! Coordinating! development! processes! resulting! from!
SIA! will! make! it! more! practical! and! affordable! for! proponents! while! benefitting! larger!
segments! of! communities.! Social! development! outcomes! are! achieved! when! social!
impacts!are!mitigated!and!managed!in!a!strategic!manner.!
•
Finding' 9:' A! professional! body! for! SIA! practitioners! is! needed! to! ensure!
practitioners! are! equipped! to! deal! with! issues! around! social! development! and!
social!impacts.!Training,!qualifications,!guidance!and!local!best!practice!are!some!
of!the!aspects!that!must!receive!consideration.!
!
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Conclusion:!There!is!some!ambiguity!about!the!practice!of!SIA!on!many!levels.!Clearing!up!
these!ambiguities!will!advance!the!practice!of!SIA.!As!long!as!different!roleDplayers!have!
different!expectations!it!will!continue!to!undermine!the!practice!of!SIA.!It!is!essential!that!
all!parties!involved!in!the!different!phases!of!the!SIA!process!must!have!a!communal!goal!
regarding! potential! outcomes! of! the! process,! and! not! only! promote! their! own! agenda.!
International! best! practice! must! be! adapted! to! suit! the! local! context,! without! losing!
integrity.! If! best! practice! is! applied! without! critically! examining! the! local! applicability,!
legal! context! and! relevance,! it! can! have! negative! nonDintended! impacts.! This! can! be!
detrimental!to!the!practice!of!SIA!and!to!communities,!and!create!a!resistance!to!SIA!in!
the! eyes! of! proponents.! A! professional! body! for! SIA! practitioners! will! assist! with!
addressing!many!of!the!issues!identified!in!this!study,!such!as!local!best!practice,!issues!
around! legislation,! communication! issues,! authorisation! issues,! issues! with!
implementation!of!mitigation,!monitoring,!and!management!and!negotiating!partnerships!
at! a! high! level.! A! professional! body! could! assist! practitioners! with! achieving! social!
development!outcomes!by!setting!it!as!a!goal!for!the!profession.!
Based! on! the! integrated! research! findings! (literature! and! empirical)! the! researcher!
concludes! that! in! order! for! SIA! to! act! as! a! tool! for! social! development,! changes! in! the!
practice!and!regulation!of!SIA!are!required.!
8.4 Recommendations'
The!expected!outcome!of!the!study!was!to!provide!guidance!on!how!to!implement!SIA!as!
a! social! development! tool.! Based! on! the! findings! and! conclusions! of! the! study,! the!
following! strategy! is! proposed.! The! aim! of! the! strategy! is! to! contribute! to! social!
development,!address!inequality,!contribute!to!the!wellbeing!of!communities!and!assist!
with! poverty! alleviation.! The! strategy! is! presented! first,! followed! by! recommendations!
pertaining!to!the!process!followed!by!different!stakeholders!to!implement!the!strategy.!
Section!8.4.3!presents!recommendations!relating!to!operational!issues,!and!Section!8.4.4!
closes!the!study!with!recommendations!for!future!research.!!
!
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'
8.4.1 Strategy'to'implement'SIA'as'a'tool'for'social'development'
The! findings! and! conclusions! indicate! that! in! order! for! SIA! to! act! as! a! tool! for! social!
development!it!must!be!approached!strategically.!The!strategy!that!is!recommended!here!
defines! a! strategic! form! of! SIA! that! also! develops! its! potential! as! a! planning! tool! for!
government,!civil!society!and!the!private!sector.!This!section!identifies!and!describes!the!
structures! that! should! be! established! as! part! of! the! strategy,! and! briefly! explain! their!
functioning.!
•
Establish'a'Strategic'Social'Impact'Assessment'Forum'on'District'Municipal'level'
to'mitigate,'manage'and'monitor'social'impacts.'
The!findings!confirm!that!social!impacts!must!be!mitigated,!managed!and!monitored!by!
multiple! stakeholders! on! a! strategic! level.! It! further! confirms! that! communication!
between! the! different! roleDplayers! in! the! SIA! process! is! problematic! and! that! different!
outcomes!are!aspired!to.!Many!of!the!challenges!experienced!in!South!Africa!need!highD
level! intervention! from! multiple! stakeholders! and! as! such! there! are! government!
initiatives! such! as! the! National! Development! Plan! and! Millennium! Development! Goals!
that! aim! to! address! some! of! these! challenges.! The! findings! indicate! that! SIA! can!
contribute,!but!there!should!be!coordination!between!projects!taking!place!in!geographic!
areas.!Initiatives!must!be!synchronised!on!a!broad!scale!to!avoid!the!current!practice!of!
implementing! mitigation! measures! on! a! projectDbyDproject! basis.! The! intention! is! that!
projectDbased!SIA!in!its!current!format!will!fall!away,!with!a!much!stronger!focus!on!the!
implementation!of!management!and!monitoring!measures.!To!allow!this!to!happen,!it!is!
recommended!that!a!forum!that!looks!at!SIA!from!a!strategic!level!should!be!created.!The!
forum!should!be!aligned!with!current!government!structures!to!ensure!easy!integration.!
It!is!therefore!recommended!that!the!forum!should!be!established!on!District!Municipal!
level.! For! the! purpose! of! the! discussion! the! name! given! to! the! forum! is! the! Strategic!
Social!Impact!Assessment!Forum!(SSIAF).!!
The! aim! of! SSIAF! would! be! to! make! strategic! recommendations! and! oversee! the!
implementation! of! these! recommendations! at! District! Municipality! level.! The! roles! and!
responsibilities! of! civil! society,! government! and! industry! must! be! clearly! defined! to!
ensure! each! party! takes! responsibility! for! its! core! activities! –! this! will! prevent! industry!
