Why Cultural Heritage Matters a Resource Guide for Integrating Cultural Heritage Management Into Communities Work at Rio Tinto About Rio Tinto

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Why cultural heritage matters A resource guide for integrating cultural heritage management into Communities work at Rio Tinto About Rio Tinto

Rio Tinto is a leading global business involved in each stage of metal and mineral production. We produce aluminium, copper, diamonds, coal, iron ore, uranium, gold and industrial minerals. We operate in more than 50 countries and employ about 77,000 people, and many more work on our sites in contract roles. Health and safety is a key priority for us and we seek to place sustainable development at the heart of everything we do. We are a global organisation with one set of standards and values, while paying particular attention to the unique needs and aspirations of the communities that host our operations.

Cover Mr Tseveen Ayush competing in traditional archery at the 2010 National Naadam Festival, Mongolia. Mr Tseveen is the most respected traditional archer in Mongolia and has been recognised by the Mongolian Government as a Distinguished Athlete. Oyu Tolgoi supports the National Naadam Festival which features traditional archery, wrestling and horseracing. The National Naadam Festival has been added to the UNESCO Intangible Cultural Heritage List.

Why cultural heritage matters

A resource guide for integrating cultural heritage management into Communities work at Rio Tinto

Contents

1. Introduction Forewords 06 About this guide 10 Contributors to this guide 12 Key concepts 14 Introduction 15

2. How to guide 2.1 Inclusive engagement 22 2.2 Know and understand 28 2.3 Plan and implement 44 2.4 Monitor, evaluate and improve 66 2.5 Report and communicate 80 2.6 Summary 88

3. Background reader 3.1 Cultural heritage concepts 91 3.2 The business case 100 3.3 Impacts on cultural heritage 104 3.4 International protocols and standards for protecting cultural heritage and diversity 109

4. References Acronym list 118 Glossary 119 Rio Tinto’s policies, standards and guidances 124 Key websites 125 References 126

Left Dancers from the /Abi //Aeb Cultural Group perform at the Rossing 30 Year Celebration in 2006. The group’s name means ‘rain-time’ and their dance style is traditional to this region of Namibia, Africa.

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Case studies

1 Rio Tinto in Weipa, Australia Inclusive engagement at Rio Tinto Alcan Weipa 26

2 Rio Tinto in Jadar, Serbia Involving experts in early desktop review for identifying cultural heritage 34

3 Rio Tinto in Phalaborwa, South Africa Addressing legal requirements while furthering cultural heritage goals 38

4 Rio Tinto in Quebec, Canada Recognising the heritage value of Canada’s aluminium industry 40

5 Rio Tinto in Zvishavane, Zimbabwe Planning relocation of significant heritage and honouring cultural needs 52

6 Rio Tinto Aboriginal Fund, Australia Supporting culture beyond our operations 58

7 Rio Tinto in Richards Bay, South Africa Mananga Heritage Centre: a living memorial 60

8 Rio Tinto in the Upper Hunter Valley, Australia Implementing an integrative Cultural Heritage Management System 64

9 Rio Tinto in the Northwest Territories, Canada Incorporating traditional knowledge into scientific monitoring at Diavik Diamond Mine 68

10 Rio Tinto in Oyu Tolgoi, Mongolia Design and monitoring framework: standards of acceptable change 74

11 Rio Tinto in the Pilbara, Australia Continual improvement of heritage performance 78

12 Rio Tinto in Utah, US Promoting industrial heritage values of an operating mine 84

13 Rio Tinto in the East Kimberley, Australia Open and transparent communication at Argyle Diamonds 86

Introduction

Forewords

Sam Walsh Chief executive, Iron Ore and Australia

Respect for culture and heritage is integral to the way Rio Tinto conducts business. Wherever we operate, our businesses work with local and Indigenous communities on the protection of their cultural heritage. We do this because it is the right thing to do and because there is a strong business case for doing so. We recognise that protecting culture and heritage is important to communities and, therefore, it is important to us. This is why we engage so thoroughly with our host communities to build strong relationships, understand cultural heritage values and manage the local and regional impacts of our operations.

Introduction

What I have particularly noticed I am sure that you will each I commend this guide as a with this work is its breadth have your own stories about resource for not only the and complexity, as well as the community engagement. Each Communities staff of Rio Tinto, considerable internal effort that will have as a backdrop the overall but also for all employees involved it takes to get it right. We dedicate commitment of your business and in project development and land highly skilled people and invest your operation to culture and management work – indeed, to substantial financial resources heritage protection, as well as to those more broadly in our businesses. in cultural heritage management. the related capabilities and systems. It is a practical toolkit that will help you to better understand We are also clear about the need A common and practical guide cultural heritage considerations to fully integrate this work across that reflects our cultural heritage and incorporate them into your all parts of our businesses to management approach is most planning and programming. achieve the best outcomes. important. Even more so that it has been developed over many I would like to think that this guide As the case studies in this years of robust engagement with will enrich your understanding guide demonstrate, there can communities the world over. and in turn lead to more effective be significant cultural heritage collaboration with our host threats and opportunities in the It is a guide for all Rio Tinto communities, particularly to diverse areas in which we operate. operations, including those protect and perpetuate their This is often a complex and activities associated with cultural heritage. challenging environment, exploration, with integrated for which the experience and mining and with smelting and stories from others can certainly other processing. be most helpful.

Introduction

Forewords

Bruce Harvey Global practice leader, Communities and social performance

At Rio Tinto we recognise the fundamental role that culture and heritage plays in our engagement with local communities. We know that culture is the basis of all social identity and development, and cultural heritage is the endowment that each generation receives and passes on. We understand that protecting and managing cultural heritage assets jointly with communities contributes to the quality of our relationships. Greater attention to cultural heritage helps us be more effective in our community engagement and enhances our legacy.

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Introduction

We want to increase the level of considerations cut across all leading to escalating social trust our host communities have stages of an operation’s lifecycle, stress and harm. Furthermore, in us. We can build trust through from exploration through to the effectiveness of our broader the protection and celebration closure, and many operational community engagement can of cultural heritage and going dimensions, such as community be limited by not adequately beyond compliance with cultural relations, environment and land identifying and incorporating heritage provisions in the UN management, mine planning important cultural considerations. Declaration on Human Rights. and human resources. This And, by focussing entirely on Celebrating the distinct cultural guide outlines cultural heritage conventional economic options, achievements and heritage of management considerations such as mining employment our host communities provides through all of these stages and business development, we a foundation of confidence and and dimensions. can negate communities’ ability trust. This foundation enables to access the many social and us to work in partnership with At Rio Tinto we place great economic opportunities arising our host communities to ensure importance on our relationships from their cultural heritage. they benefit from the sustainable with host communities but we economic opportunities provided know that we do not always This guide will help all of by our activities. This is the achieve the outcomes that we our operations improve their essence of Rio Tinto’s sustainable and others want. Some of our understanding of cultural development objectives. businesses have engaged with heritage values and how, with host communities to achieve guidance from communities and In recent times we have made very positive cultural heritage stakeholders, they can manage significant advances in community outcomes but others have any potential impacts. As we engagement practices. We are further progress to make. Some improve our understanding of building a solid architecture of achievements are highlighted in how our activities affect cultural polices, standards and systems the case studies in this guide and heritage, we can improve our that facilitate engagement and we plan to build on these. decision making processes. This sustainable economic and social will help us progress towards outcomes for host communities. Rio Tinto is committed to respecting our goal of making an enduring Recognition of our host communities’ human rights, including the positive impact on the economic culture and heritage is explicit potential impacts of our activities and social development of our in our Communities policy and on cultural identity and heritage. host communities and nations. standard, which clearly state our We recognise the fundamental businesses’ responsibility to protect human right that all communities and help maintain cultural heritage. have to cultural life and heritage, and the ways in which our The complexity and variability of activities could affect this. We cultural heritage in the many places recognise that without appropriate that we operate has highlighted cultural heritage management the need for additional guidance our presence and the resulting to complement our existing tools economic and societal changes and guidelines on cultural heritage have the potential to devastate management. Cultural heritage rich local cultures and heritage,

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Introduction

About this guide

This guide is written for Rio Tinto employees and managers working on cultural heritage1 issues. They may be employed explicitly in cultural heritage roles, be members of Communities2, Environment or Human Resources departments, or be engaged in projects or other work which encounters cultural heritage matters. The guide has been developed in response to requests from our employees for tools and advice to guide them in how to deal with and manage cultural heritage issues that affect and are affected by our activities.

This guide provides practical –– an External Review Panel The roll-out of the guide is information and advice in consisting of eight international important for ensuring “take up” two parts. experts in cultural heritage at the operational level and for management and mining continuing an active conversation The ‘How To’ section – This issues. across Rio Tinto about good provides clear direction on how External Review Panel members cultural heritage management to integrate cultural heritage were drawn from Africa, Europe, and why it is important. considerations into our work. Australia, and North and South It includes case studies from Notes on language: America. Their insights and Rio Tinto’s experiences which For the purposes of this guide, suggestions have been invaluable illustrate good practice across the following terms are used as and were included wherever the Rio Tinto Group in different described, unless otherwise stated possible, although some points operational contexts. to make a specific point: of difference remain. The listing –– Operations refers to all phases of Review Panel members does The Background Reader – This of Rio Tinto exploration, projects, not therefore imply their full provides detailed information construction, production, closure. on various aspects of cultural endorsement of the content. –– Activities and operational heritage management. It includes Developing the case studies for activities refers to activities definitions of concepts, a business this guide especially enabled that Rio Tinto may carry out case for valuing cultural heritage, Rio Tinto employees to study the during any of those phases, impacts of mining and processing cultural heritage approaches of including drilling, access tracks, on cultural heritage, and other operations and to identify hydro dams, mining, smelters, international protocols related to areas where they would like refineries, etc. cultural heritage. formal guidance. It provided an –– Site refers to a cultural heritage To ensure it reflects best opportunity for employees to site. describe community concerns international practice and concepts –– Cultural heritage feature over the management of cultural on mining and metals production includes places, objects and heritage and to ensure that and cultural heritage management, practices. this guide has been reviewed by: the guide is sensitive to these –– an Internal Working Group, concerns. This means that consisting of Rio Tinto Rio Tinto’s actual experience of employees from different cultural heritage management businesses, corporate functions at different operations is and regions; and incorporated into this guide and the content is relevant to practitioners working in the field.

12 1. Key terms are defined in the Glossary, p 143. 2. Communities, with a capital “c”, refers to the Rio Tinto Communities function or to Communities as a professional discipline (see Glossary).

Introduction

Above A special Manthe held at the entrance to the underground project of the Argyle diamond mine. The Manthe ceremonies are conducted by Traditional Owners to confer safe passage of employees through the traditional lands and provide an introduction to the cultural significance of the site. Right Traditional Dene handgames were among events at the Lutsel K’e community spring carnival, which was supported by Diavik Diamond Mine. Lutsel K’e, located on Great Slave Lake in Canada’s Northwest Territories, is one of several northern communities that Diavik partners with to ensure local community benefits are realised from our operations.

13 Introduction

Contributors to this guide

Rio Tinto

Project leader and co-author:

Elizabeth Bradshaw Principal advisor – Communities and Cultural Heritage

Internal Working Group:

Dr David Cameron Jane Gronow Simon Nish Manager – Community Relations Principal advisor – Communities Principal advisor – Community Queensland and Cultural Heritage agreements Rio Tinto Coal Australia Mary Lee Johns Senior advisor - Tserennadmid Osorpurev Skye Crawford Tribal Governments Cultural Heritage programme Group manager – Organisational & Native Communities coordinator, Oyu Tolgoi Effectiveness (Act. Group Advisor Diversity) Etienne Lamy Blair Sands Senior advisor – Principal advisor – Environment Jeffery Davidson Sustainable Development Principal advisor - and Community Relations Dr Justin Shiner International Institutions Specialist archaeologist and Communities Gavin Martin Rio Tinto Alcan Manager – Heritage Approvals Angus Green and Land Access Simon Wake Principal – Community Relations Rio Tinto Iron Ore Principal advisor – Communities Rio Tinto Alcan Rio Tinto Exploration

Centre for Social Responsibility in Mining, University of Queensland, Australia

Co-authors: Other CSRM Contributors: Specialist advisor to CSRM:

Katie Bryant Professor David Brereton Professor Ian Lilley Project manager Centre Director Archaeologist, University of Queensland Tamar Cohen Julie Kim Research assistant Research Assistant

Dr Kirsty Gillespie Research Fellow

14 Introduction

External Review Panel

Rio Tinto felt it was important Professor Pedro Paulo Funari Dr Michael Pearson to incorporate perspectives Head, Centre for Advanced Studies, Historical archaeologist and from outside the company in State University of Campinas, heritage planner, the development of this guide. Brazil Chair of Australian Capital An External Review Panel was Territory Heritage Council established comprising experts Nola Markey in the field of cultural heritage. Member of the O-Chi-Chak-Ko- Professor Willem J.H.Willems The role of the panel was to Sipi First Nation, Crane River, Dean, Faculty of Archaeology, advise and challenge Rio Tinto’s Manitoba, Canada University of Leiden, Netherlands thinking, suggest key resources Consultant Anthropologist/ Co-president ICAHM Archaeologist and literature for review and Simon Makuvaza provide critique at key points Júlio Jesus Archaeology and Heritage in the process. While it was not Partner, Ecossistema Ltd Management Lecturer, possible to incorporate all of the Lisbon, Portugal Catholic University of Malawi feedback, the panel’s input has Expert member ICAHM been invaluable. Arlene Fleming Cultural Resource and Professor David Trigger Development Specialist, Head, School of Social Science, World Bank University of Queensland Australia

Other acknowledgements

Rio Tinto would like to thank all Case study 1 Case study 8 those who have commented on Rio Tinto Alcan – Weipa Rio Tinto Coal Australia the various drafts of this guide, Dr Justin Shiner Dr David Cameron including: Case study 2 Case study 9 Dr Andrew Sneddon – Director, Rio Tinto Minerals – Serbia Diavik Diamond Mine University of Queensland Culture Nenad Grubin Colleen English and Heritage Unit Case study 3 Case study 10 Dr Nicolas Bainton – Adjunct Palabora Mining Company Oyu Tolgoi Research Fellow, Centre for Social Tim Paxton Tserennadmid Osorpurev Responsibility in Mining Case study 4 Case study 11 Melanie Wilson – Senior advisor, Rio Tinto Alcan – Shawinigan Rio Tinto Iron Ore – Pilbara Communities and Social Patrick Beche Gavin Martin Performance, Rio Tinto Case study 5 Case study 12 We would also like to Murowa Diamonds Kennecott Utah Copper acknowledge the contribution Israel Chokuwenga Piper Rhodes of the Rio Tinto employees who provided information for the Case study 6 Case study 13 case studies: Rio Tinto Aboriginal Fund Argyle Diamonds Joy Love Rowena Alexander

Case study 7 Richards Bay Minerals Jeremiah Thabede

Introduction

Key concepts

This guide is founded on the following essential cultural heritage management concepts: Wide variety There is a wide variety of cultural heritage. It can be tangible, such as buildings, landscapes and artefacts; and intangible, such as language, music and customary practice. It is not just old things, pretty things, or physical things and it often involves powerful human emotions. Business value Effective cultural heritage management can add great value to our business. It is critical for land access and operations throughout the life of the business. If not well managed, it can delay or even prevent project development. Fit for purpose Cultural heritage management work must be adapted to suit the needs of each individual situation: the cultural heritage context and the business type and risks. There is no one-size-fits-all model. Integration Cultural heritage management needs to be integrated across business systems, procedures and practices at every site. Relationships Sound cultural heritage management is integral to relationships with communities. If you value what they value, then the community is more likely to support you. Managing change Cultural heritage is not static. Just as culture changes over time, management approaches need to be dynamic and adapt with it. Mutual benefit Effective cultural heritage management can have wide economic, social and environmental benefits.

Introduction

At Rio Tinto we recognise and respect the significance of the cultures and heritage of our host communities, wherever we operate. The integration of cultural heritage management considerations into all of our Communities work and across all sections of the business is fundamental to achieving the key objective of our Communities policy and standard: to build enduring relationships with host communities that are characterised by mutual respect, active partnership and long term commitment.

Cultural heritage is about far The Rio Tinto Communities We know from the past history more than ‘stones and bones’ from standard and Cultural heritage of mining that ineffective the past. It is all the aspects of a management standard for management of both tangible and community’s past and present that Australian businesses outline intangible cultural heritage can it considers valuable and desires Rio Tinto’s cultural heritage lead to conflict. We recognise that to pass on to future generations. management requirements. our activities often bring profound The term incorporates places, The Rio Tinto Cultural heritage socioeconomic change to an area objects and practices of cultural management guidance notes and are sometimes responsible for significance. It thus includes provide detailed advice for the transition from subsistence ‘tangible heritage’, such as meeting these requirements. living to modern industrial living. buildings, industrial structures This guide, developed with cultural This change to forms of social life, and technology, landscapes and heritage management expertise beliefs, language usage, customs artefacts and non-visible cultural and containing good practice and practices, as well as the actual heritage features such as buried case studies, provides a practical destruction of cultural heritage archaeological sites, and ‘intangible resource for Rio Tinto employees sites, can cause strong feelings in heritage’, such as language, visual to better understand and more the affected community. Any direct art, music, performance, religion, effectively undertake cultural or indirect damage to cultural beliefs and customary practices like heritage management as part heritage can lead to social, political hunting and gathering. Cultural of their Communities work. and legal opposition to operations. heritage is not just about old things. New or newly altered objects, places Why is cultural heritage Cultural heritage programmes and practices are just as much a management important to Rio Tinto? contribute to economic development, part of cultural heritage where Cultural heritage is fundamental to social stability and environmental they hold cultural value for the identity of our host communities protection. Rio Tinto is committed today’s generations. and is an integral feature of every to ensuring its cultural heritage landscape we seek to explore, activities contribute to broader Cultural heritage management develop or operate. The way we community aspirations and desires involves the actions taken to engage with communities and as well as to business outcomes, identify, assess, decide and enact stakeholders to protect and manage consistent with the United Nations decisions regarding cultural their heritage greatly affects Millennium Development Goals heritage. It is undertaken to actively the quality of our relationships, as stated in Rio Tinto’s global protect culturally significant places, the effectiveness of our broader Communities target. Recognition objects and practices in relation to community engagement and the of culture is also essential to the the threats they face from a wide sustainability and legacy of our implementation of most of our range of cultural or natural causes. operations. For this reason, Rio Tinto community programmes. It may result in the documentation, has for more than a decade placed a conservation, alteration or even very high priority on understanding loss of cultural heritage. It can also and managing cultural heritage well. include working with communities to protect and enhance their culture and its practices. 17

Introduction

Managing cultural heritage Cultural heritage management system (CHMS) ensures that impacts well is therefore a is, therefore, the process through Rio Tinto’s holistic approach primary concern for Rio Tinto’s which we account for cultural to cultural heritage is formally development projects and heritage features and values within managed in a similar way to other operations. Because of the an operation’s area of influence, parts of its businesses. The successful value cultural heritage holds and then act to reduce damage implementation of a CHMS depends for communities, as well as and/or protect and enhance these on the existence of integrated governments and other bodies, its features and values. Rio Tinto systems and communication and sound management can: understands that cultural engagement across the business’s –– demonstrate respect for a practices, beliefs and associations many functions. community’s values; with places, objects and practices It is important to note that –– help build sound community are constantly changing. Mining different levels of work will be and stakeholder relationships activities contribute to, and can required at different phases and achieve sustainable accelerate, these changes both through exploration, project developments; directly and indirectly. Our approach to cultural heritage studies and development, –– benefit the community management acknowledges that construction and operations and economically and socially into we need to consider and manage closure. For exploration, more the future; change and impacts so that the specific guidance is provided in the –– reduce business threats by heritage values of places, objects Rio Tinto Exploration Procedure minimising exposure to and practices are maintained at Communities. For projects, refer project delays, legal action and a level acceptable to the relevant to the Rio Tinto Communities compliance costs; communities and stakeholders. and Social Performance guidance –– hasten access to land and for Projects for specific detail on acquiring approvals, enhance Cultural heritage management what to do at each project phase. negotiation of agreements, for Rio Tinto businesses is broader There will also be different systems reduce costs related to than just managing the impacts requirements for the varied negotiations and compensation; of ground disturbance: it includes contexts in which we operate, and consideration of the people and such as indigenous and traditional places in the areas adjacent to lands, developing countries, and –– enhance the public standing Rio Tinto’s managed land. As such, greenfields through to expansion of Rio Tinto and its individual we work hard to manage cultural in existing industrial locations. businesses. heritage by engaging with relevant Expert professional cultural Our approach to cultural heritage communities and stakeholders. heritage management input is management This includes working with required for cultural heritage At Rio Tinto we recognise that communities to identify, assess baseline and risk assessment cultural heritage must be managed and manage places, objects and work to determine what level of in a fashion that encompasses all practices of cultural significance. work and system is appropriate. the many possible ways people Cultural heritage considerations Information on cultural heritage interact with their landscape are a part of Rio Tinto’s broader also needs to feed into our and culture. It is not only about Communities work – but they often Social Impact Assessment and preserving individual sites, but also require stand-alone procedures Environment Impact Assessment must also look at the essential and plans. Our requirement that work and management plans and features of culture itself. businesses develop and implement be captured within business risk a cultural heritage management assessment processes. 18

Introduction

How effective is your current cultural heritage management system? The following questions can help you assess the current status of your operation’s CHMS and the effectiveness of your management in relation to cultural heritage issues.

Checklist

[ √ ] Are you aware of the legal framework within which cultural heritage management needs to occur? What are the international, national and regional laws in relation to cultural heritage? [ √ ] Does legislation covering other areas such as environment, mining or land rights link to cultural heritage requirements? [ √ ] Has a cultural heritage assessment been conducted on all existing lands owned, leased and/or managed by the business? This includes non-mining leases and previously developed land. [ √ ] Was specific cultural heritage survey work followed by a ‘significance assessment’ conducted in consultation with a broad range of stakeholders and experts? [ √ ] Did a social impact assessment for the operation consider both direct and indirect impacts to tangible and intangible cultural heritage and identify programme areas to enhance cultural practices? [ √ ] Did environmental baseline assessments for the operation consider cultural heritage issues including matters where traditional or local knowledge could help in environmental monitoring or rehabilitation? [ √ ] Has heritage work drawn on archaeological, anthropological, ethnographic and historic sources or experts to ascertain the array of heritage concerns for the operation? [ √ ] Did a cultural heritage baseline assessment examine the different impacts of the project on different ethnic and/or cultural groups? [ √ ] Was a broad range of community members consulted including men and women, old and young people, as well as people from different cultural, ethnic, political or religious groups? (Note that people living outside and sometimes a long way from the operation can have strong/key interests in the area’s cultural heritage and so measures are also needed to identify and include them.) [ √ ] Did the baseline assessment consider a diverse range of stakeholders including both non-indigenous as well as indigenous heritage values where applicable? [ √ ] Did the baseline assessment consider the heritage values of the operation itself? [ √ ] Have cultural considerations been considered in closure planning, such as rehabilitating land to accommodate cultural concerns or the repatriation of cultural material? [ √ ] Have cultural heritage management procedures been identified, developed and implemented to manage the operation’s potential cultural heritage impacts and risks? [ √ ] Are all relevant employees aware of the contents of cultural heritage or environmental agreements or systems under which they operate? [ √ ] Does the operation have cultural heritage targets for monitoring progress and activity? [ √ ] Have non-local employees and contractors participated in a cultural induction and know how to avoid acting in culturally inappropriate ways? [ √ ] Have Human Resources or other appropriate personnel identified significant cultural events or practices that could be impacted by the operation’s work rosters and practices? 19

Introduction

Four phases of cultural heritage management

An effective CHMS involves the 2. Plan and implement Develop participatory monitoring components and considerations Develop cultural heritage and evaluation processes that set out in the following four management procedures include Rio Tinto employees, phase framework. and systems appropriate to heritage experts and the community the operational and cultural custodians of the heritage. Inclusive engagement heritage context. Ensure that community members 4. Report and communicate and stakeholders are: Use Rio Tinto planning tools such Report on the operation’s –– involved in cultural as Communities multi year plans cultural heritage projects and heritage assessments and in and specific cultural heritage incidents both internally, through management decisions; and management plans to implement SEART (Rio Tinto’s Social and –– consulted on impacts and the operation’s cultural heritage Environmental Accountability opportunities. management system effectively. Reporting Tool), the Business Solution and the Communities Ensure that cultural awareness Ensure cultural heritage workbook, and publically through is promoted internally and that management considerations sustainable development reports. information is shared and integrated are integrated into all relevant across operational functions. operational plans and procedures, Communicate directly with such as ground disturbance community members and Rio 1. Know and understand permit systems, human resources Tinto employees and contractors, Establish the knowledge base policies, health and safety using culturally appropriate and needed to shape and drive the procedures and environmental accessible means. operation’s cultural heritage management programmes. management approach and cultural Publish the cultural heritage heritage management system. Contribute to the socioeconomic management outcomes, the development of the region and cultural heritage and its values Identify and understand cultural meet Rio Tinto’s global Communities more broadly through academic heritage values, their significance target by effectively implementing or public means, while respecting and appropriate management cultural heritage programmes. intellectual property or privacy options, through cultural heritage requirements of the owners. assessment and surveys with the 3. Monitor, evaluate and improve community (including within Set targets and indicators to the operation’s socioeconomic monitor the impact of the knowledge base, social impact operation on cultural places, assessment and social risk analysis). objects and practices, and the overall performance of the cultural Identify and understand the heritage management system. operation’s potential impacts upon cultural heritage values. Use the results of Communities site managed assessments, Understand appropriate cultural heritage management management options by drawing system audits and complaints on the knowledge base in mechanisms to continually consultation with community improve performance. members, heritage experts and other stakeholders.

Introduction

Figure 1. Four phases of cultural heritage management

1 2

Know and understand Plan and implement

– Know the cultural heritage – Plan and effectively implement considerations at your operation. cultural heritage management system. – Undertake significance and impact – Int egrate cultural heritage assessments to understand the considerations into: value of cultural heritage and • policies at Business Unit level inform management decisions. • Communities strategy and multi- – Integrate in social risk analysis. year plans • operational plans and communities work, including: goals, objectives, targets, indicators and actions • Standar d Operating Procedures and protocols

Inclusive engagement

Ensure meaningful participation of a diverse range of stakeholders in cultural heritage work. Engage internally with all employees to ensure positive cultural heritage outcomes.

4 3

Report and communicate Monitor, evaluate and improve

– Report cultural heritage performance – Monitor direct and indirect impacts and incidents internally and to cultural heritage (+ve and -ve). externally through formal reporting – Evaluate cultural heritage outcomes. processes such as SEART and – Review and assess performance of sustainable development reports. cultural heritage management – Communicate openly with external systems (eg: through SMA, cultural communities and stakeholders heritage audits). through diverse forums. – Adjust and improve systems, programmes and operational plans.

2. How to guide

2.1 Inclusive engagement 22 2.1.1 Consultation contributes to inclusive engagement 24 2.1.2 Internal engagement 25

2.2 Know and understand 28 2.2.1 Develop the cultural heritage knowledge base 29 2.2.2 Understand cultural heritage risks 30 2.2.3 Undertake cultural heritage assessments 31 2.2.4 Cultural heritage management – drawing on the knowledge base 42

2.3 Plan and implement 44 2.3.1 Cultural heritage management plans 46 2.3.2 Implementing management actions 48 2.3.3 Protecting intangible cultural heritage 56 2.3.4 Integration of cultural heritage across the business 62

2.4 Monitor, evaluate and improve 66 2.4.1 Monitoring – “How are we doing?” 66 2.4.2 Targets and indicators for monitoring 70 2.4.3 Evaluation and continual improvement – “How did we do and how can we do better?” 76

2.5 Report and communicate 80 2.5.1 External reporting 80 2.5.2 Internal reporting 82 2.5.3 Communicate 82

2.6 Summary 88

Left Discovery of trading by John Bulunbulun and Zhou Xiaoping, 2009. This painting is part of the Trepang: China & the story of Macassan-Aboriginal trade exhibition. The exhibition includes historical artefacts and contemporary artworks to tell the little-known history of the trade in trepang (sea cucumber) between the Chinese, Macassan and Australian Aboriginal cultures in the 18th to 20th centuries. Rio Tinto has supported the exhibition in China and Australia as part of the two-year cultural exchange programme between the countries.

How to guide to How

2.1 Inclusive engagement

At Rio Tinto engagement means the active exchange of information, listening to concerns and suggestions and developing an agreed way forward together. Engagement is therefore much more than consultation. Engagement should be inclusive and ongoing and used to inform and guide how cultural heritage management is conducted at all phases of our projects and operations.

Effective cultural heritage stakeholders are involved in between internal and external management requires the active identifying and managing their parties is blurred, as local participation of the community cultural heritage. employees are likely to have their in any decisions affecting their own connections to and views on cultural heritage. It also requires Involving community members a region’s cultural heritage. that community values and in our decision-making processes concerns are heard and respected helps Rio Tinto employees to We believe that inclusive by all relevant departments within identify opportunities where engagement should continue our businesses. cultural heritage work can throughout the long life span of contribute to our broader exploration, development, mining The values that communities community objectives. For and processing, and closure and hold for specific places, objects example, it can enable us to help completion. This means that the or practices and the impact of in the revitalisation of traditional issues and the people responsible operational activities on these cultural practices. for cultural heritage, both inside values may not be visible to and outside the company, will people who are not a part of Inclusive engagement also change over time, as may their the local community. Inclusive means communicating across the perception of risk and impact engagement ensures that business to ensure that everyone to cultural heritage. community members and other is working to manage cultural heritage. Often the distinction

Checklist

[ √ ] Is a broad range of local people and other stakeholders involved in the identification and valuation of cultural heritage at our operations? ie: including ‘non-local locals’ with a stake in heritage in operational area?

[ √ ] Are cultural heritage management decisions based on wide ranging consultation with the people who value the cultural heritage and cultural heritage experts where applicable?

[ √ ] Are there processes in place for communicating cultural heritage decisions and impacts with our external stakeholders?

[ √ ] Are these communication processes open and accessible, directed to the appropriate people, written or spoken in appropriate language and conducted in appropriate venues?

[ √ ] Is there an appropriate mechanism for community members to report their complaints to us?

How to guide to How

Inclusive engagement in cultural heritage brings with it many challenges, as outlined below. These need to be resolved as far as possible so everyone is treated consistently and fairly.

