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Mining and Community Development in Ghana

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Title:
Mining and Community Development in Ghana
Creator:
Nunyonameh, Collins Rawlings
Place of Publication:
[Gainesville, Fla.]
Florida
Publisher:
University of Florida
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Language:
english
Physical Description:
1 online resource (220 p.)

Thesis/Dissertation Information

Degree:
Doctorate ( Ph.D.)
Degree Grantor:
University of Florida
Degree Disciplines:
Interdisciplinary Ecology
Committee Chair:
OVERDEVEST,CHRISTINE A
Committee Co-Chair:
SCHMINK,MARIANNE C
Committee Members:
CHALFIN,BRENDA HELENE
CHILD,BRIAN ANTHONY
SERRA,RENATA
Graduation Date:
8/9/2014

Subjects

Subjects / Keywords:
Business structures ( jstor )
Certificates of deposit ( jstor )
Communities ( jstor )
Community development ( jstor )
Community relations ( jstor )
Farming communities ( jstor )
Mining ( jstor )
Mining industries ( jstor )
Poverty ( jstor )
White people ( jstor )
Interdisciplinary Ecology -- Dissertations, Academic -- UF
corporate -- responsibility -- social
Genre:
bibliography ( marcgt )
theses ( marcgt )
government publication (state, provincial, terriorial, dependent) ( marcgt )
born-digital ( sobekcm )
Electronic Thesis or Dissertation
Interdisciplinary Ecology thesis, Ph.D.

Notes

Abstract:
Over the last two-and-a-half decades, many corporations are beginning to re-conceptualize their roles to include poverty reduction in developing regions. This change is particularly very prominent in the mining sector which, in response to growing public scrutiny, appears to have decisively embraced the idea of community development (CD) in which mining corporations both accept responsibility for poverty reduction and lead coordinated processes towards improving the welfare of rural communities within their operational jurisdictions. This study presents a comprehensive and systematic examination of the change towards CD within Ghanas mining industry focusing on a case study of three multinational gold mining companies. While focusing on the extent of change, the study also pays detailed attention to CD outcomes within the industry and tries to relate differences in CD outcomes to differences of change across companies. ( en )
General Note:
In the series University of Florida Digital Collections.
General Note:
Includes vita.
Bibliography:
Includes bibliographical references.
Source of Description:
Description based on online resource; title from PDF title page.
Source of Description:
This bibliographic record is available under the Creative Commons CC0 public domain dedication. The University of Florida Libraries, as creator of this bibliographic record, has waived all rights to it worldwide under copyright law, including all related and neighboring rights, to the extent allowed by law.
Thesis:
Thesis (Ph.D.)--University of Florida, 2014.
Local:
Adviser: OVERDEVEST,CHRISTINE A.
Local:
Co-adviser: SCHMINK,MARIANNE C.
Electronic Access:
RESTRICTED TO UF STUDENTS, STAFF, FACULTY, AND ON-CAMPUS USE UNTIL 2016-08-31
Statement of Responsibility:
by Collins Rawlings Nunyonameh.

Record Information

Source Institution:
UFRGP
Rights Management:
Applicable rights reserved.
Embargo Date:
8/31/2016
Classification:
LD1780 2014 ( lcc )

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MINING AND COMMUNITY DEVELOPMENT IN GHANA By COLLINS RAWLINGS NUNYONAMEH A DISSERTATION PRESENTED TO THE GRADUATE SCHOOL OF THE UNIVERSITY OF FLORIDA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY UNIVERSITY OF FLORIDA 2014

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© 2014 Collins Rawlings Nunyonameh

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To my sons , Eyram and Edem

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4 ACKNOWLEDGMENTS I would like to thank my advisor, Christine Overdevest , who has guided me with extreme kindness , professionalism , and favor through my admission process, studies , and in the completion of this dissertation . I am also extremely tha nkful to my advisory committee members: Marianne Schmink, Brenda Chalfin, Renata Sera, and Brian Child for their amazing guidance through out my research work at UF and especially for their very insightful comments on earlier drafts of this dissertation . I also wish to express my deepest gratitude to the Tropical Conservation and Development (TCD) Program , the School of Natural Resources and Environment (SNRE), and the Center for Africa Studies for providing me with the financial resources for completing thi s dissertation. I am also grateful to all of my respondents in AngloGold Iduapriem, Newmont Ahafo, Goldfields Tarkwa and all the six communities for providing me access to crucial documents and sharing their perspectives in ways that make the completion of this dissertation possible. I further thank my wife , Bridget and Rev. Winfred Afenyo (Papa) whose encouragements helped me successfully complete this program. Papa, indeed I am coming back home with joy! I also t hank all my family and friends who had supported me in various ways ( both in kind and cash) throughout my studies at Florida. I am particularly grateful to you, Belinda Degboe and your husband Arnold; Kafui Mensah and your wife, Karin; Nayler Abror , Gideon Abror, Vicentia Abror and Frank Abror! I remain eternally grateful to my uneducated grandmother , Grace Dzata , who not only taught me to read, but also sacrificed everything so I can have a chance at u Dada!!! I also t hank Ana Pardo for reviewing the manuscript. Above all, I thank God for his mercies and care for me!

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5 TABLE OF CONTENTS page ACKNOWLEDGMENTS ................................ ................................ ................................ .. 4 LIST OF TABLES ................................ ................................ ................................ ............ 8 LIST OF FIGURE S ................................ ................................ ................................ .......... 9 LIST OF ABBREVIATIONS ................................ ................................ ........................... 10 ABSTRACT ................................ ................................ ................................ ................... 13 CHAPTER 1 MINING AND COMMUNITY DEVELOPMENT IN GHANA ................................ ..... 15 Introduction ................................ ................................ ................................ ............. 15 Case Background and Relevance of the Study ................................ ...................... 17 Corporations, Poverty, and Community Development ................................ ............ 20 Theoretical Framework ................................ ................................ ........................... 27 Operationalization of the PAA ................................ ................................ ................. 30 Structure of the Dissertation ................................ ................................ ................... 33 2 RESEARCH APPROACH AND METHODS ................................ ........................... 34 Key Philosophical and Methodological Assumptions ................................ .............. 34 Case Selection and Justifications ................................ ................................ ........... 36 Data Collection ................................ ................................ ................................ ....... 38 Interviews ................................ ................................ ................................ ......... 39 Document Review ................................ ................................ ............................ 42 Field Observ ation ................................ ................................ ............................. 43 Data Analysis ................................ ................................ ................................ .......... 44 3 THE GLOBAL, NATIONAL, AND LOCAL CONTEXTS OF COMMUNITY ................................ .............. 49 Th e Global Context ................................ ................................ ................................ . 49 The National Context ................................ ................................ .............................. 54 Mining in Ghana ................................ ................................ ................................ ...... 55 The Local Community Contexts ................................ ................................ .............. 61 AngloGold Ashanti Iduapriem Ltd (AAIL) ................................ .......................... 61 Teberebie community ................................ ................................ ................ 63 Adieyie Community ................................ ................................ .................... 65 Goldfields Ghana Ltd (Tarkwa) ................................ ................................ ......... 65 Akoon community ................................ ................................ ...................... 67

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6 Brahabobom community ................................ ................................ ............ 67 Newm ont Ahafo ................................ ................................ ................................ 68 Kenyase Community ................................ ................................ .................. 69 Ntotroso community ................................ ................................ ................... 69 Conclusion ................................ ................................ ................................ .............. 70 4 INDUSTRY ................................ ................................ ................................ ............. 71 Towards A Focus On the Community: An Introduction ................................ ........... 71 ................................ .......... 74 ........................... 75 The Discourse of Community Development ................................ ............................ 77 Paradigms/Ontologies ................................ ................................ ...................... 78 Utopias/Normatives ................................ ................................ .......................... 81 Policy Actions ................................ ................................ ................................ ... 82 Conclusion ................................ ................................ ................................ .............. 84 5 THE RULES OF THE MINING INDUSTRY ................................ ................................ ................................ 88 Introduction ................................ ................................ ................................ ............. 88 Integrating CD into Group Level Corporate Structures ................................ ........... 89 Integrating CD into the Goldfields Group ................................ .......................... 90 Integrating CD within the AngloGold Ashanti Group ................................ ......... 92 Integrating CD within the Newmont Group ................................ ....................... 94 Operation Level Integration of CD into Company Strategy ................................ ..... 96 Integrating CD into Company Strategy at Iduapriem ................................ ........ 97 Integrating CD into Company Strategy at Ahafo ................................ ............. 102 Integrating CD into Company Structures at Tarkwa ................................ ....... 107 Industry Level Rule Changes on CD ................................ ................................ .... 110 Conclusion ................................ ................................ ................................ ............ 111 6 ACTOR CONSTELLATIONS AND INTERACTION PATTERNS WITHIN THE CD POLICY DOMAIN IN GHANA ................................ ..... 114 Introduction ................................ ................................ ................................ ........... 114 Local Communities ................................ ................................ ............................... 115 Newmont Ahafo and local communities in CD ................................ ................ 115 AngloGold Iduapriem and local communities in CD ................................ ....... 117 Goldfields Tarkwa, local communities and CD ................................ ............... 121 District Assemblies ................................ ................................ ............................... 123 Newmont Ahafo and District Assemblies in CD ................................ .............. 124 Goldfields Tarkwa and District Assemblies in CD ................................ ........... 126 AngloGold Iduapriem, District Assemblies and CD ................................ ........ 127 Mining Companies and NGOs in CD in Ghana ................................ ..................... 128 Conclusion ................................ ................................ ................................ ............ 130

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7 7 ................................ .. 132 Introduction ................................ ................................ ................................ ........... 132 Dedicated Comm unity Development Funding ................................ ................ 133 Increased Financial Commitment to CD ................................ ......................... 136 Increased Development Expertise in CD ................................ ........................ 137 Conclusion ................................ ................................ ................................ ............ 139 8 ANALYSIS OF ON THE MINING INDUSTRY ................................ ................................ .............................. 142 Introduction ................................ ................................ ................................ ........... 142 ................................ ................................ .. 143 AngloGold Ashanti Iduapriem and Health in Local Communities ................... 144 AngloGold Iduapriem and Livelihood Security ................................ ................ 149 AngloGold Iduapriem and Education in Local Communi ties ........................... 153 ................................ ... 156 ............................... 157 Expanding community access to healthcare services .............................. 157 Expanding community access to water and sanitation facilities ............... 159 Tarkwa Goldfields and Livelihood Security in Host communities .................... 161 OICI livelihood security interventions ............................. 164 ............... 166 in Host Communities ................................ .... 168 Newmont Ahafo and Healthcare in Host Communities ................................ ... 170 Newmont Ahafo and Education in Local Communities ................................ ... 172 Newmont and Livelihood Security in Ahafo Communities .............................. 177 Conclusion ................................ ................................ ................................ ............ 181 9 SYNTHESIS OF FINDINGS AND CONCLUSIONS ................................ .............. 187 Overview of Research Objectives ................................ ................................ ......... 187 Degrees of Change ................................ ................................ ............................... 187 Comparison of CD Outcomes ................................ ................................ ............... 193 Evaluation of the Effects of PAA Dimensions on CD Outcomes ........................... 194 Why Newmont Excels ................................ ................................ ........................... 198 The PAA, Change, and Corporate led CD ................................ ............................ 200 Conclusion ................................ ................................ ................................ ............ 202 LIST OF REFERENCES ................................ ................................ ............................. 203 BIOGRAPHICAL SKETCH ................................ ................................ .......................... 220

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8 LIST OF TABLES Table page 1 1 Operationalization of the Policy Arrangement Approach (PAA) .......................... 32 8 1 List of Water & Sanitation Facilities Provided by AngloGold Ashanti (2004 2013) ................................ ................................ ................................ ................ 147 8 2 List of Goldfields' Water and Sanitation Interventions in Host C ommunities ..... 160 8 3 .... 170 8 4 Newmont Ahafo's I nvestments in Education I nfrastructure ............................... 174 8 5 Newmont Scholarship Awards (2009 2013) ................................ ..................... 177 9 1 Summary of Degrees of Change across the Three Companies ....................... 189

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9 LIST OF FIGURES Figure page 1 1 Dimensions of the Policy Arrangement Approach (PAA). ................................ ... 30 3 1 Mining sector investments in Ghana (1990 2008). ................................ ............. 57 3 2 (1984 2008). ................................ ................................ ................................ ...... 57 3 3 Comparison of government revenue against total mining industry revenue (2005 2009).. ................................ ................................ ................................ ...... 59 3 4 ................................ ....................... 59 3 5 Teberebie ............................ 64

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10 LIST OF ABBREVIATIONS AAIL AngloGold Ashanti Iduapriem Limited AGC Ashanti Goldfields Company AM Assembl y Member ASRF Ahafo Social Responsibility Forum CAGS Communities as Guarantors of Success CAP Community Action Plan CCC Community Consultative Committees CD Community Development CDC Center for Disease Control CDP Community Development Plan CEO Chief Executive Officer CEPIL Center for Public Interest Law CHF Community Health Facilitator CIL Carbon In Leach CIP Carbon In Pulp CLW Community Livestock Workers CSR Corporate Social Responsibility DA District Assembly DANIDA Danish International Development Agency ECDC Early Childhood Development Center EPA Environmental Protection Agency ERP Economic Reform Program ESAP Enviro n mental and Social Action Plan ESIA Environmental and Social Impact Assessment