!
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acting!as!a!surrogate!government.!The!role!of!the!forum!is!not!to!authorise!development,!
but! to! make! recommendations! about! social! sustainability! and! impacts.! It! would! ensure!
social! impacts! are! managed! on! a! strategic! level! and! meet! the! longDterm! development!
goals!of!South!Africa.!!
The!SSIAF!should!be!established!as!a!legal!entity,!and!all!participants!should!have!equal!
status.!Specific!outcomes!of!the!proposed!Forum!should!be!to:!
•
Make!strategic!recommendations!in!line!with!developmental!needs!of!the!area;!!
•
Ensure!implementation!of!recommendations;!!
•
Facilitate!direct!funding!to!appropriate!projects;!!
•
Act!as!a!watchdog!to!ensure!funds!are!used!appropriately;!
•
Ensure!political!will!to!implement!recommendations;!!
•
Ensure! alignment! with! the! NDP,! and! therefore! also! with! the! Millennium!
Development!Goals/!Sustainable!Development!Goals;!
•
Align!similar!initiatives!to!ensure!sustainable!outcomes;!!
•
Coordinate!development!initiatives!on!a!high!level;!!
•
Liaise!with!decisionDmaking!authorities!about!projects!with!a!social!impact!in!the!
geographical!area;!!
•
Review!decisions!of!Technical!Committee!(see!bullet!below);!!
•
Review!role!players!contributions!to!the!costs!of!mitigation!of!impacts;!
•
Review!and!approve!Social!and!Labour!Plans!in!consultation!with!the!Department!
of!Mineral!Resources!to!ensure!it!fits!with!the!strategic!plan!for!the!area.!!
The!authorisation!of!developments!would!remain!with!the!legally!responsible!parties!in!
the!relevant!departments!such!as!Mineral!Resources!and!Environmental!Affairs,!but!these!
departments!should!seek!the!input!of!the!SSIAF!as!part!of!their!decision!making!process.!
As!such!there!will!still!be!a!consultation!procedure!with!all!interested!and!affected!parties!
as! prescribed! by! the! relevant! environmental! acts! (compare! the! National! Environmental!
Management! Act! [NEMA]! 107! of! 1998,! the! National! Water! Act! [NWA]! 36! of! 1998,! the!
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National! Heritage! Resources! Act! [NHRA]! 25! of! 1999! and! the! Mineral! and! Petroleum!
Resources! Development! Act! [MPRDA]! Act! 28! of! 2002)! to! ensure! legal! compliance,!
transparency,! equity! and! accountability.! This! consultation! would! be! facilitated! by! the!
SSIAF.! Social! and! Labour! Plans,! as! required! by! the! MPRDA! Act! 28! of! 2002! should! be!
reviewed!and!approved!by!the!forum!and!included!in!the!operational!aspects!managed!by!
the!technical!committee.!!
•
Establish'a'Technical'Committee'to'support'the'SSIAF'with'assessing'impacts'and'
implementing'mitigation,'management'and'monitoring'measures.'
The!members!if!the!SSIAF!will!probably!not!be!social!development!experts!and!will!have!
other! responsibilities,! and! therefore! they! may! not! have! time! to! address! the! detailed!
technical!requirements.!It!is!proposed!that!a!Technical!Committee!should!be!established!
to! support! the! District! Municipality! SSIAF.! Whereas! the! existing! structure! underpinning!
the! SIA! and! EIA! process! holds! the! project! proponents! responsible! to! appoint! SIA!
practitioners,!the!structure!proposed!here!responds!to!the!benefit!of!the!SIA!practitioners!
being! unified! under! a! single! process! with! continuity! and! consistency! between! projects!
over!time.!The!significant!deviation!in!this!strategy!is!that!the!SIA!practitioners!that!were!
previously! project! specific! appointments! made! by! the! proponent! would! now! be! a!
standing!committee!for!the!District!Municipality!appointed!by!the!SSIAF.!!
The! findings! indicated! that! SIA! practitioners! do! not! have! sufficient! knowledge! about!
social! development,! and! that! this! is! a! hindrance! to! social! development! outcomes.! The!
Technical! Committee! should! therefore! comprise! social! impact! assessment! specialists,!
social! development! specialists! and! economists,! each! with! a! portfolio! that! is! responsible!
for!their!field!of!specialisation.!This!is!to!ensure!that!the!necessary!expertise!required!for!
social! development! is! included! in! the! Technical! Committee.! The! committee! members!
would!be!paid!consultants!and!the!funding!for!this!would!be!redirected!from!the!current!
spend!on!SIA!through!the!EIA!process!and!as!such!would!be!funded!by!both!government!
and!industry.!
The!role!of!this!committee!would!be!to!identify!social!impacts!in!the!geographic!area!it!
serves! and! this! includes! cumulative! impacts.! The! Technical! Committee! would! assess! all!
new! developments! in! the! area! and! ensure! that! adequate! consultation! with! affected!
!
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communities! take! place.! The! committee! should! suggest! mitigation! and! management!
measures! and! monitor! the! implementation! of! these! measures.! The! monitoring! should!
focus! on! outcomes! of! the! measures,! rather! than! inputs! in! the! process.! The! committee!
would! also! look! at! the! unintended! consequences! of! projects! and! include! it! in! the!
mitigation! process.! The! committee! should! be! empowered! to! appoint! implementation!
agents!to!ensure!the!best!fit!between!the!measures!suggested!and!the!capabilities!of!the!
party!that!must!implement!it.!The!best!person!for!the!particular!job!should!be!chosen!and!
this!would!allow!industry!to!focus!on!their!core!business.!!