Factors that hinder inclusive engagement

Misconceptions The idea that cultural heritage is mostly an indigenous issue or is only related to material resources about heritage or historic items can influence who we engage with. Failure to recognise that cultural heritage management is about intangible cultural values as well as physical objects and places can cause significant impacts and lost opportunities.

Access to In many situations, heritage legislation or individual community agreements define who should be individuals consulted in relation to heritage issues. This means that often the same people are consulted while others may be excluded. While regulatory protocol must be followed, broader consultation is desirable to ensure that the engagement process includes all those who are concerned. Where regulations do not stipulate who to consult, broader consultation is recommended. Some vulnerable and marginalised groups may be hard to reach for various reasons. Work demands or schedules may prevent some people from engaging, as may issues such as consultation fatigue, disputation and family circumstances.

Cultural Cultural protocols can prevent women or young people participating (speaking out) fully in meetings protocols where men or elder people are present. This can prevent their views and concerns from being heard.

Time/workload Workloads and project timelines can prevent employees from engaging fully.

Access to Knowledge about some cultural heritage may be restricted to a certain group, making individuals information unable to divulge the whereabouts or the significance of certain objects, places and practices. It may be restricted by gender, age or affiliation. Regular consultation by appropriate employees, and heritage experts as required, can be necessary to be sure that all relevant cultural heritage concerns are identified.

Legislative In some jurisdictions, the law requires that heritage consultations be conducted by the relevant requirements government agency. Consultation run by a third party may not satisfy the Rio Tinto Communities standard, nor produce positive relationships with affected communities. Where working through a third party may reduce the quality of the consultation and/or relationships between the operation and the community, opportunities to supplement this consultation should be considered.

Logistical Remoteness, extreme climatic conditions, knowledge and education (both linguistic and procedural constraints understandings), cost, distance, information flow (being isolated from communication channels) and other factors can make engagement difficult. Internally, funding and time restrictions can prevent effective engagement across functions within an operation.

Achieving inclusive engagement Communities complaints, 1. Who to engage with means that: disputes and grievance guidance); The Rio Tinto Cultural heritage –– all people in a community who –– we keep communities informed have knowledge of cultural management guidance note states of any decisions that affect that consultation should include the heritage have the opportunity their cultural heritage and of full range of stakeholders involved in to express their views in how concerns or complaints are an area’s cultural heritage including, culturally appropriate forums; being addressed; and but not limited to: historical or –– we share with the community, –– we use community input to traditional users and owners of the in an easily accessible form, shape responsive changes cultural heritage, local communities, information about cultural in our operations and their indigenous and minority peoples, heritage that the operation has management. descendent families, government obtained (eg: through surveys); agencies, religious institutions, –– communities have access to Box 1 highlights the broad range national and local museums and agreed complaints, disputes of communities and stakeholders cultural institutes, the scientific and grievance processes to raise who may need to be considered community, local historical groups with us any cultural heritage in order to achieve inclusive and NGOs. concerns or complaints that engagement. they may have (see Rio Tinto 25

How to guide to How

2.1.1 Consultation contributes to inclusive engagement

There are many ways to engage Cultural heritage intersects information. It is extremely with a community. Any process in with other aspects of diversity, important to respect people’s which employees and community including age, gender, class, right to privacy and to recognise members talk openly with ethnicity, family, politics, religion, that cultural knowledge is the each other can improve our economic and marital status. intellectual property of those understanding of community All of these factors can influence who hold it. concerns. how people value certain places, objects and practices and all Sometimes there is no common Consultation, conducted in ways should be taken into account view of the value or importance that are culturally acceptable during the process of community of cultural heritage features, to the communities concerned, and stakeholder engagement. even within a family group. Our is a key aspect of this (see role is not to take sides in such Rio Tinto Consultation and Sometimes knowledge about debates – the process of inclusive engagement guidance). We cultural heritage is restricted engagement makes it possible develop a consultation approach to one group in the community for different values and/or at the outset, which can be and its members may not wish to conflicting views to be heard and adapted as we learn more about a share all their information with accommodated. Other approaches community. It specifies who needs employees or with employees of that foster inclusive engagement to be consulted, their connections a particular age or gender. Experts are listed in box 2. to cultural heritage and sets and managers should be mindful a timetable that emphasises of these wishes and be able to consultation from the earliest assess significance without the stages of project conception. disclosure of culturally sensitive

2. Activities that contribute to inclusive engagement – H old regular consultation proactively with a view to building effective relationships. – G ain an understanding of the cultural and social structure and protocols of the community(s), so that the right people are involved in cultural heritage discussions, but the range of community views is covered. – E nsure regular access to the operation so community members can see how cultural heritage management is being implemented. – I nvolve community members in key project milestones and activities such as conducting appropriate ceremonies at key events. – U se and promote local languages, for instance dual or multi language signage. – I nvolve community members in relevant monitoring and evaluation processes across the operation. – S hare success stories and lessons learnt with other business units. – P rovide cultural awareness training, based on the local context, for all employees. Adapted in part from Aboriginal engagement and resource development leading practice guide produced by Rio Tinto

How to guide to How

2.1.2 Internal engagement

Internal engagement, conducted –– act in culturally appropriate 3. Hail Creek walking track by cultural heritage and ways; and In 2009, Rio Tinto Coal Australia’s Communities practitioners, –– act in compliance with cultural is just as important as external Hail Creek Mine created an heritage management system interpretive walking track that leads engagement. This engagement procedures. from the employee accommodation is critical to ensuring that village to the mine. This track is used operational activities that are Box 3 gives a creative example by employees on their way to and not under the direct management employed by Rio Tinto Coal from work. The track was designed Australia to increase the cultural control of the cultural heritage in consultation with local Traditional awareness of its employees. and Communities experts meet Owners, the Wiri Yuwiburra people. cultural heriatge requirements. Rio Tinto Alcan’s Weipa operation The walking track represents an To manage and protect cultural in north Queensland, Australia, attempt to promote awareness heritage there needs to be featured in case study 1 (page 26), of Aboriginal heritage among all clear communication between provides an example of the employees. Simultaneously, the various operational areas so that diverse approaches to engagement walking track functions as a ‘living’ keeping place for some of the employees and contractors: around cultural heritage and the heritage items relocated from the –– commit to and support cultural benefits that have resulted. operation. Signage along the track heritage procedures; explains the significance of each item. –– support external engagement The aim is to encourage employees programmes; to learn more about the cultural heritage of the region and develop a greater appreciation of Wiri Yuwiburra culture.

Left Hail Creek walking track, Queensland, Australia. The track was designed in consultation with the Wiri Yuwiburra Traditional Owners to promote employee’s awareness of Aboriginal heritage. 27 Case study 1 Case study 1: Rio Tinto in Weipa, Australia Inclusive engagement at Rio Tinto Alcan Weipa

The Weipa and Andoom bauxite mines are located in Weipa on the Cape York Peninsula in North Queensland, Australia. Mining has been active in the area since the late 1950s. Rio Tinto Alcan plans to expand mining into the East Andoom area, which has not previously been mined. Although mining is not scheduled to begin until 2011-2012, a community, heritage and environment management plan was developed well in advance, identifying key management issues and initiatives.

Challenge: Managing cultural heritage with other business obligations In the Weipa region, the cultural heritage concerns of the Traditional Owners extend beyond archaeological sites to a strong and active spiritual connection to land and to an overall cultural landscape. Thus, cultural heritage management in Weipa is closely connected with issues of the land, entailing significant rights and responsibilities of Traditional Owners over natural resource management. The effective management of cultural heritage at Weipa requires the consideration of the entire cultural landscape as opposed to managing cultural heritage as disconnected objects. This in turn requires the inclusive Weipa engagement of a variety of concerned parties, including Rio Tinto Australia Alcan’s environment department. The challenge for the company is to address its cross functional obligations in a complex social and natural landscape with strong intangible cultural heritage values.

Process: Engage externally and To address them, the Rio Tinto internally Alcan community relations and The development of the East environmental departments Andoom Communities, Heritage worked with the Traditional and Environment Management Owners to introduce traffic Plan required an integrated and control barriers to restrict people inclusive engagement approach from driving on the river bank, by Rio Tinto Alcan to ensure that including a designated parking the Thanikwithi people’s concerns lot with bollards. Educational about cultural heritage and materials were developed to environmental management were engage and inform all employees incorporated into the plan well and the broader community of the before any site work commenced. significance of Vyces Crossing to the Thanikiwithi people. These Specifically, the Traditional include interpretive signage Owners raised concerns over the and information pamphlets, recreational use of Vyces Crossing which focus on communicating by Weipa residents and tourists. the site’s cultural significance To the Thanikiwithi people, Vyces to those who use it. In 2010 a Crossing is a customary site used calendar was produced displaying to welcome visitors to their land local traditional knowledge through a brief ceremony. While and outlining the company’s the Thanikiwithi people were and community’s monthly comfortable for the site to continue management requirements. to be used by the public, they The materials also explain expressed concerns about the that continued access to the environmental damage caused by site depends on the goodwill 4WD vehicles driving on the creek of the Traditional Owners. bank, as well as people leaving their rubbish behind. Rio Tinto Alcan acknowledged these concerns as both a cultural heritage and a land management issue. 28 Case study 1

Outcome: Integrated and inclusive management of Vyces Crossing Inclusive engagement is needed to understand heritage issues at any operation, especially to identify appropriate management options for culturally significant places. In the case of the East Andoom Management Plan, the engagement process included consultation with the Traditional Owners and other Thanikiwithi people, and environment practitioners in addressing heritage issues associated with land management. This also involved engaging the broader Weipa community to ensure their behaviour is culturally sensitive and in line with the wishes of the Traditional Owners. Top Senior Thanikwithi Elder Steven Hall The result of this inclusive and Rio Tinto Alcan heritage liaison engagement has been the officer Amanda Woodley collecting development of an integrated shell samples from a midden for radiocarbon dating. The midden is management plan, the production approximately 500 years old. of positive environmental Above outcomes in terms of land and Information brochure on the cultural water management, and the significance of Vyces Crossing. The strengthening of relationships Thanikwithi traditional owners and Rio Tinto Alcan jointly produced between the operation and the the brochure and other educational Traditional Owners. materials about Vyces Crossing. 1 Circle Shells on the surface of a midden. 29

How to guide to How

2.2 Know and understand

Knowing the places, objects and practices that are important to communities, and understanding why these are valued, is the foundation for a sound cultural heritage management system.

At the very outset operations should seek to build their knowledge Checklist and understanding of: [ √ ] Does the operation maintain a Rio Tinto’s standards and guidance relating to cultural heritage register of all cultural heritage –– Communities standard, Cultural heritage management standard requirements? (Australia) and applicable guidance documents [ √ ] Does the operation maintain a Heritage legal framework register of all tangible cultural –– What are the legislative and regulatory requirements heritage features on the land for cultural heritage? that they manage and are the –– Are there customary laws that determine cultural locations of these features heritage requirements? maintained in the internal –A– re there industry specific protocols or standards that apply? Geographic Information System (GIS)? Communities and stakeholders –– Who has heritage interests in the operation’s lease area [ √ ] Are all industrial and historical and adjacent areas? heritage features and values –– How do values differ between groups? of the operation itself –H– ow does the legislative context affect who should be consulted? documented?

Tangible cultural heritage [ √ ] Does the operation have an –– Which places, objects and natural resources are considered significant? understanding of intangible –– Why are they significant? cultural values that are important to the community Intangible cultural heritage and how these can be –– Which cultural practices and values are likely to be impacted promoted? by operational activities? [ √ ] Do all baseline assessment –– How are cultural practices and values linked to tangible cultural tools feed into and inform each heritage in operational areas? other in relation to cultural –– How can we support the maintenance and celebration of cultural heritage and cultural concerns practices and beliefs? of the local community? Appropriate management processes [ √ ] Have all potential stakeholders –– How does the value associated with places, objects and practices been identified? influence how they should be managed? –– How can good management of cultural heritage contribute to our [ √ ] Have potential cultural commitments to local and regional economic growth consistent programme areas been with the Millennium Development Goals and our sustainable identified based on the cultural development objectives? values of the local community?

How to guide to How

2.2.1 Develop the cultural heritage knowledge base

Developing the knowledge The Rio Tinto Communities Analysis of this information needed for effective cultural standard also requires all of by cultural heritage experts, heritage management takes our businesses to address, as part whether internal or external, time and should begin at the of their community engagement, creates an understanding of how project exploration or conceptual changes that occur in local places, objects and practices are stage. Developing and regularly cultural norms, whether these valued, how they may be impacted updating a relevant knowledge are a result of our operations by operational activities, both base is a requirement of our or not. This means that while we positively and negatively, and Communities standard. are responsible for understanding how impacts can best be managed. and managing changes due to Each operation also needs to The knowledge base enables an our presence, we also need to carefully consider how data operation to plan properly and to understand how these relate to will be handled in the cultural monitor, review and evaluate its other cultural changes. These can be heritage management system and cultural heritage performance. monitored by periodically checking how it will be used to inform the Rio Tinto uses a very broad with communities and by carrying operation’s management. definition of what constitutes out cultural heritage studies. “cultural heritage”. This requires Cultural heritage information different surveys and assessments The studies and their terms should be collected throughout to build the knowledge base. of reference should be broad the lifecycle of a mining or At each stage of this process, enough to ensure they meet the processing operation. This is assessments and surveys should requirements of the Communities because different stages in the be undertaken by professionals standard to: life of the operation can have and may be subject to specific –– compile a list of tangible different impacts on cultural legal and specialist methods cultural heritage features based heritage (see the Background and requirements. on relevant cultural norms; reader for more information). –– develop an understanding of It is also because the long life Communities assessments – intangible cultural values; and span of operational activities, socioeconomic situational analysis and associated infrastructure, –– document all industrial and or social and environmental means that individuals in historical heritage features and impact assessments can identify affected communities will change, values of the operation itself. cultural practices and assets as may their understanding and of concern to communities, perception of risk and impact to which may be affected by cultural heritage. the operation’s activities.

Specific cultural heritage assessments – Rio Tinto cultural heritage assessment and surveys can identify objects or places of value as well as establish the cultural context in which heritage is valued.

How to guide to How

2.2.2 Understand cultural heritage risks

Risk analysis, including threats –– the nature of the community’s/ People’s perception of risk is and opportunities, helps determine region’s intangible cultural context dependent. In an area the scale and complexity of the heritage and values, and its where industrial development is cultural heritage management likely sensitivity to impacts new, or in which cultural heritage system required to adequately from mining; is impacted cumulatively by cover the operation’s risk profile. –– recorded heritage sites in the many operations or activities, Cultural heritage risks should be area of operation and the people may feel the impact of new assessed as part of an operation’s significance of these sites; activities more strongly, regardless Social Risk Analysis (see Social of the impact’s intensity. This –– any land claims or land risk analysis guidance), and in is another reason why regular ownership issues relating to the some situations specific cultural updating of our baseline data operation’s land, and whether heritage risk analyses are warranted. is required. any community agreements are Understanding risk exposure in place; provides a better understanding –– the extent of any existing of how to design and implement statutory and project a cultural heritage management approvals or cultural heritage system that is appropriate to management plans, including the level of risk. Factors that ones for cultural heritage contribute to risk exposure disturbance; include: –– the priorities, concerns and –– the pattern of the region’s willingness to engage of cultural heritage sites (types, relevant communities; distribution and density) –– past disputes or legacy issues; and the absence or extent and and quality of previous heritage surveys; –– the nature of the operation’s activities.

Left This sacred tree is located next to the ruins of the ancient Alag Bayan temple in the Bayan bag, Khanbogd soum, Mongolia. It is the largest elm tree (6m in diameter) found in Mongolia. The local community protects the tree, including not moving wood or fallen branches of the tree and prohibiting polluting and littering. This photo was taken by Oyu Tolgoi botanist, J. Sanjid, in July 2009 to record this cultural heritage feature. 32

How to guide to How

2.2.3 Undertake cultural heritage assessments

A cultural heritage baseline systematic cultural heritage Survey work assessment should consist of: management was legislated or Surveys of cultural heritage sites –– a desktop review, followed by required by Rio Tinto. It may usually involve technical experts ground survey work addressing be useful to seek out reports of assessing the features of either all all relevant forms of heritage; early work such as the initial land managed by the operation or –– inclusive engagement and exploration of the area, which the proposed footprint of specific consultation with local may have documented an development projects. This may communities and stakeholders; early cultural consultation or include, but is not limited to, new and environmental scan of the area. mining areas or processing facilities, infrastructure such as –– an analysis of the legal Heritage registers list cultural roads, railways, power stations and framework applying to the heritage sites at various levels of lines, hydro-electric dams, tailings, operation. significance. The value assigned to and exploration tracks and drill a cultural heritage site will define Desktop review pads, or areas potentially affected whether it appears on local, state, by emissions or dust. Extensions to A desktop review consists of a national or international heritage review of: existing works should also be registers and, consequently, the assessed. The time and cost –– existing knowledge held by the regulations which apply to it. Not operation (operation’s records, involved in survey work is scale identifying already-registered and context-dependent. reports, employees knowledge sites or misunderstanding the etc); management requirements There are many possible approaches –– heritage registers (local, or limitations imposed by a to site survey work. The methodology regional, national and site’s registration can result chosen will affect the outcome of the international); and in serious consequences, such survey, as will the professionals who –– academic studies that might as legal breaches or claims of carry out the survey. Professionals have been conducted in the unauthorised access. should be selected based on area including archaeological, recognised competence. Expert A register check is just the starting historical, anthropological and advice from within the company can point of cultural heritage work. palaeontological studies. be sought to ensure that the right Relying solely on registers to Reviewing our knowledge base expertise and methodology are used inform cultural heritage work is to enable the comprehensive and is particularly important if an insufficient because it is rare that operation has been active for accurate identification of cultural all sites will be registered. heritage values. many years or has not previously Legislation often provides blanket carried out heritage work in protection for categories of sites a formal and systematic way. irrespective of registration. Cultural heritage work can be Ignorance is no defence if these done retrospectively; especially sites are disturbed. if an operation began before

How to guide to How

Most heritage assessments involve –– Industrial heritage can be The completion of survey work both an ethnographic survey identified in a historical survey does not mean that all heritage conducted by an anthropologist and and where relevant should features or values have necessarily an archaeological survey conducted include an assessment of been identified. Sub-surface by an archaeologist. A specific Rio Tinto’s own business assets. prehistoric human remains for historical-archaeological survey –– Palaeontological surveys are example may only be uncovered may also be required where there conducted in areas likely to during ground disturbance works are potentially historic remains, contain dinosaur or other or other activities. If you come including old buildings or mine prehistoric, non-human fossils. across a cultural heritage feature workings. Palaeontological surveys that was not previously known Technical experts should be may be required in areas containing about, it is called a ‘chance find’. accompanied by community fossil remains. Procedures to deal with chance members, especially those for finds should be developed and whom the cultural heritage is –– Ethnographic surveys are used implemented so all employees important, who can assist in the to identify places and practices and contractors stop work at once identification of features and of significance, some of which on discovery of new objects until more importantly explain the may be invisible to people the work is cleared through the significance of these features. outside of the cultural group relevant process. Chance finds The involvement of local groups concerned, and possible impacts procedures are discussed in more or traditional land owners in both to them. Ethnographic surveys detail in the Plan and Implement ethnographic and archaeological are conducted by a qualified section of this guide (2.3). anthropologist. surveys can: –– contribute to cultural –– Archaeological surveys should Case study 2 from Jadar, Serbia, maintenance; aim to locate and record all highlights the importance of an archaeological sites likely to –– foster cultural education early stage desktop review and be affected by the proposed and help to ensure there are initial survey work to ensure a project works. A comprehensive community members with thorough awareness of the cultural survey is necessary when little is cultural heritage knowledge for heritage issues of the region during known about the distribution of future assessment processes; project studies and design. archaeological heritage. Where and

substantial baseline data are –– foster a spirit of inclusivity and available, a sampling survey may engagement. be appropriate, provided it is Sometimes communities include rigorously justified. or employ their own technical –– A historical survey may be experts and can conduct the required where it is likely there required survey work. In Australia, are historic buildings or other Canada and the US, for example, remains. Historical archaeologists representative indigenous are trained in identifying subtle organisations often coordinate landscape evidence such as indigenous heritage assessments, property boundaries and historic especially if this is required by an evidence that would not normally agreement between the operation be detected in archaeological and the community. or ethnographic surveys. 34

How to guide to How

Above Rio Tinto Alcan Weipa employees examining a historic drill rig on ML7031, in Queensland, Australia. This artefact is now protected by a fire break and a controlled burning programme to reduce the impact of bushfires on the wooden frame. (L-R) Neale Dahl, Environment superintendent, and Justin Shiner, Specialist archaeologist. Left Ken Mulvaney, Cultural Heritage specialist at Rio Tinto Iron Ore, and students from the University of Western Australia record rock art on the Burrup Peninsula, Pilbara Region, Western Australia. 35 Case study 2 Case Study 2: Rio Tinto in Jadar, Serbia Involving experts in early desktop review for identifying cultural heritage

Rio Tinto’s lithium-borate project in Jadar is located approximately 100 kilometres from Belgrade in Serbia. Discovered by Rio Tinto Exploration, the Jadar project transferred to Rio Tinto Minerals in 2009 after an Order of Magnitude study was completed. There was significant cultural heritage work undertaken at the Order of Magnitude phase.

Challenge: Involving cultural heritage early The challenge for Rio Tinto Exploration (Exploration) was to develop a sufficient understanding of the cultural heritage of the area before drilling began, at a scale and cost appropriate to the project’s early life stage and low levels of disturbance. Exploration followed the principle that it is best to gather quality cultural heritage information upfront and ensure heritage management requirements are incorporated into project planning and design. This will help to avoid possible mistakes and prevent any large effort or cost to the business from avoidable project redesign or heritage mitigation. By involving the right heritage experts in its early stage heritage work, Exploration was able to identify Jadar and avoid significant heritage places and values, and understand the Serbia relevant threats and opportunities for subsequent project phases. This has also led to strong relationships for the future project studies.

Process: Conduct early desktop Neolithic Age all the way through review the Middle Ages, the Jadar Exploration undertook a area also possesses significant desktop review of the Jadar site, intangible value owing to the involving regional experts from area’s historical involvement in the University of Belgrade. This World War I. The Battle of Cer, consisted of an in-depth literature also known as the Battle of Jadar, review, a site inspection and the took place between the Serbian building of a digital database, and invading Austro-Hungarian integrated with GIS, for easy armies in this area. The battle future use. This process helped was the first allied victory in to compile information about the World War I. This historic memory history and significance, past and from the war, along with physical present, of the site. archaeological assets from the time, is an important aspect The findings of the desktop review of the local community’s revealed very broad and significant collective memory. heritage values including the existence of Bronze and Iron Continued study of the tombs Age tombs in the area of Brezjak in particular is likely to provide village. These contained cremated deeper insights, which have human remains, bracelets, long been lacking, about the necklaces, spears, urns and people who occupied the site other artefacts. This early research several thousand years ago. In helped inform cultural heritage November 2010, Rio Tinto signed management requirements an agreement to donate €50,000 for future project phases and to the Jadar Museum to continue will prevent any unnecessary research into these prehistoric disturbances to cultural heritage burial mounds. Once exploration during the construction and is complete, Rio Tinto will work operation of the mine. with the museum to develop plans on how to best interpret As well as possessing tangible and exhibit their discoveries. artefacts dating from the late 36 Case study 2

Outcome: Early heritage work even though the evolution of a Top leads to success later mining project can take 10 or 20 A school group visiting the battle of Cer Memorial House. The Battle of By conducting the desktop review years. By involving the right local Cer, which was the first allied victory early in the project as part of experts this was achieved at a cost in World War 1, is an important its heritage work, Exploration proportionate to the project phase. aspect of the local community’s revealed significant archaeological With a thorough knowledge of the collective memory. sites, drew attention to an Jadar area’s cultural heritage, Bottom Site reclamation after excavation important time in history for Rio Tinto Minerals is also now well of Bronze and Iron Age tombs at the local people, and identified placed to support and strengthen the Jadar project. areas of sensitivity, such as the the area’s on-going heritage Circle unearthing of mortal remains management. Early engagement Excavation of Bronze and Iron from WWI. Rio Tinto Minerals around cultural issues and Age tombs at the Jadar project. need to remain cognisant of involvement of local experts is these findings in their work. also recognised as crucial for building strong community These findings demonstrate relationships and partnerships. the importance of addressing cultural heritage issues upfront, 2

How to guide to How

Survey reports Legal framework In some cases, local legislation Reports from survey work should A cultural heritage baseline is requires a third party to carry be comprehensive and ensure required to establish the legal out cultural heritage survey that all necessary information framework within which cultural work or will have stipulations is captured and is consistent heritage management operates, regarding the ownership, and with our internal information at the international, national and subsequent handing over, of management system. We aim local scale. This legal framework excavated artefacts. In many to maintain consistency in our may include customary laws countries the State owns heritage heritage reports to ensure that (based on local cultural traditions), features. This should not prevent unauthorised cultural heritage regional and national cultural Rio Tinto businesses from impacts do not occur as a result heritage laws, and international employing their own cultural of inaccurate information. charters, conventions and other heritage practitioners to ensure agreements applying to the country that cultural heritage work is The operation should ensure it of operation. These instruments of a high standard and meets obtains appropriate authorisation have varying degrees of legal our own requirements. from the community to use status. Cultural heritage legislation any cultural information often differs between and within If there is no legal framework for which has been obtained for countries, depending on the level the protection of cultural heritage business purposes. This helps of significance attributed to a in a country where Rio Tinto individuals and communities cultural heritage place. operates, or if our standards to retain their moral and exceed the legal requirements, intellectual property rights in In certain circumstances there then the operation should meet relation to cultural knowledge. may be different laws and Rio Tinto standards. Communities have the right to regulations to protect the cultural decide how cultural information heritage of different groups within Case study 3 (page 38) on Palabora is to be communicated publicly the same jurisdiction. Sometimes, mine in South Africa describes a and are entitled to restrict legislation covering areas such as unique requirement for businesses the wider sharing of their the environment, mining or land operating in this region. Palabora cultural knowledge. rights may link to and reinforce has succeeded in not only cultural heritage requirements. complying with the South African Each operation should have a legislative requirement to keep a clear and appropriate information Rio Tinto businesses also have to heritage register, but took a step management system that ensures comply with industry protocols and further and turned their register that cultural heritage knowledge standards for cultural heritage as into an asset. is handled with sensitivity and well as for sustainable development respect. For instance, restricted and environmental and social documents should be clearly marked. responsibility. While there may be no legal sanctions, Rio Tinto’s reputation can suffer if we do not rigorously observe them.

How to guide to How

Heritage assets Historic mining operations In some circumstances the cultural often have a special place in the heritage baseline assessment should collective memory of the local also recognise and record the community as generations of historical importance of the mining people have worked in the mine operation itself. Historical and/or or the industry. Sometimes the industrial heritage professionals can history of a mining operation or assess the significance of historical a commodity will be intimately buildings, landscape features or linked to the history of regional machinery which may reflect their development in the area. For period architecture, illustration example, case study 4 (page 40) of a point in the nation’s history on the Shawinigan Aluminium or any other element of historical Smelter in Canada highlights or technological importance. some of the reasons why historical Top Circumstances where this would buildings owned by an operation Mining cottages are a valued heritage asset in Michigan, US. be relevant include: where the may be significant heritage Above business’s assets are over 50 years features themselves and how Interior of the Humbolt mill, which old; where they represent the first these features can be managed in will be refurbished to process ore example of a technology or building a way that enhances their value from Kennecott’s Eagle mine in Michigan, US. type; or where the operation through contemporary use. played a significant role in the development of a region or nation.

39 Case study 3 Case study 3: Rio Tinto in Phalaborwa, South Africa Addressing legal requirements while furthering cultural heritage goals

The Palabora Mining Company (Palabora) operates a large copper mine in the Limpopo province of South Africa. Palabora, which began operations in 1956, is wholly managed by Rio Tinto, who own 57 per cent of the mine. It is South Africa’s sole producer of refined copper.

Challenge: Working with legal requirements to benefit cultural heritage South Africa has made several legislative reforms to address the management and protection of its rich heritage sites and resources. Specifically, the Palabora mine is required to compile an inventory or heritage register for the area where it operates (Section 39 of the National Heritage Resource Act). The challenge for Palabora has been to meet these legal requirements while simultaneously developing a publicly available heritage register for the site. Though legislative requirements were the impetus for Palabora to develop a register, it was also created as a tool to effectively manage future activities and Phalaborwa make timely planning decisions, and to demonstrate to both the local South Africa communities and government that their cultural heritage was being managed effectively.

Process: Construct a register land claims by four different Palabora mine operates in the communities. The cultural Phalaborwa region, an area rich heritage belonging to each in cultural heritage resources of these groups needed to be dating back as far as the Stone represented diplomatically in Age. In total, 13 archaeological the online content. sites have been found on the mine lease area owned by Today the Palabora cultural Palabora. Two of these, Shankare heritage register consists of a 3 and Phutwane, are considered website maintaining records of all to be of outstanding historical cultural heritage resources, sites, significance for their evidence artefacts and related activities, in of early human settlement. accordance with the legislation. The register provides pictures and Despite some general guidelines useful details such as description listed in the legislation, of threats, which communities lay no regular format was available claim to the sites, who is in charge to shape Palabora’s cultural of monitoring and much more. heritage register. Considerable Beyond the required content, time was therefore spent planning the online register also contains the design and content of the a descriptive history of the area register. An internal team at and the legislation applied there, Palabora was commissioned two interactive GIS maps, and to work on this and a cultural contact information for further heritage expert from Rio Tinto suggestions and comments. Mine Corporate was consulted in this site access restrictions, including planning phase. The design and mine security, ensures that listing content of the register took into of the site data does not present account the political situation a risk of unauthorised visitation, – the mine area is subject to damage or looting to these sites.

40 3. Key websites provided on page 125. Case study 3

Outcome: Going beyond compliance Using the South African legislation as a stepping stone rather than an end goal, Palabora has taken the opportunity to make their cultural heritage register a robust and interactive tool available online to the public. The register has contributed to community pride in the four different communities with competing land claims but has not increased political tension between them. Besides being a comprehensive record of the existing conditions, the register also ensures that future mining and development activities are sensitive to these heritage sites, preventing future loss and damage. By taking a proactive approach in composing Top University students from Cape Town this type of register, Palabora University conducting an excavation demonstrates how a business at one of the archaeological sites on can comply with legislation and the Palabora lease. meet its internal cultural heritage Above management requirements, as Members of a local Tribal community visiting a natural spring that was well as further its commitments to used by their ancestors. The spring transparency, community respect is located on the Palabora lease. and public education. Circle Remains of a copper furnace located 3 at Palabora during development.