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11 ESSAP Environmental and Social Safeguard Policies EXECOM Executive Committee FDI Foreign Direct Investment FIAN Foodfirst Information and Action Network FOE Friends of the Earth GAG Ghana Australia Gold GCM Ghana Chamber of Mines GDP Gross Domestic Product GFGL Gold Fields Ghana Limited GGCN GMI Ghana Global Compact Network Global Mining Initiative GNA Ghana News Agency HDI Human Development Index HIH Hand in Hand IBP Improved Business Practice ICMM International Council on Mining and Metals ICT Information Technology Center IFAD International Fund for Agricultural Development IFC International Finance Corporation IIED International Institute of Environment and Development ISODEC Integrated Social Development Center KVIP Kumasi Ventilated Pit LEA Local Employment Agreement LEEP Livelihood Enhancement and Empowerment Program MDF Mineral Development Fund

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12 MMSD MNC Mining, Minerals and Sustainable Development Multinational Corporations NADEF Newmont Ahafo Development Fund NGGL Newmont Ghana Gold Limited NGO Non Governmental Organization OICI Opportunities Industrialization Center International OPIC Overseas Private Investment Corporation PAA Policy Arrangements Approach PWC PriceWaterHouseCoopers SALP Sustainable Alternative Livelihoods Program SALP Sustainable Alternative Livelihoods Policy SDC Sustainable Development Committees SDF Sustainable Development Framework SEED Sustainable Empowerment and Economic Development SGMC State Gold Mining Company SPI Summary of Project Information STWS Small Town Water System TGL Teberebie Goldfields Limited TMCC Tarkwa Mine Consultative Committee TOR Terms of Reference TWN Third World Network UMAT University of Mines and Technology UN United Nations UNDP United Nations Development Program WATSAN Water and Sanitation

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13 Abstract of Dissertation Presented to the Graduate School of the University of Florida in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy MINING AND COMMUNITY DEVELOPMENT IN GHANA By Collins Rawlings Nunyonameh August 2014 Chair: Christine Overdevest Major: Interdisciplinary Ecology I n response to growing public scrutiny, the mining industry over the last two decades appears to have embraced the idea of community development (CD) in which it not only accepts responsibility for improving community well being; but places itself at the forefront of leading initiatives to deliver improved community well being . For an industry considered inherently destructive and historically reputed a s adopting a ations in developing countries, the change towards CD is nothing short of dramatic. This study presents a comprehensive and systematic examination of the change towards CD within . Based on a case study of three multinational gold mining corporations and d rawing on the Policy Arrangement Approach (PAA), the analysis focuses on changes in the four dimensions of the discourses, actors , resources, and rules. Importantly, it seeks to understand and compare CD outcomes across companies, examining how these outcomes relate to degree s of change across companies . The study finds differing levels of change and differing CD outcomes across companies and tries to explain these differences . It draws major conclusions on CD

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14 practices in the Ghanaian mining industry and also makes some suggestions for improving the PAA fram ework for future research on c orporate led poverty reduction within the broader context of corporate social responsibility (CSR) both in the mining industry and outside of it.

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15 CHAPTER 1 MINING AND COMMUNITY DEVELO PMENT IN GHANA Introduction Since the late 1980s, the global mining industry has experienced an unprecedented rebound evidenced by an explosive growth in investments in mineral exploration and production, as well as in industry profits (Otto 1998; Colley 2002; PWC 2011; Humphreys 2012). Total investment s in the industry in 2009 alone is estimated at around $465 bil lion (Ericsson and Lar son 2009); while m ore than $300 billion worth of (PWC 2011). Industry profits have continued to rise as well, with net profits of the top 40 mining firms reaching about $133 b illion in 2011 ( http://www.mining.com ). Interestingly, by far the greatest growth in the industry since the 1980s has occurred in developing regions. In fact, developing regions account for more than half of the glo bal mineral exploration budget since 1993, recording some $12 billion of investments in mineral exploration in 2008, compared with just about $5 billion in developed regions (Humphreys 2012). Inspired by breakthroughs in technology, stable mineral prices, and most importantly the World Bank sponsored mining sector reforms of the late 1980s, the growth in mining in developing regions at the level of individual countries has been particularly revealing. Between 1974 and 2003, Chile received more than $18,66 4 million in foreign investment into its mining sector (Bastida, Irarrázabal, and Labó production jumped to approximately over 140 metric tons in 2000, with mining accounting for about 68% of total exports (Himley 2010). In the same period, gold production in Indonesia exceeded 120 metric tons, from under 20 metric tons in 1992

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16 (Kumah 2006). In most parts of Africa, mining constitutes by far the largest part of foreign direct investment, increasing (in absolute terms) from $923 million in 1990 to $7,949 million in 1999 (Wang et al . 2012). For example, from less than half a ton in the late 1980s, Mali recorded more than 50 tons of gold production in 2007, with mining revenues rising from CFA 10 billi on in 1995 to over CFA 300 billion in 2007. With this explosive growth have also come heightened public concerns about A series of high profile cases of environmental and human rights abuse s of local communities by major mining firms around the developing world in the 1990s lent credence to such concerns, and galvanized public demands and expectations that mining corporations take steps to transform any adverse consequences of their activiti es into opportunities for improved well being in local host communities (see Akabzaa 2000, 2004; Manteaw 2008). The global mining industry has over the last two decades responded to these demands by adopting the idea of community development (CD) in whic h it not only accepts responsibility for improving community well being, but places itself at the forefront of leading initiatives to deliver improved community well being. Led by the global mining association, the International Council on Mining and Metal s (ICMM), the industry moved beyond accepting the premise that mining can play a central role in community development ( ESMAP et al. and address poverty in local communities ( www.icmm.com/10 principles Community the ground guidance to the CD

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17 efforts of its member companies. At the local level in many developing countries, major mining companies appear to be taking steps to accommodate this new imper ative. For example, it has become a standard practice among major mining firms to have dedicated CD dep artments and staff (Kemp 2009). For an industry considered inherently destructive (Yakovleva 2005) and developing countries (Jenkins and Obara 2008), the change towards CD is nothing short of dramatic. Ironically, CD in the mining industry, to date, has received very little focused scholarly attention. This neglect not only impedes our understanding of this also ultimately inhibits our ability to discover corrective innovations necessary to improving community development outcomes in lo cal mining communities. This research aims to fill this void. It pursues a systematic and comprehensive analysis of Drawing on the Policy Arrangement Approach (PAA), the analysis focuses on changes discourses, actors, resources, and rules. Importantly, it seeks to understand and compare CD outcomes across companies, examining how CD outcomes relate t o the degree of change within the CD policy domain across companies . Case Background and Relevance of the Study Formerly known as the Gold Coast, gold mining in Ghana dates as far back as the 14th century (Hilson 2002) and has remained an important part of the national economy for decades. Following the World Bank sponsored mining sector reforms of the mid 1980s, th e country has remained an attractive destination for foreign mining

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18 capital, with total investments rising from under $400 million in 1990 to over $6 billion in 2008 (Mining Journal 2010). In fact, new investments in the industry in 2012 alone exceeded 1 b illion (GCM 2012); and gold production similarly reached 2.9 million ounces in 2009 from a low of 286,000 ounces in 1983 (Mate 1998; GCM 2009; Mining t gold producer in 2011 ( http://www.bloomberg.com ). This massive expansion has provided an important prop to the national macro economy over the exchange earnings as well as an important source of tax revenue to the national government for years (GCM 2009). Despite the relatively wide consensus about the ional macro contribution to wider poverty alleviation particularly in local mining areas has become a subject of intense debate. In fact, there is currently a wide public perception among Ghanaians that the rapid growth o f the industry over the last two decades may have actually exacerbated poverty in local mining communities (Akabzaa, 2000 & 2004; Akabzaa and Darimani 2001). As Kumah (2006:320), for example, writes on this nvironmental, economic, and social terms 2013 editorial on the same issue, the Daily Graphic, a major Ghanaian newspaper, sought to draw attention to the plight of minin g communities and to justify community people who know the conditions in existing mining communities will not open their doors Similarly, spe aking at an award ceremony in Switzerland in

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19 2011, Mr. Ernest Koranteng, the Executive Director of WACCAM, a prominent http://www.ghanabizmedia.com ). Such feelings permeate the Ghanaian public, spawning mistrust and sometimes violent clashes between minin g firms and local communities for years. Since the mid 2000s, the Ghanaian gold mining industry has, following the lead of the ICMM, moved to address these concerns by embracing the idea of community development, with what, on the surface, appear to be v ery important changes in corporate policy on the issue. As highlighted in the policy statement of AngloGold nvestment initiatives in areas Today, the idea of community development is universally accepted as a core part of each gold mining operation in Ghana. In fact, all major gold mines in Ghana have dedicated community affairs departments and staff; have corporate policy statements that highlight their commitment to social progress in their host communities ; and each makes strenuous efforts to publicize their CD acco mplishments. But is the change to community development within the Ghanaian gold mining industry a mere adaptation strategy or does it represent something more than that? And how does the new corporate positioning in the industry affect development outcomes in local mi ning communities in Ghana? The latter question assumes even greater significance in view of what appears to be some divergences in community development outcomes across mining communities in the country. For example, while

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20 the CD activities of some compan ies appear to be doing just about enough to improve present social conditions and laying a reasonably good foundation for long term social progress, those of others appear to be doing little to either change present social conditions or give cause for opti mism about the future. Understanding these divergent CD outcomes across companies requires a comprehensive analysis of the community development policy domain within each company. How deep is the change across companies and to what extent do differences in degrees of change account for divergences in community development outcomes across communities? These are some questions this study seeks to confront. While not very often acknowledged, mining corporations are historically powerful vectors of transformat ion in both the more and less developed world (Hamann 2004; Mudd 2007). In Ghana as in other developing regions where the political and legal structures required for leveraging mining for broader social development is either lacking or weak, company led C D constitutes an important, and sometimes the most viable, vehicle for addressing poverty in local mining communities. By addressing the questions set out above, this study has the potential of ultimately contributing to poverty alleviation in mineral rich developing countries. Importantly, in view of ongoing efforts at mainstreaming extractive corporations into international development practice (Blowfield 2005; Pradhan 2007), this study could potentially provide some very important insights relevant to th is process as well as inform general debates about the scope and direction of such efforts. Corporations , Poverty, and Community Development At its core, community development seeks the elimination or reduction of poverty and the improvement in living conditions of geographically defined communities (Cary

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21 1970; Chekki 1979, Kemp 2009; Christenson and Robins 1989; Muthuri 2007; Kemp 2009). Histo rically, poverty is defined as the lack of access to basic resources that grant one a meaningful life (Bolyle and Boguslaw 2007). Poverty occurs when people lack access to opportunities and resources (power, information, money, knowledge, skills) necessary for health, safety, and well being (Boyle and Boguslaw 2007:104; also see Sen 1988). Poverty is characterized by lack of (adequate) income and social services such as education, healthcare, water, sanitation, transportation, energy, etc. (Boyle and Bogusl aw 2007). The World Bank provides a ve ry simple breakdown of poverty: Poverty is hunger. Poverty is lack of shelter. Poverty is being sick and not being able to see a doctor. Poverty is not having access to school and not knowing how to read. Poverty is n ot having a job, is fear for the future, living one day at a time ( http://www.colorado.edu/worldbank.pdf ). Poverty varies across space and time. Sachs (2005) identifies three forms of poverty: extreme, moderate, and relative poverty. Extreme poverty denotes a situation where people are unable to meet their basic needs; in moderate poverty, people are barely able to meet their basic needs and are constantly on the edge of fallin g into extreme poverty; relative poverty measures poverty (lack of income, access to education, etc.) at household levels relative to some established baseline usually at the national level. Perceptions about the causes of poverty vary greatly and touch on the failures of individual and national government decision making, as well as o n the structural organization of society (economic and political) ( http://www.eapn.eu/en ). CD focuses on addressing extreme and moderate poverty, although such distinction is hardly explicitly made in CD interventions. Nor are the sources of poverty an important discussion in CD. The goal in CD is to help communities overcome lack and improve access to income and a broad range of social services.