This! structure! does! not! mean! that! industry! is! absolved! from! their! responsibility! to!
mitigate! social! impacts,! merely! that! impacts! will! be! mitigated! in! a! more! efficient! and!
effective! manner.! Industry! would! still! be! able! to! appoint! SIA! practitioners! for! their!
projects!to!assist!the!Technical!Committee,!especially!in!the!case!of!large!developments!
that!can!potentially!cause!significant!social!impacts.!The!industryDbased!SIA!practitioners!
would! make! presentations! to! the! committee! about! project! specific! impacts! and!
brainstorm! with! them! about! cumulative! impacts.! This! should! result! in! a! short! social!
impact!assessment!statement!that!can!be!appended!to!the!EIA!report!and!submitted!to!
the!decisionDmaking!authorities!–!this!is!in!contrast!with!the!current!copious!and!technical!
reports.!Before!the!statement!is!submitted!it!should!be!discussed!with!the!local!leaders!
and!affected!communities!to!ensure!that!the!impacts!are!captured!correctly.!Community!
members! may! request! to! address! the! Technical! Committee! if! they! feel! that! the! impact!
statement! does! not! reflect! fairly! on! them,! and! the! committee! may! not! refuse! to! be!
addressed!by!community!members.!
The! Technical! Committee! would! make! recommendations! about! additional! consultation!
required!for!the!specific!SIA!processes.!The!intention!is!that!consultation!should!focus!on!
the!directly!affected!communities!to!ensure!that!stakeholder!fatigue!does!not!impact!on!
the! participation! process.! The! Technical! Committee! should! work! closely! with! the!
Integrated!Development!Planning!managers!in!the!affected!municipalities.!
'
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'
•
Appoint' a' Community' Relations' Manager' to' interact' directly' with' affected'
communities'and'act'as'a'liaison'between'parties.'
The! findings! indicated! that! community! participation! and! involvement! in! the! SIA!
procedure! is! crucial! to! ensure! social! development! outcomes.! In! order! to! facilitate! this,!
every! geographic! area! would! appoint! a! community! relations! manager! that! would! be! a!
direct! liaison! between! the! communities,! the! Technical! Committee,! government! and!
industry.!If!there!is!significant!development!in!the!area,!or!it!is!simply!a!large!geographic!
area,! a! team! of! Community! Relations! Managers! (CRM)! could! be! appointed.! The! CRM!
must!be!independent,!but!they!must!have!direct!access!to!decisionDmakers!in!the!private!
sector,!government!and!communities!to!ensure!that!they!can!resolve!issues!quickly!and!
efficiently.!They!should!be!relatively!senior!people!with!appropriate!qualifications!in!the!
required! development! fields,! as! this! is! seen! as! a! specialist! function.! Government! and!
industry!would!fund!their!salaries.!!
•
Appoint' implementation' agents' to' implement' mitigation,' management' and'
monitoring'measures'according'to'their'expertise.''
The! findings! show! that! mitigation,! monitoring! and! management! of! social! impacts,! is! a!
particular! weakness! of! current! SIA! practice! in! South! Africa,! and! that! there! is! a! definite!
lack!of!enforcement!of!social!mitigation/enhancement!measures.!This!can!be!attributed!
to! the! fact! that! there! are! no! champions! to! implement! these! measures.! It! is! therefore!
suggested!that!implementation!agents!should!implement!the!mitigation!and!monitoring!
measures.! The! Technical! Committee! should! appoint! these! implementation! agents.! The!
SSIAF!should!approve!implementation!agents.!The!implementation!agents!would!be!nonD
profit! organisations! specialising! in! social! and! community! services,! members! of! civil!
society!that!present!business!plans!and!social!businesses!that!have!a!longDterm!positive!
impact.!!
To! ensure! transparency,! there! should! be! requirements! for! registration! as! an!
implementation! agent.! The! implementation! agents! would! report! to! the! Technical!
Committee.! Requirements! include! an! outcomesDbased! monitoring! system! that! would!
enable!the!Technical!Committee!to!track!progress.!The!implementation!agents!would!be!
audited!on!financial!and!practical!matters!once!a!year.!!
!
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8.4.2 Recommendations'regarding'the'processes'followed'by'different'stakeholders'to'
implement'the'strategy'
The!proposed!strategy!requires!reciprocal!involvement!of!the!affected!stakeholders.!It!is!
not!a!bottomDdown!process!or!a!bottomDup!process,!but!a!collaborative!and!participatory!
process.! The! processes! required! to! implement! the! proposed! strategy! is! illustrated! as! a!
flow!diagram!in!Figure!8.1.!
!
Figure'8.1:'Flow'diagram'illustrating'the'implementation'of'the'proposed'SSIAF'strategy'
The!following!steps!outline!the!processes!envisaged!in!the!proposed!strategy!for!strategic!
SIA:!
•
A! project! proponent! submits! a! proposal! to! the! SSIAF! for! any! development! that!
they!plan!within!the!District!Municipality.!
•
The!SSIAF!refers!the!project!to!the!Technical!Committee.!
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•
The!Technical!Committee!determines!the!impacts!based!on!their!insight!into!the!
cumulative! impacts! from! other! developments,! as! well! as! their! experience! in!
project!implementation!in!the!region.!Community!consultation!forms!part!of!this!
process.!