41 Case study 4 Case study 4: Rio Tinto in Quebec, Canada Recognising the heritage value of Canada’s aluminium industry

The first aluminium ever cast in Canada was in 1901 at the Shawinigan Aluminium Smelting Complex in the city of Shawinigan in Quebec province. The Shawinigan Aluminium Smelting Complex, which was then operated by the Northern Aluminum Company Limited has since become part of Rio Tinto Alcan. In view of this century long history, the former Shawinigan Aluminium Smelting Complex, the oldest existing aluminium smelting complex in North America, was designated a ‘national historic site’ of Canada in 2002.

Challenge: How to protect industrial heritage values The Shawinigan complex represents the historic birth and development of aluminium production. The key heritage values of this historic site include its architecture and construction, the viewscapes from the various buildings and the relationship of the buildings to the Saint- Maurice River and Shawinigan Falls. These values and attributes are all listed in Canada’s Register of Historic Places. The challenge for the company was not in trying to evaluate the heritage values of the Quebec complex, which were well understood and recognised, but in finding an Canada effective way to manage these values once the buildings were no longer being used for aluminium production.

Process: Recognise and celebrate the unique history of the complex the values while allowing it to be used and The company decided the best appreciated by the wider community. way to protect and promote the heritage values was to donate the Rio Tinto Alcan remains buildings from the Shawinigan involved in the management of Aluminium Smelting Complex Espace Shawinigan by having to La Cité de l’énergie (the City members on La Cité de l’énergie’s of Energy), a theme park, which administration committee. celebrates the influential role of Every year Rio Tinto Alcan Canada’s aluminium industry. also collaborates with La Cité The buildings were donated in de l’énergie to help stage an art 2001, along with $1.4 million, as exhibition in the restored brick part of celebrations marking the and steel buildings, using the centenary of the first aluminium historic buildings as a site for casting in Canada. contemporary cultural and artistic expression. The Shawinigan Aluminium Smelting Complex, now known as Espace Shawinigan (Shawinigan Space), has since been converted into a contemporary arts centre and makes up a significant part of La Cité de l’énergie. The park consists of a science centre containing interactive displays, an observation tower, as well as a historical sector with various historic buildings and their industrial contents, which are open to the public. Nowadays, La Cité de l’énergie is one of Quebec’s leading tourist attractions. This management outcome preserves 42 Case study 4

Outcome: Honour the past, while operating in the present

As with the conservation of all historic buildings, finding a new use for them is the best way to ensure the buildings, and in this case, the industrial heritage values they represent are preserved. Recognising the cultural heritage values of the buildings and their history was the critical trigger for all that followed. Top and above (left and right) Through this donation and For 25 years, the Shawinigan ongoing involvement, Rio Tinto aluminum smelter was one of the largest in North America. When Alcan continues to contribute these pictures were taken, in the to the cultural atmosphere of 1920s, the aluminum complex, Shawinigan. Recognising and located near Shawinigan Bay and the contributing to the role that the Belgo plant, comprised two power substations, four potrooms, one aluminium industry has had on cable factory, and one wire drawing regional development, community unit, among others. identity, and more recently, to the Circle arts, Rio Tinto Alcan continues In the early 20th Century, smelter to foster the historic intersection employees had to have strength and endurance as they handled the between industry and community heavy metal bars used to remove the in Shawinigan. aluminum from the pots. They wore wool clothing as protection against 4 the molten metal. Left La Cité de l’énergie is now one of Quebec’s leading tourist attractions. It preserves the unique history of the complex while making it available to the wider community.

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2.2.4 Cultural heritage management – drawing on the knowledge base

The knowledge base yields Box 4 explores the possibility 4. Dealing with disputes important information for of disputes arising during the successful management significance assessment and There may be considerable of cultural heritage. Cultural their potential for resolution. discrepancies in the values that different groups associate with heritage significance assessments Disputes can occur if significance the same place, object or practice. and impact assessments are assessments and subsequent In instances when an agreement the basis for choosing the best management options defined cannot be reached, external cultural management options. by heritage experts and/or other heritage experts may be consulted stakeholders are not considered Significance assessment to assess the validity of claims of adequate by the community. each group. This is difficult because Significance assessment is a Conflicts can also arise between formal process for understanding the Rio Tinto Communities standard various community groups. requires an accommodation of the value of cultural heritage. the different cultures, lifestyles, Significance assessment, and the While it is always important to heritage and preferences of the values that are defined through consider the community’s values, local communities in which we the process, should determine community consultation is not operate. Our role is not to deny management decisions. It is an excuse for ignoring the advice the cultural significance of a place, undertaken by heritage experts of qualified professionals who object or practice or to resolve local in consultation with community may recommend more stringent differences over it but rather to members and will be based on heritage management than the ensure that we respect each group’s the analysis of oral, documentary community does itself. Some concerns. Community groups may and physical evidence, to draw out mining companies have been be more willing to engage in a the social, aesthetic, historic and/ criticised by heritage professionals variety of management activities if or scientific values of the place, and NGOs for excluding experts they feel that they have been heard object or practice. from the assessment process and respected. because they are aware that If adequate assessment is not local communities have a limited undertaken, it is possible that understanding of the scientific management decisions will be value of some sites and are, made that inadvertently destroy therefore, more likely to approve or diminish important aspects proposed works. of the cultural heritage feature’s significance or that favour one stakeholder’s values over another’s, resulting in conflict (see the Background reader for more information).

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Impact assessment ongoing access and therefore 5. Cumulative impacts Once a place, object or practice restrict the continuation of their has been assessed as ‘significant’, cultural practice. Oral histories, In areas where there is a lot then the appropriateness of all photographs, film, facsimiles and of other mining activity or the impacts of mining development future operational activities need other forms of documentation are compounded by other forms of to be measured according to the and community museums may be development, then the cumulative degree of impact they will have necessary to preserve something of impact of these activities will on this significance. Impacts need what is lost and wherever possible also influence management to be clearly spelled out so that to enable continuity of traditions. requirements. What may be management measures can be perceived by employees as a clearly identified. Box 5 outlines The establishment of hydro- electric dams can be another high relatively small loss of cultural the potential for cumulative heritage – for example, the impact area. In these cases, there cultural heritage impacts. destruction of an archaeological may be a much greater and longer site that is deemed to have little For cultural heritage, an impact term demand for a business’s historical or social significance – may assessment looks at changes to resources for studies and experts to be valued highly by the descendent both tangible and intangible address these impacts. This could community if they have experienced cultural heritage likely to be caused include protection and mitigation significant loss of other sites or by our operational activities. measures, as well as compensation change in their cultural heritage Impacts of these activities can for permanent cultural loss and, from mining or other developments range from minor disturbance of in certain cases, the performance in the area. a low significance archaeological of rituals that may need to be site to the destruction of an entire repeated well into the future. cultural landscape. Changes caused by our operational activities International good practice can be analysed for threats to and requires that cultural heritage, opportunities for communities including biophysical and and the business and link them to social features, be captured proposed risk mitigation strategies. in environmental impact In short, impact assessment allows assessments. Rio Tinto’s us to understand how the project requirements are even more or operational plan may affect stringent, requiring that local cultural heritage matters, a specific cultural heritage however complex. baseline assessment be conducted as part of a new project’s social Projects requiring the resettlement and environmental impact of a whole community for example, assessment process. A procedure could lead to significant impacts for conducting cultural heritage on both tangible and intangible assessments should be developed heritage values. In such cases the and incorporated into the cultural assessment involves identifying heritage management system, specific cultural impacts likely especially where the business to result from relocation – such is likely to have an expanding as relocating the custodians footprint and require more than of a sacred site away from that a single survey and assessment. site, which may limit their 45

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2.3 Plan and implement

Good cultural heritage management requires careful planning to ensure it is smoothly integrated into our operational plans and procedures.

Cultural heritage considerations Checklist need to be incorporated into project planning and design from [ √ ] Is the Cultural Heritage Management System (CHMS) integrated into the outset. Cultural heritage operational planning processes and authorisation procedures to ensure all planning should take place work is compatible with the CHMS? in several key areas: [ √ ] Are all potential users of the operation’s CHMS trained in its requirements? –– at the strategic level as laid out This includes anyone with authority to undertake new ground disturbing in the businesses multi-year activities (eg: mine and project planners, geologists etc). Communities plan; –– as a key component of project [ √ ] Is there a clear procedure for the identification, evaluation and management study and design; of the operation’s cultural heritage?

–– during the development of [ √ ] Are cultural heritage management arrangements formalised in a cultural procedures and systems; and heritage management plan which details the specific management –– at the programme level measures to be implemented for the area under consideration? for the design of specific community initiatives. [ √ ] Is cultural heritage work integrated into other functions such as Human Resources and Environment? A CHMS incorporates all four phases of cultural heritage [ √ ] Is there a cultural heritage zoning plan or are cultural heritage management covered in this considerations incorporated into the operation’s ground disturbance permit guide, each of which requires the system? development and implementation of clear cultural heritage [ √ ] Do employee inductions include an overview of cultural heritage of the area management procedures, systems and the operation’s cultural heritage policy, commitments and procedures? and/or plans. Cultural heritage [ √ ] Is the CHMS integrated with the operation’s communities systems and considerations should also be programmes? integrated into all operational policies, plans and activities that [ √ ] Is cultural heritage integrated into the operation’s closure management have either direct or indirect plan so that current cultural heritage management measures are either cultural heritage implications. The continued or divested after closure, additional protective measures are CHMS should have an established considered, and cultural heritage documentation or cultural materials decision-making hierarchy with (either salvaged or gifted) are considered? clear lines of accountability. [ √ ] Are there strategies in place at the workplace to educate employees about A CHMS will include specific local cultural beliefs and practices? cultural heritage management [ √ ] Does the cultural heritage management system conform to Rio Tinto Group plans, and these are often guidance? required as components of an operation’s social and environmental impact assessment. Cultural heritage agreements with communities and other stakeholders may also be needed in some contexts.

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Above A local woman intricately and delicately weaves a basket out of strips of bamboo in Bajna village, near Rio Tinto Diamonds’ Bunder camp, Madhya Pradesh, India. Most local communities in this area make their livings from farming or traditional handcrafts such as this. Right Bheemkund is an underground perennial pool which is a significant religious site in Madhya Pradesh, India. During religious pilgrimage hundreds come to bathe in and drink from this pool as a sign of allegiance and dedication to the Gods. Bheemkund is 15 kilometres from the Bunder camp and will not be affected by the development of the mine. 47

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2.3.1 Cultural heritage management plans

Cultural heritage management Box 6 provides an example of a comprehensive management plan for plans (CHMP) set out the an area, which pulls together all the applicable elements of the business management issues relating to CHMS. CHMP for a specific cultural heritage place, object or practice a specific area, or heritage place, would include the relevant elements of these. object or practice. A CHMP is often a legally-binding document 6. CHMP – example contents which sets out the accountabilities of signed parties. 1. Introduction a. Context and setting The content of a CHMP will b. Applicable laws and standards differ depending on its scope, c. Definitions the existence of heritage values 2. Scope and structure in the area, the heritage work a. Heritage values done to date and other factors. b. Nature of the operation and potential impacts A CHMP may be two or 200 pages c. Cultural heritage management objectives long, proportionate to the level 3. Responsibilities of cultural heritage complexity. a. Operational accountabilities In some areas and jurisdictions, b. Employee induction and training legislated or formal guidelines c. Contractor management may influence or determine the 4. Roles of the parties content of a CHMP. a. Rio Tinto operation b. Local community(s) In general, a CHMP will: c. Other parties –– outline the history, contemporary 5. Disclosure of information profile and aspirations of the 6. Consultation procedure relevant community; 7. Management of cultural heritage –– outline the cultural heritage a. Procedure for conservation of cultural heritage characteristics and values of b. P rocedure for removal of cultural heritage the area; c. Procedure for chance finds –– identify important management d. Procedure for implementation of cultural programmes issues, objectives and priorities e. Procedure for use of cultural heritage (by community/by business) including co-management aims 8. Cultural offset and community perspectives; a. Identifying and managing offsets –– set out the planning background 9. C omplaints, disputes and grievance procedure that has influenced consultations 10. Incident reporting and management decisions; 11. Monitoring and evaluation –– set out the proposed governance 12. Management schedule and management arrangements for the area or feature, including accountabilities of all parties; –– identify monitoring and reporting objectives; and –– outline a complaints, disputes and grievance procedure. 48

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A CHMP often has monitoring All operations should have a ‘chance finds’ procedure which sets out and reporting requirements what is to be done when cultural heritage objects are unexpectedly that can be used to review its uncovered during operational activities. In particular this procedure effectiveness. These may include should specify the steps to be taken if human remains are found, tracking performance, verifying as these may constitute a crime scene or may be of high cultural compliance in consultation sensitivity and need to be treated with particular care. Operations with all parties and making should also plan for unforeseen discoveries of intangible heritage and recommendations. set out the correct procedure for dealing with them. These plans should be established from the start of a project. Box 7 outlines likely steps. Cultural heritage management plans should also take into account how the operation 7. ‘Chance finds’ or ‘unforeseen discoveries’ procedures may affect a neighbouring 1. S top work in the vicinity of the find at once (very often work can be continued community’s intangible at another part of the project, so avoiding costly delays). and tangible heritage both 2. Notify the accountable operations manager or relevant Rio Tinto authority. economically and physically, and The find should be treated as a cultural heritage incident and reported. contain guidelines for managing 3. N otify police if human remains have been found: various legal requirements these impacts across the life of are likely to be triggered. mine. For example, they can 4. N otify cultural heritage authorities, if required, in the case of any include programmes designed archaeological or palaeontological find. to maintain or preserve a local 5. U se heritage experts and relevant community members to assess the tradition or intangible cultural significance of the find, and report it if required by law. value or compensate in a different 6. Decide on the right way to manage the find in consultation with the relevant way for damage caused to a site. community groups and stakeholders.Resume work if permitted and agreed. The CHMP should state clearly who is accountable.

All parties and their roles and responsibilities should be defined in the CHMP. This includes the operation’s responsibilities to train and induct all employees in cultural heritage matters in order to avoid damage to both tangible and intangible heritage due to lack of awareness. There should also be a clear procedure for managing potential impacts from contractors and visitors. Other agencies such as governments and museums may also have responsibilities that need to be clearly articulated in the plan.

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2.3.2 Implementing management actions

Cultural heritage management –– the operation’s characteristics; –– providing advice, direction actions may encompass active –– specialist cultural heritage and facilitation of cultural documentation, conservation advice; inductions and training of and enhancement, recording and employees and contractors; –– other stakeholder concerns; and destroying or relocating cultural –– implementing programmes to –– legislative requirements. material. Sometimes management manage cultural heritage sites, is specific to a small area and To ensure inclusive engagement or to mitigate any harm or loss at other times it will need to cultural heritage projects should caused to a site; be conducted on a larger scale be co-managed in partnership –– implementing intangible to retain the overall cultural with relevant communities. heritage documentation values of a landscape. Planning Specific activities which (eg: oral history collection); and decision making weighs the communities may participate in values of the heritage place or include: –– co-ordinating cultural object against a range of other –– cultural heritage management programmes (eg: dance, theatre, opportunities and constraints decision-making processes; music, story-telling, knowledge sharing); and and should be based on: –– defining and continually –– the value of the cultural monitoring the cultural values –– encouraging trainees in cultural heritage to all stakeholders; of the area defined as co- heritage and environmental –– outcomes of the business risk managed; monitoring. assessment process; –– providing advice and direction The process for identifying and –– the cultural norms and wishes on and participating in establishing appropriate cultural of the community; environmental monitoring; heritage management options is outlined in figure 2.

Left Aboriginal artists from the Pilbara region at the opening of the “Colours of My Country” exhibition in Perth, Western Australia, 2010. The exhibition is supported by Rio Tinto Iron Ore. (L-R) Tootsie Daniels, Loreen Samson, Kenny Diamond, Kaye Warrie, Judith Coppin.

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Figure 2. Process for developing a Cultural Heritage Management Plan (CHMP)

Identify Identify cultural heritage features (place / object / practice)

Assess Significance assessment

Assess With inclusive engagement Impact assessment

Analyse Analyse social risks (threats and opportunities)

Consider Consider appropriate management options

Conservation Mitigation Compensation and Disturbance Enhancement and Avoidance and Relocation Cultural offsets

Design & Implement Design and implement management plan for agreed options

Developed by CSRM, May 2011

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Avoidance and conservation Retaining the significance of Disturbance Project design should be modified a cultural place or object may Sometimes disturbance of tangible wherever reasonable and include: cultural heritage is unavoidable or practicable to take account of –– protective management and is considered a legitimate option concerns raised by communities restricted access zoning; after careful consultation on the and relevant stakeholders and –– maintenance, preservation, value of the place or object has the results of significance and restoration, reconstruction taken place. Occasionally specific impact assessments. It is possible or adaptation of the cultural areas may be avoided but the that in some cases the only heritage; larger cultural landscape may still acceptable management option for be impacted. –– documentation and recording; a cultural heritage feature is not to disturb it. If no other suitable –– formal management buffers; An operation should have a management option can be agreed –– signage, barricading and/or disturbance approval procedure upon then consideration must be fencing; that defines protocols for: –– seeking disturbance approval given to redesigning or relocating –– bunding, drainage and/or from relevant communities relevant aspects of the project. vegetation management; and the statutory authority for Protecting the cultural –– fire and pest management; cultural heritage disturbance; significance of a place does not –– site monitoring; –– agreeing upon compensation for always, or only, require that –– rehabilitation or reconstruction the damage where appropriate; the place be avoided (although of the pre-mining landscape; –– documenting and recording avoidance may be a part of and the cultural heritage before its management). More often –– employee and contractor disturbance; and the site is recommended for inductions, education and –– ensuring that operational work conservation. This can include training. all the processes of looking after procedures align with the Sometimes, to retain the cultural a cultural place or object so as disturbance procedure. significance of a place, it may to retain its significance. If a At Rio Tinto operations with need to be continually used by place’s physical appearance is a mature CHMS, disturbance the people for whom it holds critical to its significance, then approvals are organised well in significance. This may be as true this should be retained. It is often advance of the operational plan for a historic religious structure important to use traditional to allow for the appropriate CHMS as for a cultural landscape. methods of conservation to retain processes to be undertaken and Planning for continued access the cultural significance of a site, to avoid delays in approval that and use of the site may need to be especially if modern techniques affect operational time lines (see carefully factored into operational and materials are seen to erode case study 8, page 64). procedures, including, but not the significance or perpetuate limited to, health and safety the loss of traditional laws, requirements for visitors entering methods of conservation or operational areas. This can be traditional authority to care addressed by developing agreed for cultural heritage. access protocols with the relevant individuals or community(s).

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Mitigation and relocation Heritage values are often integrally Case study 5 from Murowa In instances where disturbance connected to the place/context and Diamond Mine in Zimbabwe of tangible cultural heritage is removal of the heritage feature from shows the importance that approved, steps must still be taken its original context can destroy that communities can place on the to reduce the impact of the loss. connection. Preservation in-situ is relocation of significant and This may include recovery of as therefore the best practice for site threatened cultural heritage much information or material protection. Given the potential for such as graves. In this example, as possible before the feature impact, relocation should only be importance was placed on is destroyed. These options are considered as an option after advice respecting the cultural values often referred to by Rio Tinto as from cultural heritage experts and and concerns of family members mitigation options. only if relocating the site or object when considering, planning it is seen to preserve its heritage and implementing the grave Mitigation may include one or values. Where this is not possible relocations. The country’s more of the following measures: other forms of mitigation should regulatory guidelines were –– surface salvage collection of be undertaken. In planning for also closely followed. cultural heritage artefacts; relocation it is important to consult –– sub-surface salvage excavation with community members as well of cultural heritage artefacts; as regulatory bodies over issues –– sub-surface investigation and such as: recording of archaeological –– how the material should deposits; be handled; –– archival documentation of –– who should be involved or places and objects; present during the relocation –– relocation or recovery of processes; significant cultural heritage –– what, if any, ceremonies should objects/places; and be performed and who should –– ethnographic studies. perform these; Relocation is a mitigation option –– where should the features that is commonly requested by be relocated to; and community members, yet it can –– how they should be managed significantly affect archaeological in their new location. or other heritage values and this impact is not always understood by community members.

53 Case study 5 Case study 5: Rio Tinto in Zvishavane, Zimbabwe Planning relocation of significant heritage and honouring cultural needs

The Murowa Diamond Mine (Murowa) is a small-scale operation located in the Zvishavane District of Zimbabwe. The operation is owned by Murowa Diamonds Limited, with shareholders Rio Tinto (78 per cent) and Riozim Limited (22 per cent). The mine is managed entirely by Rio Tinto. The development of a mining operation at Murowa required the resettlement of 142 families and the relocation of over 200 graves associated with these families.

Challenge: Resettling people and heritage The challenge for Murowa was to achieve a successful and sustainable resettlement process, which is complex for both the company and for the affected community. Physical relocation presents challenges to both the resettled and to existing communities in terms of restoring their livelihoods and re-establishing a sense of place and belonging in the new resettlement location. Although the families agreed to be resettled Zvishavane off their ancestral land they expressed significant concern over the Zimbabwe relocation of their ancestors’ graves. Cultural beliefs stipulate that the dead should remain buried on the affected families’ ancestral lands and are not to be disturbed.

Process: Address cultural Through this consultation process, and legal needs it was agreed that the graves During the grave relocation could be moved from within the planning process, Murowa homesteads located in the mine consulted openly with the plan area to either of two new affected families, the local chief cemeteries built by Murowa, and government officials to located outside the mine site work collaboratively to address itself. This outcome meant that concerns and consider options. the graves would still be located Through this engagement Murowa in their traditional lands, under learnt of the traditional belief that the leadership of their original ancestral spirits guide families, chief, and families could still villages and whole communities return to visit their grave sites on a daily basis. In carrying out and their home community. the relocation of the graves, Murowa provided funding for all Murowa needed to address the necessary materials and support cultural needs of the community to conduct exhumation and while also complying with reburial ceremonies, including regulatory requirements in cultural materials associated with the region. funeral services and the transport costs of relatives returning for Concerns from the community the ceremonies. included: –– whether the correct ceremonies would be performed at exhumation and reburial; –– whether the company would pay for all appropriate relatives to be present at the relocation; and –– where the graves would be relocated.

54 Case study 5

The exhumations had to be Outcome: Working together for a conducted in accordance with positive outcome public health regulations and Through effective planning, policy. Considerable planning Murowa was able to incorporate also went into ensuring that the community sensitivities and correct bodies were exhumed in considerations into the grave accordance with the Deeds and relocation plans as well as to meet Registration policy. Where no government health regulations. records existed, the chief and/ Murowa sought agreement from or his subordinate had to sign both the community and local affidavits to vouch for the identity government authorities on how to of the deceased. This process mitigate the impact of the grave ensured that relatives would relocation process. By respecting not lose track of their deceased. local ways of treating the dead and Where bodies were not found in allowing the active participation their graves, an agreement was of community members and local reached with the affected family government, Murowa demonstrated to take soil and rebury it in the its respect for the local community normal way. and their way of life. This was Top an important component of the New grave sites constructed for the successful resettlement process purposes of relocating the graves that were inside the Murowa Diamond Mine that enabled the Murowa mine plan area. development to proceed. Above 5 Levie Moyo in the kraal built on his homestead by Murowa Diamonds. Family member Emanuel Mvuri is in the background. Murowa Diamonds built farm facilities in Shashe for each resettled family that had a farm on land at Murowa to enable the families to maintain their livelihoods after resettlement. Circle Community members overseeing the exhumation of graves that were relocated from the mine lease. 55

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Above Justina Willis of the Yinjaa Barni Art Group paints while her son looks on. The Yinjaa Barni Art Group, in the Pilbara region of Western Australia, is supported by Rio Tinto Iron Ore. Left Pansy Sambo of the Yinjaa Barni Art 56 Group with one of her artworks.

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Compensation and cultural offsets Cultural offsets, like biodiversity –– the documentation or research Rio Tinto businesses are required and environmental offsets, should (interpretation/publication) of to mitigate direct damage to exceed the life of the operation significant tangible cultural tangible cultural heritage and and be able to continue into the heritage places; should also consider ways to deal future without the operation’s –– establishing museums with the more difficult issue of support. They should enhance the or cultural centres; changes or losses to intangible heritage values of a community. –– the conservation and cultural heritage. Compensation To ensure transparency, cultural presentation of other culturally- of some form may be necessary. heritage offsets should be significant landscapes or Complex political battles (within defined as such by the relevant features outside the operation communities and between community and stakeholders. area to be used by community communities and companies) members in accordance with can occur over compensation Case study 8 (page 64) from Rio their cultural aspirations; and for damages and, therefore any Tinto Coal Australia outlines their compensation methods need to approach to potentially intractable –– initiation and continuation be sensitive to the context. At cultural heritage situations. of cultural programmes Rio Tinto cash compensation Using a net positive approach, Rio that focus on local cultural is recognised as an appropriate Tinto Coal Australia identifies practices (note – these can mesh mechanism in some situations, opportunities within the broader with environmental offsets but an emerging approach is cultural landscape to offset any involving documentation and mitigation or compensation in unavoidable disturbances. In maintenance of traditional the form of a ‘cultural offset’. A such cases, well-planned cultural ecological knowledge and cultural offset is a set of measures heritage offsets can enhance its connections to use and intended to protect, perpetuate certain cultural heritage values and management of biodiversity or enhance the cultural heritage more than offset the impact of the and landscape). of the community which original loss. Enhancement may be accepted by them as Cultural offsetting is a new and Cultural heritage management compensating for any residual, difficult area to navigate, as it is is as much about maximizing unavoidable harm, loss or change very hard to compare or substitute positive opportunities as it is caused to cultural heritage one type of heritage value for about managing negative impacts. by a development project. An another similar or different type Not all management options important principle is to limit of value. However, regulatory need to respond to a negative cumulative impacts and ensure requirements are increasingly cultural heritage impact. The an overall positive outcome for heading in this direction, business should also be aware cultural heritage values. including in jurisdictions where of and actively seek opportunities Rio Tinto operates. Examples of to enhance the local culture. cultural offsets include: Cultural offsets (like those above) –– documenting local oral can also be used as cultural histories, genealogies or other heritage enhancement strategies. significant intangible heritage;

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2.3.3 Protecting intangible cultural heritage

Although it is an artificial Human Resources is accountable has adopted this approach and will distinction, for the sake of for cultural inductions and dual track impacts to cultural heritage efficient management and language policy, and Environment against locally-defined levels of programme delivery, intangible for community participatory acceptable change. cultural heritage considerations environmental monitoring. can be treated separately from The use of a ‘limits of acceptable tangible heritage. This helps to Limits of acceptable change change’ framework is part of our safeguard intangible cultural Culture changes and adapts overall approach to Communities heritage which may otherwise not continually in response work, which ought to be holistic, receive formal protection under to many factors, such as endorsed locally and contribute to cultural heritage management subsistence practices, land broader community development. plans that are focussed on tenure arrangements, migration, This framework can link to or be a tangible assets. external influences and component of a Social Environment economic change. People will Impact Assessment (SEIA). Rio Tinto businesses are often be more comfortable with encouraged wherever possible to the changes brought about by Cultural heritage programmes assist the continuation of relevant a large development project and partnerships cultural practices such as: once they have considered the Cultural programmes are key –– local languages and traditional full range of its impacts on components of an operation’s customs; the socio-cultural wellbeing of cultural heritage management system. Cultural programmes –– land-uses and other traditional their community. contribute to the economic economic practices; It is important to engage with development of communities, –– the retelling of local stories; communities to identify what consistent with the Millennium –– holding of local festivals form and levels of cultural change Development Goals. For example, and performance of local are acceptable to them, and then cultural heritage management ceremonies; and design operational practices and can help to alleviate poverty by –– the continual passing of cultural programmes that target enhancing tourism or providing these practices on to the areas they are most concerned opportunities to make and market younger generations. about or motivated by. Rio Tinto cultural goods and services. The encourages all its businesses to protection or revival of traditional It is important that in so doing we understand and set ‘limits of farming and grazing practices do not inadvertently contribute acceptable change’ with local can enhance food security while to the stagnation of cultural communities. Essentially this sets traditional land use practices practices which are in reality the level of change to a cultural can contribute to environmental dynamic and always changing. heritage place, object or practice, sustainability. The sustainability Often the protection of or the cumulative impacts to all and self reliance of a community intangible cultural heritage will these, acceptable to a community can be greatly enhanced by assisting be addressed in an operation’s once all the positive and negative it to form strong external ties multi year Communities plan impacts have been taken into beyond the operation that advance or social impact management account. These limits have to be their own development aspirations. plan. An operation’s CHMS defined, and often redefined, Cultural programmes are excellent should outline which part of over the life of an operation. For vehicles for such partnerships. the business is accountable for example, the Oyu Tolgoi project in specific aspects. For example, Mongolia (case study 10, page 74) 58

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Box 8 gives some ideas of types of 8. Potential cultural programmes cultural programmes that may be applicable to your operation. – C ultural celebrations: helping communities to stage large celebrations/ festivals to celebrate culture can help to strengthen and uphold a sense Case study 6 demonstrates of community. how cultural practices can – D ance, song/music, art, performance: sharing traditional means of artistic lead to measurable community expression is considered highly important to community and also to help development outcomes such as pass down these practices to youth. improved health and wellbeing – Education: facilitating cultural education or formal cultural heritage training and increased school attendance. helps build community capacity, self-empowerment and pride. The case study outlines the – Environmental programmes: promoting local agricultural practices, importance of community subsistence farming, rain-water harvesting, biodiversity monitoring and desire and support for cultural management and recycling all have positive environmental and cultural programmes to ensure the outcomes. sustainability of the programme. – C ommunity led oral history collection: many communities value the Case study 7 documents Richards documentation of their traditional stories and knowledge through innovative Bay Minerals’ establishment of the and interactive multimedia tools. Mananga Heritage Centre, which – Economic projects: programmes that build businesses around cultural promotes local cultural heritage heritage and creative activities can contribute to poverty reduction and in a way that is educative to the economic growth. wider public and has contributed – Y outh engagement: mentorships, summer camps and employment in cultural to community pride in their own activities provide opportunities for older community members to pass on unique history. knowledge to young people. They can help younger generations to retain their culture, identity and pride. – W omen’s programmes: craft, agriculture, health and cottage industry programmes that target women through these cultural activities. Women are often marginalised within communities: these programmes can empower them and help to develop a mutual support system. – C ommunity health programmes: focusing on nutrition, exercise, safeguarding traditional medicinal practices, disease education, drug/alcohol abuse support. Promoting good health can help limit many of the undesirable impacts of development.