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22 Whether corporations can, will, and/or should address poverty reduction in poor regions is an issue of intense debate. Generally, views on the role of corporations in poverty reduction evolved through three main stages. At the first stage i.e. in the three decades following the end of the Second World War, poverty reduction was seen as strictly the responsibility of the state and corporations were seen as a cause of poverty and mass exploitation (Ghai 2002; Aggarwal 2002; Boyle and Boguslaw 2007). In this stage, the complete subjection of corporate power to the state and the withdrawal of natural resources from corporate control were in themselves considered as necessary for promoting poverty reduction and broad social development (Ghai 2002). In the second stage i.e. between the early 1980s and the mid 1990s, corporations were seen as engines of economic growth and long term poverty reduction by virtue of their investment in poor regions (Ghai 2002; Ag garwal 2002). The failure of many developing country governments to address poverty through greater control over natural resources and means of production in the three decades after World War II served to further strengthen this view (Ghai 2002). But at this stage, the role of corporations in poverty reduction was narrowly conceived in terms of foreign direct investment (FDI). In other words, foreign direct investment (FDI) of major multinational corporations (MNCs) was seen as panacea to poverty in poor regions (Ghai 2002). Corporations were thought of as possessing critical resources managerial competence, finance, technological know how, etc. that were in short supply in poor regions; through FDI, these resources become available in developing regi ons that can be leveraged by developing country governments for broader, long term poverty reduction. Spurred by this view, poor er countries were pressured by international

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23 financial institutions (IFIs) ( under debt recovery programs ) to open up their econ omies to MNCs in order to promote growth and poverty reduction ( Bhagwatt i 2012). In the third stage , mostly beginning in the mid 1990s, a new view of corporations began to emerge that not only accepts corporations as instruments for poverty reduction, but also recognize s the limitations of the FDI as the mechanism for poverty reduction and argues for much greater, direct role for corporations in poverty reduction over and above their investment in poor regions (Ghai 2002). This change in view was precipitated by evidence of increased poverty even in regions and countries that were most successful in attracting the highest FDI ( Williams 2004) . For example, despite dramatic increases in FDI in po or regions (see Kraus 2010), poverty rates in many developing regions particularly in Latin America and Africa either stagnated or deteriorated (Lerman 2002; Wade 2004; Williams 2004; see also Mazur 2000; Banerjee and Piketty 2005). As Ghai (2002) pointed out, for the majority of developing countries, investment by multinational corporations made little to no difference in terms of job creation, economic growth, or poverty reduction as most benefits generated were captured by these corporations. Thus, whil e the new view sees corporations as important for addressing poverty, it advocates a stronger, more direct and targeted role for corporations towards poverty reduction over and above all other positive derivatives of their investment in poor regions (Ghai 2002). The idea is that to effectively address poverty, corporations must commit tiny fractions of their enormous resources directly in support of poverty reduction and human development programs in the areas of primary healthcare, education and literacy, micro enterprise development, etc. (Ghai 2002; Wilson and Wilson 2006; Bhagwati 2012) in host countries and communities .

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24 In short, the current view is that corporations are indispensable to the question of poverty reduction and social development; but u nlike in the previous view, the modus operandi for achieving poverty reduction cannot be limited solely to investment by these corporations in developing regions. On the contrary, corporations must actively commit resources directly to targeted poverty red uction interventions. This view has led to the prominent rise of CSR since the 1990s, becoming a virtual orthodoxy (Vogel 2005; Himley 2010; Kraus 2010) as hundreds of initiatives at different levels are designed to convince, encourage, and pressure corpor ations to commit tiny fractions of their resources to poverty reduction in poor regions (Ghai 2002). Critics of th e view that corporations can sufficiently address poverty abound. Indeed the emergence of the so eld 2005; Blowfield and Frynas 2005; Frynas 2005; Prieto Carron et al. 2006; Idemudia 2011 ) appears to be driven in large part by opposition to the very notion that corporations can be relied upon to address poverty and social development in poor regions. Some point at the rhetoric practice gaps in current corporate led social development interventions to justify their opposition to that view (Vogel 2005; Peg 2006; Hilson 2007). Corporate led social interventions especially within the extractive sector are believed to remain substantially window ; also see Hilson 2007 :51 ). Besides the rhetoric practice gap, others believe the structural limitations of the market place and continuing emphasis on the business case as the basis for corporate involvement in poverty reduction and social development means that corporate led

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25 devel opment strategy cannot be expected to deliver more than symbolic gains (Vogel 2005; Blowfield 2005; Idemudia 2007). The idea is that the capitalist logic of profit making is inherently incompatible, or at least not always compatible with developmental goal s of poverty reduction (Korten 2002; Margolis and Walsh 2003; Blowfield 2005; Vogel 2005; Frynas 2005). Thus, when pushed to the wall, corporations will always choose profitability over incurring development costs not compensated for in profit (Korten 200 2; Idemudia 2007) , especially since financial performance remains the basis of evaluation and reward of company managers (Slack 2011). Others such as Bonnie Campbell (2009, 2012) and Hilson (2012) have argued that it is impossible for corporations to suf ficiently address poverty in poor regions without strong state involvement. According to Hilson (2012) corporate involvement in poverty reduction and social development can only be effective if it is complemented by robust state legislation and enforcement in critical areas of the economy. Thus, by subordinating the state to private enterprise, the present neoliberal economic order itself presents structural hindrances to poverty reduction that cannot be expected to be ameliorated by corporations (Campbell 2012). Indeed Campbell (2012) sees corporate led CD as neither necessary nor sufficient for addressing global poverty. What is required, in his opinion, is to strengthen the regulatory distributive capacity of the state and impress on companies to negotiat e equitable contracts, pay adequate revenues, and respect host country laws (Campbell 2012:141). Others have taken a more principled, almost fundamental ist, resistance to the idea that corporations have any roles in social development beyond the productio n and sale of quality products at affordable prices, creating employment and paying taxes (see

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26 Heald 1957; Boyle and Boguslaw 2007). In fact, According to Jensen (2002 cited in Margolis and Walsh 2003:271), not only is business inherently unable to simult aneously achieve the twin purposes of social development and profit; but the best option for maximizing social development is for business to concentrate on wealth creation. To efforts that deviate from this goal amount to a subversion of the business purpose. Besides the se critics, it must be noted that t here is a strong advocacy for the recent view as well. To some, such as Bhagwati (2012), not only can corporations effectively address poverty; they are already doing so. To others such as a Ghai (2002) while the profit motive does represent a real structural limitation, the confluence of mass global resistance to increasing corporate power and social inequality, fear (by MNCs) of potential poverty driven instabilities in regions of investment, and appeals to the enlightened self interest and social conscience of corporations is sufficient to break the structural limitations of the market place and force corporations t o look beyond profits and actively support poverty reduction in their regions of investment. Again, i n an apparent buy in of the view that corporations can sufficiently address poverty in developing regions , major development agencies such as the Canadian International Development Agency (CIDA) are channeling resources in support of corporate led CD in developing countries. For example in 2012, more than $26 million of Canadian Government aid to Peru, Ghana, and Burkina Faso were channeled in support of CSR interventions of Canadian mining giants in these countries ( http://www.acdi cida.gc.ca ) . In short, whether corporations should, can and/or will sufficiently address poverty and social development in poor regions remains severely contested. This contestation is

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27 further amplified by the fact that the idea of poverty itself remains a complex problem that has defied traditional remedies both in developed and developing countries (Wilson 2006; Boyle and Boguslaw 2007). Importantly, while poverty reduction remains the articulated in CSR discourse or practice (Jenkins 2005). Such dodging, Boyle and Boguslaw (2007:103) argue, allows corporations to avoid the magnitude and sources of the problem as well as minimize their responsibility in addressing it. In this study, the focus is to see how mining corporations operating in Ghana both articulate and address poverty in local mining communities. T heoretical Framework Explanation of ch ange is an enduring subject within the social sciences. Since the 1990s, interesting theoretical perspectives have been advanced to deal with this challenge; but each perspective has succeeded only in offering partial insights about change. For example, ra tional choice theories (North 1991, 1993, 1994; Greif and Laitin 2004) have emphasized individual preferences in change, but provide very little insights Sociological institutional theories address the structural influences on change but do so in a way that underestimates agency. Resource theories (e.g. Pfeffer and Salancik 1978) emphasize access to resources; but provide very little clues about the structural condition calculations. In essence, each theoretical perspective draws attention to some important issues and analytics but ignores others. In seeking to undertake a comprehensive examina tion of change towards CD in the Ghanaian mining industry, this study adopts

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28 the Policy Arrangement Approach (PAA) as its overarching analytical framework , as it offers tools to integrate various theories in the explanation of change . The PAA is a theoretical framework developed in 2000 to explain change and stability in policy practices in any given policy domain (Leifferink 2006; Arts and Leroy 2006; Meijerink and Wiering 2009; Van Tatenhove 2010). Applied more extensively in the env ironmental policy domain in Europe, the PAA builds on multi actor policy network models but goes beyond these in explanation of change (Wiering and Arts 2006). In the PAA, a subs tance and organization of a policy domain (Van Tatenhove and Leroy 2003:159). The substance of a policy domain refers to its underlying principles and objectives and The organization on the other hand is conceptualized as a social system consisting of actors nested in structures of rules and resources (Arts and Van Tatenhove 2004) and may include procedures, specification of competences, and division of tasks etc. designed to act on a policy discourse. The substance and organization of a policy domain are considered stabilized where, within a particular policy domain (e.g. mining industry CD policy), relatively stable definitions of problems and approaches to solving them emerge, divisi on of tasks and patterns of interactions among actors develop and policy processes unfold within a system of relatively fixed rules (Van Tatenhove 2010:3). The PAA argues that policy arrangements within any policy domain are underpinned by four critical d imensions: discourse, actors, resources, and rules of the game (Arts and Leroy 2006; Arts et al. 2006; Van Tatenhove 2010). Shown below, t hese dimensions are assumed to be intricately linked so that a change in one

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29 dimension is likely to produce changes i n others (Arts et al. 2006; Liefferink 2006). Any examination of change, it is argued, must thus involve careful examination of changes in these four dimensions (Figure 1 1). Recognizing that a change in one dimension may not necessarily result in change s in the rest, the PAA makes a distinction between change (Wiering and Arts 2006). It argues that deep institutional change occurs only when there are fundamental or strong changes in all four dimensions of a policy arrangement, culmin ating in the emergence of new discourses , new rules, new procedures and new power relations within a particular policy domain (Wiering and Arts 2006). The idea then is to look beyond discursive shifts to investigate the extent of change in the other dimens ions of a particular policy domain . While seeking to do this, the study hypothesizes that where there is deep change (i.e . strong change in all four dimensions) we would expect CD outcomes to be substantial both in qualitative and quantitative terms. While this hypothesis may sound trite and /or fairly self evident, it provides the potential basis to begin to link outcomes to discussions about change with in the PAA framework. Importantly, as the preliminary discussions highlight, while it is easy to pr esume that deep change will lead to change in outcomes, this is not necessarily guaranteed. Already, there are concerns that change towards CD does not lead to changed poverty situations across local communities. Thus this hypothesis not only allows for th e investigation of rhetoric practice gaps, but also allows for exploring the mechanisms through which individual dimensions of the PAA affect CD outcomes.

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30 Figure 1 1. Dimensions of the Policy Arrangement Approach (PAA). Source d from Liefferink 2006 Oper ationalization of the PAA To facilitate empirical analysis of the tasks set out in this research, the dimensions of the PAA are operationalized here as set out in Table 1 1 below. Borrowing from the work of Wiering and Arts (2006), the study introduces th e idea of d iscourses Arts and Van Tatenhove 2004:343). In simpler terms, discourses refer to a group of concepts, ideas, buzzwords and storylines which together give meaning to a particular reality (within any given policy domain) (Wiering and Arts 2006). Because policy domains are founded on particular discourses (Maguire and Hardy 2006; Misangyi et al. 2008), it follows that change occurs only when old discourses give way to new ones (Phillips et al. 2004; Schmidt 2010). Theoretically, discourses exist in three layers: ontological

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31 present reality, actions examine if there is a fundamental or strong change in discourse at these three levels. Rules of the game define the boundaries of the policy domain by specifying the issues of discussion, who qualifies to participate in the discussion, how decisions relating to the issues are taken, and within what structures those decisions are taken (Arts and Van Tatenhove 2004). In rules under this study, we are dea ling with Legislation addresses the extent to which policy discourses are transposed into binding law (at the corporate, industry and/or national levels). Here, special attention shall be turned to the corporate level and i ndustry level policies binding on each company relative to the question of CD. Procedures address the extent of changes in the structures within which CD decisions are taken. While analyzing these structures, a key question in this direction is: what new opportunities are provided for community participation in CD decision making ? patterns the exten t of change in terms of the set of key actors involved (formally and informally) in the CD decision making and implementation process within the CD policy domain and examining the extent of changes occurring within that realm. Under actor interactions, tw o things are of interest here. First, we are interested in the frequency of interaction especially between communities and companies : does interaction increase or decrease between communities and mining companies? Second, and probably the most important, we are interested in the quality of the interaction: are the interactions more

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32 cooperative or more conflictual? But beyond these, the study will seek to uncover the factors that impact the quality of the interactions and to analyze how the quality of inte ractions affects CD processes (and possibly outcomes) in the communities. Table 1 1. Operationalization of the Policy Arrangement Approach (PAA) Concept Aspects Dimensions Is there a Change in (?): Policy Arrangement Substance Discourses Paradigms Utopias Policy programs Organization Rules Legislation Procedures Actors Actor constellation Interaction patterns Resources Financial flows Source: Adapted from Wiering, M.A., and Arts, B.J.M. (2006) hif ts in Dutch r Adaptation Strategy? Hydrobiologia 565: 327 338. Resources are an important element in institutional change because their (re)distribution provides critical clues about the extent of change in power relations. Generally, resources may include money; authority; charisma, specialized skill, knowledge etc. (Dahl 1986; Wrong 1988; Brown et al. 2009), each useful in different times and circumstances (Poggi 2001; Wiering and Arts 2006). In this study, resource distribution is analyzed by examining trends in financial flows between companies and their local comm unities in the context of CD. Any claim to deep change must involve strong/fundamental changes in all the above 8 individual indicators across the four dimensions of the CD policy arrangement in a company.