•
The! Technical! Committee! makes! a! recommendation! to! the! SSIAF! regarding! the!
approval! or! rejection! of! the! proposal,! and! if! the! SSIAF! supports! a! positive!
recommendation,! the! Technical! Committee! makes! suggestions! regarding!
mitigation,!management!and!monitoring!of!social!impacts.!
•
The! SSIAF! liaises! with! the! project! proponent.! This! is! the! equivalent! of! the! EIA!
approval! or! rejection! currently! made! by! DEA,! and! should! the! project! proponent!
dispute! a! negative! outcome! or! contend! the! mitigation,! management! and!
monitoring! terms,! they! would! follow! the! appeal! process! described! in! NEMA!
(1998).!!
•
Approved!projects!that!progress!to!implementation!would!be!referred!back!to!the!
Technical! Committee,! which! will! inform! the! affected! communities! through! the!
Community! Relations! Manager.! The! Technical! Committee! will! appoint!
implementing!agencies!for!the!mitigation,!management!and!monitoring!functions.!
•
The! Technical! Committee! informs! the! CRM! responsible! for! information!
dissemination!to,!and!feedback!from,!the!communities!about!the!implementation!
process.!The!CRM!relays!the!information!to!the!communities.!
•
Grievances! arising! from! the! community! related! to! the! implementation! of! the!
project! and/or! the! mitigation,! management! and! monitoring! measures! would! be!
channelled! through! the! CRM! to! the! Technical! Committee.! Any! grievances! that!
cannot! be! resolved! on! this! level! are! referred! to! the! SSIAF.! The! CRM! can! also!
approach!the!government!or!private!sector!directly!to!resolve!specific!issues,!but!
the!Technical!Committee!must!be!informed!about!these!interventions!for!the!sake!
of!continuity.!!!
!
P a g e !|!253!
•
Implementing! agencies! are! identified! by! the! Technical! Committee! and! approved!
by!the!SSIAF.!They!report!to!the!Technical!Committee,!which!report!to!the!SSIAF!
about!the!progress!made!by!the!implementing!agencies.!!
•
Once! approved! and! appointed,! implementing! agencies! deploy! the! necessary!
resources!in!order!to!meet!the!requirements!set!out!by!the!Technical!Committee.!
•
Implementing! agencies! report! to! the! Technical! Committee! on! progress! on! all!
aspects!of!their!mandate!via!an!outcomesDbased!monitoring!system.!
•
The! Technical! Committee! assess! the! performance! of! the! implementing! agencies!
and!make!recommendations!to!the!SSIAF!in!this!regard.!The!SSIAF!must!approve!
all! payments,! and! has! the! right! to! manage! the! process! through! a! judicious!
payment! regime,! as! well! as! reserving! the! right! to! terminate! the! services! of!
implementing!agencies!that!fail!to!deliver.!!
•
As! decisionDmaking! is! the! mandate! of! the! SSIAF! all! recommendations! requiring!
changes! to! the! agreed! implementation! of! the! project! would! be! referred! to! the!
SSIAF!for!approval.!
•
The! SSIAF! formally! reports! to! relevant! stakeholders! about! achieving! the! desired!
outcomes!set!by!each!stakeholder!group.!!!
It! is! envisaged! that! the! process! outlined! above! will! be! followed! when! projects! are!
initiated! and! when! projects! end,! since! many! social! impacts! can! occur! as! result! of!
decommissioning.! At! the! outset! it! is! acknowledged! that! any! change! in! the! policy!
framework!suggested!here!could!only!be!achieved!through!a!policy!development!process!
that!would!by!its!nature!be!participatory!and!would!be!led!by!government.!Accordingly!
the! strategy! recommends! a! structure! that! responds! to! the! project! findings! and! might!
form! the! basis! for! government! policy! development.! The! outcome! of! the! strategy!
envisages! that! SIA! should! evolve! into! a! strategic! process! regarding! social! development!
and!social!impacts!of!developments!that!act!in!a!similar!way!to!Catchment!Management!
Authorities! that! manage! water! issues! at! a! regional! level,! as! described! in! the! National!
Water!Act!36!of!1998!where!members!of!the!public!can!participate!in!the!management!of!
water!resources!that!affects!them.!!
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8.4.3 Recommendations'regarding'operational'issues'
This! section! deals! with! recommendations! regarding! operational! sustainability! once! the!
strategy! is! implemented.! It! includes! recommendations! regarding! the! governance! of! the!
SSIAF,!a!funding!model,!capacity!building!and!a!feedback!system.!It!is!acknowledged!that!
recommendations! regarding! operational! issues! will! evolve! with! the! strategy! and! that! it!
can!be!expanded.!!
•
Governance'of'the'SSIAF'
The! governance! of! the! SSIAF! would! need! to! be! done! in! a! transparent! and! effective!
manner! to! ensure! its! credibility.! This! is! particularly! important! in! the! light! of! challenges!
such! as! corruption! and! divisions! in! society! and! the! current! mistrust! in! the! government!
(see!Chapter!2,!Section!2.2.2!and!Chapter!3,!Section!3.4).!The!SSIAF!should!be!managed!in!
a! democratic! manner! to! ensure! that! more! powerful! participants! (e.g.! government! or!
industry)!do!not!intimidate!less!powerful!participants!(community!members!or!vulnerable!
parties).!!
The!SSIAF!should!consist!of!representatives!of!the!following!groups:!!
•
Civil!society!
o NPOs!
o Community!leaders!or!representatives!
•
Industry!
o SIA!experts!
o CSI!personnel!
•
Government!!
o Provincial!government!
o District!government!
o Local!government!
o Department!of!Social!Development!
o Department!of!Environmental!Affairs!