59 Case study 6 Case study 6: Rio Tinto Aboriginal Fund, Australia Supporting culture beyond our operations

The Rio Tinto Aboriginal Fund was established in 1996 by Rio Tinto to reflect our commitment to active engagement with Aboriginal people and communities in Australia. The Fund operates independently of Rio Tinto and provides A$1.8 million (2011) annually in funding to support community initiatives. Programmes selected for funding focus on areas such as education, health, culture, youth and leadership and social justice. The cultural programmes focus on preserving culture through recording initiatives, promoting cultural knowledge transfer between generations, and cultural celebration through festivals, performances and workshops.

Challenge: Supporting culture beyond our operations The challenge for Rio Tinto was to develop social and economic wellbeing in Australian Aboriginal communities beyond those directly affected by operations. By supporting programmes in any Aboriginal community or on a national basis, the Fund is designed to achieve a broader distribution of social and cultural benefits Rio Tinto Aboriginal Fund throughout Australia. The geographic proximity of a proposed Australia initiative to a Rio Tinto operation does not affect the Fund’s decisions.

Process: Plan programmes to In the experience of the Fund, preserve, celebrate and promote cultural initiatives from culture communities with strong The Fund has seven board organisational structures and members, three of whom are capacity to manage their own prominent Aboriginal figures, programmes have proven to be the providing a knowledgeable most successful. This is because and experienced perspective successful cultural programmes on Indigenous issues. Cultural depend on strong planning programmes chosen by the Fund processes, skilled implementation may contribute to the preservation and continued monitoring against and/or celebration of culture key objectives. To ensure that or use culture as a vehicle to programmes have the greatest improve the social wellbeing chance of building the capacity of and economic participation in Indigenous people, the Fund looks Aboriginal and Torres Strait to support programmes that: Islander people and communities. –– meet a need expressed by Cultural programmes in the Aboriginal people; past have included recording –– are initiated by Aboriginal people; cultural knowledge and –– involve Aboriginal people in practice or promoting cultural their development, management celebration through festivals and implementation; and performances. By promoting Indigenous culture at a regional –– have broad community support; or even national level, cultural –– are centred on building programmes supported by the the strength and capacity Fund aspire to raise the status of of Aboriginal people and all Aboriginal people in Australia. communities; –– deliver direct sustainable benefits to Aboriginal people; and –– have clearly defined outcomes. 60 Case study 6

For example, the Fund has part- Outcome: Milpirri – a cultural funded the ongoing Milpirri heritage success festival, a two-yearly cultural The planning expectations of the celebration by Warlpiri people in Fund serve as a good example conjunction with Tracks Dance of the characteristics that Company. The Milpirri festival operations should consider when demonstrates that cultural funding cultural programmes celebration can effectively that will enhance their cultural contribute to community heritage management work. development. Milpirri engages The experiences of the Fund Warlpiri communities in music, demonstrate that attention to dance, ceremonies and painting cultural programmes in cultural in order to build the interest of heritage work is valuable and younger Warlpiri in their cultural with proper planning and heritage. The result has been a implementation, they can have strengthening of intergenerational wide social and economic and cross-community bonds benefits that continue beyond and growing self-esteem among the life of the programme itself. young Warlpiri. The benefits are The Milpirri programme for being seen in increased school example, has succeeded in not attendance, cultural revival, the only protecting, celebrating and Top Milpirri Festival 2009. The Rio Tinto acquisition of the skills needed to continuing the cultural heritage Aboriginal Fund has supported the stage a large cultural festival, and of Warlpiri communities but Milpirri Festival, which promotes an improvement in the physical also demonstrating that capacity cultural celebration and contributes wellbeing of those involved in can be built through the self- to community development, since 2007. staging Milpirri. management of cultural events. Above 6 Milpirri Festival, 2007. Circle Milpirri Festival, 2009.

61 Case study 7 Case study 7: Rio Tinto in Richards Bay, South Africa Mananga Heritage Centre: a living memorial

Richards Bay Minerals (RBM) mines mineral sands from the coastal dunes of the KwaZulu-Natal province in South Africa. RBM is owned by Rio Tinto (37 per cent), BHP Billiton (37 per cent), Blue Horizon Investments (24 per cent – a black empowerment consortium of local businesses and host communities), and RBM permanent employees (2 per cent). Since the start of mining in 1976, RBM has today become one of the world’s largest producers of titanium products. The mining operations at Richards Bay occur in an area rich with archaeological sites, containing artefacts from the very first occupants of the region who lived there more than 3500 years ago and the products of ancient metal working for which the area is well known. In particular, this region produced many of the armaments used during the expansion of the Zulu Kingdom. Notably, the Mbonambi people were the makers of the short spear used by Zulu warriors during the reign of King Shaka.

Richards Bay South Africa Challenge: Managing heritage unique partnership between RBM, findings and mitigating cultural loss Umlando, Amafa akwaZuluNatali As the Richards Bay Minerals’ (the government heritage authority) mining process involves and the Mbonambi community. wide-scale removal of surface The objective of the centre is to deposits the company has had preserve the cultural history and a longstanding programme heritage of local communities with of archaeological monitoring, a long term aim of developing it assessment and mitigation in as part of a local tourism route, advance of mining. This work preserving not only the past but has excavated or recorded over improving the socioeconomic 250 archaeological sites. Because future of the community. of the region’s history, some of these sites and artefacts hold both Described as a ‘living memorial’ local and national significance. rather than a museum, the Mananga As part of the ongoing consultative Heritage Centre is designed in and engagement framework, the an interactive way to encourage local community of Mbonambi cultural education via a ‘hands on’ expressed a desire to have a way approach. Interpretative signage of preserving and promoting at the Mananga Heritage Centre their cultural and historical is based on amasiko, or local oral heritage. The challenge for RBM stories, recorded by RBM as part was to respond to community of their cultural heritage projects. expectations over potential The centre consists of three cultural heritage loss and to thatched rondavels (a typical style the community’s desire to of house in South Africa) made of promote their heritage. traditional materials such as anthill clay and cattle dung. Early metal Process: Create the Mananga work artefacts as well as other Heritage Centre – a ‘living archaeological objects excavated memorial’ from the area are on display. Responding to the wishes of the These objects are on lease from the Mbonambi community, RBM Natal Museum where all material established the Mananga Heritage excavated by the mine is held. Centre as part of its cultural heritage management initiatives. The Centre is the culmination of several years work from a 62 Case study 7

In between the three rondavels and improve the centre, thus is a demonstration garden promoting the development of the representing a unique form of centre as an active and evolving living heritage preservation. cultural community centre. RBM The garden grows a number of is also working on strategies and traditional medicinal plants procedures for handing over the including the African potato management of the centre to the and plants which heal broken local community to encourage bones and cuts. Visitors can walk local cultural heritage management. through the garden and see the 7 same plants which were used by Mbonambi community ancestors and other historical figures like King Shaka.

Outcome: Promoting community pride and knowledge Through their incorporation at Mananga Heritage Centre, RBM is playing an active part in safe-guarding the community’s Top oral history and traditional ways Thatched rodavels built in the of passing down information to Umbonambi community as part of the Mananga heritage centre. future generations. It combines Above the Western concept of a museum This display is based on the oral with the truly African sense history about the Mbonambi tribe, of fluid history, tradition and provided by Mr Mbuyazi, the chief ancestry. This management headman of Inkosi Manqamu. The display is housed in a rondavel option promotes the community’s in the Mananga heritage centre. cultural heritage in a way that is Circle educative to the wider public and Nomusa Mthethwa from Mbonambi has increased community pride community working in the medicinal garden at the Mananga heritage centre. in their own unique and valuable history. RBM continues to upgrade 63

How to guide to How

2.3.4 Integration of cultural heritage across the business

A successful CHMS depends on Operations for development; have clearance continual communication and To ensure cultural heritage is pending; or which contain engagement across the operation’s not inadvertently impacted, significant cultural heritage many functions. A systematic operations should employ a and require the protection approach ensures that: systematic internal cultural of the cultural heritage values. –– all people with cultural heritage heritage permitting/authorisation This information should be based accountabilities perform their process. The following are on the results of cultural heritage functions; examples of approaches used surveys, assessments and –– tangible cultural heritage by Rio Tinto operations: management activities, and is not inadvertently damaged be managed through a GIS. Internal ground disturbance by employees or contractors; authorisation process: This is The integration of each of the –– employees and contractors a control measure that ensures above elements can provide do not act in culturally cultural heritage assessments and a multi-faceted and interactive inappropriate ways, cause management activities are aligned approach, which ensures the incidents of cultural offence with operational timelines and safeguarding of identified and or inadvertently contribute to that operational activities only unidentified cultural heritage, the loss of intangible cultural proceed once formally authorised as well as minimises impacts heritage; (internally and externally as to operational activities. –– corporate knowledge of cultural required). It also ensures that any heritage management does not cultural heritage management Environment reside with individuals; conditions are clearly defined In some instances, environmental management plans will need to –– cultural heritage management and communicated to the take account of the cultural values runs smoothly with as little employees and contractors of natural resources, and the impact on operational activities undertaking the activities. cultural aspects of resource use, as possible; Cultural heritage permit system: to ensure that they enhance –– relevant employees and Anyone seeking to undertake rather than undermine cultural contractors are aware of the works which may impact a heritage values. cultural implications of non- cultural heritage feature should cultural heritage initiatives have a permit that is approved Examples of where environmental such as environmental by the cultural heritage and cultural plans overlap are: management and economic (or relevant) department. –– continued customary use development programmes; and of biological resources; –– relevant employees and Zoning or buffer system: This –– restricted access to places contractors help to identify system can minimise delays to of cultural value; operational activities. A buffer issues that affect cultural –– the recognition and protection is maintained by surveying, heritage management. of cultural values of water and assessing and mitigating cultural other natural resources; heritage ahead of operation development. This requires –– the introduction or elimination effective medium to long-term of foreign species in the area; operational planning for future and land use needs. It should be based –– the respect, preservation, on clear demarcations of land protection and maintenance of use areas that: have been cleared traditional ecological knowledge, 64 innovations and practices.

How to guide to How

The inclusion of local Human Resources Case study 8, on Rio Tinto Coal communities in an operation’s The specific cultural norms of Australia, shows how a Cultural environmental management and local community workers need Heritage Management System rehabilitation programmes can to be considered in human has been integrated across its have positive outcomes for both resources procedures to ensure operations in eastern Australia. cultural heritage and ecological the recruitment and retention of This approach leads to stronger objectives, such as: a diverse workforce. It is important community relations and avoids –– fostering cultural maintenance that new employees are made conflict arising from a community’s and the transmission of familiar with local cultural concerns over its cultural heritage. cultural knowledge to future heritage issues and how they are generations; managed. Where the operation’s –– making good use of the context demands it, all employees extensive environmental should also attend cultural knowledge of local people; awareness training, not just expatriate employees. Nationals –– training and employing local from different areas may also people in environmental need to familiarise themselves management; and with local cultural norms. Box –– contributing to our goal 9 lists some elements of cultural of co-management. induction programmes. Health, Safety and Environment Cultural heritage considerations ought to be included in health, safety and environment (HSE) 9. Elements of cultural induction programmes incident reporting. Some HSE Cultural heritage induction programmes can include: incidents, such as hitting – information on local geography, socioeconomic issues, government, history, wildlife with a company car or culture, customs, religion, local taboos, and festivals; spilling chemicals, may have – i nteractive approaches to make employees aware of local issues and a cultural impact as well as an sensitivities (eg: role play, self reflection and group discussions and activities); environmental one. For example, – r eflection on the participant’s own cultural norms and how these impact on if the animal that was hit had their appreciation of local cultural norms; religious or spiritual significance – t he locations of culturally important places that should be avoided by to local people or the chemical employees; spill affected traditional food – e xplanation of local social expectations and a description of behaviours that sources, water or access to cultural are culturally inappropriate and therefore should be avoided; sites, the cultural heritage impacts – e xplanation of cultural practices deemed significant by the local community; should be included in incident – i ntroduction to some of the tangible cultural heritage features of the area; reporting and mitigation. – t eaching of basic phrases in the local language(s); – a n opportunity for employees to meet and talk to some local community members; and – a performance or feast prepared by the local community.

65 Case study 8 Case study 8: Rio Tinto in the Upper Hunter Valley, Australia Implementing an integrative Cultural Heritage Management System

Rio Tinto Coal Australia has several mining operations and projects in Queensland and New South Wales (NSW). Specifically, Rio Tinto Coal Australia manages Coal & Allied’s coal mining operations in the Upper Hunter Valley including Mount Thorley Warkworth Operations, Hunter Valley Operations and the Mount Pleasant Coal Project. The Hunter Valley is a region with extensive mining and agricultural land use.

Challenge: Achieving timely land access in the context of cumulative impacts The challenge for Rio Tinto Coal Australia is to achieve timely access to land for mining operations while meeting the expectations of the Aboriginal community of the Upper Hunter Valley. The community is concerned about the cumulative loss of both tangible and intangible cultural heritage as a result of extensive mining developments and past and current land use practices across the region. The community Upper Hunter Valley has made it clear that their acceptance of impacts to their cultural Australia heritage from mine operation and expansion depends on securing the permanent protection and community management of other important cultural sites.

Process: Integrate the Cultural operation’s Cultural Heritage Heritage Management System Zone Plan (CHZP). The CHZP Rio Tinto Coal Australia clearly delineates areas or zones implemented its Cultural where ground disturbance may or Heritage Management System may not occur depending on the (CHMS) in 2006. This outlines cultural heritage management processes that integrate cultural status of the zone. The status heritage management into all of the zone is determined by stages of the operation lifecycle the level of cultural heritage including exploration, feasibility, assessment and mitigation that construction, mining, closure has been conducted in that area. and post closure. The business’s CHMS ensures that Aboriginal The CHZP helps to achieve communities with interests timely access to land for mining in areas and projects owned operations as the cultural heritage or operated by the company assessment and management can fully participate in the programme is implemented identification, significance at least five years in advance assessment, safeguarding and of mining development. This ongoing management of their development management buffer cultural heritage. provides operational flexibility. It also ensures salvage mitigation of To ensure that cultural heritage cultural heritage sites only occurs is integrated into all operational in areas that are to be developed. activities, Rio Tinto Coal Australia As a planning and management requires that all ground disturbing tool the CHZP prevents any activities be authorised through a unnecessary cultural heritage Ground Disturbance Permit (GDP) mitigation, avoids unintended system. The GDP system includes disturbances and integrates the a cultural heritage authorisation cultural heritage management process, managed by the manager system into the business’s of Cultural Heritage, which planning and operations. includes assessing the proposed disturbance activity against the 66 Case Study 8 Study Case

Rio Tinto Coal Australia’s CHMS by the Aboriginal community in and activities are consistent with contains an inclusive and robust order to offset the unavoidable both Rio Tinto Coal Australia community consultation process disturbance of cultural heritage and the Aboriginal community’s so the heritage management in mining development areas. needs. When the planning and outcomes meaningfully The Wollombi Brook Aboriginal implementation of a CHMS are address Aboriginal community Cultural Heritage Conservation well integrated within mine concerns and cultural values. Area is an example of one such planning and operational This approach, in the context offset. This 475ha cultural procedures, and are developed of the company’s broader long- conservation area will protect in direct collaboration with term Aboriginal community a wide range of cultural sites the Aboriginal community, relations initiatives, seeks to and landscapes including the the outcomes are mutually deliver improved social, cultural, Bulga Bora Ground, a site of beneficial and build stronger economic and conservation great significance to Aboriginal relationships with community. outcomes to the Aboriginal people of the Upper Hunter At the same time, they reduce communities in the area. Valley Region. The conservation the impacts and risks associated area will also provide training with managing cultural heritage In order to develop and maintain and employment opportunities within the mining development good relationships and identify for local Aboriginal people in environment. community cultural values, Rio cultural heritage and biodiversity 8 Tinto Coal Australia’s Cultural conservation management, Heritage Working Group education, governance, business Top Aboriginal community consultation process seeks to development, and land and directly engage with Aboriginal representatives at the Warkworth natural resources management. Sands Archaeological Project in community stakeholders. 2008. The Archaeological Project Outcome: Mutual benefit was at the Mt Thorley Warkworth Rio Tinto Coal Australia’s for Aboriginal communities Coal Mine, in the Hunter Valley, Aboriginal Cultural Heritage and Rio Tinto New South Wales, Australia. Conservation Areas Initiative By creating comprehensive, Circle has grown from this consultation Restricted entry sign at the Wollombi systematic and well considered Brook Aboriginal Cultural Heritage process. The initiative aims to plans, processes and procedures, Conservation Area in the Mt Thorley identify lands in the broader Rio Tinto Coal Australia has Warkworth Coal Mine. This sign is cultural landscape and created a formalised and well- at an access point to a sensitive consider these for long-term area to limit access to authorised integrated CHMS. The system persons only. conservation and management ensures operational planning 67

How to guide to How 2.4 Monitor, evaluate and improve

Monitoring, evaluating and improving on the performance of an operation’s cultural heritage management system is essential. Compliance with Rio Tinto’s standards is assessed at regular intervals to evaluate performance and should also be used as a basis for continual improvement.

Monitoring and evaluation of Checklist cultural heritage data and systems is essential to: [ √ ] Does the monitoring framework include cultural heritage indicators that are –– ensure that programmes underpinned by credible data and regularly updated? and projects are achieving their objectives; [ √ ] Are monitoring and evaluation processes participatory wherever possible, and inclusive of a wide range of community members including men, –– ensure that any adverse women, young and old? impacts are outweighed by positive impacts; [ √ ] Are changes being made to programmes or work procedures as a result –– measure progress against of monitoring? cultural heritage commitments; [ √ ] Are regular assessment processes undertaken that are both informal, –– enable better policy to track progress, and formal to rank performance? and planning; and [ √ ] Are formal evaluation processes undertaken at the close of the –– ensure continual improvement. programme or activity which analyses results and measures them against original objectives?

[ √ ] Is continual improvement being achieved through regularly updating cultural heritage system components in line with evaluation outcomes?

[ √ ] Are cultural inductions, facilitated by local community groups, compulsory for all employees, including non-local nationals?

[ √ ] Are all employees required to do periodical refresher training on cultural considerations?

2.4.1 Monitoring – “How are we doing?”

Monitoring involves tracking, in a Credible data are essential for active participants. A participatory systematic way, how operational effective monitoring. While precise approach promotes a greater sense activities are affecting measurement of impacts and of community ownership and communities and stakeholders, changes is not always possible, helps ensure that proper weight both positively and negatively. monitoring systems should be is given to local knowledge. The monitoring of the operation’s robust enough to enable operations overall approach to the to assess whether progress is being Case study 9, from Diavik Diamond management of cultural heritage made towards key targets and Mine in Canada, shows that is a part of this. If properly done, objectives and to identify issues community participation in monitoring can lead to changes that require attention. environmental monitoring can in the project or operation also have positive cultural heritage to address shortcomings Impacted groups and communities outcomes by encouraging the or develop opportunities should be involved in the continued practice and that have been identified. monitoring process where possible transmission of traditional – not just as informants, but as ecological knowledge. 68

How to guide to How

Left Below Borax’s 20 Mule Team. Rio Tinto’s Part of a wooden wheel for draining a borate business began in California’s mine, dating from Roman times. This Death Valley in the 1880s. The 20 artefact was found at the Rio Tinto Mule Team Borax® is an important Copper Mines, Huelva, Andalucia, part of the region’s cultural heritage. Spain, in the 1870s. The artefact was donated by Rio Tinto to the British Museum in 2010. © The Trustees of the British Museum

69 Case study 9 Case study 9: Rio Tinto in the Northwest Territories, Canada Incorporating traditional knowledge into scientific monitoring at Diavik Diamond Mine

Diavik Diamond Mine (Diavik), a joint venture between Rio Tinto (60 per cent) and Harry Winston Diamond Limited Partnership (40 per cent), is located 210 kilometres south of the Arctic Circle in the Northwest Territories (NT) of Canada. The mine has been operating since 2003.

Challenge: Incorporating traditional ecological knowledge in mine site monitoring The challenge for Diavik is to operate in this remote location while respecting local land use practices and avoiding negative impacts on the subsistence needs of local Aboriginal organisations. The mine encompasses around 10 sq km in an area of traditional land use identified by local Dene, Métis and Inuit communities in the area. These groups depend on the natural environment and its wildlife for their subsistence and symbolic livelihood, and therefore have a deep Northwest Territories understanding of and connection to the land. For these reasons the Canada environmental health of the region is of great importance.

Process: Involving Aboriginal Fish Palatability Study: To assess Caribou Fencing: To address organisations in environmental the health of fish in the mine community concerns regarding monitoring affected area, Diavik undertakes caribou (a type of deer) potentially In response to community regular monitoring of fish in Lac getting caught in the mine’s concerns about a lack of certain de Gras. On top of this regular Processed Kimberlite Containment environmental regulations, Diavik monitoring, Elders and youth from (PKC) Area during their annual established an Environmental the communities are encouraged migration, the EMAB facilitated Agreement that allows for an to participate together in a consultations between Diavik Environmental Monitoring study to monitor the continued and local community leaders Advisory Board (EMAB). The palatability and texture of lake to come up with a suitable EMAB includes representatives fish. Community representatives fencing solution. from each of the five First rate the fish on appearance Nation groups affected by the before cleaning, and on look and The issues included: mine, governments and Diavik. taste once cooked. Ratings are –– what time of year the PKC area With a mandate to facilitate compared to several benchmarks, should be fenced; collaboration, one of EMAB’s including the previous year’s –– how to avoid increasing aims is to foster an open survey, the quality of fish in predation of caribou along the exchange of ideas on traditional the person’s home area and fence line; ecological knowledge and perceptions of the health of –– who should be responsible for scientific monitoring methods. fish prior to mining operations. the design and location of the Collaborative consultations Tissue and organ samples of fence; and between EMAB and Diavik the same fish are submitted for –– who should manage it. have resulted in environmental laboratory analysis to determine The outcome from various monitoring programmes that metal levels. The palatability workshops run by EMAB was a combine traditional and Western study has dual outcomes: caribou fencing plan, designed scientific knowledge to monitor contributing to environmental and managed according to and protect wildlife in the mine management and cultural local traditional knowledge of affected area. Two examples of heritage management on site caribou and predator activity, these outcomes include the fish while upholding fishing as a implemented by the operation. palatability study and the caribou traditional way of life through fencing work. monitoring the operation’s impact on favoured fish species.

70 Case study 9

Outcome: Shared knowledge and improved environmental monitoring By integrating traditional knowledge with scientific procedures, Diavik has demonstrated the value of incorporating traditional knowledge into the company’s monitoring processes. Through this collaborative work Diavik has drawn on different ways of thinking and observing the environment, which has helped to continue traditional ecological knowledge and subsistence practices. This has contributed to effective cultural heritage management, better relationships with local communities and meeting Top Community members participating the operation’s environmental in a fish palatability study. The commitments outlined in the study is conducted as part of Environmental Agreement. Daivik’s fisheries authorisations requirements and environmental 9 agreement commitments. Above Caribou fencing. Diavik and local community leaders worked together to plan a fencing solution based on traditional knowledge of caribou and predator activity. Circle Community members inspecting lake trout during a fish palatability study. 71

How to guide to How

2.4.2 Targets and indicators for monitoring

Central to the monitoring process currently reported is focused on what is desirable is community is the creation of appropriate effort and activity, rather than endorsement of priorities and a targets and indicators to outcomes or impacts. shared understanding of what will help measure activity and constitute evidence of progress. performance. Well-planned While culture, including cultural Where specific agreement is targets and indicators can be heritage, is not specifically not possible, public reporting of used to monitor both external referred to in the MDGs, the UN targets and indicators will at least processes of change and evaluate emphasises its importance for ensure that they are available for the operation’s performance development and contributing expert and community review. against its stated cultural heritage to achieving the MDGs. The goals. By focusing attention on cultural sector, through tangible The process steps are a useful desired outcomes, the process of and intangible heritage, creative tool for businesses developing developing targets and indicators industries and various forms of targets and indicators, but several can also help operations to re- artistic expressions, is seen as challenges remain, including design, implement and improve a fundamental component of how to measure individual their CHMS and performance. sustainable development and contributions in a situation where as a powerful contributor to there are many effects being felt, Carefully defined local targets, economic development, social and how to obtain useful data and continuous improvement of stability and environmental cost-effectively. their measurement, are necessary protection. Businesses should take for demonstrating that operations this into account in developing The most useful targets are meet and, if possible, exceed: their cultural heritage indicators SMART. Targets qualify as –– specific regulatory and reporting against the ‘SMART’ if they are: requirements; Communities global target. –– Specific: Is the target well-defined? –– internal requirements; Figure 3 outlines the process steps –– Measurable: Are tools –– commitments made in and key questions for monitoring to evaluate the target’s negotiated sovereign and reporting on contributions progress available? investment and community to cultural heritage that may –– Attainable: Are knowledge consent agreements; and assist businesses in the design and resources necessary to –– general community and development of targets achieve this target available? expectations. and indicators. –– Results focused: Does the Rio Tinto now requires its Targets and indicators should target add value to our work businesses to observe the Rio Tinto be developed to reflect the or approaches as a company? Communities global target,4 which local context and be integrated states that, by 2013, all operations –– Time oriented: Is there a into the operation’s objectives, should develop locally appropriate clearly-defined timeframe business drivers and operational social performance indicators that for achievement, including baselines. The best way to ensure demonstrate a positive contribution a target date? that targets and indicators to local communities and their In developing indicators to go are locally appropriate is to economic development, consistent with targets, the focus should be reach agreement with local with the Millennium Development on measuring whether progress communities on their form. Goals (MDGs). Meeting this is being made towards desired This does not necessarily require requirement can be challenging, outcomes, not just on the level communities to be involved in the as much of the performance data of activity (eg: jobs carried out technicalities of measurement, but

72 4. For more information, please refer to the Rio Tinto Communities target guidance

or meetings held). In the case are available and demonstrates cost and practicality of obtaining of cultural heritage, monitoring how goals, targets and indicators the required data. should be linked to the business link to each other; it is not CHMS and specific CHMPs. For intended to be a blueprint for a As described in case study 10 example, what does the CHMP monitoring system. Operations (page 74), the Oyu Tolgoi project in identify as significant and will be limited in the number Mongolia has adopted a “limits of needing conservation, and what of targets and indicators that acceptable change” approach and are the processes it establishes they can reasonably manage so is currently designing a monitoring to achieve this? prioritisation will be required. framework to track impacts to Factors to be considered in cultural heritage against locally- The table on page 72 provides determining priorities include defined levels of acceptable generic examples of possible community expectations, the change. This will include impacts goals, targets and indicators outcomes of internal risk analyses, on the nomadic herding lifestyle for cultural heritage. The table regulatory requirements, and the and national traditions such as provides a range of measures that the Nadaam festival.

Figure 3: Process steps for planning, monitoring and reporting on contributions to cultural heritage

What are the key cultural heritage issues, challenges 1 and opportunities for this community/region? (Information might be drawn from baseline or survey)

What are the cultural heritage priorities for the business and for the community? (Information might be drawn 2 from standards, policies, risk assessments, impact assessments, business obligations etc.)

What actions or activities are in place to address items 3 from 1 and 2? (i.e. cultural programme, collaborative monitoring project, cultural heritage offset etc.)

What evidence do you have of your contribution? 4 (What metrics do you already measure? What needs to be demonstrated now and in the future?)

What are the outcomes for this community/region 5 in relation to cultural heritage?

Developed by CSRM, May 2011 73

How to guide to How

Examples of cultural heritage goals, targets and indicators

Goals/Objectives Targets Indicators

Better integration of cultural 3 full time heritage practitioners Number of heritage practitioners employed heritage into the business employed – measured quarterly and reported annually and adequate provision of heritage practitioners on site 20 community members on a regular Number of community members participating monitoring roster by end 2012 in regular monitoring activities – measured quarterly and reported annually 100% of other internal functions are Number of internal meetings with other aware of cultural heritage by end 2012 site functions regarding cultural heritage – measured quarterly and reported annually Findings from interviews with representatives of other functions

Avoid any heritage incidents Zero heritage incidents/legislative Number of heritage incidents, legislative and legal breaches breaches by 2012 breaches – measured quarterly and reported annually A detailed record of all chance finds Number of chance finds – measured quarterly will be put in place by end 2012 and and reported annually updated regularly Zero damage to identified heritage Number of instances of unauthorised damage places by 2015 to/destruction of identified heritage places – measured quarterly and reported annually

Improve cultural awareness 100% of employees will complete % of workforce completed cultural awareness of employees cultural awareness training by 2013 training – measured quarterly and reported annually Outcomes of follow-up surveys of employees who have done training

Cultural heritage All cultural heritage programmes of the Documented case studies of where programmes to contribute operation linked to contribute to broad cultural heritage programmes have made a to community economic community economic development contribution to community development development goals by 2013 Engagement of the Participation of community members in Number of community members participating community in cultural the design, implementation and review in cultural heritage programmes – measured heritage management of all cultural heritage programmes/ quarterly and reported annually activities by end 2012 Documented case studies of programmes/ activities in which community members have been involved Number of community members in leadership roles in cultural heritage programmes initiated by the operation – measured quarterly and reported annually A complaint system identifying cultural Number of cultural heritage complaints heritage related complaints will be received, tracked, responded to and resolved formalised by mid 2012 – measured quarterly and reported annually Community awareness of and confidence in the complaints management system, as measured through community surveys and/ or other engagement processes

Net positive impact on Community has a strong sense Community perception of strength of their cultural heritage of cultural identity and connection cultural identity – measure trends over longer timeframe Documented case studies of where the operation has been effective in protecting ‘at risk’ cultural heritage Number of instances of unauthorised damage to/destruction of identified heritage places – measured quarterly and reported annually

Above Archaeological excavation work has been undertaken at the La Granja copper project in Peru. The artefacts recovered from the La Honda valley area excavation have been donated to the Bruning Museum in Lambayegue, Peru. 75 Case study 10 Case study 10: Rio Tinto in Oyu Tolgoi, Mongolia Design and monitoring framework: standards of acceptable change

Oyu Tolgoi (OT) is the largest undeveloped copper-gold ore deposit in the world. OT is located in Khanbogd soum (district) in the Umnugobi (South Gobi) province of Mongolia. The majority of people in this area are nomadic herders who migrate seasonally between winter and summer pastures. The project is jointly owned by Rio Tinto, Ivanhoe Mines and the Government of Mongolia. The OT mine will be the largest financial undertaking in Mongolia’s history and will contribute a sizeable portion to the nation’s GDP. Mining is scheduled to begin in June 2012.