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33 Structure of the Dissertation The goal generally is to undertake a comprehensive examination of the change across the mining industry towards CD. In this direction, this dissertation is organized in nine (9) Chapter s. Chapter 2 discusses the method ological issues underpinning the study and provides justifications for the choices made. In C hapter 3, the study presents a broad review of the global, national, and local contexts for the Ghanaian mining lopment. The substantive discussions of the dimensions of the CD policy arrangement is covered between C hapters 4 through 8. In Chapter 4 , the study addresses the issue of changes in mining company discourse in Ghana. Chapter 5 presents a discussion of th e rule element of th e CD policy arrangement, while C hapters 6 and 7 discuss changes in the actors and resources respectively. In C hapter 8 a detailed examination of the on the ground CD accomplishments are presented in order to test our hypothesis . Chapter 9 presents a summary /synthesis of the findings and conclusions of the study.

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34 CHAPTER 2 RESEARCH APPROACH AND METHODS Key Philosophical and Methodological Assumptions Undertaking a comprehensive examination of the change towards CD and investigation of CD outcomes across companies within the Ghanaian mining industry is a complex exercise that requires a series of carefully considered methodological choices. In line with the nature of the research objectives and questions (Bryman 1984; Hammersley 1992; Seale 1999; Torrance 2012) addressed here, the study employs a qualitative approach in this enquiry. Qualitative research has been historically defined in many ways by different disciplines and in different time periods, (Denzin and Lincoln 2005). At its core and relevant to this study, however, qualitative research studies phenomen a in their natural settings, making sense of and interpreting these in terms of meanings brought to them by people (Denzin and Lincoln 1994). It involves the gathering of deta iled data through a range of techniques and aims not at causal determination, generalization or prediction per se, but at building a better, holistic understanding of a subject matter at hand (Cresswell 1998; Seale 1999; Golafshani 2003; Denzin and Lincoln 2005). Having no distinct paradigm or set of methods of its own (Denzin and Lincoln 2005; Patterson and Williams 2002), qualitative research is undergirded by a vast range of paradigms (e.g. feminism, Marxism, constructivism, etc.) as well as methods (e. g. semiotics, hermeneutics, participant observation, focus groups, in depth interviews, etc.) (Denzin and Lincoln 2005). No single paradigm or method is privileged above the other and the usefulness of each is relative to the research question at hand (Gu ba and Lincoln 1994; Heron and Reason 1997; Denzin and Lincoln 2005). At the heart of this

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35 study is the constructivist paradigm. Constructivism conceives of reality as fundamentally mental constructs of individuals and thus cannot be divorced from those wh o hold them (Guba and Lincoln 1994; Heron and Reason 1997). In this sense, truth is relative and contextual (Heron and Reason 1997; Denzin and Lincoln 2005; Moses and Knutsen 2007 ) and uncovering it requires an intimate relationship between the researcher and what is studied (Denzin and Lincoln 2005; Golafshani 2003). The latter point is particularly important because the researcher is the instrument of both data collection and data analysis (Golafshani 2003; Shenton 2004), and while all efforts are made to ensure that the research account reflects to the best possible extent the views of the respondents, most research accounts do still remain those of the researcher to views (Blumer 1969; Torrance 2012). The goal of this research is to bring a comprehensive illumination to the issue of evaluation of CD outcomes across companies . Qualitative app roach is adopted because not only is it nearly impossible to use statistical analysis to investigate the research questions at hand, but even if it were possible, statistical analysis of these questions would reveal very little. This is because the idea of community development is complex, highly subjective and very contextual; understanding its practices or outcomes hardly lends itself to statistical manipulation. In this research, respondent quotes, detailed descriptions, diagrams and tables are used to o rganize and communicate and advance contextualized knowledge of the change process across companies.

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36 Importantly, while subscribing to the constructivist paradigm, this research aims not necessarily to strictly follow pre specified methodological or philo sophical positions explicit or implicit in this paradigm. This disclaimer is important not only because it is impossible for social research practice to conform to strict and precise philosophical positions; but because any attempt to do so can indeed unde rmine the quality of social idea that research must be carried out under the burden of fulfilling some philosophical e is thus to enhance trustworthiness of the mining industry in Ghana. This is accomplished by following broad, widely accepted (methodological) procedures that enhance cre dibility, transferability, dependability and 2004). Case Selection and Justifications Gold m ining in Ghana is vast and extends across the length and breadth of the cou ntry, with companies highly diverse both in size and length of time in the country, and in communities of great socio economic diversity. In addressing the research objectives in this research, we must necessarily focus on both mining companies and mining communities, the latter for contextualizing the discussions about changes in CD practices and outcomes. Ghana has 9 multinational mining corporations, originating mostly from Canada, USA, Australia and South Africa. Similarly, there are dozens of mining communities in Ghana. In pr Ghana carries political significance in that it confers certain rights, privileges and also responsibilities. Thus it is imperative to clarify precisely what one can consider as a

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37 m ining community in Ghana. To qualify as a mining community, the most important criterion is to be recognized by a mining company as such. Now, to be recognized, a community must fulfill one or both of two important things: (1) it must be the traditional ow ner or part owner of the mining concession acquired by the mining company; and (2) it must be deemed to be directly physically impacted by the mining operation. The most important physical impacts are water pollution and destruction of farmland. This means closeness to the mine does not necessarily confer the title of a mining community on a community. Where there are disagreements between the company and community about the degree of impacts, the ability of the community to be recognized depends to a larg e extent on the political skills of its leaders. But in each case, ownership of the concession or material impact of the mine is a necessary basis for recognition by the mine as a mining (or host) community. Importantly, given the often large concessions acquired by mining operations, the total number of mining communities of a particular company at any point in the life of the mine is often open ended. As new pits are opened within a mining concession, new geographic scope of responsibilities expands. Presently, each mine has at least 5 mining communities ranging from confers automatic responsibility on a mining company to protect such communities against mine induced disruptions. This includes the payment of crop compensations to mine affected people, payment of annual land rents to owners of land, and resettlement of communities away from active mining zones , where nece ssary.

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38 At the heart of this study is understanding the changes in the CD policy domain differences in CD outcomes . In addressing these issues, three companies are selected for comparative examination: Newmont Ahafo, AngloGold Ashanti Iduapriem (AAIL), and Goldfields Tarkwa. Each, a subsidiary of the top 10 global mining giants, these three companies account for roughl Newmont Ahafo is a relatively a late comer to the Ghanaian mining scene, beginning production in 2006; Goldfields Tarkwa is the oldest, having started operations in 1993 . AAIL acquired its current mine through a merger between AngloGold and Ashanti Goldfields in 2003 /2004 . Similarly, a total of 6 mining communities two from each company are selected in order to contextualize the discussions about the changes both in CD processes and CD outcomes across the companies. Two key considerations for community selection include accessibility , which is a major issue given the remote locations of some of the mines; and closeness to the mine, taken as a proxy for mine impact. The communities selected are Brahabobom an d Akoon (Goldfields Tarkwa); Teberebie and Adieyie (AAIL); and Kenyase and Ntotroso (Newmont Ahafo). These communities vary widely in population size with Adieyie being the smallest and Kenyase being the biggest. By Ghanaian standards, both Akoon and Keny ase are considered urban communities; the rest are technically rural communities. In fact, Kenyase is currently the capital of the Asutifi North District . Data Collection Qualitative methods are inherently multi method in focus and permit a combination o f different methods in the same research (Lincoln and Denzin 2005). No

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39 method is superior to the other and the question of which method to choose depends on the research topic at hand (Hammersley 1992; Marshall and Rossman 2006; Fonseca 2010 a ). Beside the research topic, the most important considerations for the choice of data collection method in this study are financial resources, time, existence of and accessibility to written materials (published and unpublished), and research audience. The study relie d heavily on three main data collection methods: (i) interviews; (ii) document reviews/analysis; and (iii) observation. All three methods were used to either generate fresh data or triangulate other data sources. Triangulation the practice of combining different types of data, methods, informants , or research sites in the same study (Denzin 1978; Shenton 2004) yields a more rounded and nuanced picture of a phenomenon under study ( Bryman 1984; Patton 1990; Torrence 2012). Although triangulation carrie s the risk of yielding discrepant accounts that may be difficult to reconcile (Bryman 2004), it also provides a more reliable basis for inferences because by providing multiple accounts, we are in a better position to determine what interpretations of a su bject matter are more or less likely to be valid (Hammersley 2008). In this study, extra effort is made to triangulate data and methods in the investigations of all aspects of the CD policy domain across companies. Each of the methods deployed here are further elaborated below. Interviews Marshall and Rossman 2006:101), interviews vary in terms of apriori structure and the latitude respondents have in answering questions (Marshall and Rossman 2006). There are three types of interviews: (i) structure d; (ii) semi structured; and (iii) unstructured or in depth interview (Gill et al. 2008). Each varies in degree of flexibility and emphasis on

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40 the perspective of the respondent ; and each is useful for different research goals. At the extreme end is struc tured interview in which questions are rigidly set and the respondent must choose from a pre determined number of answers. At the opposite end is the unstructured/in depth interview which allows the respondent great latitude in the scope of their answers and the issues that are discussed in the course of the interview; the semi structured is straddled between the first two. This study relied heavily on a combination of semi structured and unstructured or in depth interviews in data collection. Generally, u nstructured interviews vary from very observation), to more systematized in depth conversations with a participant (Marshall and Rossman 2006). They are more useful in situ ations where great depth in the views of the respondent is required, or where relatively little about a subject is known (Marshall and Rossman 2006; Gill et al. 2008), and are thus particularly suitable for this study. Semi structured interviews consist o f key questions that help the researcher explore specific areas of interest; but they also allow great flexibility to pursue other emergent issues that may have been raised by an interviewee or which the interviewer may deem necessary to clarify (Gill et a l. 2008). In view of budgetary constraints, the interviews were conducted in two phases: phase one took place in May 2011 (three weeks); phase two took place in May June 2013 (6 weeks). In phase one, the interviews were mostly unstructured and targeted at company officials. Two officials, mostly the two most senior officials responsible for CD and/or community affairs, were interviewed in each company. In one case, an immediate past community affairs manager was additionally interviewed. All interviews

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41 wit h company officials lasted between 45 minutes and 2 hours. In one case, the interview spanned two days for an hour and half each day. In order to facilitate comparison among cases , these in depth interviews were systematized (Marshall and Rossman 2006), t o focus on: (i) the company level structural changes related to CD; (ii) dominant CD practices and processes involved; (iii) the type of CD programs at play; (iii) the type and nature of vehicles of CD program design and implementation; and (iv) the challe nges in CD implementation. in local parlance), on the street or in hotels where the rese archer stayed. In all, 11 such interviews were conducted in phase one. These interviews were generally aimed at (i) (iii) obtaining community evaluations of company CD projects; and (iv) any other relevant issue. Mostly not tape recorded, and combined with direct observation of community life and living conditions, these interviews lasted from anywhere between 5 minutes to 40 minutes. In each case, however, care was taken to be sure that the interviewees had lived for at least 5 years in the communities they were speaking for. In phase two, the interviews were mostly semi structured and focused on local community leaders (chiefs, Assembly Member s, Unit Committee l eaders, y outh l eaders, etc.) who were purposively selected both for their roles in the community as leaders as well a s their continual interaction with the mining companies vis à vis developments in their respective communities. Except in one case done over the phone, all interviews

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42 were face to face and occurred at a location decided by the respondents. Importantly, in formed consent was obtained (either verbally or by signing pre designed consent forms) prior to all interviews. A total of 21 community leaders were interviewed in the second phase. Combined with interviews conducted in the first phase, an overall total o f 39 interviews were conducted for this study. Document Review Document review is a method of collecting data by examining existing documents (CDC 2009). The type of documents collected and reviewed may be internal to an organization or program or external to it. Documents may also come in hard copies or soft copies (CDC 2009). In addressing the research questions in this study, the author relied on a considerable amount of existing documents, both internal and external to the cases in this study. Data collected internal to the study cases included the corporate CD policy statem ents, CD program (evaluation) reports, CD program brochur es, CD plan/project documents, social responsibilit y agreements (where applicable), annua l corporate reports (2003 2012), annual sustainability reports (2003 2013 ) , stakeholder engagement schedule s, compilation of CD project reports, annual CD budgets, company newsletters, minutes of meetings, environmental and social impact assessments (ESIAs), environmental and social action plan s (ESAP), CD plans, mine project reports, powerpoint presentations by c ompany officials, etc. A substantial amount of these documents were in soft copies, received either directly from company respondents or downloaded from company websites. External documents reviewed included news reports (print and web), reports by minin g advocacy organizations, district development plans, government reports on the

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43 CSR, mining, multinational companies etc.) that helped to contextualize the study, d efine the problems addressed, as well as focus the methodological approaches adopted here. Both internal and external documents utilized in this study, in combination with other data sources, bring a very comprehensive illumination to the issues of CD acr oss all three mining companies central to this study. Field Observation Observation is an important method for collecting qualitative data across disciplines and on a variety of subject matters (Driscoll 2011). In this study, the focus of observation was to generally understand living conditions in mining communities and the everyday living situations. In this sense, strenuous efforts were made to walk through and observe conditions in all parts of the 6 selected communities, over the course of the data collection period. Special efforts were made to visit all company sponsored projects (school buildings, hospitals, water treatment facilities, community toilets, etc.). Photos were taken of these facilities and community members interviewed (mostly on th e fly) to clarify specific details of projects, where necessary. In some instances, the observation took place prior to the formal interviews; in other instances, it occurred after the interviews. Some notes were taken and used both to inform interview qu estions and to confirm responses from the interviews (Kawulich 2005). In two instances, the researcher was conducted around the communities by respondents to assess specific projects addressed in the course of the interview. The researcher also took part Public meeting places such markets; lorry stations etc. were also visited. Generally, the observations provide rich information that helps c ontextualize the CD practices and outcomes.