!
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o Department!of!Mineral!Resources!
o Department!of!Basic!Education!
o Department!of!Health!
o Department!of!Energy!
o Department!of!Labour!
o Department!of!Human!Settlements!
o Department!of!Rural!Development!and!Land!Reform!
o Include!other!relevant!government!departments!according!to!the!expertise!
needed!to!evaluate!applications,!e.g.!Agriculture!
The!groups!that!are!suggested!above!are!those!contributing!in!the!existing!EIA!domain.!
Current! positions! may! need! to! be! redefined! to! ensure! that! the! job! description! includes!
the!responsibilities!associated!with!the!SSIAF.!In!some!instances,!new!positions!may!need!
to! be! created! in! government! and! industry.! Suitably! qualified! people! with! an!
understanding! of! social! development! and! social! impacts! should! be! appointed! to! ensure!
the!effective!functioning!of!the!SSIAF.!!
A! transparent! and! accountable! process! should! be! followed! to! ensure! that! financial!
mismanagement! does! not! take! place.! This! is! deemed! important! in! the! current! South!
African!context!where!corruption!and!crime!are!significant!social!challenges!(see!Chapter!
3,!Section!3.2.2).!All!finances!should!be!audited!and!placed!in!the!public!domain.!
Independent! arbiters! should! be! appointed! to! act! in! case! of! disputes,! as! there! is! not!
sufficient!trust!in!the!government!to!fulfil!this!role.!The!forum!should!be!an!instrument!of!
governance,! and! it! should! form! part! of! the! responsibilities! or! job! descriptions! of! the!
participants.!!
•
Funding'model'
The!findings!indicate!that!the!government!does!not!have!sufficient!means!to!implement!
their! social! development! strategies,! and! that! partnerships! with! the! private! sector! is!
required! to! achieve! this.! It! is! therefore! recommended! that! a! social! development! fund!
should!be!created!for!the!social!development!initiatives.!Government!and!industry!should!
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contribute!to!the!fund.!Industry!should!be!offered!tax!concessions!on!their!contributions!
to!the!fund!and!should!be!able!to!use!it!to!cover!their!CSI!requirements.!Industry!should!
be!required!to!contribute!the!cost!of!social!mitigation!in!relation!to!their!activities.!The!
costs! will! be! determined! proportionately! and! agreed! by! the! SSIAF.! The! responsibility! to!
mitigate!their!impacts!will!remain!with!industry,!but!the!implementation!of!the!mitigation!
measures!will!be!done!by!organisations!whose!core!business!is!dealing!with!specific!social!
impacts!e.g.!HIV/Aids.!This!will!ensure!that!the!money!spend!by!an!organisation!is!used!
more! efficiently.! The! government! should! contribute! their! normal! spending! on! aspects!
such! as! housing,! schooling! and! health! care.! This! means! that! all! the! money! to! address!
social!development!issues!will!go!through!one!entity!and!there!will!be!no!duplications!of!
spending,!and!where!there!are!gaps,!it!could!be!supplemented.!!
•
Capacity'development'
The!findings!indicate!that!there!is!a!lack!of!capacity!and!a!need!for!guidance!on!SIA!on!a!
number!of!levels.!Capacity!development!should!take!place!before!any!new!model!could!
be! implemented.! The! capacity! development! would! be! required! on! different! levels,! and!
would! need! to! take! place! continuously.! Members! of! the! SSIAF! would! need! to! be!
acquainted!with!the!workings!of!the!strategy!and!the!philosophy!behind!the!strategy.!It!is!
important! that! they! all! know! what! social! impact! assessment,! social! development! and!
national! priorities! are! to! ensure! that! they! work! from! the! same! premises! and! strive!
towards!similar!outcomes.!!
Capacity! development! should! also! take! place! on! community! level! to! ensure! that! civil!
society!is!familiar!with!the!concept!and!enabled!to!use!it!to!their!advantage.!This!can!be!
done!via!information!sessions!and!awareness!raising.!!
There! should! also! be! capacity! building! for! the! Technical! Committee.! The! Technical!
Committee! should! be! up! to! date! with! the! latest! developments! in! the! fields! of! SIA! and!
social! development! to! ensure! that! they! strive! towards! best! practice.! The! Technical!
Committee!should!engage!with!education!and!training!facilities!and!get!involved!with!the!
training!of!social!service!professionals.!The!Technical!Committee!should!have!access!to!a!
panel!of!experts!that!can!assist!them!with!advice!if!required.!
!
P a g e !|!257!
Marginalised!members!of!society!should!be!assisted!to!register!as!implementation!agents!
and!to!gain!access!to!training!if!required.!There!should!be!a!mentorship!system!to!provide!
onDgoing!support.!The!mentorship!system!should!utilise!experts!in!industry,!government!
and!successful!implementation!agents!to!provide!guidance.!
The!capacity!building!programme!would!evolve!and!develop!through!time!to!stay!current.!
It!should!be!reviewed!on!a!yearly!basis.!Through!capacity!building!all!the!role!players!in!
the!field!of!SIA!will!be!able!to!identify!links!between!SIA!and!social!development,!and!to!
use! these! links! to! advance! sustainable! outcomes! and! contribute! to! sustainable!
communities.!!
On! a! national! scale! an! institute! for! SIA,! potentially! affiliated! with! a! training! institution!
should!be!established.!The!institute!can!champion!aspects!such!as!registration,!training,!
career!development!and!furthering!SIA!as!a!profession.!Registration!of!SIA!practitioners!is!
a! critical! aspect! that! needs! attention! and! could! only! be! realised! through! legislation.!