Challenge: Executing major development while considering local culture and heritage The challenge for this project is enormous. The project, currently in construction phase, will constitute the largest mine in Mongolian history. It is located in a remote, undeveloped area and will need to operate in a way that does not devastate the rich local culture and heritage, potentially Oyu Tolgoi leading to social dysfunction and follow-on impacts to the company’s Mongolia social licence to operate. Owing to the scale of OT’s operations and the lack of previous cultural heritage management regulations in Mongolia, the Cultural Heritage Programme at OT is likely to be viewed as a benchmark for new development projects in Mongolia.

Process: Establish a monitoring to an intangible or tangible system cultural resource or value that To assess the impact of this large- is possible without causing scale development project on irreversible degradation to the region’s people and tangible their cultural heritage as a whole. and intangible cultural heritage, This will be used to design the OT plans to monitor its impacts Cultural Heritage Programme and against community defined all subsequent changes will be standards of acceptable change. monitored against this framework. In July 2010, OT began to develop a monitoring framework to track This will enable OT to determine: the impact of the operation on –– how mining activities are the region’s cultural heritage and affecting cultural heritage; to monitor the performance of –– how public programmes are its cultural heritage programme enhancing cultural heritage; against Rio Tinto standards and and locally defined “Standards of –– whether the net impact is Acceptable Change”. (note: this within the acceptable limits approach is referred to as “limits set by the community. of acceptable change” at Rio Tinto Community and broader and within this guide) stakeholder participation in the The Mongolian International Standards of Acceptable Change Heritage Team, a consortium framework is essential. The goal of Mongolian and international is for community members and cultural heritage experts, have stakeholders to identify cultural been commissioned by OT to heritage threats and opportunities design a Cultural Heritage and acceptable standards of Programme for the project. change, and to design feasible The Team is using a Standards solutions and implement them of Acceptable Change framework. as part of the Cultural Heritage The framework will define the Programme. The long-term aim acceptable level of change, of this participation is to build according to the community, the institutional and individual 76 Case study 10

capabilities of government, non- Top government and private sector The Oyu Tolgoi Cultural Heritage Plan design team and the Mongolian agencies and organisations so International Heritage Team that they can take ownership of members meet with Khanbogd soum aspects of the Cultural Heritage community members during their Programme over time. joint field trip in September 2010. Left Outcome: Acceptable change Dinosaur foot prints located in East Shar Tsav valley, Manlai soum. 2009 alongside rapid development Circle Using the standards of acceptable Local herder’s camels pasturing change approach and related around Oyu Tolgoi shaft 1 prior to tools helps OT, local communities the lease area being fenced. The and stakeholders to design sign on the camel is a traditional herding sign. and implement an appropriate Cultural Heritage Programme in a manner that is responsive to changes in the OT project scope, as well as to the needs of the community during all stages of the project and its operation. By assessing impacts against locally defined standards and baselines, OT will be able to monitor the operation’s impact on local cultural heritage and evaluate their progress against cultural heritage management objectives. 10

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2.4.3 Evaluation and continual improvement – “How did we do and how can we do it better?”

Evaluation is the measurement Communities Site Managed Cultural Heritage Management of the outcomes of a project Assessment System audits against its stated objectives. It is Evaluation of an operation’s Rio Tinto’s Australian businesses often done at the conclusion of a cultural heritage performance is are required to have an audit of project and answers the question; one element of our Communities their performance against the “How did we do?”. For larger Site Managed Assessment requirements of the Rio Tinto projects, evaluations may also be (Communities SMA), which checks Cultural heritage management undertaken mid-stream as a way of compliance with the Rio Tinto standard for Australian businesses assessing progress and identifying Communities standard. This every three years as an input to possible enhancements. check also includes compliance the operation’s Communities SMA. with cultural heritage legislation Monitoring involves the and the operation’s CHMS, Continual improvement measurement of progress against including formal cultural – “How can we do better?” indicators and targets, evaluation heritage management plans and The outcomes of monitoring and centres mostly on outcomes and agreements. Box 10 describes evaluation provide a firm basis impacts and aims to identify the cultural heritage requirements for reviewing and updating plans factors that have contributed to that will be assessed in a and systems and taking corrective – or detracted from – programme Communities SMA. action where required. For success. Evaluation involves a more example, monitoring may indicate detailed review of the operation’s A Communities SMA is intended that a project or programme is cultural heritage approach to identify any actual or potential not performing as desired, in and initiatives to ascertain problems and areas for social which case alterations need to if the operation is complying performance improvement. It is be made to address the shortfall. with all requirements, planned conducted three-yearly or may be It may also find that the original objectives are being achieved triggered by special circumstances indicators established for the or any unintended or undesired such as a significant cultural monitoring were unrealistic, in consequences are developing. heritage incident or a complaint which case they may need to be alleging breach of compliance. changed to improve the process. Findings from the Communities SMA process and reporting Case study 11, on Rio Tinto Iron requirements are detailed in the Ore’s Pilbara operations, outlines Report and communicate section elements of their cultural heritage of this guide. approach that aim to continually improve performance as part of achieving their business objectives.

10. Evaluating performance against Rio Tinto’s Communities standard – Have you compiled a list of all tangible cultural heritage features? – D o you have recorded information about the intangible cultural values associated with the site based on consultation and an understanding of local cultural norms? – H ave you documented all industrial and historical heritage features and values of the business itself? – H ave you developed and implemented a cultural heritage management system? – D oes the CHMS ensure the protection of tangible heritage features and also include the implementation of community programmes for the maintenance and protection of intangible cultural heritage? – W as the CHMS designed around extensive baseline work conducted in consultation with relevant communities, and is consultation ongoing? – I s the CHMS consistent with the operation’s cultural heritage risk exposure? – A re all ground disturbing activities compatible with all components of the CHMS? – A re formal procedures such as cultural heritage assessments and cultural heritage management plans executed smoothly, expertly and in a timely manner? – H as there been any avoidable damage to cultural heritage? – A re significant incidents being reported? – I s the heritage co-managed with relevant communities? – I s the operation attempting to address changes that are occurring to local cultural norms? – A re cultural heritage considerations being recorded in all agreements with indigenous groups wherever these groups have recognised legal rights or interests coincident with the operation’s areas of interest?

Left Dancers from the Ranomafana area of Southern Madagascar perform the Mangaliba dance which is a dance of celebration. The dance was performed at the Katrehaky cultural festival which is celebrated in Fort Dauphin, Madagascar, every August. Rio Tinto QMM supports the festival, which celebrates cultural diversity and community.

79 Case study 11 Case study 11: Rio Tinto in the Pilbara, Australia Continual improvement of heritage performance

Rio Tinto Iron Ore’s Pilbara operations in Western Australia, which began in 1966, consist of a network of 12 mines, three shipping terminals, six pastoral leases and over 1300 kilometres of heavy freight railway. The Pilbara operations span the traditional lands of nine different Aboriginal language groups. These lands have significant tangible and intangible cultural heritage values, including one of the richest concentrations of Aboriginal rock art in the world.

Challenge: Continuing to improve cultural heritage management Beyond meeting their existing cultural heritage obligations and initiatives, Rio Tinto Iron Ore understand their challenge is to stay aligned with changing community sentiment and aspirations. To do this, Rio Tinto Iron Ore must continually improve their cultural heritage management across their geographically dispersed, rapidly expanding Pilbara operations. Pilbara Australia

Process: Go beyond compliance For example, much of Rio Tinto Rio Tinto Iron Ore’s Aboriginal Iron Ore’s extensive railway Cultural Heritage Team is made network was constructed over up of over 20 professionals who 40 years ago, before the ensure that the company’s Cultural introduction of heritage Heritage Management System legislation and standards for complies with Rio Tinto standards undertaking heritage surveys and aim to continually improve and consulting with Traditional the business’s cultural heritage Owner groups. Rio Tinto Iron performance. Some of this work Ore engaged Traditional Owners is formalised in new Indigenous to undertake cultural mapping Land Use Agreements with five along the rail line to gain a Traditional Owner groups. comprehensive understanding of the cultural values associated Important new developments with the infrastructure and which contribute to Rio Tinto surrounding sites. Iron Ore’s goal of continual improvement include: Cultural celebration: Rio Tinto Iron Ore works with Aboriginal Retrospective Surveying: As well groups to look after and celebrate as conducting heritage surveys their intangible heritage. This prior to any new projects and includes projects where it can ground disturbing works, Rio Tinto provide resources or assistance Iron Ore recognises the importance to enable Aboriginal groups to of reassessing existing projects continue to practice and pass and infrastructure to ensure that on their cultural knowledge, all aspects of its operations, new beliefs and languages, while or existing, comply with their simultaneously improving Cultural Heritage Management the broader, non-Indigenous System and meet community community’s understanding expectations. and appreciation of Indigenous cultural values. Such projects

80 Case study 11

may involve documenting oral Outcome: Evolving in line with history, developing keeping changing community needs and places for cultural material and aspirations assisting with access to country. Rio Tinto Iron Ore has been The Heritage Regional Standard operating in the Pilbara for over of the new agreements formalises 40 years with a cultural heritage a process for these activities team in place for almost 15 years. to progress. The company has continually recognised and valued Aboriginal Improving community capacity peoples’ connections to country to manage cultural heritage: and their heritage values. Building Rio Tinto Iron Ore has committed on its growing history of cultural to improving community capacity heritage management in the to manage cultural heritage Pilbara, Rio Tinto Iron Ore strives through the development of for continual improvement and several initiatives including: advancement of its Cultural –– employing a Land Management Heritage Management System Top On-site consultation with senior Nyiyaparli Officer from each of the by reassessing its existing efforts Aboriginal language groups to members for the Hope Downs 4 project, as well as adjusting projects specifically the rail crossing of Weeli Wolli Creek. serve as a liaison between their and plans to comply with the L-R: Peter Sage (Study Manager, Rio Tinto Iron group and Rio Tinto Iron Ore ever-evolving cultural heritage Ore), Luke Lowery (Heritage, Rio Tinto Iron Ore), operations; concerns of the Aboriginal Eric Parker, Stanley Watson, Gordon Yuline, Keith Hall, and Victor Parker. –– the development and provision community. Above of a nationally accredited 11 Wurrurnha rail bridge sign, designed by Mark archaeological assistants Lockyer, a Kuruma Marthudunera traditional training course; and owner. The sign acknowledges a pool in the Robe River close to the rail bridge that is of importance –– offering assistance to Aboriginal to the Kuruma Marthudunera people. groups to manage their heritage Circle and environmental information An example of rock engravings on the Burrup in digital format. Peninsula, Western Australia. Rio Tinto Iron Ore’s cultural heritage management includes the protection of the rock art on its Burrup Peninsula leases. 81

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2.5 Report and communicate

Reporting and communicating have both internal and external audiences. Internally, managers need to know how well risks are being managed, whether corporate requirements are being met, and how the cultural heritage management system is performing.

These outcomes are often Checklist reported via internal auditing and assessment procedures. [ √ ] Are all incidents reported on internally and communicated to the affected Externally, community members, community and stakeholders? governments and the general public may need to know about [ √ ] Are outcomes of Communities SMAs and community workbooks communicated to affected communities? the impacts of the operation on their cultural heritage, the [ √ ] Is communication with local communities conducted in culturally actions that are being taken or are appropriate ways and considerate of local language and literacy? proposed to address community issues and concerns, and the [ √ ] Are sustainable development reports accessible to the public, cultural heritage management comprehensive, include both positive and negative outcomes and inclusive performance of the operation. of cultural heritage and cultural programmes? [ √ ] Is there sharing of positive and negative outcomes between Rio Tinto businesses and operations?

[ √ ] Are the operation’s cultural heritage assets, or the cultural heritage associated with their land promoted more widely? If so is this conducted with the express permission of the custodians of that cultural heritage?

[ √ ] Are the wishes of the cultural heritage custodians communicated to all relevant employees and where necessary the broader public to prevent disrespectful use or damage of culturally significant places, objects and practices?

2.5.1 External reporting

Reporting to local communities, is complying with all relevant operation (song, archaeology, stakeholders and the public on legislative or other requirements. etc) are irreplaceable records of the cultural heritage management Reporting on the quality of the human culture for use by future activities should be a routine part management processes in place to generations. Cultural heritage of an operation’s cultural heritage celebrate an area’s heritage values survey reports can disappear management system. This and to limit any incidents, and into our ‘system’ and never be external communication needs how any disputes were resolved, is seen again, resulting in the loss to be both on the actions and more informative than the simple of important data over many programmes being undertaken dollar spend on a programme years. Rio Tinto believes that, so by an operation and on the or the number of incidents and far as cultural sensitivities allow, outcomes of any significant complaints occurring. these reports should be placed in heritage disturbances that may a publicly accessible archive or occur. External reporting should Reports describing the cultural be made available online. Care also demonstrate the operation heritage of the area of the must be taken, however if this 82

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involves the open publication Sustainability reporting guidelines Information and document of site location data, as this are offered by the Global management can lead to potential negative Reporting Initiative in the Mining The collection, use, disclosure and impacts to sites from increased Metals Sector Supplement.5 The security of a community’s cultural visitation, artefact collection, Rio Tinto guidance for local heritage information need to looting or graffiti. Where this is sustainable development reports be handled by an operation in a possibility, location data should requires reporting against a accordance with the wishes of be kept secure or appropriate number of issues related to that community and with relevant site management and protection broader, mostly intangible, aspects legislation. An operation may measures put in place with of cultural heritage, including: use a variety of physical and communities and the relevant –– stakeholder engagement; electronic measures to protect cultural heritage authorities. –– human rights; paper documents and electronic files, including computer and –– environmental management; As with all forms of public network security. The operation communication, the wishes –– training and education; and should undertake to protect the of communities that hold the –– a range of social performance cultural heritage information from cultural heritage should be indicators. misuse, loss, and unauthorised respected so that no cultural While there is no specific mention access, modification or disclosure. knowledge is used without their of reporting cultural heritage Where appropriate, the operation permission. Sometimes local aspects included in the GRI should also provide for access by communities are offended if guidance, operations should still the community to the stored data. their involvement in cultural consider cultural heritage when heritage management is used reporting. Reporting against 11. Examples of cultural heritage for public-relations stories and ‘Society Performance Indicators’ related work and initiatives unilateral publicity should be allows for wide scope to report for inclusion in sustainable avoided. Meaningful and inclusive on efforts employed to reduce development reports: engagement should ensure that the impacts operations have – incidents; employees recognise, value and on the communities in which – o utcomes of cultural respect community concerns they operate. programmes; and that community members – t raining of local employees in in turn trust the operation Box 11 provides some examples cultural heritage related work; will act in their best interests of cultural heritage management in their management of cultural work that could be included in – i nteresting outcomes from heritage information. written sustainable development archaeological survey work, management and protection reports. Sustainable development Local sustainable development outcomes; reporting can also be done orally reports if this is a more appropriate – m easures taken to conserve In accordance with the Global method. If reporting orally then industrial heritage associated Reporting Initiative (GRI), with the site; and minutes should be taken and kept Rio Tinto’s business units prepare within the internal information – cultural induction programmes. their own annual local sustainable management system. development reports. The style and presentation of local reports should be appropriate for the local community and stakeholders.

5. Global Reporting Initiative in the Mining Metals Sector Supplement - 83 http://www.globalreporting.org/ReportingFramework/SectorSupplements/MiningAndMetals/

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2.5.2 Internal reporting

Incident reporting Communities SMAs Community Workbook Incidents in which cultural Outcomes from Communities Our businesses report their heritage is damaged must be SMAs will be reported in a community contributions reported internally through ‘close-out’ report presented and programmes annually to SEART or the Business Solution. to the operation’s managing Rio Tinto in the Community Reports that document the director and the operation’s Workbook. At the end of each incident and steps taken to response sought. The final report calendar year, Rio Tinto gathers remedy the incident are important is signed off by the managing data group-wide across a range pieces of information that should director for presentation to the of economic, environmental and be revisited regularly and shared product group chief executive social indicators. Operations will with other business units to and Communities global practice be required to report progress on ensure that individual operations leader. Consideration should local cultural heritage targets as and the Rio Tinto Group learn also be given to distributing part of the global Communities from our mistakes. the final report, or summary, target through the Community to participants and whether to Workbook mechanism. circulate the report more widely.

2.5.3 Communicate

Communicating about cultural with the custodians of the consultation with the people to heritage issues with local heritage to ensure that their whom the place or object holds communities and stakeholders intellectual property rights and value to ensure that any use of is an integral part of inclusive privacy are always respected. images or words is culturally engagement. Communication will This communication can be appropriate and sensitive, and largely focus on heritage values part of internal and external should only publicise cultural and disturbances, outcomes and communications work, heritage features that the plans. maintenance and celebration community approve of. It is programmes, and employee particularly important that Communicating heritage values cultural induction programmes. this kind of communication is Communication of the operation’s conducted in line with cultural cultural heritage management With the consent of the local norms and restrictions over the to the general public and community, it can also include dissemination of knowledge. employees and contractors can the development of interpretative have a number of benefits. These signage to increase public The archaeological, benefits include raising wider knowledge about the value anthropological, palaeontological awareness of the cultural heritage of the heritage place and to and other research documented of the area and enhancing the communicate stipulations in heritage survey reports by operation’s reputation. This that ensure respectful use of an operation may contribute broader communication needs the site (see box 3 and case significantly to academic to be undertaken with careful study 1). Interpretive signage research in the field, as well as consideration and consultation should be developed in close being of interest to the local 84

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community. Numerous cultural Disturbances, outcomes and plans heritage publications and Rio Tinto businesses should conference papers have been consult regularly with published and/or supported by communities to find out what Rio Tinto operations, especially information the community collaborations between their wants to know about or, in respect employees, community members of the maintenance of cultural and consultants. These reports heritage, shared with others. are a positive way in which an Communities should be kept operation can meet its obligations informed about new project work regarding transmitting heritage (including all ground disturbance information to the wider public. work and new environmental Experiences from one operation procedures) and any potential can also aid other Rio Tinto impacts on cultural heritage. It is operations to improve their also important we communicate own management outcomes. the outcomes of audits or reviews, For example, information on so that the community is aware rock shelter stability relative of what is going on inside the to vibration caused by drilling company with regard to their and blasting has improved the cultural heritage. Significant way Rio Tinto Iron Ore manages incidents must be reported to the rock shelters in the Pilbara. This relevant parties – this is often a information may be of value to legal stipulation and included in other operations within the cultural heritage management Rio Tinto Group. plans and agreements. Actions taken to mitigate the impact and Another form of communicating the outcomes of these actions heritage values includes the should be communicated in a development of museums, timely fashion. cultural or visitor’s centres, and other activities that make Case study 13 from the Argyle heritage accessible, interactive diamond mine in Australia and educative for the general outlines the importance of public. Often the operation’s own building trust with the local historical assets can be managed community through open and in this way. Case study 12 from transparent communication. the Bingham Canyon Mine Through Argyle’s new engagement Visitors Center is an example strategy they have been able to of communicating the historic repair a historically damaged industrial heritage value of the relationship between the mine and informing people operation and their landlords – about current operations, thereby the Traditional Owners of the strengthening the operation’s area. social licence to operate.

85 Case study 12 Case study 12: Rio Tinto in Utah, US Promoting industrial heritage values of an operating mine

Kennecott Utah Copper (KUC), which is 100 percent owned by Rio Tinto, operates the Bingham Canyon Mine, the world’s first and largest open-pit copper mine. Mining commenced in Bingham Canyon in 1863 and surface mining, now called open pit mining, began in 1906. At one point some 15,000 people from a wide range of ethnic backgrounds were living in the larger Bingham Canyon mining district. In 1966, the Bingham Canyon Mine was named a National Historic Landmark of the United States. Located just southwest of Salt Lake City, Utah, the operation has had a large impact on regional economic development of the area and continues to have a very visible presence in the metropolitan community.

Challenge: Maintaining social licence while expanding operations The challenge for this mine is to continue to operate, including plans to expand underground, while being located immediately next to the suburbs of a major metropolitan area. Preserving the on-going social licence to operate in this case is critical. One initiative to maintain and enhance a strong relationship with the adjacent communities has been Utah to promote the positive impact of the operation on the region’s history US and development through the construction of the Bingham Canyon Mine Visitors Center. The Visitors Center also contributes financially to local charities, further strengthening the operations’s social licence to operate.

Process: Promote industrial up to modern day environmental heritage values and local history engineering. To honour and promote its industrial heritage, KUC opened The Visitors Center was recently its Bingham Canyon Mine Visitors remodelled and over the years has Center in 1992. It is located at a undergone several expansions point overlooking the Bingham and upgrades that included Canyon Mine so that visitors new exhibits and videos. One can observe day-to-day mining display called “Local Memories” operations. It has hosted almost exhibits historical artefacts three million visitors and has from the community, including donated more than US$2.4 million photographs and an oral history to local charities and non-profit DVD which is a collection of organisations through the stories by and for the people of Kennecott Utah Copper Visitors Copperton, Utah. Copperton is a Center Charitable Foundation. company town built in 1927 by KUC’s predecessor, Utah Copper Visitors can listen to educational Company. Through historic narratives explaining the photographs, the Center displays operations, in several languages, the culturally diverse mix of early at the Visitors Center overlook. settlers in the mining community. There are also numerous interactive exhibits such as The Bingham Canyon Mine 3-D microscopes for visitors to Visitors Center is not just a place examine mineral samples and for KUC to promote and educate displays showing how copper is others about its operations and used in everyday life, educating about mining as an industry. It is the public on the importance of also a place where the history and metals and mining as an industry. development of the surrounding The Center also maintains a community can be heard, shared rich collection of old mining and maintained. equipment, artefacts, documents and displays showcasing the evolution of mining technology 86 Case study 12

Outcome: A stronger social licence Top The Visitors Center contributes During World War II, Kennecott Utah Copper relied heavily on women to to a sense of community by operate the mine to provide one- promoting and communicating third of the copper used by the allies the industrial heritage values for the war effort. This picture is that were recognised in the from 1944. listing of Bingham Canyon as Above left The Visitors Center plaza and a National Historic Monument Bingham Canyon Mine overlook, and passing down the extensive 2010. This display features historic history of the mining industry in mining equipment used in the early the area. Communicating these days of the Bingham Canyon Mine. The Bingham Canyon Mine is in the values to visitors emphasises the background. connections between the heritage Bottom left of the mine and the community Inside the Bingham Canyon Mine and the inseparable relationship Visitors Center, 2010. The Visitors of industrial and community Center features interactive, informational and historical heritage in the region. These displays on the history, operation, actions, as well as the donation and sustainability of the Bingham of visitors’ fees to local charities, Canyon Mine, Kennecott Utah help strengthen the mine’s Copper and Rio Tinto. Circle social licence in turn allowing Employees work on rail maintenance it to continue operating for the locomotives that hauled in a highly populated the ore and overburden from the metropolitan environment. Bingham Canyon Mine. This picture is from the late 1940s. 12

87 Case study 13 Case study 13: Rio Tinto in the East Kimberley, Australia Open and transparent communication at Argyle Diamonds

Argyle diamond mine (Argyle) is one of the world’s largest diamond mines and is 100 per cent owned and managed by Rio Tinto. Located in the East Kimberley region of Western Australia, Argyle is mining Barramundi Gap. Barramundi Gap is a cultural landscape associated with the Ngarranggarni Dreaming – a creation story that tells of how the area’s geography was formed. Barramundi Gap is one of the most culturally significant sites belonging to the Miriuwung and Gidja people.

Challenge: Building better relationships to continue operating in a significant cultural landscape The history of Argyle’s engagement with Traditional Owners of the mine lease area has been long and difficult. From exploration in the 1970s through to the first stages of operation in the mid 1980s, Argyle’s relationship with Traditional Owners was characterised by resentment and limited regional contribution. A change in Rio Tinto leadership in East Kimberley 1999 prompted a ‘cultural shift’. The company started working towards Australia gaining the support of Traditional Owners by, among other things, implementing open and transparent communication processes around the mine’s impact in this cultural landscape.

Process: Establish formal The Relationship Committee: communication strategies This consists of Traditional To overcome the problems of Owners and Argyle the past and to appropriately representatives, and meets manage this culturally significant quarterly to discuss the eight landscape into the future, Argyle management plans that make needed to establish formal up the Argyle Participation communication strategies. Agreement, including sites of The Argyle Participation significance and water and land Agreement, signed in 2004, is management. Regular meetings the mechanism through which ensure all major new work on the these communication processes operation and any concerns that are formalised and appropriate Traditional Owners might have cultural heritage protection, as are discussed openly between discussed in community forums, the operational staff and the is ensured. Traditional Owners. This ensures that appropriate measures are Key mechanisms that facilitate implemented to manage cultural open and respectful dialogue heritage issues including the between Traditional Owners overall management of the and operations around cultural cultural landscape itself. heritage (and other) issues at Argyle include:

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Two-way communication Manthe welcome ceremony: Outcome: Improved community in land clearance processes: Protocol at Argyle now states that relationships In accordance with the Argyle mine operators must be welcomed Creating formal mechanisms Participation Agreement, every onto the mine site by Traditional to encourage continual land clearance is conducted in Owners through a Manthe communication between partnership with Traditional ceremony. The ceremonies confer employees and Traditional Owners Owners, ethnographers, safe passage of employees through has broadened the operation’s archaeologists and subject the traditional lands and are a understanding of cultural issues, matter experts. Argyle Diamonds formal component of the site’s allowed for a closer working has encouraged this broader Health and Safety induction. relationship and further enriched involvement as it ensures that They are conducted fortnightly Argyle’s understanding of the the right decisions are made ensuring all new employees are affected community’s concerns. and that mining activities welcomed by Traditional Owners, By formalising a communication and cultural heritage aspects remain safe on the operation and strategy, Argyle was able to are communicated widely are inducted into the cultural overcome past issues and forge in the Miriuwung and significance of the site. strong, cooperative ties with the Gidja communities. community while continuing to Protocol for using Miriuwung mine in a culturally significant Traditional Owner Open Day: and Gidja intellectual property: place. Argyle maintains an Traditional Owner Open Day is Argyle’s cultural heritage enthusiasm and openness for held on site annually. Traditional management system outlines greater communication and Owners are given the opportunity procedures for the use of exchange of ideas between to visit and discuss any part of photographs depicting Miriuwung employees and Traditional Owners. the mine where cultural heritage and Gidja people, their artwork, 13 issues exist. This may include stories, songs and language in the visits to caves, the underground operation’s promotional or other Top project, rehabilitation sites and/ materials. This ensures that the Peggy Patrick, Gija Traditional or key water sources including reproduction of such intellectual Owner, explains the importance of springs and dams. The Open property is culturally sensitive the Manthe welcome ceremony to a Day is an opportunity for both and is not used disrespectfully. group of employees and contractors. employees and Traditional Circle A special Manthe welcome ceremony Owners to view together, and is held at the entrance to the further discuss, the work of the underground project at Argyle Relationship Committee. diamond mine. 89

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2.6 Summary

Managing cultural heritage can be difficult and often presents unfamiliar challenges, however, we believe that proactive engagement with local communities on cultural heritage issues is not only likely to deliver real benefit to them, but also to protect and enhance the value of Rio Tinto businesses.

Inclusive engagement Plan and implement Report and communicate Our primary goal is to engage Once we understand more Reporting and communicating inclusively. It means recognising about the places, objects and performance, including on the socioeconomic and political practices that are important cultural heritage, is important diversity of the various groups to communities, as well as the for internal and external which comprise a community. potential for our activities to transparency and as a way We also undertake to engage impact on these, we should plan to invite feedback and foster others in our own business and in to avoid or mitigate adverse dialogue. This will help guide the external community to ensure impacts and look for opportunities our formal and informal decision- due respect and effective cultural to maximise the benefits. This can making processes, which will heritage management. be through CHMPs, communities in turn contribute to better plans, programme-level plans social performance and more Know and understand and in other types of operational worthwhile contributions. We can From the very outset, we should policies, plans and activities. also communicate, in a culturally- seek to build our knowledge and sensitive way, the cultural values understanding of: Monitor, evaluate and improve of a place, object or practice to –– places, objects , landscapes, Systematic tracking of how we the wider public, both to help ecosystems and practices that are performing and assessment safeguard cultural heritage and are important to communities; of whether we have met stated to broaden awareness of its value. –– why these things are valued; targets assists the business and the community to achieve In all our projects and operations, –– how they should be managed; their agreed cultural heritage and across all functional areas, and management goals. Accurate data we aspire to meet the challenge –– the potential for our activities is essential to the measurement of integrating cultural heritage to impact on any of the above, of change, positive and negative. management. The skill and positively or negatively. This depends on good engagement sensitivity with which we manage Gaining the knowledge and and consultation, which is at the cultural heritage issues will help understanding that is needed heart of effective cultural heritage define the quality of Rio Tinto’s to develop a cultural heritage management. Where possible, relationships with the communities management system takes time monitoring and evaluation where we work or may wish to work and should be ongoing as the processes should be participatory in the future. community’s concerns change and inclusive of employees, heritage over time and as new developments experts and the community and processes emerge. custodians of the heritage.

3. Background reader

3.1 Cultural heritage concepts 91

3.2 The business case 100

3.3 Impacts on cultural heritage 104

3.4 I nternational protocols and standards for protecting cultural heritage and diversity 109

Background reader Background

What is covered in the background reader?

The background reader helps practitioners to deepen their knowledge and understanding of cultural heritage issues in relation to operational activities, associated infrastructure and the broader social and ecological changes that large developments can bring to regions and the communities they affect. It offers additional detail to the “How to” section of this guide.

Cultural heritage concepts This section: –– defines cultural heritage and types of cultural heritage; –– describes the importance of cultural heritage management and significance assessment; –– explores the complexity of making distinctions between tangible and intangible values as well as different types of heritage; –– describes some threats to cultural heritage; and –– highlights some of the debates in heritage literature.

The business case – valuing cultural heritage This section presents reasons why Rio Tinto wishes to ensure thorough and legitimate cultural heritage management. It outlines both business threats and opportunities, and highlights that cultural heritage management can: –– minimise the negative impacts of operational activities; –– help an operation to gain and maintain a social licence to operate; –– advance our sustainable development objectives; and –– uphold our commitment to human rights.

Impacts of mining and processing on cultural heritage This section explains the positive and negative impacts to a community’s tangible and intangible heritage that can result from operational activities. It discusses impacts in relation to: –– negotiation and engagement; –– direct and indirect impacts; and –– employment and training.