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44 Data Analysis Data analysis in qualitative research is both challenging and controversial (Fonseca 2010 a ). Data analysis depends to a great degree on the observer, the theoretical framework employed, and the dri ving philosophical assumption (Fonseca 2010 a ). Analysis is centered on texts, rather than on numbers and the role of the researcher is to interpret rather than count texts. But two important differences exist in textual analyses in qualitative research. T he first relates to the relative priority given to the a priori views of the researcher as against the views expressed by respondents (Schutt 2012). describe their textual data in ways that capture the setting or peop le who produced this text on their own terms rather than bring their own concepts, hypothesis, and measures to the analysis and look for texts and their relationships that su pport (or not) these concepts or hypothesis. In practice, it is not uncommon to find researchers combine both approaches in the same research (e.g. Bong 2002). The second difference relates to the goals of analysis. Some analysts see texts as the vehicle f or seeing the richness of the real life experiences of the respondent: the respondent in a particular context or time frame (Schutt 2012). Others, as in this research, ta ke a more hermeneutic approach, viewing text as interpretation that cannot be judged to be true or false (Schutt 2002). Developed in the early 1900s (V on Zweck et al. 2008), the primary concern of hermeneutics is the interpretation of text or text analogs (Taylor 1971; Gadamer 1976; Gergen 1988; Myers 1994; Patterson and Williams 2002). Text is (the record of) what people say, do, or feel (Gadamer 1976) and

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45 text analo g may be cultures, society, organizations, etc. (Taylor 1971; Myers 1994). Central to interpretation and of particular relevance to this study is the concept of hermeneutic circle. First developed by Schleiermacher in the early 1900s, the hermeneutic circ le conveys the significance for integrating information in the interpretation of texts (Von Zweck et al. 2008). The hermeneutic circle conceives of the interpretive process as inherently circuitous, and carries two important ideas that define the mechanic s of this circle. The first idea relates to the crucial importance of prejudice or prior knowledge in the interpretive process; and the second idea relates to the part whole relations in text interpretation. The first distinction sees textual interpretati on not simply as a process in which a single individual, independently and objectively, attempts to uncover the inner meaning of a text, but rather as a process of mutual exchange between the reader and ntinuous interaction (Gergen 1988; Love 1994). In other words, a text is interpreted based on the exchange that takes of understanding (Taylor 1971; Gadamer 1976; G ergen 1988). in which the reader and the text are engaged in a continuous, coordinative act of movement and reasoning in a context of social relatedness. Thus in interpretation , appeal to as our grounds for this reading can only be other re ylor 1971:6; also see Gadamer 1976). This dialectic between the researcher and text helps to gain knowledge as well as deepen understanding of the research issue (Gupta et al. 2012).

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46 The second distinction articulates interpretation as an integrative process of relating the whole to the parts and the parts to the whole (Myers 1994). The emphasi s here is that we gain understanding of the whole only by referencing the parts; at the same time, we can only understand the parts by referencing th e whole (Myers 1994; Von Zweck et al. 2008). Thus interpretation involves a continuous oscillation between parts and the whole so that understanding of the whole is continuously revised in view of interpretation of the parts (Myers 1994; Von Zweck et al. 2008). As Taylor (1971:6) points out, in interpretation, We are trying to establish a reading for the whole text and for this, we appeal to readings of its partial expressions; and yet because the partial expressions depend on those of othe rs, and ultimately of the whole. This integrative approach affords a much deeper, richer and highly contextualized understanding of phenomenon (Love 1994; Von Zweck et al. 2008). In this study, hermeneutics was used to examine the different and varied pe rspectives of actors involved in the mining industry CD policy domain in Ghana. The study takes into careful consideration meanings of multiple data sources and examines the fit between these data within the whole framework of CD at the industry level in G With some fairly strong grasp of author brings some reasonable amount of prior knowledge of the mining industry to the examination of the current changes towards CD. Hermeneutics is chosen as the principal analytical approach first because an interpretive qualitative approach is because it permits the integration of multiple , sometimes conflicting data towards addressing the complex issue of CD (Myers 1994; Von Zweck 2008).

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47 Patterson and Williams (2002) identify 7 critical steps in hermeneutic analysis of data, which are followed in analysing data in this study. The first step is to prepare the materials for analysis. T his w ould typically involve transcription and proofing of interview transcripts as well as the identification of appropriate textual data required for analysis. In this study, all interviews were personally transcribed and proofed by the author. The second step is to develop an indexing system that facilitates the location of units of reference across multiple documents. As is the case in this study, sentences (rather than paragraphs) of interview transcripts and other documents are sequentially numbered. Sentences are preferred because they often express complete thoughts (Patterson and Williams 2002). The third and a very important step is to read each transcript and document over and over again to enhance familiarity with the text. Apart from listening to the tape recordings of the interview over a prolonged period, each document, including interview transcripts, was read in full at least 4 times. transcripts. Meaning units represent group s of sentences that are comprehensible on and interpretations are w arranted (Patterson and Williams 2002:47). Since not all meaning units will be relevant to the objectives of the study, it is both tedious and unnecessary to identify all possible meaning units. Instead, the study initially focused on the units that prov ide insights into the research goals. Because meanings initially considered irrelevant could provide important insights later on in the analysis (Patterson

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48 and Williams 2002), the research er often went back to re read each transcript and document in order to capture new meaning units, where appropriate. The fifth step involved the development of thematic labels, which are essentially phenomenon under study (Patterson and Williams 2002). These labels may come from a number of sources including from the conceptual understanding of the phenomenon under study, the language used by respondents, understanding of the existing literature, even from the themes used in developing the interview guide (Patterson and Williams 2002). In this study, the thematic labels are derived from a combination of the study objectives/goals, the conceptual understanding of the issues and understanding of th e existing literature. The sixth step is to locate, understand and explain the interrelationships among themes. In this study, visual aids in the forms of tables and figures are employed in explaining relations among themes . The seventh step basically inv olves writing and the incorporation of the empirical evidence or hard data to justify interpretations.

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49 CHAPTER 3 THE GLOBAL, NATIONAL , AND LOCAL CONTEXTS OF COMMUNITY The Global Context Since the late 1980s, the mining industry has come under considerable public scrutiny and pressure from a variety of actors at various levels , stemming from the et al. 2010; Dashwood 2011). While these pressures could be generally attributed to global processes resulting from increasing environmen tal awareness, the high incidence of mine induced environmental damage and human rights abuse within the period had made the industry an easy target for environmental activist s. High profile cases of environmental damage in the Philippines (Marcopper mine), Spain (Aznalcollar mine) , and Papua New Guinea (Bougainville mine) as well as human right abuse cases in Indonesia (Grasberg mine) in mage as reckless, irresponsible and amoral (Dashwood 2011). Following the publication of the Brundtland Report in 1987 which evelopment , many had come to view mining as inherently unsustainable, triggering an activist frenzy that sought to rei n in the industry and/ or isolate it. Under intense pressure, governments (in the global North) tightened their existing environmental regulations, passed new ones, and ratified key existing international environmental protocols th at further imposed limitations on activities of mining companies (Humphreys 2001; Dashwood 2011). In the US, for example, amendments to laws such as the Clean Air and Clean Water Acts in the 1990s sought to set more stringent limits on industrial discharg es, tighten monitoring regimes, and toughen penalties for defaulters (Dashwood 2011). New global environmental protocols

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50 were similarly passed to address growing concerns with the industry. For example, the Basel Convention (1989) banned the use of certain metals in consumer products, effectively limiting access to key markets for major mining companies; the Biodiversity ecosystems. In fact in 1996, the Xstrata mining com pany (then Noranda) was forced to the Yellowstone Park (Dashwood 2011). Major financial institutions such as s the World Bank (and its affiliates), insurers, export cr edit agencies and private lenders, in efforts to minimize their risks, began to attach pro environment conditionalities to their project financing transactions. Under its World Bank, for example i ntroduced its Operational Directive 4.01 (in 1989) and Bank Policy 4.01 (in 1999) that required detailed environmental assessments of projects proposed for Bank financing. Under that Directive , project financing requests must be accompanied with detailed environmental management plans specify ing implementation and operation to eliminate adverse environmental and social impacts, ( http://web.worldbank.org ). In 1995, the US Overseas Private Investment Corporation (OPIC) was compel led to cance l a $100 million political risk insurance policy for the Freeport on local rivers ( http://www.utwatch.org investors away as they began to see the industry as too risky (McKay et al. 2001).

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51 serious s train, the 1990s proved to be a tipping point in the fight for the long term neg public confidence in its ability to operationalize the ideals of sustainable development as defined in the Brundtland Report. In 1999, a loose coalition of 9 major mining companies including Newmont launche , a ). The launch of that initiative was premised on a set of three critical principles. First, the industry recognized that a global normative consens us had emerged around the ideals of sustainable development that will be too risky to ignore (Dashwood 2011). As Sir Robert Wilson, then Chairman of Rio Tinto highlighted in a speech, n present a convincing case that their activities are conducted in line with these [sustainable (Wilson 1999:2) . the mining and metals industries is inseparable from the global pur suit of Sustainable Development . Second, the industry admitted a history of poor industry practices that require change. For example, in that same speech, Sir Wilson pointed out that environmental damage , Third, the industry recognized that past strategies of addressing these pressures were no longer adequate, and that a new set of thinking and actions were required to

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52 deal with the changed operational environment (Wilson 1999; Littlewood and Wells 2000). It is , in fact , this last point that d efines much of the global efforts towards the idea of sustainable development. Frustrated by its i nability to successfully argue its place in the sustainability debate through the reactive triple strategies of dismissal, denial, and blame shifting (Wilson 1999; Littlewood and Wells n the very definition of sustainability and the practical actions that are deemed to be required to achieve it. Clearly in anticipation of pursuing this agenda at the 2002 World Summit on Sustainable Development scheduled for South Africa, the industry la by prominent environmental activists such as Richard Sandbrook, a founding member of Friends of the Earth and the then Executive Director of the London bas ed International Institute of Environment and Development (IIED), the MMSD represented a broad based, consultative exercise that sought to solicit views across a large spectrum of actors and devise ways on how to make mining sustainable (Littlewood and Wel ls 2000; Fonseca 2010 a ). Ahead of the 2002 World Summit, the MMSD published contribute to sustainable development and also called for serious changes in the approach to current global problems (Evans 2012). Importantly, the report proposed a set of practical actions necessary for sustainability in the mining industry (MMSD 20 02; Evans 2012)

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53 One of the nine areas of challenge identified for redress is community development (CD), defined by the ICMM as the process of, among other things, ( MMSD 2002 ) . Two challenges were identified as requiring particular attention in the area of CD: (i) how to maximize mining benefits to communities. Among the actions proposed include the development of participatory decision making pr ocesses that help communities consider the trade offs relating to economic, social and environmental goals; trust building with communities, protection of the rights of marginalized groups, prudent investment of mining rents in areas that outlive mine life , the building of local capacity to manage mine benefits, and the taking of proactive steps towards ensuring that communities are not made worse off by the mine . (MMSD 2002). (SDF), which sought to provide the framework for the implementation of the recommendations of the MMSD. A principal objective of the SDF was to lessen the rhetoric practice industry (Fonseca 2010b) . In 2003, the SDF was further o P member is obligated to not only comply with these principles but also produce externally assured annual sustainability reports demonstrating their compliance (Fonseca 2010b). http://www.icmm.com ).