NEMA! 108! of! 1998! makes! provision! for! the! registration! of! Environmental! Assessment!
Practitioners,!and!SIA!practitioners!should!continue!to!advocate!for!their!inclusion!in!the!
process! that! is! currently! underway.! Registration! would! enhance! the! credibility! of! the!
Technical!Committee!proposed!in!the!strategy!and!SIA!in!general.!!
•
Feedback'system''
Given! the! mistrust! in! the! government! and! the! communication! issues! between! the!
different! stakeholders! identified! as! part! of! the! findings,! a! feedback! system! that! shares!
information! about! the! activities! of! the! SSIAF! with! all! the! role! players! is! important.!
Government!should!be!informed!that!its!strategic!targets!are!reached,!the!private!sector!
must!be!ensured!that!their!money!is!wellDspent!and!that!they!benefit!from!the!system,!
and!civil!society!must!experience!the!improvements!on!their!quality!of!life!on!grassroots!
level.!!
It! is! proposed! that! the! SSIAF! produce! annual! reports! and! have! annual! meetings! to! give!
feedback! to! society! in! general.! The! monitoring! results! produced! by! the! implementation!
agents!must!be!shared!with!all!the!role!players!through!a!transparent!reporting!system.!!
The! strategy! must! be! implemented! in! a! pragmatic! manner.! It! can! be! compared! to!
initiatives! such! as! Water! Users! Associations! and! Catchment! Management! Agencies.! An!
P a g e !|!258!
important!difference!is!that!the!responsibility!for!implementation!of!the!SSIAF!is!not!put!
solely! on! the! government,! but! that! the! government! is! one! of! a! number! of! role! players.!
This!clearly!has!some!implications!for!the!successful!implementation!of!such!a!strategy.!!
8.4.4 Recommendations'for'the'implementation'of'the'strategy'and'future'research'
The! implementation! of! the! proposed! strategy! would! create! opportunities! for! future!
research.!This!section!will!commence!with!recommendations!for!the!implementation!of!
the! strategy,! followed! by! recommendations! for! future! research.! Based! on! the! findings!
and! recommendations! made! in! this! study,! the! following! recommendations! for! the!
implementation!of!the!strategy!are!made:!!
•
The!government!should!adopt!the!strategy!as!a!model!on!how!to!use!SIA!as!a!tool!
for! social! development! that! could! be! piloted! and! refined.! As! such,! it! could! be!
implemented!in!an!area!subjected!to!intense!development!such!as!the!Waterberg!
Region,! Emalahleni! or! the! Saldanha! Bay! District! Municipality! to! evaluate! its!
practical!applicability.!
•
Government! should! critically! assess! the! contribution! of! implemented! Social! and!
Labour!Plans!to!social!development!outcomes!in!the!affected!communities.!
•
The! study! indicated! that! there! is! a! link! between! social! development! and! SIA.!
Because!there!is!a!link!between!social!work!and!social!development!it!paves!the!
way!for!social!workers!to!become!more!involved!in!the!SIA!field.!Social!workers,!as!
social!development!experts,!could!play!an!important!role!in!the!execution!of!the!
strategy.! Their! involvement! would! ensure! that! the! strategy! keeps! its! focus! on!
social!and!sustainable!development.!From!the!study!a!number!of!opportunities!for!
social! workers! in! the! SIA! field! emerged,! especially! in! the! implementation! of! the!
strategy:!
o Social! workers! specialising! in! social! development! can! serve! on! the!
Technical!Committee;!
o NonDprofit!organisations!(NPOs),!especially!social!service!nonDgovernment!
organisations!could!play!a!key!role!as!implementing!agents;!
!
P a g e !|!259!
o Social! workers! are! experts! on! working! at! the! grassroots,! and! could! be!
entryDpoints! into! communities! and! assist! with! facilitating! and! presenting!
training!and!capacity!building!events!to!communities!and!to!the!other!role!
players!that!is!not!familiar!with!social!development.!
•
Involving! NPOs! with! the! appropriate! skills! to! act! as! implementing! agents! will!
ensure!that!they!will!not!be!viewed!as!a!drain!on!economic!resources,!but!rather!
as! an! economic! gain.! This! will! open! the! door! for! social! businesses/social!
entrepreneurship! enabling! the! NPOs! to! become! selfDsustained! in! the! end.! The!
proposed! strategy! brings! NPOs! to! the! frontline! of! development! and! offers! them!
opportunity! to! interact! directly! with! other! economic! role! players,! a! link! that! is!
often!missing!at!grassroots!level.!!
Based! on! the! conclusions! and! recommendations! made! in! this! study,! the! following!
recommendations!for!future!research!are!made:!
•
Government! should! initiate! a! review! of! the! current! environmental! policies! and!
recommend! changes! in! policy! to! ensure! social! development! outcomes! are!
explicitly!required!as!in!the!case!of!Social!and!Labour!Plans!in!the!mining!sector.!
•
Pilot! the! involvement! of! different! role! players! such! as! social! workers,! social!
development!practitioners!and!SIA!practitioners!in!the!SIA!strategy,!and!research!
the!strengths!and!challenges!of!potential!collaborations.!!
•
Research!on!how!to!establish!and!maintain!relationships!between!NPOs!and!other!
economic!role!players!in!the!context!of!the!SSIAF!would!produce!useful!insights!to!
social!development!and!SIA!practitioners.!!
!!
P a g e !|!260!
!
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!
Appendix'A'
!
P a g e !|!297!