International protocols for protecting cultural heritage This section outlines important documents that influence best practice in cultural heritage management and inform Rio Tinto’s cultural heritage management policy. These include: –– international protocols and conventions; –– sustainable development frameworks; and –– industry principles and frameworks.

Background reader Background

3.1 Cultural heritage concepts

The “How to” section of this guide covered some of the key concepts associated with cultural heritage and mining and processing operations. This section provides additional detail on the following issues and draws on key theoretical debates and literature: – cultural heritage and types of cultural heritage; – cultural heritage management; – assessing significance; – cultural heritage and cultural diversity; – the convergence of tangible and intangible values; – distinctions between natural and cultural heritage; – threats to cultural heritage; and – debating cultural heritage.

Cultural heritage Cultural heritage is important Types of cultural heritage Cultural heritage is any aspect of for everyone. In some countries The list in box 12, although not a community’s past and present it is associated with indigenous exhaustive, provides a sense of that it holds to be important or traditional peoples more the breadth of cultural heritage. and desires to pass on to future often than other groups. There are many ways to classify generations. It can be tangible However, places, objects and different types of heritage. (physical) consisting of things practices of cultural importance Throughout this guide we refer like buildings, landscapes and enrich the lives of all people by mainly to places, objects and artefacts or intangible (non- providing deep and inspirational practices of cultural significance, physical), such as cultural connections to places, nation also collectively referred to as practices and beliefs, language, states and/or cultural or ethnic cultural heritage features, and dance and music. Cultural groups. It provides links to the following list is organised heritage is often described as the historic past and to lived accordingly. Most of these types objects, places or practices which experiences and is, therefore, of heritage have both intangible have been handed down by a key element of individual and tangible values. Landscapes, tradition or which have some link and group identity for all people. for instance, bear the evidence to history. It is not always about of the past and the present but old things. New, or newly altered, it is people’s memories and objects, places and practices can associated histories that define hold cultural value for current the significance of these places. generations and therefore have the potential to become components of cultural heritage.

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Cultural heritage management 12. Types of cultural heritage We define cultural heritage Cultural heritage places – Archaeological sites management as the actions – Historic cities and ruins taken by managers to identify, – U rban landscapes and their constituent parts assess, decide and enact – P arks, gardens and other modified landscapes such as pastoral lands/farms decisions regarding cultural – A ssociative landscapes (places that people revere but that may not have heritage. In essence it is about any evidence of human modification) managing change. The reason – I ndustrial landscapes and their constituent parts we undertake cultural heritage – Palaeontological features management is to actively – U nderwater heritage such as shipwrecks protect culturally significant – M useums and galleries of all kinds places, objects and practices in Cultural heritage objects relation to the changes they face – N atural resources with tangible and intangible value over time. These changes may – M ovable cultural heritage (objects such as paintings, vehicles, clothing, be caused directly or indirectly stone tools and others) by operational activities – or – D ocumentary and digital heritage (archives and objects in libraries) they may result from natural or – C inematographic heritage and the ideas they convey cultural processes. Management – Literature does not mean preventing change Cultural practices from occurring. – O ral traditions passed between generations – Languages Cultural heritage management – F estive events and the traditions they embody may result in the documentation, – R ituals, traditions, beliefs and customs conservation, alteration or – L ocal or traditional practices in and knowledge of the natural environment even loss of cultural heritage. – T raditional land management practices and hunting/farming techniques It can also include working – Traditional medicine with communities to protect – M usic and song and other performing arts and enhance their culture – Culinary traditions and its practices. Effective – Sports and games cultural heritage management aims to lessen both direct and indirect negative impacts and 13. Different scales of significance to enhance the positive impacts Heritage may hold different significance at different levels, whether these of a development or other land are local, regional, national or global. It is important that these sometimes use change on cultural heritage contrasting values do not diminish the ability of local community members features and people. to define the use and management of their cultural heritage. For example, indigenous Hawaiian organisations petitioned against the World Decisions about the management Heritage designation of the Northwest Hawaiian Islands Marine Monument, of cultural heritage should always as the nomination would have prevented them from practicing their traditional be made in consultation with subsistence fishing practices in the area. The indigenous Hawaiian groups also relevant communities, heritage argued that the lack of consultation and other general exclusionary processes experts and stakeholders. They are a breach of State Constitutional Law. Although UNESCO’s World Heritage must also be in line with the list often holds great influence over heritage management options and on-the- relevant heritage legislation which ground legislation, it can conflict with local community/indigenous aims may require specific conservation, and concerns and should not be considered the definitive answer to cultural mitigation or safeguarding heritage management. measures. Sound management decisions also require clear articulation of the reasons why and to whom a place, object or practice is valuable, as not all things are equally valued or equally in need of protection. 94

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In making this assessment, it is 14. The Cradle of Humankind World Heritage Site important to be aware that some The Cradle of Humankind is a World Heritage Site listed by UNESCO in 1999. It is aspects of heritage may embody in South Africa’s Gauteng province, about 50km northwest of Johannesburg. various values which may hold different significance for different The name, Cradle of Humankind, reflects the fact that the site has produced groups. Likewise, heritage may a large number of hominid fossils, including some dating back as far as 3.5 million years ago, making them the oldest ever found. The archaeology here has be valued at a global, national or contributed to current understanding of human evolution. It is therefore deemed local level, or from several points to be of exceptional scientific value. of view (see box 13). This is why broad consultation with a diverse range of relevant community phenomena or non-physical and links more than 15 pre-Civil War members and stakeholders is intangible attributes. A view of structures and historic sites. essential to identify the value and the English countryside featuring A cultural heritage place, object significance of cultural heritage. rolling pastures and stone walls, or practice may have scientific It can sometimes be difficult to for example, may be valued or research significance if it decide who constitutes ‘relevant for aesthetic reasons because provides information of value community’ and considerations it represents a certain style of for historic, prehistoric or about gender, age, ethnicity, landscape that is equated with environmental research (see religious affiliation and class a place. Box 14). Scientific significance must all be addressed to ensure This does not mean that heritage relates to the evidence a site that the values of these different has to be “pretty”. Industrial holds and therefore its ability groups are captured. The “How landscapes or industrial sites to answer questions about the to” section of this guide and such as the Battersea Power past and is most often associated the Rio Tinto Consultation and Station on the River Thames in with archaeological significance. engagement guidance describe London are valued as heritage Scientific significance can be what broad ranging consultation despite their unattractiveness based on the contribution that a should look like. (or even because of it). Of course cultural heritage feature can make Assessing significance beauty is in the eye of the to our understanding of early One way to determine the beholder and is not universally human practices and settlements, value of cultural heritage is defined. In all instances the value past environments, or historical through the assessment of of a place, object or practice must occupations of countries. cultural significance. The term be defined by those for whom it Social value refers to the qualities significance is used in heritage holds importance and the values for which a cultural place, object management to mean the should not be measured relative or practice has become the focus aesthetic, historic, scientific or to each other. of spiritual, political, national social value of a place, object or Historical significance refers to or other cultural sentiment. practice for past, present or future the history of society evident in Most definitions of social value generations. In other words, why a cultural heritage feature. For refer to the way that cultural a cultural heritage feature is instance, a place or object may heritage may be important to important to a group of people. be valued based on its association a community’s identity due Aesthetic value refers to with a famous person or with a to its traditional, historic or heritage that is valued for its significant event such as a battle. contemporary associations. While pleasing or unique form, scale More recently, places have also social significance often refers or design or for the sensory been assessed in terms of their to a “sense of place” this sense experience that it provides (ie: relation to historical themes can include aesthetic, historical visual or olfactory sensation). such as the development of and scientific values. Although While aesthetic value can be specific industries or struggles a cultural heritage feature may associated with architectural for land rights or independence. be valued for spiritual reasons, and artistic significance, it can An example of this is the Black its aesthetic qualities, historical also be constituted by natural Heritage Trail in Boston, which association or potential to answer

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community understandings of the 15. Social value, Khanbogd region of Mongolia value of place in any assessment The Javkhlant Mountain in the Khanbogd region of Mongolia is considered a (intangible aspects). spiritual place upon which women should not walk. To an outsider the mountain does not look different to any other mountain, yet to the local people it holds Cultural heritage and cultural significant social value in the form of spiritual and cultural associations. diversity Society is made up of different 16. Conflict between tangible and intangible values groups defined, for example, by gender, class, ethnicity, age Though managing tangible and intangible values is an important process, the or religion. Value systems differ protection of a cultural heritage feature’s tangible elements may sometimes between and within such groups, conflict with the associated intangible value. meaning that the same places, Domboshava is a granite rock shelter containing Late Stone Age rock art located objects and practices may be outside Harare, Zimbabwe. Conflict between heritage managers and local valued differently by different people over the management of Domboshava highlights the tensions that can people. Sometimes these value arise if the tangible qualities of heritage sites are managed in isolation from the systems conflict with one intangible practices and beliefs that are associated with these sites. another over cultural heritage Until recently heritage managers were only interested in the management of significance, as when an invading the rock-art site itself. For local people, however, Domboshava is a rainmaking army deliberately or accidentally shrine. The rock art, although important to local people, is of lesser interest in destroys cultural icons belonging isolation from the rainmaking ceremonies held inside the rock shelter. These ceremonies provide the context of the art and define the art’s significance. to the invaded people. Despite this, the practice of rainmaking ceremonies at Domboshava was banned Because cultural heritage as the ceremonies involved lighting fires under the rock-art panels. Smoke from is so important to group identity, the fires was considered detrimental to the preservation of the rock art. people have the right to define These actions resulted in local outrage and eventually an act of vandalism and make decisions about their in which the rock art was covered over by oil paint. This act of destruction own cultural heritage. This means highlights the political aspects of cultural heritage management and the need that what cultural heritage “looks to encourage the continuation of the intangible practices that give cultural like”, why it is significant and how heritage meaning. it should be looked after, must be Adapted from Ndoro, 2003:82 defined primarily by the people for whom that cultural heritage scientific questions can also Social values were first considered is important. This is recognised contribute to the attachment an element of significance as especially important on that people feel for it. This is assessment in the Australian traditional lands belonging why some cultural heritage Heritage Commission Act 1975 to indigenous peoples. experts talk about social values (based on US precedents), and the as encompassing other categories Australia ICOMOS Charter for the The need to involve community of significance which differ Conservation of Places of Cultural members in management can according to social groupings Significance (1979), known as the be confusing for operations such as gender, ethnicity and Burra Charter. The 1999 revision managers. Cultural heritage is class. Social value is often of the Burra Charter gave greater often mistakenly thought of as associated with values defined by prominence to the concept and ‘old’ and traditional customs are a minority or other specific social stressed that social values differ often thought of as ‘remnants group as distinct from values such between and within groups and of the ancient past’ rather than as architectural or archaeological, that consultation with concerned living beliefs and practices that which are often deemed to have groups is needed to establish help make up the identity of the significance for a nation or all the social values of places and people concerned. of humanity (see box 15). objects. This opened up the Cultural values are not frozen in range of meanings attributable time. The types of places, objects to tangible heritage and requested and practices that people value, that heritage professionals include

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and the reasons for which they are 17. Marine mammals as invaluable Inuit cultural heritage valued, differ through time in line A recent decision has been made to suspend seismic testing of an Arctic sound with changes in the meaning(s) due to Inuit concerns over the impact on the marine mammals that they hunt that the current living population for food and other resources, which are also important for cultural and spiritual ascribes to them. In some cases, the reasons. The Nunavut court judgement made on 8 August, 2010 is considered to value of certain cultural heritage concern the protection of Inuit cultural heritage rather than just safeguarding an can be lessened when knowledge Inuit food source. is lost or not transferred between The judge reportedly stated that: generations and new values, practices and beliefs can arise with “If the testing proceeds as planned and marine mammals are impacted as Inuit say they will be, the harm to Inuit in the affected communities will be significant the passage of time and changing and irreversible...The loss extends not just to the loss of a food source, but to circumstances. The notion of loss of a culture. No amount of money can compensate for such loss.” authenticity, which is so important in cultural heritage, can mistakenly be used to imply that newer cultural place is taken to mean sites, which practices are integral to the beliefs/practices are inauthentic or areas, land, landscapes, buildings meaning of the cultural place and “made up”. It is important to stress and other works and, potentially, to ensure that other inappropriate that there is no necessary link the components, contents, spaces, activities are limited (see box 16). between age or authenticity and outlooks and even the sounds associated with these places. Similarly, cultural practices such significance. For instance, many as ritual and ceremonies may Pacific Islanders have recently More recently, heritage include both moveable physical embraced reggae music (originally guidelines have incorporated objects, such as ceremonial objects Jamaican in origin) as a form the management of intangible and dress, as well as intangible of cultural expression and, in components of cultural diversity performances of song and dance. doing so, have created a Pacific and cultural practices including island style of reggae that has language, art, music, customs and The management of intangible become synonymous with their traditional ecological knowledge heritage is complicated. UNESCO cultural lifestyle. and subsistence practices such proposes “safeguarding” intangible heritage rather than “preserving” Despite the fact that new forms as hunting. These changes recognise that tangible objects, it. This is because preservation of cultural expression and could be interpreted as “freezing” new objects and places can be such as buildings, contain no necessary cultural value in and cultural practices in time rather considered cultural heritage, some than allowing cultural practices distinction needs to be made of themselves. Rather, they are assigned value based on the to adapt and change as necessary, between things valued for their as would normally occur. cultural significance as opposed intangible elements that give to other important assets valued them context and meaning. It is important that safeguarding by a community which do not These factors are often based on measures add to or strengthen and possess cultural heritage value how contemporary people use the reinforce the diverse and varied per se, such as good roads and cultural object or place. As such, circumstances (both tangible and new public buildings, facilities sometimes the management of intangible) that are necessary and infrastructure. cultural heritage is implemented for the continuous evolution, through traditional methods as interpretation and transmission The convergence of tangible and opposed to a more contemporary of intangible cultural heritage intangible values style of management. for future generations (see box 17). In professional heritage work, the focus has shifted from a Managing the intangible values “stones and bones” or object-based of tangible heritage can be approach, concerning just the difficult and will often require physical or material aspects of considerable negotiation between cultural heritage. There is now heritage professionals and the a place-based focus in which concerned community to establish

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fact the products of these actions 18. Cultural landscapes over thousands of years. As such Cultural landscapes show the combined work of nature and humanity and can “natural” environments are very include landscapes such as parks and gardens, naturally-evolved landscapes often cultural environments too. and associative landscapes. Associative landscapes are those that hold spiritual or other significance that is not necessarily visible. Managing natural heritage by, for Cultural landscapes could include streetscapes, parts of the settled countryside, example, conserving biodiversity abandoned quarries and mine sites, or landscapes that are held to have and managing the impacts of spiritual significance because they embody aspects of creation stories such as weeds and feral animals, can Aboriginal dreaming stories or Biblical references. Often cultural landscapes have positive cultural heritage can hold different values to more than one group. Sometimes these values may outcomes. For some indigenous conflict. Impacts on cultural landscapes affect people’s emotional and cultural groups, the practice of managing wellbeing as well as their lifestyle and economic sustainability. This can be natural resources (through relevant to both indigenous and non-indigenous communities (such as farming hunting or the use of fire) can communities). also be seen as an element of the The World Heritage List officially recognises cultural landscapes as places of cultural heritage of that group. both natural and cultural value. Sites such as Tongariro in New Zealand were At the same time, traditional originally listed just for their natural values but have since had their listing environmental knowledge of extended to include cultural values. plant and animal species can contribute to mined-land Distinctions between “natural” of biodiversity. Cultural heritage, rehabilitation and other forms and “cultural” heritage on the other hand, often implies of environmental management. To facilitate management human modification and usage of decisions, statutory regulations the natural environment. The Secretariat of the Convention and voluntary global heritage on Biological Diversity have guidelines often define certain The distinction between natural developed the Akwé: Kon Voluntary types of cultural heritage and and cultural heritage is not Guidelines for the Conduct of provide frameworks for assessing clear-cut. Natural landscapes are Cultural, Environmental and Social their authenticity and significance. highly significant to many cultural Impact Assessment regarding Many of these frameworks groups. This fact is often discussed Developments Proposed to Take have been criticised by heritage in relation to the heritage type Place on, or which are Likely to professionals, academics and known as cultural landscapes (see Impact on, Sacred Sites and on indigenous groups for favouring box 18). Natural resources are also Lands and Waters Traditionally “universal” ideals and values over critical aspects of many cultural Occupied or Used by Indigenous minority understandings, for practices and knowledge systems. and Local Communities (2004) (see ignoring the intangible aspects Most traditional/indigenous International protocols section of heritage, and for perpetuating cultures see the land and many of this guide). These voluntary false distinctions such as those species of plant and animal as guidelines provide advice on how between natural and cultural sentient, as possessing culture, to include traditional knowledge, heritage or between tangible and knowledge and direct kinship innovations and practices as part intangible values. links to the human and ancestral of impact assessment processes. occupants of the land. Natural heritage features are seen as elements of the natural In relation to the biological environment that people value, environment, concepts such as use, modify and enjoy and “natural” and “wilderness” have thus seek to manage, conserve themselves been critiqued as or exploit. Natural heritage is “make believe”. These critiques are valued for its aesthetic qualities, based on the fact that most of the its contribution to the ecological world’s surface has been modified processes which occur in natural by human action and the majority systems and for the conservation of “natural” ecosystems are in

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Threats to cultural heritage 19. Captain Cook’s landing place – significant despite change Sound cultural heritage Kurnell in Sydney is the site of Captain Cook’s initial landing in Australia. management recognises that The site is considered culturally significant to non-Aboriginal and Aboriginal cultural heritage is constantly Australians alike because the event is considered to be one of the defining susceptible to change and needs points of Australian history. conscious decisions to manage Nowadays the site looks nothing like it did in 1788. Urban development has those changes. totally altered the material aspects of the site. However this has not diminished Examples of the changes that the historic significance of the site or the site’s integrity because the significance cultural heritage may face include: of the place is not contained in its material aspects. –– Natural and cultural causes Nobody knows where Cook actually stepped ashore and there are in fact two of decay: Natural decay refers plaques both supposedly commemorating exactly where he landed but lying to the deterioration of a place 2km apart. or object through time due Adapted from Pearson and Sullivan, 1996:147 to natural processes such as biological or chemical –– Natural disasters: Fires, depends on the integrity of the weathering, the action of water earthquakes, storms and cultural heritage feature. Integrity, and wind, or the actions of floods as well as other natural as defined by the World Heritage animals and plants. Cultural disasters can adversely impact Convention, “is a measure of the causes of decay can stem from upon cultural heritage. wholeness and intactness of the neglect or from continual use natural and/or cultural heritage These challenges and their of a place or object, producing and its attributes”. Examining the consequences are not mutually gradual wear and tear. conditions of integrity requires exclusive but can be interrelated assessing the extent to which the –– Development pressures and and interdependent. One type cultural place, object or practice: disturbance: Factors such as can lead to or intensify the –– includes all elements necessary pollution or ground disturbance consequences of another. For to express its value; related to development for example, tourism often leads –– is of adequate size to ensure housing, industry, forestry, to construction and ground the complete representation farming, infrastructure, disturbances but can also cause of the features and processes tourism, transport and mining. increased rates of cultural decay which convey the property’s –– Climate variables: Factors such due to greater visitation and significance; and as climatic variations, sea level use of cultural places. Similarly, shifts, ground water levels, development can also increase –– suffers from adverse effects of floods and droughts. access to previously remote development and/or neglect. –– Looting: Valuable movable locations, which may precipitate Decisions not to conserve heritage may be stolen or sold. higher rates of looting. elements of cultural heritage are sometimes based on the perceived –– Intangible impacts/cultural Threats such as these may lead to lack of integrity or authenticity of change: Processes of the total destruction of cultural a place, object or practice. globalisation and economic heritage or they may degrade the development or the forced values associated with cultural It is important that assessments removal of people from their heritage by diminishing the of integrity do not focus solely on land can speed up processes integrity of a cultural heritage the physical state of an object or of cultural change, leading to feature, or by denying people place or on an assumption that the loss of traditions, languages access to places or objects something is only authentic if it is and local knowledge systems. (see box 19). old or physically intact. Damaged –– Cultural disasters: Wars and or degraded things, and recently- other civil disturbances often Often the protection afforded created or altered places, objects lead to deliberate or inadvertent to places, objects or practices or practices, are often considered destruction of cultural heritage. through cultural heritage highly significant. legislation or heritage listing

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Debating cultural heritage in many parts of the world. ensure protection in perpetuity. There are lively ongoing debates Recently, many different types These management decisions may in academia, the community of heritage have begun to be conflict with local ideas about the and among cultural heritage recognised and protected by appropriate management or use of professionals surrounding the organisations such as UNESCO places and objects and with local definition of heritage, its value, and ICOMOS. Consequently economic initiatives, practices and who has the rights to heritage many companies are further development projects. and the ethics of heritage evolving the concept of heritage management. by conducting cultural heritage Similarly cultural heritage work based on community has been used to symbolically The history of heritage studies values and social values which assert national identities and has been dominated by Western do not separate tangible and to simultaneously deny the (and especially Anglo-American) intangible heritage. Collaborative legitimacy of identities that ideas of what constitutes heritage. management approaches, in conflict with national ideals. Western, more materialistic which scientific or research values However the example of the values, have now become and the interests and concerns Brixton Walking Tour (see box 20) enshrined in global heritage of traditional communities are illustrates how heritage can be guidelines such as those produced combined, are gaining favour a form of social action in which by UNESCO and ICOMOS. in countries where professional minority groups can contradict These guidelines in turn inform ethics encourages the inclusion ideas of official heritage and heritage statutes that outline of indigenous or minority values commemorate and contextualise definitions of cultural heritage in heritage management. their own unique connections to and, in essence, describe what is the past and present. thought of as “Official Heritage” Despite this evolution, debate (see Smith, 2006). These framing will continue over who has the The debate over “who owns the guidelines have been criticised right to make management past” and who has the moral as discriminating against local decisions about cultural heritage. as well as the legal authority to communities and minority Collaborative approaches are still make decisions about the future groups by preventing them from uncommon in many countries, of cultural heritage is particularly defining and protecting the types especially if there is no law strong in countries with colonial of heritage that are important to protect local community, histories but can also happen at to them in ways that they deem indigenous or minority values a sub-national scale as different appropriate. and to recognise the moral, religious, ethnic and class groups intellectual and property rights of attempt to assert their unique Heated disputes often arise due to these groups to own and “speak” rights to heritage over other groups. conflict between “scientific” and for their cultural heritage. “traditional” values, an example Differences may also arise being disputes over the study, Debates over ownership and between genders, age groups or reburial, of human skeletal management of cultural and even within families. For remains. These debates have heritage have political, legal, example, what is considered caused a distinction to be made economic and social impacts and sacred or significant for women, between historical or industrial triggers. The concept of “world who may not possess an authority heritage and indigenous heritage heritage”, for instance, implies to speak out in their community, in some former colonial countries that the heritage in question is may vary greatly from what is and how these heritages should owned, at least culturally, by considered significant for men. be managed. the world community. Many Even in dealing with a cultural indigenous people and other heritage element of communal It must be recognised that official local communities around the significance, groups within a heritage concepts and guidelines world have expressed concern community, such as elders and or are constantly evolving in about this situation, as world young people, may have differing response to such criticism and heritage listing enforces certain opinions about how to best in accordance with advances in management approaches to manage them. heritage work undertaken

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Due to of the variety of pertinent 20. Brixton Walking Tour – commemorating London’s African- and often conflicting interests, Caribbean history consultation and engagement London’s mainstream heritage consists of monuments such as Big Ben should aim to capture all relevant and Tower Bridge. The Brixton Walking Tour exposes tourists to a part of perspectives. Engaging with London’s often overlooked heritage – Britain’s African-Caribbean history groups within a community and contemporary communities. In doing so it sheds light on the origins separately and sensitively will and development of one of London’s largest minority communities. ensure thorough cultural heritage The tour is a sensory experience in which participants are encouraged to listen understanding and also avoid to and observe the sights and sounds of the community, including its reggae infringing upon local social music and Rastafarian culture. Participants are also encouraged to taste dynamics and customs. traditional West Indian foods and fruit from the local markets. Box 21 highlights some specific The tour celebrates the multicultural past of Brixton and in doing so also areas of contention that may commemorates and contextualises the 1981 race riots which started need to be considered in cultural initially because of the police targeting of African-Caribbean men in black heritage management. British communities. The tour reclaims and celebrates the riots as an important historical event heralding the development of inclusive multicultural policies by the British government and in so doing is an example of cultural heritage promotion as a type of social action. The intent of the walking tour is to make visible an alternative perception of London’s heritage and history. Adapted from Harrison, 2010:261-272

21. Differing perspectives important to heritage work Because cultural heritage may mean something different to different groups, the debate surrounding cultural heritage often involves several ongoing contentions. It is important to remember that definitions and distinctions are not absolute and are often in flux. Below is a short list of a few perspectives to consider when debating cultural heritage: – local versus national identities; – community values versus national or universal values; – national versus international concerns; – gender differences within communities; – age based differences within communities; – class, caste or social hierarchy; – religious or ethnic differences; and – economic impact of management options.

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3.2 The business case – valuing cultural heritage

Cultural heritage is valued at Rio Tinto because it helps to: – minimise negative impacts of mining and processing activities on the surrounding community, as part of overall risk management strategy; – gain and maintain a social licence to operate; – advance our sustainable development objectives; and – uphold our commitment to respecting human rights.

Cultural heritage places are a Overall risk management strategy with a business. As a result, key feature of the landscape and Sound management of cultural heritage matters can will form a critical component of cultural heritage will reduce be highly political, contentious the planning for most resource business threats and enhance and carry significant risk. development projects. The skill opportunities, including with which cultural heritage improving the reputation Unauthorised cultural heritage issues are managed will affect of a business and the Rio Tinto disturbance, whether by legal the quality of the company’s Group. Conversely, mishandling or community standards, will relationship with the communities of cultural heritage issues can expose a company to legal action, where it works. A good cultural fuel community opposition to a compliance costs and reputational heritage approach provides a project, lead to delays in obtaining damage (see box 22). It is also foundation of confidence and approvals, jeopardise future land likely to offend local communities trust that enables the community access and, potentially, expose and damage relationships. and business to work together. a company to prosecution. Significant impacts to cultural heritage sites, even where legally Engagement between companies Cultural heritage sites are often authorised, can potentially lead and communities on cultural protected by law, including to community and stakeholder heritage is often challenging as cultural heritage, mining, outrage (see box 23). Business well as rewarding and there is environment, planning, land impacts upon intangible cultural no easy formula for “success”. rights and other forms of heritage values, especially those Communities are complex and legislation. Customary law also of indigenous peoples and in dynamic entities and can react in needs to be considered in relevant places where communities have a variety of ways to businesses’ contexts such as in African and had relatively little exposure efforts to engage with them in Pacific Island nations. Managing to industrial development, can managing their cultural heritage. cultural heritage in accordance also lead to significant threats There is no guarantee that what with relevant laws and practices to an operation, in particular works in one context will work is at the heart of good community its on-going social licence to in another, or that following relations and avoiding potential operate. International cultural specific cultural heritage conflicts. Ineffective cultural heritage and indigenous NGOs guidance will always produce heritage management can cause are increasingly challenging the the desired outcome. Knowledge delays to land access and project resource industry on its impacts about effective strategies is still development, as well as loss of and performance and influencing evolving, so it is good to have benefits to the local communities. the cultural heritage standards internal capability and effective of multilateral agencies such as systems and processes in Cultural heritage issues are often the IFC, which are becoming place, including the capacity used as a vehicle for communities increasingly rigorous. to learn and adapt when to express their rights in their circumstances change. relationships and negotiations

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Gain and maintain a social licence 22. The legal case to operate In 2010, a large multinational mining company was fined under Australian law Rio Tinto believes engaging with for a breach of cultural heritage legislation. The company carried out a cultural communities on cultural heritage heritage survey in 2008, in conjunction with the local people. The survey found issues is essential to maintaining that a ridgeline contained artefacts of importance to the local people. However, a social licence to operate. Social later in that same year, workers using a bulldozer to upgrade a road at the base of the ridgeline inadvertently damaged or disturbed cultural heritage objects in licence is the general acceptance the vicinity of the known cultural heritage site. and approval by a community of a company to begin and It was submitted to the court that the workers’ actions amounted to the continue operating in an area. company breaching its duty of care. The court found that the company had failed to take reasonable measures to ensure that cultural heritage was not Social licence to operate is harmed and that the company should have had better internal procedures never to be taken for granted in place to protect the site. and can change over time with shifts in political, economic The decision reinforces the importance of companies understanding and complying in practice with their cultural heritage obligations under legislation. and stakeholder circumstances. Breaches of these obligations are being prosecuted by governments and can Engagement with the custodians result in damage to reputation, loss of trust in dealing with local communities, of cultural heritage through all and the imposition of hefty fines and convictions. project study and development phases, operations and closure will enable a greater level of 23. Destruction of unique Afghani Buddhist statues mutual involvement and ideally In 2008, a Chinese mining company signed a contract to begin extracting will produce a more robust social copper from Mes Aynak, possibly the world’s second largest copper deposit, licence to operate. located in Afghanistan. The mining lease includes a 7th century Buddhist monastery, containing more than 100 statues, and seven stupas (tombs that Social licence to operate can hold relics of saints). Forming part of the famous Silk Road, the monastery can be seen as the “canary in the provide information on the origin and history of Buddhism in the area. Impacts coal mine”, pointing to potential to the monastery are especially significant considering that much Buddhist loss of approval to operate even archaeology in the area has already been destroyed by religious zealots. where the law permits it. This The company intends to destroy the monastery to make way for the new is illustrated in box 24 where copper mine. This sparked considerable outrage amongst Afghan and French Vedanta’s downfall was to rely archaeologists excavating the site, who rallied international support. In on the false security provided December 2010 the Afghanistan Government signed the Mes Aynak Cooperation by India’s environmental law. Agreement which gives archaeologists an additional three years to excavate and remove cultural heritage features from the site. Demonstrating quality cultural Adapted from Lawler, 2010 heritage management capability and a successful approach can also be useful for future projects. 24. Social licence and cultural heritage If our businesses are able to In August 2010 India’s Environment Minister blocked UK based Vedanta execute proper cultural heritage Resources’ controversial plan to mine bauxite from an open pit mine on management in sensitive areas, Niyamgiri mountain, which is of great spiritual significance to the Dongria Kondh this can serve as a testament to tribe. The mountain is considered to be the home of their god Niyam Raja. communities, governments and The Dongria Kondh tribe campaigned against the proposed mine, gaining the stakeholders in other sensitive support of Survival International, an NGO that supports indigenous social areas, build trust and help movements. Despite having provisional environmental clearance, Vedanta’s position Rio Tinto to successfully performance and future plans were questioned in relation to laws granting negotiate future agreements and rights to local tribal groups. gain access to future projects. It is obvious that a social licence to operate was never achieved in this instance, which led to an international campaign against the operation and, eventually, to its premature closure.