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54 communities ( http://www.icmm.com/10 principles ). To aid the mechanics of CD design and implementation by individual member companies, the ICMM further launched a Community Development Toolkit in 2005. The toolkit takes the considered view that the (ESMAP e t al. 2005:7). With 17 tools, the toolkit also views CD as good for business and encourages particular attention to investment in the areas of skills development and training, employment, and education. In short, under considerable pressure that threaten ed its access to markets, land, capital and goodwill, the mining industry has, since the late 1990s taken consistent and progressive steps to address its historic legacy of irresponsibility and heal itself of the accompanying negative image. In demonstrat ing its sustainability, the industry, at the global level, continues to prioritize community development as a critical component of its social responsibility and through initiatives highlighted above, demonstrated significant interest in improving communit y well being . Implementation of these ideals and principles, however, are left at the exclusive direction and discretion of individual companies, which are subject to varied opportunities and challenges. The next section describes the national context of The National Context A small West African country of 24 million people, Ghana is arguably the most successful country in the transition to multiparty democratic rule in sub Saharan Africa, having successfully elected 4 presid ents in 6 consecutive elections since 1992. economic development lags quite significantly behind its

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55 political progress (Dashwood and Puplampu 2010). Although the country officially attained lower middle income status in 2011, povert y in Ghana remains both pronounced and widespread especially in rural areas (ICMM 2007; Dashwood and Puplampu 2010; Aragon and Rud 2012; IFAD 2013). Ghana ranks 135 out of 187 Ind ex (HDI) (IFAD 2013), just 52 places from the bottom. With national (youth) unemployment rates well above 30% (Amankrah, n.d), subsistence agriculture remains by far the most significant economic activity, employing about 60% of all Ghanaians and over 85% of its rural dwellers. Structurally, the Ghanaian economy is heavily dependent on agriculture (mostly cocoa exports) and the extractive sector, especially gold mining as well as on foreign aid (Dashwood and Puplampu 2010). Mining in Ghana Mining in Ghana is vast and extends across the length and breadth of the country. Although it has abundant deposits of diamond, bauxite, manganese and a industry. Until t he late 1980s, the Ghanaian state controlled all gold mining operations (Akabzaa and Darimani 2001). This changed in the mid 1980s largely as a result of the violent changes in g overnment and unfavorable global economic developments between the mid by negligible rates of investment, hyper inflation, massive unemployment and debt. To address these difficulties, Ghan a subscribed to the ERP. As elsewhere, the gold mining sector was heavily prioritized under the ERP for its perceived potential to induce foreign investment and thereby promote growth and reduce poverty (Kemp 2009; Weber Fahr

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56 2002). Consequently, a suite of mining sector reforms was imposed and implemented by the country. As required under the mining sector reform program, Ghana embarked on a radical liberalization of the mining sector through a series of overly generous legal and fiscal incentives: massi ve tax breaks, import duty waivers, unrestrained repatriation of profits, cheap asset transfers and, very importantly, the fencing off of government sector policies under the ERP was simple: minimize the initial cost of mining so as to quickly attract foreign mining investment and turn around the economy (Tsikata 1997). Since the reforms, and buoyed by high gold prices, Ghana has remained an attractive destination for foreign mining capital, and an important global player in gold production (Figure 3 South Af rica and has consistently ranked among the top 10 gold producers in the world since 2009. Mining currently constitutes an integral part of the national economy, and con stituting the lead foreign exchange earner for the country since 2005 (Mining Journal 2010; Ibis 2012). Between 1991 and 2008, the mining industry contributed an average of 42% of the total national merchandize exports (Figure 3 2). Mining industry revenu e has continued to swell as well. In 2009 alone the mining industry raked in revenues in excess of $2.3 billion, easily eclipsing the total amount of development aid received by the country (by almost $1billion) in that year (Ibis 2012). About 90% of this amount came from gold. In fact, total revenues accruing from gold in 2012 exceeded $5.3 billion (GCM 2011). Again, with about $155 million in revenues in 2009 (Ibis 2012), the mining sector remains an important source of government revenue .

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57 Figure 3 1. Mining sector investments in Ghana (1990 2008) . Sourced from Mining Journal (2010) Figure 3 (1984 2008). Sourced from Mining Journal 2010

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58 Despite the impressive litany of positi ve contributions to the Ghanaian economy achieved by the industry, large scale mining in Ghana remains a deeply contentious issue, fueled by what seems to be an inherent inability of the industry to serve its anticipated role of a lever for broad poverty r eduction . When all the additions and economic growth, government revenue, job creation, or net foreign exchange earnings can best be described as marginal. For example, over the past decade, and in what might seem really counterintuitive given the huge surge in mining revenue over the hovered just around 5% (Figure 3 3); government revenu e as a proportion of total industry revenue continues to stagnate around 4% (Ibis 2012) (Figure 3 4); and the very disappointing. In fact, contrary to expectations, Ghana is estimated to have lost more than 8,000 mi ning jobs between 1992 and 2000 (Akabzaa 2004) and it is unlikely that the numbers have gone up since then. Similarly, up to 81% (an average of 71%) of all foreign exchange generated by the industry is either held or spent offshore, with no contact made w ith the Ghanaian economy (Akabzaa 2004 ; Kwai Pun 2009). This reality has created some amount of suppressed disdain among the public towards large scale mines, broadly. However, by far the biggest contention relates to what appears to be the unfair distribution of the costs and benefits of mining among the major players in the industry: government, mining companies, and local communities. While mining communities have historically borne or continue to bear all the direct negative impacts associated w ith large scale mining, .

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59 Figure 3 3 . Comparison of government revenue against total mining industry revenue (2005 2009). Sourced from Ibis 2012. Figure 3 tribution to GDP. Sourced from Ibis 2012

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60 This situation has historically arisen from a combination of three main factors: deliberate state policies that marginalize local communities in the distribution of mining revenues, weak regulatory enforcement, and inadequate attention by mining companies to improving living conditions in local communities. Regarding the policies, f or example, although mining communities are legally entitled to portions of mining royalties paid by the companies, the royalty distribu tion formula adopted by the state is so convoluted that over 95% of the money actually goes to the central government and its affiliated agencies at different levels (see Akabzaa 2009) . In fact, in practice, royalties actually get into the hands of local communities, and money that does get et al. 2009:573 ). Again, the lack of regulatory enforcement, for example, means that mineral development funds (MDF) allocated from the royalties to local government units (in mining areas) to purposely address development challenges in these communities are routinely applied to recurrent expenditure ( Ghana Auditor General 2013). Lastly, until recently, mining companies demonstrated v ery little, if any, sense of responsibility to or interest in promoting broad social development in their local communities. The combination of the above factors has historically created very difficult living conditions in many mining communities in Ghana , as communities have received very little benefit to compensate for the mining impacts they must contend with. As even the affected by large scale mining have seen littl e benefit to date in the form of improved Pun 2007:46). Although the situation may be changing, extreme poverty continues to plague many

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61 remotely located mining communities across Ghana. Indeed several studies confirm that most mining communities in Ghana have continued to face extreme unemployment (Akabzaa 2004), massive landlessness (Adjei 2007), food insecurity due both to mine induced chemical pollutions and landlessness (Aragon and Ru d 2012); increased cost of living due to mine induced income distortions (Aryeetey 2004; Kwai Pun 2007); high inequality (Aryeetey 2004) and widespread pollution of community water and land resources (Akabzaa 2000; Akabzaa and Darimani 2001). Addressing poverty in mining communities in Ghana remains a huge challenge and public discussions around the subject remain extremely vigorous. With very little leverage over the national government in a way that can produce broad reforms that ensure a more equitable benefits distribution framework, however, many mining communities and their civil society advocates have taken the shorter route of pressuring mining companies to take lead roles in delivering better living conditions in local communities. This , in some i nstances , has generated some amount of tension and uneasiness between local communities and companies. The Local Community Contexts AngloGold Ashanti Iduapriem Ltd (AAIL) The AAIL began initially as Ghana Australia Goldfields (GAG) in 1992 owned by the Au stralian company, the Golden Shamrock (70%), the Inte rnational Finance Corporation ( IFC ) (20%) and the Government of Ghana (10%). In 1995, the then Ashanti Goldfields Company (AGC) acquired the holdings of both the Ghanaian Government and Golden Shamrock , effectively splitting the ownership of the mine between the AGC (80%) and IFC (20%). In 2000, AGC bought two pits (Teberebie and

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62 Awunaben) adjacent to its operations from the Teberebie Goldfields Ltd. (TGL).The merger of AGC and the South African based AngloGold in 2004 culminated in the AAIL. Located in the Western Region of Ghana about 312 km from the national capital, Accra, ownership of the AAIL went through further, rapid permutations between 2000 and 2007 with the government of Ghana and the IFC owning minority shares of 10% and 5% respectively until 2007 (AngloGold Ashanti 2007). By September 2007, however, AngloGold Ashanti successfully acquired the 15% minority shareholdings of the government and IFC to become the sole owner of the expanded Iduapriem mine. As elsewhere in Ghana, the Iduapriem operation is an open pit mine that involves blasting, excavation of ore and the disposal of waste rocks mostly in surface dumps. It uses the Carbon in Pulp (CIP) processing technic of extracting the ores. The CIP process depends heavily on the application of large amounts of cyanide to strip the gold ores from carbon. In the six year period between 2006 and 2012, AAIL contributed an lowest in 2012 at 5.69% (GCM 2006, 2012). AngloGold Ashanti, the parent company of AAIL is headquartere d in Johannesburg, South Africa and is listed on the stock exchanges of Johannesburg, New York, Australia, Ghana, London, Paris, and Brussels. AAIL is one of 21 properties of ses operations also in Guinea, Mali, Namibia, Tanzania and the Democratic Republic of Congo (DRC). AAIL had 8 stakeholder communities, mostly collection s of several hamlets, until 2012. With the development of a new pit at Ajopa (within the same

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63 concessio n) beginning in 2012, it acquired 13 new communities, bringing its total to 21. Teberebie and Adieyie are part of the original 8 stakeholder communities. Teberebie community With a population of about 1,400 people (Pooley 2003), Teberebie was resettled at previous location. With the purchase of the 2 pits from TGL in 2000, however, AAIL relations hip with AAIL is largely defined by the circumstances surrounding its relocation to the present location. And here, one particular issue stands out. According to the T he residents of the new site will not build, engage in farming activities or carry out any other business within an area of 1000 m of the Teberebie Ridge, Awunben Ridge and Mantraim Ridge, mining plant and/or installations . (Pooley 2003:19) This effectively m eant that Teberebie lost claims to any part of surrounding lands at its new site that could be used for farming or housing . In fact, TGL included that clause in the relocation agreement because it had demarcated a large part of the new site for the develop ment of a waste rock dump site (Pooley 2003). community members, who were mostly unaware of their relocation agreement (Pooley 2003), to farm the surrounding lands for about a de cade before the TGL was sold in dumping of waste rock around the community, with no prior c onsultations with affected farmers regarding compensation or allocation of alternative lands (Pooley 2003). This

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64 action created a massive uproar among community members and culminated in mass community resistance and multiple lawsuits against the mine. Figure 3 by author in 2011. The near simultaneous mass loss of jobs and farmlands hit the community really hard, culminating in feelings of betrayal and injustice among community me mbers (Pooley 2003). Perceived feelings of unfairness among community members related to the subsequent crops compensation payments have succeeded in creating an environment of deep mistrust, suspicion and antagonism between Teberebie and AAIL

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65 to d ate. Currently, Teberebie has no land of its own either for farming or for housing. As could be seen from the picture, the community is completely encircled with huge piles of waste rock that could be seen from miles away. Adieyie Community Adieyie, on the other hand, has had relatively less confrontations with AAIL. Originally a small farming village of about 1,530 people (Pooley 2003), Adieyie was one of the original stakeholder communities since the opening of the Iduapriem mine in 1992. The village rece ived a total of about 108 people who were removed by GAG from (old) Iduapriem and resettled there; making this community the largest within the original Iduapriem mine lease area (Pooley 2003). Just like Teberebie, loss of farmlands and the subsequent iss ues relating to compensation payments defined much Importantly, the historic lack of community relations capacity at the AAIL (Pooley 2003) meant that very little discussions or negotiations with communit ies on critical issues occurred. Where any negotiation occurred at all, these did occur only with select community leaders ( mostly chiefs and Assembly Member s) who were deemed by the company as pliant. This situation has fostered an environment of deep m istrust between the Adieyie community and company on the one hand; and between the community and its leaders on the other (Pooley 2003). Again, although the situation appears to be improving slowly, relatively high levels of mistrust and tensions between the company and Adieyie community members still exist. Goldfields Ghana Ltd (Tarkwa)

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66 1935 as t he Amalgated Banket Areas Ltd following a series of reconstruction and amalgamation of several properties (Amiel 2008). Most of the reconstructed properties of the Amalgamated Banket were abandoned between the mid 1940s until the State Gold Mining Corpora tion (SGMC) was formed in 1961 to take over those properties. In 1963, all the reclaimed properties were together incorporated as the Tarkwa Goldfields Ltd . , which was operated by SGMC ( http://www.goldfields.co.za ) until 1992. In 1993, Goldfields Ghana Ltd (GFGL) obtained the mining rights for the Tarkwa mine and took over operations from the SGMC. A subsidiary of the South African mining giant, Gold Fields Ltd, GFGL currently owns 90% of the Tarkwa mine; the Ghanaian government owns the rest 10%. Until 1997, the Tarkwa mine was an underground operation, offering massive jobs to nearby communities. By 1997, Goldfields began to experiment with surface mining; and by 1999, the company closed all of its underground operations, turning the mine into an exclusively open pit operation, with its accompanying job losses. In 2000, around 2027. With an average annual gold production well in excess of 650,000oz from 6 open pits, two heap leach facilities and one CIL plant, the Tarkwa mine remains both In fact in 2006, GFGL contributed the Tar kwa mine (GCM, 2006). Gold Fields Ltd, the parent company of Goldfields Tarkwa, has multiple operations (at different levels of development) in Peru, Mali, South Africa, Australia, Finland, Canada, and Kyrgygztan . Its operating mines in Ghana include th e Tarkwa

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67 and Damang mines. A member of the ICMM and a signatory to Compact, Goldf ields Ltd is currently listed on the stock exchanges of New York, Johannesburg, Dubai, Brussels, and Switzerland. Akoon and Brahabobom are two of Goldfields Ta 8 host communities. Akoon community With a dense population of about 4,600 people, Akoon is located just outside the residential areas of the Tarkwa mine, and is less than 1km from the central business district of Tarkwa. Like Brahabobom, Akoon is located on lands traditionally belonging to the Wassa people of the area, and is settled by migrant workers and traders from across Ghana who had moved there in search of mine jobs and related economic opportunities. Importantly, Akoon was historically an integral part of the present day Presently, very few actual Wassa people live in Akoon (Interview 2011). Brahabobom community Brahabobom shares much of the history of Akoon . With a population of around 1,400 people (GFG Foundation 2010), and located just about 1km from the Tarkwa city center, Brahabobom occupies Wassa land and is settled largely by non indigene migrant workers and traders from across Ghana. Unlike Akoon, how ever, mining community was achieved only after the community chief was, through very contentious processes, able to prove that the in 1998 host community only in 1998; five years after the GFGL took over the mine.