Interview'Schedule'
'
Target'group:''
Social!Impact!Assessment!Practitioners!
'
Research'Goal:'
The! goal! of! this! study! is! to! explore! SIA! as! a! tool! for! social! development! tool! in! South!
Africa.!!
!
Name:'
Organisation:'
Questions:'
1. What!is!your!involvement!in!the!field!of!SIA?!
2. How!long!have!you!been!involved!in!the!field!of!SIA?!!
3. How!did!you!get!involved!in!the!field!of!SIA?!
4. Do!you!have!any!formal!training!that!equips!you!to!conduct!SIA’s?!
5. What!do!you!think!is!the!purpose!and!use!of!doing!a!SIA?!
6. Who!usually!commission!the!SIA!studies!that!you!work!on?!
7. Do! you! think! that! SIA! add! value! to! the! decisionDmaking! processes! of! the!
authorities!and!clients!to!whom!the!SIA’s!are!submitted?!
8. What!methodologies!do!you!use!for!SIA’s?!
9. Do!you!follow!a!specific!process!in!conducting!SIA’s?!
10. Are!you!familiar!with!SIA!literature,!legislation!and!policies!and!do!you!use!it!as!a!
guideline!for!your!assessments?!
11. How!do!you!think!can!the!way!of!doing!SIA!in!South!Africa!be!improved?!
12. Do! you! think! that! there! is! a! need! for! SIA! regulations/guidelines! in! South! Africa?!
Motivate.!
13. What!is!your!opinion!regarding!the!quality!of!SIA!reports!in!South!Africa?!
P a g e !|!298!
!
14. What!kind!of!projects!do!you!mostly!work!on!(e.g.!low!cost!housing,!golf!estates,!
power!lines!or!others)!
15. What!government!departments!should!be!involved!in!the!SIA!process?!Motivate.!
16. Describe!the!characteristics!(in!your!opinion)!of!the!“perfect!SIA”.!!
17. Do! you! think! SIA! can! and! should! be! used! as! a! tool! for! sustainable! and! social!
development?!
18. What!do!you!think!is!the!biggest!obstacles,!if!any,!preventing!thorough!SIA’s!to!be!
conducted!in!South!Africa?!
19. What!do!you!think!is!the!role!of!the!SIA!practitioner!in!general?!
20. Any!further!comments?!
!
P a g e !|!299!
Appendix'B'
P a g e !|!300!
Study!10!
Study!11!
Study!12!
Study!13!
Study!14!
Study!15!
N!
N!
N!
Y!
Y!
Y!
Y!
Y!
Y!
Is!there!reference!to!international!standards?!
N!
Y!
Y!
N!
N!
N!
N!
N!
N!
Y!
N!
Y!
N!
N!
N!
Is!there!reference!to!local!guidelines?!
Y!
N!
N!
N!
Y!
N!
Y!
N!
Y!
Y!
N!
N!
Y!
Y!
Y!
Are!human!rights!considered?!
Y!
N!
Y!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
Are!there!any!social,!environmental!or!restorative!justice!issues?!!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Does!the!report!make!use!of!an!explicit!methodology?!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Are!there!any!equity!issues?!(Who!pays!the!price!vs!who!gets!the!benefits)!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Was!a!participatory!process!followed?!
Y!
Y!
Y!
Y!
N!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Was!the!process!inclusive?!
U!
N!
N!
U!
N!
Y!
U!
U!
N!
U!
U!
U!
U!
U!
U!
Is!the!wellbeing!of!the!entire!population!considered!and!promoted?!
Y!
Y!
Y!
N!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Does!mitigation!measures!discourage!dependency!on!proponent?!
Y!
N!
N!
N/A!
N!
N!
N!
N!
N!
Y!
Y!
N!
N!
N!
N!
Does!mitigation!measures!promote!active!involvement!of!people?!
N!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
N!
Y!
Y!
Y!
Y!
Is!a!multiTsector!approach!to!mitigation!promoted?!
Y!
Y!
Y!
N!
Y!
Y!
Y!
Y!
N!
Y!
N!
Y!
Y!
Y!
Y!
Are!any!partnerships!between!civil!society,!govt,!pvt!sector!suggested?!
N!
Y!
Y!
N!
N!
N!
Y!
N!
N!
Y!
N!
Y!
Y!
Y!
N!
Does!mitigation!measures!require!cooperation!between!several!roleTplayers?!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Will!mitigation!increase!capabilities!and!productivity!of!people?!
N!
Y!
Y!
N!
N!
Y!
Y!
Y!
N!
Y!
N!
Y!
Y!
Y!
N!
Are!impacts!on!family!stability!mitigated?!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
Y!
Are!mitigation!on!social!service!organisations!included?!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
Will!the!outcomes!be!projectTneutral?!!
Y!
N+!
N+!
Y!
Y!
Y!
N+!
N+!
Y!
Y!
Y!
N+!
Y!
N+! N+!
Will!mitigation!contribute!to!poverty!alleviation?!
N!
Y!
Y!
N!
N!
N!
Y!
N!
N!
N!
N!
Y!
Y!
Y!
N!
Does!mitigation!address!inequality!issues?!
N!
Y!
Y!
N!
N!
Y!
Y!
N!
N!
Y!
N!
Y!
Y!
Y!
Y!
Can!SIA!be!used!as!a!tool!for!SD?!
!!
Will!there!be!inmigration?!
Y!
Y!
Y!
N!
N!
Y!
Y!
Y!
N!
Y!
Y!
Y!
N!
Y!
Y!
!
P a g e !|!301!
Study!9!
Y!
Study!8!
Study!7!