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Advance sustainable development 25. Improved mine management objectives Leading practice recognises that cultural heritage protection and promotion Rio Tinto has long embraced serve the business interests of a mining operation. For example, effective site the concept of sustainable rehabilitation and long-term monitoring managed by traditional land owners, development and our businesses as described in a closure plan, requires the preservation of botanical knowledge seek to embed the concept and the cultural framework within which it sits. Ethno-botanical knowledge about species diversity can be an important source of information for land of sustainability into decision- rehabilitation especially in relation to the scoping and assessment of valued making processes at all levels ecosystem components and in providing descriptions of baseline conditions. of business. In New Zealand, Maori people have developed a Cultural Health Index which is Respect for and enhancement used to assess the health of streams and waterways. The Cultural Health Index of cultural places, objects is an example of effective integration of traditional and western perspectives and practices can contribute into a monitoring and decision making tool which can then be used to assess to an operation’s sustainable environmental impacts and progress towards rehabilitation. development outcomes in several Adapted from Smith, 2008 ways: –– Cultural heritage is valuable 26. Destruction of cultural property for its own sake and for the Human rights may be violated through the destruction of “culture”, for example contribution it can make if cultural property or cultural heritage is destroyed and leads to a loss of group to cultural, economic, identity. Such acts against cultural property or heritage may, for example, reveal ecological, social and political the intent necessary to establish a crime against humanity or genocide. development. The destruction of the Stari Most (“The Old Bridge”), in Mostar, Yugoslavia, –– Cultural heritage contributes is an example of the destruction of an emblematic symbol of ethnic importance. to the promotion of cultural The Old Bridge, a symbol of Mostar’s multicultural past, was destroyed by diversity and intercultural bombardment from a Croatian army tank in 1993 during the Bosnian War. dialogue. It is said to have had no strategic importance and that the action was more –– Cultural knowledge and related to the bridge’s symbolic status. Slobodan Praljak, the commander practices can contribute of the Croatian Defence Council, was put on trial for allegedly ordering the to sustainable operational destruction of the bridge without proper justification of military necessity, activities through, for example, among other charges. the use of local knowledge in environmental monitoring and restoration. Partnerships with communities that strengthen the protection and maintenance of cultural heritage are an important way to demonstrate respect for a community’s values. The outcomes of such partnerships can contribute much to the development goals and aspirations of communities (see box 25).

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The economic benefits for the Uphold commitments to cultural community from cultural heritage heritage human rights can arise from programmes The Universal Declaration of that alleviate poverty or Human Rights declares that every unemployment through, for human being has the right to example, the production and enjoy and develop cultural life sale of cultural products and and identity (see box 26). Many services and through the tourism countries have enshrined these potential of local music and rights in law, providing safeguards dance, archaeological sites and for cultural heritage and defining the retelling of oral histories. the processes for redress if standards are not met. There is a substantial body of evidence that the cultural sector Where this is the case, Rio Tinto is a significant driver of economic must comply with the law. development. The cultural sector Even without specific local represents seven per cent of global laws – for example, in newly- GDP (UNESCO 2010), and “Culture industrialising economies which and Development” is one of the have less-developed regulatory United Nations formal funding regimes and service provision programmes aimed at meeting than industrialised economies – the MDGs. As a major driver we should seek to comply with for tourism, cultural heritage international cultural heritage holds great potential for regional treaties such as the World growth, tourist revenue, jobs, Heritage Convention and widely- skills training and other benefits recognised global standards such which will often out-last the life of as World Bank safeguard policies. an operation. The Global Heritage Fund for example, promotes the Rio Tinto has made an explicit safeguarding of endangered commitment to support and cultural heritage sites as positive respect human rights in its investments in the economic operations. Our commitments development of an area. to cultural heritage and human rights are reflective of our overall Cultural heritage programmes philosophy of empowering the can also generate income for the communities in which we conduct community by building small our business. enterprise skills or delivering education and training. Cultural heritage management should be understood as part of a much bigger exercise of community development involving social, economic and environmental elements.

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3.3 Impacts on cultural heritage

This section outlines impacts and benefits of mining and processing in the context of: – negotiation and engagement; – direct impacts; – indirect impacts; – socio-cultural and environmental changes; and – employment and training.

Operational activities can company processes and activities about changing social or cultural have positive and negative develop and change. processes and help to achieve impacts on both the tangible acceptable outcomes. and intangible cultural heritage The value placed on cultural of communities. The nature heritage features may vary The value of cultural heritage of mining means it is often according to the type of operation places often relates to local impossible to avoid disturbing taking place. In areas where many belief systems: it is not always some cultural places and objects, mining activities exist, or that possible for those outside of as the physical location of have already experienced high a community to know how an operation depends on the levels of impact to their cultural mining will be perceived to geography, geology and features heritage, people are more likely to impact on cultural heritage. It is of the ore body. The associated highly value any residual cultural not the role of a business or its infrastructure can significantly heritage regardless of its perceived employees to critique or interpret broaden the operational footprint value in relation to cultural local belief systems. Rather, all but there can be flexibility in heritage elsewhere. Throughout the concerns should be considered design, location and options operation’s lifecycle a community’s important and can only be for protecting cultural heritage cultural beliefs and practices may addressed through the community values. Processing facilities and also change in relation to changing negotiation and engagement other major infrastructure, such socioeconomic or biophysical processes. conditions. This can mean that as smelters, refineries and hydro Cultural heritage management dams can also have significant places, objects or practices that were once valued may no longer activities undertaken by a and widespread cultural heritage business without appropriate impacts. be as highly regarded. Alternatively, preserving some cultural practices engagement can lead to Impacts on cultural heritage can prevent them from evolving unintended impacts to cultural can be both direct and indirect. and changing naturally, which heritage values. It is important to Impacts can vary in scale can itself be regarded as destructive acknowledge not only the legal and scope over the life of the to a community’s broader cultural rights of the community with operation, sometimes spanning wellbeing. respect to its cultural heritage several generations. The but also its customary and nature and degree of impacts Negotiation and engagement moral rights to make decisions to cultural heritage will differ Involvement of local communities about its management. This is from exploration, project study as early as possible can help important because sometimes phases, construction and minimise any direct negative the management outcomes that operations through to closure as impact of mining or processing heritage professionals and other the extent of ground disturbance on cultural sites and objects as stakeholders suggest may not sit and other destructive activities well as identifying opportunities well with the local custodians (eg: vibration, emissions, to create positive impacts. of that heritage. For example, water extraction) and number Community engagement can also cultural heritage management of personnel fluctuates, and help identify community concerns decisions to conserve cultural

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heritage in certain ways can have 27. Pilbara tree burial unintentional impacts, especially A heritage survey in the Pilbara region of Australia located an Aboriginal burial if conservation restricts access to bundle cradled in the forking branches of a very old Mulga tree. The burial tree particular heritage sites or is in was assessed as highly significant and conservation measures were planned in conflict with traditional cultural accordance with the significance assessment. In their proposed management practices (see box 27). plan, the heritage professionals wanted to plant new Mulga trees to be shaped Cultural sensitivity, an awareness to support the burial bundle once the old tree died and in doing so retain the and consideration of other integrity of the site. The Traditional Owners of the area were against this idea, cultures and their customs, is a stating that the tree burial was most likely a punishment of some kind with the intention that once sufficient time had passed the tree would die and the bones cornerstone of good engagement. be rightly left to return to the earth. When absent, it can lead to deep and long-running mistrust and conflict between a company and 28. Positive impacts of mining on intangible cultural heritage local community. Engagement A mining company operating in Tocantins, Brazil has launched a project jointly with the custodians of cultural with the local indigenous community to safeguard its intangible cultural heritage, through a collaborative heritage in the face of significant cultural change. The project aims to gather and respectful approach to and record stories told by the elderly chiefs. The project also incorporates the identification, protection workshops to teach local indigenous people transcription, photography and and management of cultural filming techniques so that the stories and customs of the local indigenous places, objects and practices, culture can be safe-guarded and passed down to future generations. helps to establish and maintain Though mining will necessarily impact the local community, the company has trust and provide a foundation initiated programmes to help the local community record and maintain its for constructive long-term important cultural history. relationships. It is integral to cultural sensitivity to adhere subsidence, water extraction, If this happens, the operation to community concerns about pollution, construction and the needs to accept responsibility, confidentiality of cultural like. It can also be impacted acknowledge the mistake, and information. Practicing culturally by vandalism and theft by make an effort to restore their sensitive reporting of information employees, contractors or visitors. relationship with the custodians is important for respecting These activities can result in of the affected cultural heritage. the community and garnering the disturbance or destruction Mining and processing can, on the their trust. of cultural heritage or limit access to culturally significant other hand, help to strengthen the Cultural sensitivity may be shown places. Mitigation options will protection of cultural heritage. For through the incorporation of depend on the nature and example, archaeological finds that ceremony into business operating significance of a site, and can may have remained undiscovered procedures (as at the Argyle range from destruction with without mining can contribute to mine in Australia) or through minimal recording to detailed local knowledge about community having culturally-sensitive work archaeological research and associations with places and schedules that allow people the relocation of movable can enhance community pride to attend important ceremonies cultural heritage. (see Box 28 for an intangible or to hunt when the season cultural heritage example). is right (Diavik mine, Canada). Despite the best-laid plans, Similarly, mining and processing our operational activities can developments can provide the Direct impacts on cultural accidently destroy or disturb economic and other capacities heritage significant tangible cultural needed to protect heritage from Physical cultural heritage can be heritage remaining in place vandals and looting or from directly impacted by operational during operations. This can be as natural deterioration. activities through land simple as inadvertently driving a clearance, ground disturbance, car over a scatter of unobtrusive Baseline surveys and community excavation, drilling, vibrations/ artefacts and destroying them. consultation can never ensure

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the identification of all cultural or scientific value and interest. Socio-cultural changes heritage, and there will inevitably This is particularly the case Some degree of social change is be “chance finds” during the life of where they provide evidence of inevitable when large-scale an operation. Rio Tinto companies innovations in energy extraction developments occur. This is have procedures, agreed upon by or generation, transportation particularly true if the area has not community and stakeholders, for or service settlements as been developed previously. It is addressing “chance finds” when well as developments in the important is that the change is they occur. In some instances, social, technical and economic acceptable to those who are such finds will need to be reported circumstances of mining and affected and occurs at a pace which to local or national heritage processing. These remains does not cause undue stress and registers and this can result usually consist of buildings result in community breakdown in legal directions to preserve and machinery, workshops, and social dysfunction. or conserve the heritage item. mills and factories, mines, processing and refining facilities, Socio-cultural change may be Sometimes the national context warehouses and stores, places caused by an increase in numbers will require certain cultural where energy is generated, of outsiders who bring with them heritage items to be relinquished transmitted and used, transport different ideas, technologies and to the government or a heritage and all its infrastructure, as value systems. In some areas, this body for research or for placement well as places used for mine can contribute to shifts in local in national, regional or local social activities such as housing, languages, customs, rituals and museums. These outcomes may religious worship or education. beliefs (see box 29). not accord with local wishes. These tangible remains may In such instances the business The following factors should be often have intangible values considered when determining the should first comply with the too, as emblems of a bygone era, law and also ensure that the scope of the impact from mining symbols of industrial progress and processing activities on community is fully engaged and and development, measures advised of what is happening. intangible cultural heritage: of changing social mores and –– respect, preservation, protection Having assured access to repositories of family history. and maintenance of traditional identified sites and places of New mining or processing knowledge, innovations and importance is a critical component activities on historic mining practices; of community wellbeing, operations can potentially harm –– sacred sites and associated especially for indigenous or other (eg: through physical destruction) ritual or ceremonial activities; minority groups. Facilitating the or help manage (eg: through –– continued customary use continued use of land for such documentation, interpretation, of biological resources and things as hunting and fishing or continued use) the tangible landscape; or simply for walking through and intangible industrial heritage –– respect for the need for cultural may also be a key element in values of the site. an operation’s cultural heritage privacy and the maintenance of management plan. Equally, legal Indirect impacts on cultural cultural obligations; and approaches that seek to discredit heritage –– continued exercise of customary local attachment to places or While the direct impacts on law. specific cultural objects often cultural heritage can be dramatic Employees and contractors have a direct and negative impact. and are readily recognised, an can inadvertently act in ways operation’s indirect impacts which that damage physical cultural Mining and processing operations extend beyond the physical are heritage or that are insensitive can over time develop cultural not as easily identified. Large to local customs and therefore heritage values in the form of development projects can often impact on intangible cultural industrial heritage. This consists bring about significant social heritage. This can be addressed of the remains of industrial and cultural change, especially through training employees and culture which are of historical, when they occur in areas that are contractors in cultural norms and technological, social, architectural relatively undeveloped or remote.

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considerations, such as respecting 29. Cultural change in Papua New Guinea taboos associated with certain Recent consultation by a large mining company in a remote part of Papua areas of land and respectful ways New Guinea resulted in a list of cultural changes that the community has to touch or talk to people. For experienced since mining began in its area, including: example, certain Southeast Asian minorities cannot be touched on – a breakdown of customary law; the head without causing offense – c hanges in the material used to construct men’s houses and a reduction in for spiritual reasons. Similarly, for the construction knowledge in younger generations; a female employee to swim in a – t he wearing of shorts and trousers by women; swimsuit and expose her thighs – t he incorporation of non-traditional foods, such as beer and rice, into feasts would be considered disrespectful and exchange rituals; in Melanesian countries for – e conomic changes have lead to increased competition in customary example where the practice is exchange rituals creating inflation; culturally unacceptable. – c hanges in the local language, especially through conflation with English and Tok Pisin; and Offence can also be caused if – w eakened respect and avoidance of taboo places. employees fail to respect the secret or gendered nature of some Conversely, our engagement with tourist access to remote areas. cultural heritage knowledge. communities on forward-thinking Cultural tourism is a sensitive Often diversity of the workforce cultural heritage programmes topic, however, as tourism can also and the surrounding community can actively safeguard intangible have significant negative impacts might also mean that several heritage and contribute to cultural on cultural places and practices, cultures mingle in the one revitalisation. The creation of and there should be scrupulous workplace or community. museums or the facilitation of attention paid to the wishes of Employees need to be informed cultural celebration programmes, custodians of the local culture. about how to act respectfully for example, can be very powerful towards all cultural heritage tools for keeping culture alive. Environmental changes issues, both in their workplace Museums can incorporate changing Mining can result in the and in the local communities. living perspectives by highlighting alteration, loss and destruction of traditional and communal lands Mining and processing activities how cultural heritage plays a role in and resources which are linked can increase economic inequality contemporary society, portraying its to cultural practices and beliefs. in an area. The sudden influx evolving and sometimes contested For some people the health of the of cash through compensation, significance and including environment connects directly to royalties or wages can result interactive and creative displays the health and wellbeing of the in significant changes to local that are designed in consultation human population because of cultural practices and sometimes with local communities. Displays both physical and spiritual links cause conflict and the decay of can be arranged in unconventional between people and animate social mores and respect by the ways to highlight the values that and inanimate elements of the young for elders. Increased access local communities or minority environment. The aesthetic and to cash may lead to neglect of groups prefer rather than in ecological values of landscapes people’s subsistence activities, traditional museum display must also be considered. such as herding, gardening or approaches. Other examples include hunting, as well as the influence oral history documentation and As stated in section 1 of this of alcohol, drugs and crime. the use of visual media to record background reader, including Economic changes can also result ceremonies or dances. local/indigenous people in in the closure of established Cultural heritage tourism is a biological monitoring or other businesses that themselves have potential socioeconomic benefit land-management practices can cultural heritage value but which that can be fostered by our be part of an operation’s cultural cannot survive amid the new businesses. The infrastructure heritage approach. This is because economic conditions. built for operations can improve many traditional/indigenous belief

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or men accessing certain areas 30. Cultural sensitivity in the workplace of land. If these considerations Some societies maintain a system of cultural reciprocity and exchange which are not recognised in Human obliges individuals to share what they have with others. Resources policies they can This poses a challenge to local employees in juggling their responsibilities to impact on the cultural belief the company and to their own community. For example, an employee driving systems and cultural wellbeing a company car may be culturally obliged to stop and give a lift to kinfolk despite of local employees (see box 30). a company rule that only allows employees to travel in company cars. Company policies can threaten older customary patterns in unseen ways. –– The use of a dominant These issues need to be handled very sensitively and are a commonly workplace language, such voiced concern of local communities over the impact of developments as English in a non-English on their cultural practices. speaking setting, can undermine the use of local systems provide people with moral Key points are: languages. This could be obligations to actively manage –– Overly-rigid employment avoided by producing bilingual their customary land, even if there structures may prevent people documents and signage. is now an operation on it. from maintaining their cultural –– Environmental and cultural obligations such as attending heritage monitoring and The extensive knowledge that funerals, ceremonies and rituals management could provide very local people often hold about or participating in seasonal effective employment and training their environment is a unique hunting, and this has a negative opportunities for local people. and important resource for impact on the culture overall. –– Cultural awareness training/ mining companies pursuing These sorts of considerations cultural inductions help ensure environmental responsibility, may need particular attention that all employees are properly and provides new ways to view at operations wanting to briefed and are able to work in a landscape and its associations. encourage local indigenous diverse and culturally sensitive Furthermore, involving employment and contracting. environment. Willingness and indigenous people in land –– Enforcement of work hours ability to work in a diverse management may help to keep may conflict with a time- environment and undergo alive traditional/indigenous dependent cultural practice cultural awareness training knowledge and practices such as prayers. For example, should be a criterion which might otherwise be lost. if the community observes a for recruitment. For example, by re-instating rest day mid-week, as a cultural traditional burning practices in –– Recruitment is accessible to all or spiritual practice, this can arid landscapes as part of land candidates, especially those from conflict with an inflexible and bushfire management. the local community. The process Monday-through-Friday roster. should be designed with the local Local employment and training –– When indigenous people are cultural context in mind. Direct or indirect employment employed for their cultural Operations also need to balance their in the mining industry provides engagement skills and Human Resources approach so it is significant opportunities for expertise, the operation should consistent with their diversity and local people to increase their ensure that the workplace other policies as well as respectful economic status. However, the structures and environment are of and responsive to cultural belief ability of local people to take compatible with their cultural systems. For example, cultural norms up employment may at times be ways of working and avoid that prevent women from working limited by cultural considerations, placing any restrictions on at certain tasks can be at odds with and the work environment itself these employees which might diversity policies which attempt can have negative impacts on hinder them from using the to increase the number of women cultural practices and languages. skills they were employed employed at the operation. These are Cultural heritage issues and to use. sensitive issues that need proactive human resources issues need –– In some instances, cultural approaches, close engagement and to be considered jointly. norms prevent direct contact often creative solutions. between certain community members or prevent women 110

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3.4 International protocols and standards for protecting cultural heritage and diversity

Numerous international agreements, charters and policies frame the cultural heritage rules and debates within which mining and mineral processing operates. These frameworks have been developed over many years of concerted effort by local and international bodies to protect the world’s cultural heritage. To accentuate the key concepts in this guide this section outlines: – important international heritage conventions, charters and guidelines; – cultural heritage and human rights declarations; and – cultural heritage and sustainable development frameworks.

This section outlines key The following carry some level of The need to manage sites of developments in international legal obligation or commitment by “outstanding universal value” heritage and in industry standards signatory states to the governing to all humanity over and beyond and protocols and how they relate organisation (UN, UNESCO, etc.). local interests has been criticised to good practice cultural heritage by some indigenous people and management in the mining and Convention for the Protection of nation states, who argue for the processing industry. Though these the World Cultural and Natural right to define management of international agreements exist, Heritage 1972 world heritage sites according they do not override the local The 1972 World Heritage to their own values and means. legal context. Understanding Convention (UNESCO, 1972) the history and context of cultural was the first attempt to create a Recent revisions to its Operational heritage ideas and concepts helps list of internationally significant Guidelines have broadened the to understand the nuances heritage sites. It continues to category of qualified types of and motivations behind on-the- be the primary instrument in sites, acknowledging significant ground practices. international law for enforcing the interactions between people and protection of natural and cultural environment. They have also International heritage conservation sites of “universal” significance. recognised the importance of conventions and charters factoring in cultural context and Many aspects of cultural heritage To be inscribed on the List, a cultural value in assessing the are covered by international cultural and/or natural site authenticity of a world heritage conventions and charters. must be judged to be “of such site, incorporating a much wider Changes in heritage practices exceptional interest and such range of cultural values than was can be traced through these universal value that their previously recognised in World agreements which provide a protection is the responsibility Heritage listings. basis on which cultural heritage of all mankind”. Once added to legislation is founded as well the World Heritage List the sites as important guidelines for receive legal protection from the management by industry of both host nation state in compliance tangible and intangible heritage. with the Convention’s guidelines This section distinguishes and the nation is then eligible between conventions and charters for international technical and that carry legal obligations and financial aid and, to some extent, those that are voluntary and supervision in relation to the serve primarily to guide. management of the site.

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UNESCO Convention for 31. Nominations for the World Heritage List for cultural reasons Safeguarding of the Intangible Criteria applied by the World Heritage Committee for evaluating nominations Cultural Heritage 2003 for the World Heritage List for cultural reasons (as revised in 2005): The UNESCO Convention for i. to represent a masterpiece of human creative genius; Safeguarding of the Intangible ii. to exhibit an important interchange of human values, over a span of time Cultural Heritage 2003 is or within a cultural area of the world, on developments in architecture an attempt to document and or technology, monumental arts, town-planning or landscape design; safeguard examples of ‘living iii. to bear a unique or at least exceptional testimony to a cultural tradition heritage’, these being the social or to a civilization which is living or which has disappeared; practices that create distinctive iv. to be an outstanding example of a type of building, architectural cultural communities. The or technological ensemble or landscape which illustrates (a) significant purpose of the convention is stage(s) in human history; to devise strategies to minimise v. to be an outstanding example of a traditional human settlement, land- threats to living heritage and use, or sea-use which is representative of a culture (or cultures), or human to enhance the social contexts interaction with the environment especially when it has become vulnerable for these expressions through under the impact of irreversible change; ‘safeguarding’. vi. to be directly or tangibly associated with events or living traditions, with ideas, or with beliefs, with artistic and literary works of outstanding Safeguarding is defined in the universal significance. (The Committee considers that this criterion should convention as “measures aimed preferably be used in conjunction with other criteria); at ensuring the viability of the vii. to contain superlative natural phenomena or areas of exceptional natural intangible cultural heritage, beauty and aesthetic importance; including the identification, documentation, research, viii. to be outstanding examples representing major stages of earth’s history, including the record of life, significant on-going geological processes in preservation, protection, the development of landforms, or significant geomorphic or physiographic promotion, enhancement, features; transmission, particularly through formal and non-formal education, ix. to be outstanding examples representing significant on-going ecological and biological processes in the evolution and development of terrestrial, as well as the revitalization of the fresh water, coastal and marine ecosystems and communities of plants various aspects of such heritage.” and animals; This definition recognises that x. to contain the most important and significant natural habitats for in-situ safeguarding does not mean conservation of biological diversity, including those containing threatened protection or conservation in the species of outstanding universal value from the point of view of science usual sense, as this may cause or conservation. intangible cultural heritage to become fixed or frozen. Rather, safeguarding means ensuring the viability of the intangible cultural heritage by guaranteeing its continuous recreation and transmission. To achieve continued relevance, safeguarding must be based on the participation of the communities, groups and individuals that create, maintain and transmit such heritage, and to involve them actively in its management.

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Other Relevant International 32. UNESCO Convention’s Article 14 – Education, awareness-raising and Conservation Bodies and capacity-building Agreements Each State Party shall endeavour, by all appropriate means, to: –– UNESCO 1970 Convention on the Means of Prohibiting (a) ensure recognition of, respect for, and enhancement of the intangible and Preventing the Illicit cultural heritage in society, in particular through: Import, Export and Transfer of (i) educational, awareness-raising and information programmes, aimed at Ownership of Cultural Property the general public, in particular young people; –– UNESCO 1997 Resolution 23 (ii) s pecific educational and training programmes within the communities and groups concerned; creates the proclamation of the Masterpieces of Oral and (iii) capacity-building activities for the safeguarding of the intangible cultural Intangible Heritage of Humanity; heritage, in particular management and scientific research; and 90 examples proclaimed in 2001, (iv) non-formal means of transmitting knowledge; 2003 and 2005 (b) k eep the public informed of the dangers threatening such heritage, and of –– UNESCO 2001 Convention the activities carried out in pursuance of this Convention; on the Protection of the (c) promote education for the protection of natural spaces and places of Underwater Cultural Heritage memory whose existence is necessary for expressing the intangible (entered into force 2009) cultural heritage. –– UNESCO 2005 Convention on the Protection and conscious of the importance internationally recognised Promotion of the Diversity of people’s attachment to place, guidelines for the preservation of Cultural Expression stating that the best guarantee for and restoration of ancient (entered into force 2007) the “preservation of monuments buildings. Various nation states of art derived from the respect have adapted the conservation The following international and attachment of the people practices of the Venice Charter agreements and charters are themselves”. to reflect their unique cultural voluntary and serve to frame good and management contexts. practice. Though they do not carry Though not legally binding, the the same legal obligations as the Athens Charter introduced the ICOMOS Charter for the agreements mentioned above, idea that problems of preservation Protection and Management they have had similar impact of historic sites should be solved of the Archaeological Heritage, on the overall development by legislation at national level and 1990 of cultural heritage practice. that sites are to be given strict Drafted by the International custodial protection. The charter Committee for Archaeological Athens Charter for the also called for each country to Heritage Management (ICAHM), Restoration of Historic maintain official records of each the ICOMOS Charter for the Monuments 1931 & International historic monument in an inventory. Protection and Management Charter for the Conservation and Most countries have now extended of the Archaeological Heritage Restoration of Monuments and these registers to include other provides detailed principles for Sites 1964 (Venice Charter) types of cultural heritage. the management of archaeological One of the earliest international heritage especially in relation to conventions relating to cultural The Second International the threat of development. heritage is the Athens Charter Congress of Architects and for the Restoration of Historic Technicians of Historic The Charter outlines the Monuments. The Athens Charter Monuments met in Venice in 1964 need for protection of the was adopted in 1931 at the and adopted the International archaeological heritage to be First International Congress Charter for the Conservation and integrated into policies relating of Architects and Technicians Restoration of Monuments and to land use, development and of Historic Monuments in Athens. Sites, also known as the Venice planning at international, Although the focus was clearly Charter. The Venice charter is a national, regional and local architectural, the Congress was technical document that specifies levels. Cultural, environmental

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had been recognised in previous 33. ICOMOS Charter for the Protection and Management of the Archaeological Heritage, 1990 heritage documents, to also include social and spiritual values The Charter explicitly recognises that elements of the archaeological heritage for the past, present and future. constitute part of the living traditions of Indigenous peoples, and for such sites The Burra Charter was the first and monuments the participation of local cultural groups, especially Indigenous people, should be actively sought and is essential for their protection and national or international cultural management of sites and monuments. heritage conservation document to reference spiritual values and The Charter states that in some cases it may be appropriate to entrust this element has since been picked responsibility for the protection and management of sites and monuments up by other nations. to Indigenous peoples. Nara Document of Authenticity 34. Unique components of the 1999 Burra Charter 1994 In its 1999 version, the Burra Charter makes significant headway in recognising The Nara Document of and respecting cultural diversity in heritage management by outlining that the Authenticity 1994 was cultural significance of places is “embodied in the place itself, its fabric, setting, conceived to build up and use, associations, meanings, records, related places and related object”. broaden the principles set out It recognises explicitly that different individuals or groups may see different in the Venice Charter 1964 to values in a place and outlines the importance of the participation of people address the expanding scope for whom the place has special associations and meanings or who have social, of cultural heritage concerns spiritual or other cultural responsibilities for the place. in contemporary times. It also The Burra Charter does not however address the protection and celebration of explores the issue of testing non-tangible cultural practices. authenticity of cultural properties for the World Heritage List in full and educational policies should The Australia ICOMOS Charter accordance to social and cultural also include considerations of for the Conservation of Places values of all societies. archaeological heritage. of Cultural Significance In line with the principles of (The Burra Charter) UNESCO, The Nara Document The Charter outlines principles In 1979, heritage professionals acknowledges that heritage for a variety of processes working in Australia adopted may possess universal value. including survey, excavation, their own charter that tailored This appears as Provision 8 but documentation, research, the international principles of the is followed immediately, in the maintenance, conservation, Venice Charter to an Australian same provision, by the statement preservation, reconstruction, context - The Australia ICOMOS that “Responsibility for cultural information, presentation, public Charter for the Conservation of heritage and the management access and uses of and procedures Places of Cultural Significance, of it belongs, in the first place, to surrounding the heritage. These known as the Burra Charter the cultural community that has guidelines can help inform (revised in 1999). mine managers about the best generated it, and subsequently, approachs to tangible cultural The Burra Charter was drafted to that which cares for it.” heritage management. in an attempt to overcome The Nizhny Tagil Charter for the Eurocentric preoccupations Industrial Heritage 2003 The Charter is reflected in the with the physical fabric of The Nizhny Charter, drafted by national heritage legislation cultural heritage over more The International Committee for of countries such as Australia, intangible notions. It expanded the Conservation of the Industrial providing legal protection heritage considerations from Heritage, asserts that the to archaeological heritage. the concentration on “sites and buildings and structures built for monuments” to include all “places industrial activities, the processes of cultural significance”. The Burra and tools used within them and Charter extended the definition the towns and landscapes in of cultural significance beyond which they are located, along aesthetic and historic value, which

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with all their other tangible and 35. The Nara Document on Authenticity intangible manifestations, are of – C onservation of cultural heritage is rooted in the values attributed to the fundamental importance. Their heritage. meaning and significance should be studied and shared, and the – I t is not possible to base judgements of values and authenticity within fixed most significant and characteristic criteria as they differ between cultures. examples should be identified, – T he respect due to all cultures requires that heritage properties must be protected and maintained. considered and judged within the cultural contexts to which they belong. – J udgements of authenticity may be linked to a great variety of sources of The charter outlines procedures information. Aspects of the sources may include form and design, materials for identifying, recording, and substance, use and function, traditions and techniques, location and protecting and conserving industrial setting, and spirit and feeling, and other internal and external factors. heritage and the need to educate and train professionals and 36. The Akwé: Kon Guidelines members of society in the historic importance of industrial heritage. Produced by the Secretariat of the Convention on Biological Diversity The Akwé: Kon Guidelines provide advice for: Akwé: Kon Voluntary Guidelines – including indigenous and local communities in the screening, scoping and 2004 planning of development projects; Developed out of the Convention – considering the cultural, environmental and social concerns and interests of on Biological Diversity, these indigenous and local communities; voluntary guidelines are intended – incorporating traditional knowledge, innovations and practices of indigenous to influence the conduct of and local communities in environmental, social and cultural impact cultural, environmental and social assessment processes, with due regard to the ownership of and the need for impact assessments regarding the protection and safeguarding of traditional knowledge, innovations and developments that may impact practices; and on sacred sites, lands and waters – considering the interrelationships among cultural, environmental and social that are used or occupied by elements of development projects. indigenous or local communities. They promote the use of a transparent and inclusive process for community identification and a thorough engagement and understanding of the local context to be incorporated into assessments. They call for cultural, environmental and social impact assessments to be integrated as a single process, a principle that is pertinent to cultural heritage management as well. From these assessments, the guidelines also advise developing a management system or monitoring plan to address possible impacts.