N!
Study!5!
N!
Study!4!
Y!
Study!3!
Y!
Study!2!
Y!
Study!1!
Is!there!background!information!on!the!relevant!legislation!in!the!report?!
!!
Does!the!legislative!
environment!give!this!!
project!a!mandate!for!SD?!
!!
Study!6!
!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Is!monitoring!of!mitigation!measures!suggested?!
Y!
Y!
Y!
N!
Y!
N!
Y!
Y!
Y!
Y!
N!
Y!
N!
Y!
Y!
Who!is!proposed!as!the!funder!of!ongoing!monitoring?!
U!
P,LG!
P!
P!
P!
P,LG!
P,LG!
P!
P!
P,LG!
P!
P,LG!
P!
P!
P!
Are!impact!benefit!agreements!proposed?!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
Are!there!any!reference!to!FPIC?!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
N!
Y!
N!
N!
N!
Are!there!any!proposals!for!economic!development!processes?!
N!
Y!
Y!
N!
Y!
N!
Y!
Y!
N!
Y!
N!
Y!
Y!
Y!
N!
Will!the!outcomes!enhance!the!social!environment?!
N!
Y!
Y!
N!
N!
Y!
Y!
Y!
N!
Y!!
N!
Y!
Y!
Y!
Y!
Are!the!affected!communities!involved!in!the!execution!of!the!mitigation!measures?!!
N!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
N!
Y!
Y!
Y!
Y!
N!
Y!
Y!
N!
N!
Y!
Y!
Y!
Y!
Y!
N!
Y!
Y!
Y!
Y!
N!
Y!
Y!
N!
N!
Y!
Y!
Y!
Y!
Y!
N!
Y!
Y!
Y!
Y!
establishment!of!infrastructure?!
N!
Y!
Y!
N!
N!
Y!
Y!
Y!
N!
N!
N!
Y!
N!
N!
Y!
Is!regional!development!issues!considered!in!the!study?!!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
Y!
!Y!
!Yes!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
N!
No!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
N+!
Not!neutral!but!better!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
P!
Proponent!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
LG!
Local!government!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
U!
Uncertain!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
!
Does!this!study!go!beyond!the!minimum!requirements?!
Is!the!mitigation!specific!to!the!South!African!context?!
Do!mitigation!measures!contribute!to!the!social!protection!floor!via!suggestions!
regarding!creation!of!employment?!
Do!mitigation!measures!contribute!to!the!social!protection!floor!via!suggestions!
regarding!contributing!to!education/skills!development?!
Do!mitigation!measures!contribute!to!the!social!protection!floor!via!potential!
P a g e !|!302!
!
Appendix*C*
!
P a g e !|!303!
Faculty of Humanities
Department of Social Work & Criminology
14/04/2015
Our Ref: Prof. A. Lombard
Tel: (012) 420-2325
E-mail: [email protected]
Dear
CONSENT TO UTILISE EXPERT VIEW IN RESEARCH PROJECT
I am currently a doctoral student at the University of Pretoria, Department of Social Work. My
doctoral degree is building on research done in my master’s degree on “The role and the place of
Social Impact Assessment in the project life cycle.” The goal of the doctoral research study is to
determine the effectiveness of SIA as development tool in order to develop guidelines for Social
Impact Assessment in South Africa by using an integrated approach. “An integrated approach”
refers to the integration of social and environmental sciences in the development of the guidelines.
For the research study experts will be consulted about the current practice of SIA in South Africa
and their views on shortcomings and possible solutions will be obtained. The researcher will
develop guidelines and conduct a pilot study. The results of this process and the guidelines will be
made available to the experts for review. After further refining of the guidelines, it will be tested on
three practical case studies. The results will be evaluated and the guidelines will be finalised by the
researcher. The evaluation and final guidelines will be given to the panel of experts for their final
input.
You have been selected as one of a few experts to participate in this study. Your views will be
integrated in the process of refining the said guidelines and thus the specific input that the
respective experts made would not be indicated.
I would like to recognize the experts who contribute to the development of the guidelines and will
list the names in the dissertation. By agreeing to participate you give me permission to recognize
you as a participating expert. If you have any objection in this regard, I will omit doing so.
I would appreciate your written consent if you are interested in participating in this study as an
expert. There are no benefits entailed in participating in this research study. The only benefits that
will be visible will be the guidelines for everyone that works in the field of SIA in South Africa. The
guidelines will become available as result of the study and it is foreseen that it will be implemented
in practice and stimulate further research in the field.
Please note that your informed consent to participate as expert does not require of you to give up
any legal right.
Department of Social Work & Criminology
University of Pretoria
PRETORIA 0002
Republic of South Africa
Tel: Number
Fax: Number
00 27 12 420 2325/2030
00 27 12 420 2093
www.up.ac.za
2
!
!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!!
2
!Due!to!the!changes!in!the!study!described!in!this!paragraph,!the!informed!consent!letter!(Appendix!C)!still!reflects!the!title!and!
objectives!of!the!original!study.!
P a g e !|!304!
!
Thank you very much for taking the time to read this letter. If you require any further information,
please do not hesitate to contact me.
Ilse Aucamp
Tel: 012 991 3043
Fax: 012 365 1025
Cell: 082 828 0668
E-mail: [email protected]
If you agree to participate in the study, please sign as indicated below.
Kind regards
Ilse Aucamp
____________________
_____________________
Expert (Print name)
Expert’s signature
__________________
Signature of researcher
Date:
!
P a g e !|!305!
Appendix*D*
P a g e !|!306!
!
!
P a g e !|!307!
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