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at the centre of sustainable 37. Universal Declaration of Human Rights development. It carries particular Article 27 influence in the European 1) Everyone has the right to participate in the cultural life of the community, to context as it is binding for several enjoy the arts and to share in scientific advancement and benefits. signatory European governments. 2) Everyone has the right to the protection of the moral and material interests The Faro Convention frames resulting from any scientific, literary or artistic production of which he heritage as a resource for: is the author. –– human development; –– the enhancement of cultural Cultural heritage and human 2000 Millennium Summit. diversity and the promotion rights declarations The goals synthesise important of intercultural dialogue; and The freedom to practice one’s commitments made at key cultural beliefs and not to have conferences and summits during –– economic development based this practice hindered by others is the 1990s and recognise explicitly on the principles of sustainable considered an inalienable human the relationships between resource use. right. Rights associated with growth, poverty and sustainable The Convention addresses gaps in cultural heritage are addressed in development. earlier international instruments the following rights declarations which do not reference the and influence the approach and Businesses have an important role growing importance of cultural methods of cultural heritage to play in helping nations achieve heritage relative to: management: the Millennium Development –– sustainable development, –– Universal Declaration Goals by 2015. MDGs have been where cultural heritages are of Human Rights one component driving businesses seen as precious resources in to become environmentally and –– Declaration on the Rights the integration of the different socially responsible, and to adopt of Indigenous People 2007 dimensions of development: sustainable development agendas. cultural, ecological, economic, –– UNESCO Universal Declaration social and political. Cultural on Cultural Diversity 2001 Although there is no MDG goal heritage is valuable for its own –– The International Covenant on directly concerning cultural heritage there are linkages sake and for the contribution it Economic, Social and Cultural can make to other policies; Rights 1966. between cultural heritage and several MDG goals, especially –– globalisation, in which cultural Because these declarations Goal 7 on ensuring environmental heritages are resources for the and convenants are binding sustainability. Cultural heritage protection of cultural diversity on signatory states, they will and environmental sustainability and sense of place in the face determine the legislative context are intertwined. Safeguarding of growing standardisation; and in which Rio Tinto operates and cultural practices that are –– renewed awareness of the may influence how an operation environmentally sustainable cultural identity dimension in manages its activities and engages in practice can help promote conflicts, as cultural heritages with the community. environmental sustainability. can also be used to develop Protecting biodiversity can dialogue, democratic debate, Cultural heritage and sustainable also have positive cultural awareness, friendship and development heritage outcomes. openness between cultures. Cultural heritage concerns are covered explicitly and implicitly Convention on the Value of in several international human Cultural Heritage for Society development protocols and (Faro, 2005) charters. The Faro Convention developed by the Council of Europe provides Millennium Development Goals a framework for heritage policies The Millennium Development that ensure the rightful place Goals (MDGs) were adopted by of cultural heritage and culture 189 UN member states at the

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Background reader Background

World Bank’s Environmental 38. World Bank environmental and social safeguards and Social Safeguards Operational Policy 4.11 on Physical Cultural Resources The World Bank’s environmental and social safeguards are a Recognises that: cornerstone of its support for Physical cultural resources are important as sources of valuable scientific and sustainable poverty reduction. historical information, as assets for economic and social development, and as The objective of the safeguards integral parts of a people’s cultural identity and practices. is to prevent or mitigate undue Operational Policy 4.10 on Indigenous People harm to people and their Recognises that: environment in the development The identities and cultures of Indigenous Peoples are inextricably linked to the process. These policies provide lands on which they live and the natural resources on which they depend. These guidelines for bank and borrower distinct circumstances expose Indigenous Peoples to different types of risks and employees in the identification, levels of impacts from development projects, including loss of identity, culture, preparation, and implementation and customary livelihoods... of programmes and projects.

Tangible cultural heritage is 39. IFC Performance Standard 8: Cultural Heritage dealt with in the World Bank’s The Standard covers requirements regarding: Operational Policy 4.11 on – p rotection of cultural heritage in project design and execution; Physical Cultural Resources, – procedures for chance finds; the World Bank’s Physical – consultation; Cultural Resources Safeguard – removal of cultural heritage Policy Guidebook and the Physical – critical cultural heritage; and Cultural Resources Country Profiles. Protecting cultural heritage – project’s use of cultural heritage. (both tangible and intangible) is also an aspect of the World 40. IFC Performance Standard 7: Indigenous Peoples Bank’s Operational Policy 4.10 Where a project may impact upon cultural resources that are central to the on Indigenous People. identity and/or cultural, ceremonial, or spiritual aspects of Indigenous Peoples lives, priority will be given to avoidance of such impacts through retention of The World Bank describes culture cultural resources. Where significant project impacts on cultural property are as a “resource for economic and unavoidable, the client will obtain the FPIC of the Affected Communities of social development” and states Indigenous Peoples. that the possibility to generate income from cultural assets can and security, land acquisition on tangible cultural heritage but reduce poverty. and resettlement, biodiversity makes provisions for intangible conservation, indigenous peoples heritage as well. International Finance and cultural heritage. Corporation (IFC) Performance Intangible heritage is mostly Standards on Social and Cultural heritage is dealt with referred to in relation to the Environmental Sustainability directly in Performance Standard commercialisation of intangible The IFC performance standards 8 and its accompanying guidance heritage by the project proponent. on social and environmental note. The objectives of IFC sustainability define IFC clients’ Performance Standard 8 are to: The IFC Performance standards roles and responsibilities for protect cultural heritage from the were updated in 2011. The new managing their projects and adverse impacts of project activities versions, effective from January the associated requirements and support its preservation; and 2012, include a requirement for retaining IFC support. promote the equitable sharing of for businesses to obtain the There are eight performance benefits from the use of cultural free, prior, informed consent standards, covering: social and heritage in business activities. of indigenous peoples where environmental assessment The standard applies to heritage a project will have significant management systems, labour regardless of whether it is legally impacts upon their cultural and working conditions, pollution protected or it has been previously property (see box 40). prevention, community health disturbed. The document focuses 117

Background reader Background

41. ICMM Sustainable Development Framework Principle 03: Uphold fundamental human rights and respect cultures, customs and values in dealings with employees and others who are affected by our activities. – En sure that all relevant employees, including security personnel, are provided with appropriate cultural and human rights training and guidance. – M inimise involuntary resettlement, and compensate fairly for adverse effects on the community where they cannot be avoided. – R espect the culture and heritage of local communities, including indigenous peoples. Principle 04: Implement risk management strategies based on valid data and sound science. – C onsult with interested and affected parties in the identification, assessment and management of all significant social, health, safety, environmental and economic impacts associated with our activities. – I nform potentially affected parties of significant risks from mining, minerals and metals operations and of the measures that will be taken to manage the potential risks effectively.

Industry-related international International Council of Mining Equator Principles principles and Metals’ (ICMM) Sustainable The Equator Principles, which Industry-related principles provide Development Framework draw upon the IFC Performance business-focused guidelines ICMM’s Sustainable Development standards, were developed by for industries to shape their Framework comprises three financial institutions to ensure managerial systems and activities elements – a set of ten Principles that the projects they fund are in compliance with principles of (including a set of supporting developed in a manner that is sustainable development and social position statements); public socially and environmentally and environmental responsibility. reporting procedures; and responsible. Projects are expected These principles provide more than independent assurance to establish minimum social a moral foundation for managing procedures for mining and metals and environmental standards. cultural heritage appropriately, companies to address issues of The Equator Principles also as operational non-compliance sustainability in the industry. require negative impacts of can have severe reputational projects to be avoided where and legal costs. The ten Principles are based possible, or otherwise, reduced, on the issues identified in the mitigated and/or appropriately Mining, Minerals and Sustainable compensated. The principles Development (MMSD) project, a explicitly recognise the role two-year process of consultation of consultation, community with stakeholders to identify the engagement and grievance issues relating to sustainable mechanisms in community development in the mining and relations which is also reflected minerals sector. Principles 3 and in cultural heritage discourse. 4 are specifically relevant to cultural heritage.

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4. References

Acronym list 118

Glossary 119

Rio Tinto’s policies, standards and guidances 124

Key websites 125

References 126

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References

Acronym list

4WD a motor vehicle with a four-wheel drive transmission system

CHM Cultural Heritage Management

CHMP Cultural Heritage Management Plan

CHMS Cultural Heritage Management System

CHZP Cultural Heritage Zone Plan, used by Rio Tinto Coal Australia

EMAB Environmental Monitoring Advisory Board from the Diavik Diamond Mine

EMS Environmental Management System

GDP Ground Disturbance Permit System

GIS G eographic Information Systems (system used to store, retrieve, map and analyse any geographic data)

GPS Geographic Positioning System (satellite-based navigation system used to determine exact latitudinal and longitudinal location)

GRI Global Reporting Initiative

ICAHM International Committee on Archaeological Heritage Management

ICMM International Council on Mining and Metals

ICOMOS International Council on Monuments and Sites

IFC International Finance Corporation

ILUA Indigenous Land Use Agreement (Australia)

ISO International Organisation for Standardisation

KUC Kennecott Utah Copper

MDGs Millennium Development Goals (developed by the UN)

MYP Communities Multi Year Plan

OT Oyu Tolgoi, Rio Tinto joint venture mine development project located in Southern Mongolia

PKC Processed Kimberlite Containment Area

RBM Richard Bay Minerals

SEART Rio Tinto’s Social and Environmental Accountability Reporting Tool

SIA Social Impact Assessment

SMA Communities Site Managed Assessment

SMART Specific, Measurable, Attainable, Results-focused, Time-oriented

SOPs Standard Operating Procedures

SRA Social Risk Assessment

UN United Nations

UNESCO United Nations Educational, Scientific and Cultural Organization 120 UWA University of Western Australia

References

Glossary

Aboriginal group(s) – any aboriginal group and or representative body recognised either by legal or statutory process or through legitimately and broadly-supported local community acknowledgment that is affected by Rio Tinto operations, decisions or actions.

Aesthetic value – aspects of sensory perception for which cultural heritage may be valued such as form, scale, colour texture, materials and others.

Agreement – a legally binding arrangement, which may be formally documented, usually between a Rio Tinto business and a community or communities, that commits parties to actions specified.

Anthropologist – a person with appropriate qualifications and experience to conduct an ethnographic/anthropological survey, assess the findings and make management recommendations.

Archaeological site – a place with physical evidence of past human activity; may also have a more specific, legislative definition.

Archaeologist – a person with appropriate qualifications and experience to conduct an archaeological survey, assess the findings and make management recommendations.

Audit – a systematic, documented, periodic and objective evaluation of a business’s systems, practices and performance in relation to predetermined criteria: It is conducted according to a defined schedule and protocol and includes inspections, interviews and document review.

Authenticity – a measure of the extent to which a thing might be considered to be the remains of the original. Judgements of authenticity may be linked to a great variety of sources of information including aspects of form and design, materials and substance, use and function, traditions and techniques, location and setting, and spirit and feeling, and other internal and external factors.

Business unit – for the purposes of this guide, a Rio Tinto business unit is an operational entity and associated assets managed by Rio Tinto.

Business case – a business case provides justification for undertaking a particular activity, in terms of evaluating the benefit, cost and risk of alternative options.

Capacity building – strengthening the skills and ability of individuals and communities to develop and manage their own resources and livelihoods.

Collective memory – the way in which a society or social group recall, commemorate and represent their own history (as opposed to personal memory).

Communities multi-year planning – Rio Tinto’s mandatory process for developing an action plan to direct Communities work at an operation or project for a pre-determined number of years. It is called “multi year” to indicate it should reach beyond a single year and it should match the usual operational planning period of the site, typically between three to five years.

Communities Site Managed Assessment (Communities SMA) – Rio Tinto’s mandatory process for review of performance against the Rio Tinto Communities standard.

Communities/communities – when used as a proper noun, Communities (with a capital “c”) refers to the Rio Tinto function or to Communities as a professional discipline. Used as an ordinary noun, communities refers to a group of interacting people with common interests and values who are directly affected by the company’s activities, generally inhabiting or with land connections in a project’s immediate or surrounding areas. A community is not a homogenous entity and can possess diversity within it. 121

References

Compensation – payment made by those causing specified and agreed loss to those who suffer impairment of their access to land, water, and other critical natural resources or livelihoods, or damage to, or destruction of, community members’ individual or collective assets of any kind, whether accidental or intentional. For further information, see the Rio Tinto compensation guidance.

Complaint – a notification provided by a community member, group or institution to the business that they have suffered some form of offence, detriment, impairment or loss as a result of business activity and/or employee or contractor behaviour.

Conservation – the processes of looking after a place so as to retain its cultural significance. Includes maintenance, and may according to circumstance include preservation, restoration, reconstruction and adaptation, and will be commonly a combination of several of these.

Consultation – providing information or advice on, and seeking responses to, an actual or proposed event, activity or process.

Cultural heritage – the collective social manifestation of a community, generally handed down by tradition or with some historical association. The manifestations can be tangible, such as buildings, industrial structures and technology, landscapes and artefacts; and intangible, such as language, visual art, music, performance and customary practice.

Cultural heritage feature – a place or object to which is ascribed cultural, spiritual, aesthetic, historic, scientific, research or social significance for past, present or future generations. This can include places of ‘sacred’ significance to traditional custodians, such as burial sites, performance grounds, rock art, waterholes, and hills or other physical manifestations of mythological or historical events. It also can include structures, places or remains of archaeological, industrial, palaeontological, historical, religious or cultural significance at a local, regional, national, and international level.

Cultural heritage management – generally accepted practices for the conservation of cultural heritage, founded on proven principles and carried out in a way that integrates indigenous, community, professional, technical and administrative activities so that the importance of cultural heritage features is taken into account in actions that might affect them or their context.

Cultural heritage management plan – a plan that sets out the management issues and requirements relating to a specific area, or heritage place, object or practice. A CHMP is a component of a CHMS and is often a legally required and binding document.

Cultural heritage management system – a management system that will ensure conformance with the relevant items of the Rio Tinto cultural heritage management guidance.

Cultural landscape – human-modified landscape considered of importance due to the interplay of natural and cultural influences. A distinct category of cultural landscape was recognised in the revisions to the World Heritage Convention in 1992.

Cultural significance – aesthetic, historic, scientific or social value that cultural heritage may hold for past, present or future generations. The process of determining the value of a heritage feature is known as the assessment of cultural significance.

Cumulative impact – social, cultural or environmental impacts of other past, present and reasonably foreseeable future projects and activities that interact with, add to or further complicate the social, cultural or environmental impacts of the project under consideration.

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Customary law – traditional common rule or practice that has become an intrinsic part of the accepted and expected conduct in a community, profession, or trade and is treated as obligatory.

Dispute – a complaint that has not been accepted as valid by one party or the other and has escalated into disagreement between the parties.

Engagement – beyond consultation, the active exchange of information, the active listening to concerns and suggestions and the active consideration of ways to mutually accommodate these, including potential responsive changes to design and operational parameters.

Ethnography – scientific description of human groups (economy, society, culture), foundational method of anthropology as the comparative study of human groups.

Gender – a socially perceived set of characteristics distinguishing the sexes (male and female). Depending on the context, the discriminating characteristics vary from sex to social role to gender identity.

Heritage register – a statutory list of objects, places or practices of heritage significance (eg: World Heritage List).

Historic value – value attributed to cultural heritage stemming from the influence of or by a historic figure, event, phase or activity.

Human rights – the rights and freedoms to which all humans are entitled as defined in the Universal Declaration of Human Rights adopted by the United Nations General Assembly in 1948.

Incident – a distinct event that may affect a community or any of its members, usually in a negative way. Specific definition needs to occur at individual business level consistent with the Rio Tinto HSEQ definition, however generic definitions for “significant incidents” (required for Group reporting requirements) are provided in the Rio Tinto Social Risk Analysis guidance. Identification and analysis of incidents over time can be used to correct hazards.

Indicator – a quantitative or qualitative variable that provides simple and reliable means to measure progress, monitor performance, or to reflect changes.

Indigenous – refers to people, communities and nations who claim a historical continuity and cultural affinity with societies endemic to their original territories that developed prior to exposure to civilizations associated with Western culture. Indigenous communities can be referred to in many ways (such as tribal, aboriginal, first nation and, most correctly, by the name they ascribe to themselves in their own language) and usually consider themselves distinct from mainstream society with whom they contest their cultural sovereignty and rights of self-determination. Their strong customary affiliation to ancestral lands and waters is where major conflicts can occur with resource developers.

Intangible heritage – something considered to be a part of heritage that is not a physical object or place, such as a memory, tradition, language, belief or a cultural practice, (as opposed to tangible heritage).

Limits of acceptable change – the maximum level of change to a cultural heritage place, object or practice, or the cumulative impacts to all these, acceptable to a community, once all the positive and negative impacts have been taken into account.

Knowledge base – information compiled in a cohesive and coherent way for subsequent and iterative analysis.

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References

Maintenance – continuous protective care of a feature, its contents and settings and is to be distinguished from repair.

Mitigation – actions taken to lessen a negative impact on cultural heritage.

Natural heritage – plants, animals, landscape features and biological and geological processes that are not humanly modified.

Oral history – the transmission of history by verbal means. Sometimes referred to as oral tradition.

Preservation – Continued maintenance of a feature in its existing form. It is one possible conservation process.

Relocation – the removal of a cultural heritage feature to another location.

Restoration – returning the existing status of a feature to a known earlier state by removing accretions or by reassembling existing components without the introduction of new material.

Rio Tinto Group – refers to all Rio Tinto business and corporate units worldwide.

Sacred sites – places that have spiritual or religious significance.

Scientific value – value stemming from the importance of the data involved or its rarity, quality or representativeness and on the degree to which the heritage feature may contribute further substantial information. A feature is said to have scientific value when its further study may be expected to help current research questions.

Significance – the degree to which a cultural heritage feature possesses a certain valued attribute.

Significance assessment – an assessment that determines: 1. the elements that made a cultural heritage feature significant and the types of significance that it manifests, and 2. the degree of value that it holds for society.

Social Impact Assessment (SIA) – documented studies and analysis that review the social implications of the planning, design, decision making, management and operation of a proposed new activity, most commonly carried out as a regulatory compliance exercise. In a regulatory context, the SIA can stand alone or be part of prescribed Environmental Impact Assessment (EIA), Environmental & Social Impact Assessment (ESIA) or similar process.

Social licence to operate – the intangible and informal permission granted by a community to enable a mining company to operate in that area. Social licence to operate must continually be maintained through a cooperative relationship between an operation and a community. Though they are often unwritten understandings, they can be contractually formalised into agreements such as ILUAs and other community agreements. It is a descriptor of the state of the relationship between the mining proponent and the community which can change through time.

Social Risk Analysis – specific risk analysis consistent with the Group Risk standard carried out as a standalone exercise or part of a more comprehensive risk analysis to identify and rank risks to the business arising from actual and potential social and community interaction.

Social value – the value of a heritage place, object or practice to society. The term is most often contrasted with other types of heritage values that are determined by experts, and is closely linked with the concepts of community values.

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References

Stakeholders – those people who have an interest in a cultural heritage decision or activity, either as individuals or representatives of a group. This includes people who influence a cultural heritage decision, or can influence, as well as those affected by it.

Standards of acceptable change – see Limits of acceptable change.

Sustainable development – development which seeks to produce sustainable economic growth while ensuring future generations’ ability to do the same by not exceeding the regenerative capacities of natural and social environments. For cultural heritage this means managing heritage values in light of development without compromising the ability of present and future generations to enjoy and share their heritage.

Tangible heritage – physical heritage, such as buildings and objects, as opposed to intangible heritage.

Target – intended demonstrable outcome to move towards a certain goal. To be meaningful, targets must be SMART and measured via indicators.

Traditional Owner/Traditional Owners Group – used in an Australian context only, it is defined, in relation to land, as a local descent group of Aboriginals who have common spiritual affiliations to a site on the land that place the group under a primary spiritual responsibility for that site and for the land. The group is also entitled by Aboriginal tradition to forage as of right over that land. The term is defined under theAboriginal Land Rights (Northern Territory) Act 1976 (Cth).

United Nations Millennium Development Goals (MDGs) – eight international development goals that all 192 United Nation member states have agreed to achieve by the year 2015. Of particular relevance to cultural heritage management is Goal 7 “Ensure Environmental Sustainability”.

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References

Rio Tinto’s policies, standards and guidances

Full documents available to Rio Tinto employees on Prospect:

–– The way we work*

–– Communities policy*

–– Communities standard*

–C– ultural heritage management standard for Australian businesses

–– Cultural heritage management guidance

–C– ultural heritage management system guidance for Australian businesses

–– Communities and Social Performance guidance for Projects

–– Communities target guidance

–– Community agreements guidance

–– Community complaints, disputes and grievance guidance

–– Community contributions and activities guidance

–– Compensation, benefits and resource access guidance

–– Consultation and engagement guidance

–M– ulti year planning guidance

–– Resettlement guidance

–– Rio Tinto Exploration procedure Communities

–– Site managed assessment guidance

–– Social impact assessment guidance

–– Social risk assessment guidance

–– Socioeconomic knowledge base guidance

–– Why gender matters: A resource guide for integrating gender considerations into Communities work at Rio Tinto*

*Documents available publically on www.riotinto.com, under ‘About us – Library’.

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References

Key websites

Akwé: Kon Guidelines http://www.cbd.int/doc/publications/akwe-brochure-en.pdf

Australia ICOMOS http://australia.icomos.org

Council of Europe http://conventions.coe.int/Treaty/Commun/QueVoulezVous.asp?NT=199&CM=8&CL=ENG

Global Heritage Fund http://globalheritagefund.org

Global Reporting Initiative in the Mining Metals Sector Supplement http://www.globalreporting.org/ReportingFramework/SectorSupplements/MiningAndMetals

ICMM Sustainable Development Standard http://www.icmm.com/our-work/sustainable-development-framework

IFC Sustainability Standards http://www.ifc.org/ifcext/sustainability.nsf/Content/EnvSocStandards

International Council on Monuments and Sites http://www.international.icomos.org/charters.htm

International Covenant on Economic, Social and Cultural Rights http://www2.ohchr.org/english/law/cescr.htm

Palabora Mining Company Cultural heritage register. http://www.palabora.co.za/pmc_cultural_heritage/index.htm

Sustainable Preservation Initiative http://www.sustainablepreservation.org

The Equator Principles http://www.equator-principles.com

United Nations Educational, Scientific, Cultural Organization (UNESCO) http://www.unesco.org/new/en/culture

United Nations Millennium Development Goals http://www.un.org/millenniumgoals

Universal Declaration of Human Rights http://www.un.org/en/documents/udhr

World Bank Group Safeguard Policies http://web.worldbank.org/WBSITE/EXTERNAL/PROJECTS/EXTPOLICIES/EXTSAFEPOL/0,,menuPK:584441~p agePK:64168427~piPK:64168435~theSitePK:584435,00.html

World Monuments Fund http://www.wmf.org

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References

Agnoletti, M. (2006) Framing the issue – a transdisciplinary reflection on cultural landscapes. In M. Agnoletti (ed.), The conservation of cultural landscapes. Oxfordshire, CAB International: xi-xix.

Aplin, G. (2007) World heritage cultural landscapes. International Journal of Heritage Studies, 13(6): 427-446.

Australia ICOMOS (1999) The Burra Charter: The Australia ICOMOS Charter for places of cultural significance 1999.

Ayton-Shenker, D. (1995) The Challenge of Human Rights and Cultural Diversity, United Nations Background Note.

Bainton, N., Ballard, C., et. al. (2011) Stepping Stones Across the Lihir Islands: Developing Cultural Heritage Management Strategies in the Context of Large-Scale Mining, International Journal of Cultural Property, 18:81-110.

Barillet, C., Joffroy, T. and Longuet, I. (2006) Cultural heritage and local development: A guide for African local governments. Produced for PDM, UNESCO and the French Senate. CRATerre-ENSAG/Convention France UNESCO. Paris: 108.

Burton, J. (2007) The Anthropology of Personal Identity: Intellectual Property Rights Issues in Papua New Guinea, West Papua and Australia, The Australian Journal of Anthropology 18(1): 40-55.

Byrne, D., Brayshaw, H. et al. (2001) Social significance: a discussion paper, Cultural heritage Division, NSW National Parks and Wildlife Service.

Commonwealth of Australia (2003) Australian Heritage Council Act 2003. Canberra, AGPS.

Department of Industry Tourism and Resources (2006) Community Engagement and Development. Leading Practice Sustainable Development Program for the Mining Industry. Commonwealth of Australia. Canberra: 48.

Department of Industry Tourism and Resources (2006) Mine Rehabilitation. Leading Practice Sustainable Development Program for the Mining Industry. Commonwealth of Australia. Canberra: 67.

Department of Industry Tourism and Resources (2007) Working With Indigenous Communities. Leading Practice Sustainable Development Program for the Mining Industry. Commonwealth of Australia. Canberra: 78.

Guilfoyle, D., Bennell, B. et al. (2009) Integrating Natural Resource Management and Indigenous Cultural Heritage. Heritage Management 2(2): 149-176.

Harrison, R. (2010) Heritage as Social Action. In S. West (ed.), Understanding Heritage in Practice. Manchester and New York, Manchester University press: 240-276.

Harrison, R. (2010) The politics of heritage. In R. Harrison (ed.), Understanding the Politics of heritage. Manchester and New York, Manchester University Press: 154-196.

Harrison, R. (2010) What is heritage? In R. Harrison (ed.), Understanding the Politics of heritage. Manchester and New York, Manchester University Press: 5-42.

Higueras, A. (2008) Cultural Heritage Management in Peru: Current and Future Challenges. N H. Silverman and W. Isbell (eds.), Handbook of South American Archaeology. New York, Springer: 1073-1088.

InterGroup Consultants (2008) Aboriginal Engagement in Resource Development: Industry Leading Practices. Commissioned by Rio Tinto: 114.

Kemp, D. and Keenan, J. (2009) Why gender matters: a resource guide for integrating gender considerations into Communities work at Rio Tinto. The Centre for Social Responsibility in Mining and Rio Tinto: 104. Available: http://www.riotinto.com/documents/ReportsPublications/Rio_Tinto_gender_guide.pdf

Lawler, A. (2010) Copper mine threatens ancient monastery in Afghanistan, Science. 329(5991):496-497. 128

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Muir, R. (2001) Landscape detective: discovering a countryside. Chesire and London, Windgather Press.

Ndoro, W. (2003) Traditional and customary heritage systems: nostalgia or reality? The implications of managing heritage sites in Africa. In E. de Merode, R. Smeets and C. Westrik (eds) Linking Universal and Local Values: Managing a Sustainable Future for World Heritage. Paris, UNESCO: pp. 81-84.

O’Faircheallaigh, C. (2008) Negotiating Cultural Heritage? Aboriginal-Mining Company Agreements in Australia, Development and Change. 39(1): 25-51.

Pearson, M. and Sullivan, S. (1995) Looking after heritage places: The basics of heritage planning for managers, landowners and administrators. Carlton, Melbourne University Press.

Secretariat of the Convention on Biological Diversity (2004) Akwé: Kon Voluntary Guidelines for the Conduct of Cultural, Environmental and Social Impact Assessment regarding Development Proposes to Take Place on, or which are Likely to Impact on, Sacred sites and on Lands and Waters Traditionally Occupied or Used by Indigenous and Local communities, CBD Guidelines. Montreal: 25.

Segobye, A. K. (2006) Divided Commons: The Political Economy of Southern Africa’s Cultural Heritage Landscapes-Observations of the Central Kalahari Game Reserve, Botswana, Archaeologies 52. 2(1): 52-72.

Smith, H. D. (2008) Using Traditional Ecological Knowledge to Develop Closure Criteria in Tropical Australia. In A. B. Fourie, M. Tibbett, I. M. Weiersbye and P. J. Dye (eds) Mine Closure 2008 – Proceedings of the Third International Seminar on Mine Closure. Australia Centre for Geomechanics, Perth.

Smith, L. (2006) Uses of Heritage. Oxon, Routledge.

Smith, L. and Akagawa, N. (eds). (2009) Intangible Heritage. London and New York, Routledge.

United Nations Development Group (2010) MDG good practices. Available: http://www.undg-policynet.org

United Nations Educational Scientific and Cultural Organisation (2010) Concept note: Culture for development, 2010 MDG Summit high-level round-table on culture for development. September 2010. United Nations. New York.

United Nations Educational Scientific and Cultural Organisation (n.d) The power of culture for development. 16p. World Heritage Centre: UNESCO.

United Nations Educational Scientific and Cultural Organisation (2009) Kit of the Convention for Safeguarding of the Intangible Cultural Heritage. World Heritage Centre: UNESCO.

United Nations Educational Scientific and Cultural Organisation (2009). List of Intangible Cultural Heritage in Need of Urgent Safeguarding. World Heritage Centre: UNESCO.

United Nations Educational Scientific and Cultural Organisation (2008) Operational guidelines for the implementation of the World Heritage Convention. World Heritage Centre: UNESCO.

West, S. and Ansell, J. (2010) A history of heritage. In S. West (ed.), Understanding heritage in practice. Manchester and New York, Manchester University Press: 7-46.

World Bank (2001) Cultural Heritage and Development: A Framework for Action in the Middle East and North Africa. The International Bank for Reconstruction and Development.

World Bank (2009) Physical Cultural Resources Safeguard Policy Guidebook. Available: www.worldbank.org

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