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68 On the whole, relations between the Tarkwa mine and its stakeholder communities including Brahabobom and Akoon re mained very stable until late 1990s. The loss of jobs and farmlands by many community members that accompanied the shi f t to open pit mining by the company in 1997 as well as the broad lack of economic progress in these communities had created some amount of resentment towards the company as many accuse the mine of not doing enough to promote physical and Adimado 2003:C128). Newmont Ahafo Newmont Ahafo is a subsidiary of the US based Newmont Mining Corporation in the United States. With total mining lease covering about 536.56 square kilometers (NGGL 2005), the Ahafo mine is located in the Asutifi (North) District of the Brong Ahafo Region, about 365km from Accra. For purposes of development, The Ahafo mine lease was divided into two (Ahafo North Project and Ahafo South Project) with their development sequenced in two phases, beginning with the South, which covers a total of about 3,111ha (NGGL 2005). Gold production at the Ahafo mine began in July 2006, with an output of abo ut 202,127oz. Since, 2006, gold production at the Ahafo mine has remained steadfastly above 500,000oz with highest output at 572,256oz accounting for The Newmont Mining Corporation, Newmont Aha on the New York Stock Exchange (NYSE) and has 10 operations across 7 countries (United States, Australia, Peru, Indonesia, Ghana, New Zealand and Mexico) producing both gold and copper. With two properties (Ahafo and Akyem), Ghana remains key to

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69 core assets ( http://www.newmont.com/africa ). Importantly, the Ahafo mine is the first ever large scale mini ng activity in the whole of the Brong Ahafo Region of Ghana. Kenyase Community With a population of roughly 13,000 people (Newmont Ahafo 2005), Kenyase is the capital of the (now) Asutifi North District. Although having a relatively sizeable formal sector due ostensibly to its status as the District capital, subsistence agriculture is by far the most important economic activity in Kenyase and its satellite communities, undertaken by both indigenes and a sizeable number of immigrants from all over Ghana. Th e town also has a fair distribution of social services having several basic education facilities and a health center. The arrival of the mine has activated the emergence of a plethora of financial service providers as well . Ntotroso community Compared wit h Kenyase, Ntrotrosu is a rural community of about 3,500 people (NGGL 2005) whose main source of livelihood is agriculture (both cash and food cropping). With the arrival of Newmont and subsequent relocation of some of the satellite villages, both Kenyase and Ntrotrosu became homes to significant number of resettled people, increasing the populations of the two communities by about 15% and 20% respectively (NGGL 2005). Although the Ahafo concession spans a few more communities, Kenyase and Ntrotrosu contri bute the bulk of the land for the Ahafo South Project and thus expect to benefit the most from the mines. Importantly, Newmont is carries its own unique advantages and di sadvantages.

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70 Conclusion As revealed in Chapter 3 , the mining industry over the last two decades has come under extreme pressure from multiple sources and actors to address their historic ry idea of sustainable development. At global industry level, concerted efforts are been made to dealing with the challenge, including the explic i t embrace of the concept of poverty reduction and CD , the promulgation of binding industry codes to promote CD , and the development of tools to facilitate CD at operational levels across the industry . With t hese developments, multinational mining companies in Ghana have very little choice but engage in CD and poverty reduction in local mining com munities. Yet, as C hapter 3 reveals, w idespread poverty at the national and local levels in Ghana, strong perceptions of injustice among the Ghanaian public related to the distribution of mining benefits, growing disillusionment with the industry , as well as persistent com munity mistrust of mining companies introduce additional pressure points that can potential ly complicate the CD process. In evaluating the change and CD outcomes across the industry, it may be important to pay some attention to how all these factors inter act with the change process across companies .

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71 CHAPTER 4 INDUSTRY Towards A Focus On the Community: An Introduction industry in Ghana. This lack of attention, in some way, reflected the broader institutional architecture within and outside the mining industry at both local and internat ional levels. on the proper role of corporations. At the local level, inherent biases against local communities built into the Ghanaian mining legal regime coupled with the over centralization of the mine development decision making process ultimately reduced Consequently, communities received attention in corporate thought and/or policy only to the extent deemed necessary for regulatory compliance (in the narrow issues of compensation claims payment and environmental impact audits) or for the removal of community sponsored operational disruptions. By the mid 2000s, this began to c hange as companies demonstrably devote more attention to the idea of communities both in company narrative and policy. Arguably the most important factor that provided the momentum for thinking about local Global Compact and its subsequent localization initiatives. Building on the core principle of equity embedded in the idea of sustainable development (Drexhage and Murphy 2010), the Compact comprised 10 key principles covering h uman rights, labor, environment, and anti corruption.

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72 Efforts to localize the Compact in Ghana began with its official launch by the UNDP United Nations Development Program in July 2002, accompanied by the Global Compact Network Ghana (GCNG) as the lo cal implementation and monitoring agency. As one of the biggest industries in the country, the mining sector was heavily targeted (by the UNDP) both for active participation and leadership in the Network since its launch (GCNG 2012). Indeed, the CEO of th e Ghana Chamber of Mines (GCM) was a member of the Advisory Council since 2002, rising to become its Chairman in 2010. Again in 2006, both Goldfields Ghana and AngloGold Ghana served on the Advisory Council and Steering Committee respectively. The industry Network meant that it was directly confronted with the challenge of demonstrating high levels of compliance with the key tenets of the Compact in a way that inspires emulation by other industries. With its own historical baggage of poor human rights records in local communities in Ghana, qualitative improvements in the relationship between mining firms and local communities was considered a critical test of compliance by these firms with the ideals of the Compact. The annual fili ng of compliance reports provided both the opportunity and challenge to highlight actual practical steps taken by the companies to ensure meaningful change in this area. In essence, the Compact brought a new emphasis on local mining communities in a way th at had never occurred in Ghana. p roject sponsored by the Danish International Development Agen cy (DANIDA). Leveraging the momentum created by the launch of the GGCN in 2002, the IBP promoted an extremely elaborate version of the Global Compact in the form of the

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73 Ghana Business Code . Published in 2006, the Code contained a series of detailed prescri ptions under each of the 10 principles of the Global Compact with which Code, just like the Compact , brought particular attention to local communities. While neither the Compact nor the Code directly target poverty in local communities, much of the Compact tended to focus on the living condition s in these communities. have been predominantly focused on examining the social programs of each mine in their host communities (GCNG 2011). any impacts created by their operations. Thus, combined with increased media a ttention and vociferous NGO activity as well as broader cultural changes in the perceptions of the role of business in society at both the national and international levels, the Compact has driven a great deal of mining industry attention towards local com munities more generally, and towards community development , specifically, in Ghana. Chapter 4 focuses on understanding the discourse on community development within the mining industry in Ghana. As a prelude, the next section takes a cursory examination o f the idea of local communities as has become a common theme in mining company narratives and policy. This is then followed with an elaborate discussion of the discourse on community development.

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74 The R At both the corporate and operational levels, mining companies operating in Ghana have over the last decade given extreme prominence to the idea of communities (whether local communities , stakeholder communities , primary communities , host communities , or affected communities ) in company narratives. Invariably, the idea of communities is articulated from within the framework of Sustainable Development, a concept which has gained growing importance in the global mining industry following of its Sustainable Development Framework (SDF) in 2002. Sustainable development carries different interpretations; but one principle of the concept that has endured and received widespread support is that of a commitment to equity and fairness where prior poorest (Drexhage and Murphy 2010). For an industry widely reputed as being insensitive to its impacts in local communities (Jenkins and Obara 2008), a change in its approach to communities is seen a compliance with the tenets of sustainable development. pains to emphasize communities as part of their broader shift to sustainable development or the industry can only be secured if we are navigating our future together with local com (AngloGold 2010:5).

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75 Safety, and Environment C essence, the rise of communities in mining industry discourse in Ghana and elsewhere can be directly traced to the rise of the idea of sustainable development. Generally, three themes are discernible in the broader idea on communities among the companies in this study. The first is better relations . In fact, better relations with communities remain the key driving force for the emphasis on communities within sustainability polices of mines in Ghana. As AngloGold declared, the central objective of its sustainability strategy is engagement with communities (AngloGold 2010:5). Extending the same logic, respectful and healthy relationships with t he communities around our projects and www.beyondthemine.com ). Better relations with communities is considered a sine qua non for success in mining (Chohan 2013), a practical demonstration of corporate social responsibility (Goldfields 2010), and as a crucial tool The second theme concerns the minimization of environmental impacts on local communities. Three factors appear to have given rise to this theme in company narratives on communities. First there appears to be a general tendency of equating environmental responsibility with the idea of sustainable development (Drexhage and Murphy 2010). To that extent, we can see the focus on minimization of environmental impacts on communities as nothing more than a reflection of that tendency. Second, decades long history of poor environmental practices in the mining industry globally (Wi lson 1999) means that it is impossible to demonstrate a credible embrace of the idea

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76 of sustainability without a public declaration of the intent to addressing this problem. Third, strong environmental activism at both national and international levels aga inst major corporations makes public declarations of interest in minimizing environmental impacts good politics. Importantly, because environmental irresponsibility can damage corporate reputation and make access to relevant community resources more diffic ult, there is the tendency to treat minimization of environmental impacts as a crucial part of the strategy for promoting better relations with communities. As explicated by ost Ashanti 2009b: 38). Similarly, Newmont is strategically linking implementation of its social responsibility policy to its environmental health policy. As an official at Aha fo argued, nvironment and safety play key roles in defining whether or not you have the right acceptance from the community (Interview 2011) . So, clearly, minimization of impact is also inherently about self preservation as much as it is good politics. The third theme in mining company discourse on communities is the improvement of welfare of local communities (community development). Community development is by far the most radical evolution of mining company narrative on communities both in Ghana and els ewhere, to the extent that companies are willing to accept some amount of responsibility for the development of their local communities. mining companies is analyzed in d etail below.

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77 The Discourse of Community Development At the corporate level, mining companies in Ghana have decisively embraced across companies. Regardless of which term a company chooses, the focus remains the same: to better the living conditions of community residents in their operational jurisdictions. In all cases, community development is pursued within the broader aim and framework of promoting better relations with local communities. Thus, in Newmont, tical community relat ions issue . In AngloGold, th e community relations considered a critical goal of mining companies in Ghana, then community development constitutes an important vehicle to achieving that goal. But commu development responsibilities, including the extent to which [these] responsibilities should extend beyond companies pursue community development? Finding answers to this question requires some understanding of the three key elements o f company disco urse on community development: p aradigms (ontologies), utopias (normatives), and policy actions. Paradigms or ontologies demonstrate how companies see the problems of communities

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78 and who is liable for those problems; utopias or normatives deal with what they want to see changed and by whom; and the policy acti ons refer to what they consider necessary to address the paradigms and achiev e the utopias. Paradigms/Ontologies There is not one particular ontological view of communities within the Ghanaian mining industry. Rather, there are multiple views of communities both within and across companies. With some slight differences across companies, three broad ontological views of communities can be identified across the three cases in this study. First, communities are seen as victims . This view recognizes communities as subject to various forms of negative impacts from mining operations; and directly lays blame with the mini ng companies for some amount of hardship across local communities. There is near uniformity in the way this view is expressed across the three companies in this dramatically an significant impact on the lives of people who reside in the communities around our s 2010:123). In a fact of the www.beyondthemine.com ). In some way, this (victim) view of communities can be attributed to the relatively recent regulatory requirements that make the production of social and environmental impact audits an important part of the mine development process in many national jurisdictions. Currently in many countries, including Ghana, impact audit reports are required prior to mine development; these reports tend to catalogue all exp ected

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79 adverse impacts from a particular mining operation as well as the remedies proposed to be undertaken by the company. Because these reports are often subject to vigorous public discussions, it may be politically unwise for companies to be seen as run ning away from the reality that their operations do indeed create some amount of hardships in local communities. In this sense, the victim view of communities can be seen as discourse of political correctness that may or may not actually influence on the g round company practices in any way. ant to point out that some companies are more detailed in their articulation of this view than others. According to poverty, low literacy levels , and inadequate health care and http://www.aga reports.co m/12 ). Of the three companies, only AngloGold is explicit in assigning blame. And here, there appears to be a strong view in AngloGold that poverty in mining communities must be blamed on central governments and their agents in mine operational jurisdictio ns. Thus the company argues that poverty in local mining development efforts at the national, regional and local levels (AngloGold 2011:13). The other cause, according to AngloGold, may simply be governmental neglect:

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80 governments do not supply basic infrastructure and services to communities http://www.aga reports.com/12 ). communities as guarantors of success (CAGS) . This view replaces the old view of in Ghana. Unlike the threat view, the guarantors of success view advocates non coercive approaches to gaining community consent for mine development or expansion and implicit ly admits some amount of company vulnerability to communities in the sense that it, at least rhetorically, accepts and respects the right of local communities to give or withhold approval for mining projects. In other words, this view recognizes and, at le ast (Interview, 2011). Consequently, mining companies in Ghana have found it important to explicitly highlight the role of community approval in ensuring company suc cess. For we al so need the www.beyondthemine.com ). Importantly, in this view of communities, a determined effort is made by companies to both acknowledge and distinguish the interests of communities from those of the national or regional governments in operational jurisdictions; as it is widely perceived that the conditions for community approval are differen t from those for regulatory approval. As an o fficial from Newmont points out, I n the context of developing countries where government is not being seen to be representative of communities and where communities do not even

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81 identify themselves with the nati on state; if you are a company and you ignore the interests of the resource community, believing that whatever government prescribes for you is all in all, you will not be able to succeed . (Interview, 2011) The task for mine managers then is to identify the particular interests of local communities and try to meet these in a way that fosters community approval for mine development and expansion. It is important to point out that of the three ontological views of communities, the guarantors of success (CAGS) view appears to hold sway over company practices within the context of community development at the operational level in the Ghanaian mining industry. There, community development is approached overwhelmingly from within a framework of risk managem ent: that is, to prevent or minimize community imposed operational disruptions so that success can ultimately be attained. Utopias/Normatives At the normative level, there is a great deal of convergence in discourse on local communities among the three com panies in this study. Here, two words dominate the discourse: benefits , and (shared) value . The central idea is that communities must have reason to want to host the mining operation in just the same way as shareholders must have reason to want to kee p their investments in the mine. The benefit or value is seen in terms of improvement in the living conditions of community residents. This is need to see value in what we do, ( Newmont 2013: 113). To AngloGold, it is important that the company extend value creation beyond shareholders to include communities (AngloGold 2011:11) and ensure long term development of local communities (An gloGold Ashanti 2005:4).

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82 This discourse is important not only in the sense that it elevates local communities, at least rhetorically, to the status occupied by shareholders and other stakeholders in company strategy; it also places some undefined amount o f responsibility with mining firms for the improvement of living conditions in local communities. Some companies have gone on to actually articulate this responsibility using a language of obligation. For example, speaking at the signing of a social respo argued: "We have a moral obligation to improve the standard of living of people living in our area of operation" ( www.newmont.com ). Goldfields puts it just about the same way: and well at the normative level, there is not just the desire to see improvement in living conditions in host communities; there is also an acceptance of some amount of responsibility for creating this improvement. Policy Actions In policy actions, there is cons iderable uniformity as well as some very important differences in how the three mining companies propose to deal with improving the living gh partnership denotes working with a number of actors, the focus in the discourse on partnership here has tended to emphasize local create enough shared value such that ( http://www.beyondthemine.com ). http://www.aga reports.com ).

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83 Importantly, the discourse of partnership, while cognizant of the practical complexity and multi actor nature of community development, also offers sufficient space for ambiguity on corporate commitment and performance in this important arena. Partnership has been deployed to support different corporate stances within the domain of community development. In some instances such as in Newmont, partnership is deployed to justify stronger company involvement or cooperation with communities within the context of community development. At its Ahafo operation for example, Newmont took leadership roles in initiating platforms and building capacities to discuss and formulate community vision for development. Thus the company prides itself in ( http://www.beyondthemine.com ). I n other instances such as exists in AngloGold, partnership is deployed to distance the company from the local communities in very forceful attempts to demarcate the parameters of its responsibility for community development (AngloGold Ashanti 2012:58). Thu develop an approach that enables communities to play the dominant role in designing their economic future, with AngloGold Ashanti as a supporter and contributor in their gloGold Ashanti 2010:5). The company sees its role strictly in terms of formulating takes a very laid back approach; positioning itself entirely as an outsider who is

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84 interested in t he development of the communities but which would not act unless the community first acts to address its own developmental aspirations. This view of partnership, while admirable in terms of its intent of promoting community leadership and ownership of the development process, also appears to take a very idealistic view of the organizational capacities of local communities (see Pooley 2003); and in fact offers very little incentive for any fundamental change in company practice towards improving the lot of l ocal communities beyond philanthropy. Conclusion In summary, three things are observable in Chapter 4 . First, there is a great deal of (strong) discursive change across all three companies in the study. This change is reflected not only in terms of the rising significance attached to the idea of local communities in company narratives, but also in terms of the embrace of a responsibility for addressing poverty in local mining communities. In Ghana, this is a particularly refreshi ng development because, as highlighted earlier, mining communities in Ghana have been historically marginalized in the context of mining development decision in company p olicy only to the extent considered necessary for regulatory compliance and/or for removing community sponsored operational disruptions. Thus a verbalization of a commitment to communities and to CD in these communities must be celebrated . Second, there i s a great deal of uniformity in discourse (at all levels) across all three cases in this study. At the ontological level, three main views of communities are held by the companies: communities as victims; communities as poor entities ; and communities as guarantors of success (CAGS). As Chapter 4 shows, companies have come to embrace the victims view because the recent regulatory requirement for

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85 the production of impact audit reports in many countries make s the articulation of this view politically expedient . Importantly, articulation of this view makes companies look sensitive and humane, two critical qualities society has generally come to expect of corporations in recent years. The poor view of communities appears to be anchored in an inescapabl e reality in most mining communities in the developing world . Mining ty pically occurs in remote communities with minimal access to basic social services (Bebbington et al. 2008) . Importantly, however, it does not appear that the articulation of this poor view necessarily translates into acceptance of an unqualified responsibility for poverty reduction in local mining communities. This is clearly reflected in the discourse at the policy action . In CAGS , there is a very instrumentalist interpretation of CD and poverty reduction in local mining communities , intricately tied to a growing belief both in the academia and among business executives that CD is good for improving business financial performance (Margolis and Walsh 2003; ESMAP et al. 2005; Vogel 2005). At the normative level, the discourse highlights the creation of value or benefits f or local mining communities. This discourse is very important because it significantly elevates the position of local communities , putting them at par w ith shareholders, at least rhetorically, in these companies. V alue for local communities is operationalized in terms of improved community well being. Thus, at the normative level, there is not just the desire to see poverty reduction in host communities; there is also an acceptance of some undefined amoun t of responsibility for leading efforts at poverty reduction.

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86 At the policy action level, all three companies emphasi ze partnership as the main approach to addressing poverty in local communities. Yet, as the Chapter 4 shows, different interpretations of partnership exist across companies. To some such as Newmont , partnership is interpreted to mean strong er collaboration with communities from vision formulation to the development of local decision m aking institutions necessary for delivering improved community well being. To other companies such as AngloGold , partnership means communities to sort out their own development problems Thus , although the discourse (at all levels) appears to be the same across all three companies, differences in interpretations partnership ( at the policy action level ) has the potential to have important implications for the organization side (i.e. rules, resources , and actors) of the CD policy arrangement and ultimately CD outcomes across companies. The third important thing observable in Chapter 4 is that while three discourses are discernible at the ontological level, in practice, CAGS appears to be the dominant discourse driving CD acro ss the mining industry in Ghana. By this CD is pursued strictly as a risk management strategy aimed most importantly at minimizing operational disruptions by local communities, and to some extent, at enhancing corporate reputation in ways that guarantee company access to community resources. This means that the other ontological views of co mmunities victims and poor are articulated largely out of political correctness , and thus may have very little actual influence on CD policy and practice in these companies. The dominance of CAGS is not very surprising not only because of the near orthodoxy of the idea that corporate social performance improves corporate financial performance (Margolis and Walsh 2003; Vogel 2005 ; ESMAP et al.

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87 2005 ) , but also because CAGS provides a more meaningful framework that helps managers (at all levels) more readily justify escalating CD costs . And especially when viewed as a risk management strategy, CD managers p ressed for short term measurement and ou tcome reports are able to readily justify their CD budgets by emphasizing savings made or to be made by the company as a result of lack of operational disruptions by communities. In essence, CAGS provides a framework for justifying CD as core business. Yet , the dominance of CAGS also brings to the fore the debate about whether or not corporations can truly, sufficiently address poverty reduction in local communities in poor regions .

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88 CHAPTER 5 INING INDUSTRY Introduction For real change to occur, changes in discourse must be accompanied with the creating stable expectations; (North 1991 & 1994; Peters 2000; Hodg son 2006; influence what actors perceive to be feasible and desirable (Jones 2009); and set the parameters on who talks to whom and about what in any particular context (ib id). Rules are both substantive and organizational (Giddens 1984; Wiering and Arts 2009). Here in Chapter 5 , we are interested in looking at company and industry specific rule changes germane to the question of CD within the mining industry in Ghana. Give mining industry , as elsewhere, a useful approach to discussing rule changes in this domain is to examine the extent of integration of the idea of community development into corporate st rategy. Integration of an idea or an issue into corporate strategy necessarily involves the introduction of new policies as well as structural modifications necessary to accommodating that idea. In this sense, we should be interested in the emergence and e volution of the substance of company policies, standards, and structural reorganizations that have accompanied the discursive shift towards community development within and across companies. This approach, besides allowing us to address the specific rule c hanges in detail, also enables us to analyze the processes of change, identify the catalysts for change as well as evaluate the evolution of change both across and within companies in a more comprehensive way.

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89 Importantly, given the potential importance o f corporate level changes for operational level changes and vice versa, the integration process is discussed at the two separate levels in each company. This allows us to evaluate corporate level influences or lack thereof on operational level changes and the significance of this influence for specific change outcomes both within and across companies. Towards this goal, the next section examines the rule changes and related processes at the corporate (group) level in each of the three companies. Careful at tempt is made to highlight similarities as well as the differences in the process and substance of change across the three cases. This is then followed with detailed discussions of changes at the operational levels of each company. In that section, atten tion is paid to the influences of change and the operational level responses to these influences in terms of structural reorganization as well as particular policy choices made in accommodating community development. Integrating CD into Group Level Corpora te Structures At the corp orate level in the three cases in this study, community development generally began to gain attention around 2002, the year the ICMM launched its Sustainable Development Framework (SDF) and the year of the World Summit on Sustainable Development in Johannesburg. Taking account of the hype around the concept of sustainable development in the period, initial corporate concerns about communities in general, and community development specifi cally, were addressed as part of the broader shift towards the idea of sustainable development in all three companies. This means that in almost all cases, the process of integrating communities and community development into organizational strategy began first with official, public adoption of sustainable development as the overarching operational principle. This is

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90 then often followed up by the publication of sustainable development reports , as required under the SDF . Beyond the above two issues, the in tegration process across each company took very different trajectories and was pursued with different levels of speed. In some companies such as Newmont, the integration was swift and rapid; in others such as AngloGold, the integration process took years and appeared to be ongoing at the time of this research. Below, the process is discussed in detail across each company. Integrating CD in to the Goldfields Group Following the publication of its Sustainable Development Review in 2002, Goldfields in 2003 dec of definitions on sustainable development, the company found it necessary to have a working definition th at w ould development (i.e. development that meets the needs of the present generation without compromising the abilit y of future generations to meet their own needs) and subsequently opened a rigorous internal debate focused on gaining better understanding of sustainable development in mining, developing the appropriate procedures and processes; and building the capacity to mainstream the concept in the Group (Goldfields 2004). Led by the Senior Vice President for Strategic Planning, these debates occurred in the forms of multi along the lines of MMSD (Goldfields 2004). Partne ring with the International Finance in August 2004 in South Africa.

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9 1 Goldfields came to the conclusi on that in order to have a more integrated approach to step, the company tasked its Board Committee on Health, Safety and Environment with responsibility for community issues. It then went ahead in 2007 to set up a Steering Committee on sustainable development as well as appoint a Sustainable Development group sustainability strategy. By the end of 2007, Goldfields launched the very first version of its sustainable development framework. In principle, this framework was community development. After a ser ies of refinements and iterations including an Development Framework in 2009. supporting policies o policy. The vision of that policy comes in two parts. The first part addresses the and governments and developme . ( https://www.goldfields.co.za ). In that economic development of its host communities; embracing sound principles of

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92 procurement that facilitate local development; and ensuring the effective design and delivery of com munity development programs ( https://www.goldfields.co.za ). It must be noted that there currently exists no internal management standards and/or guidelines to guide operation s in their pursuit of the broad policy goals. Instead, the company relies on external management standards such as the ISO 14001 and others such as the AA 1000 and OHSAS 18001 , which hardly directly address CD. Integrating CD within the AngloGold Ashanti G roup In AngloGold Ashanti, the process of integrating community development has Goldfie lds in 2004. Having joined the ICMM in 2001, AngloGold was obliged not only to SDF , but report against progress in each of the thus fo cused on coordinating the social investment activities of the company across the group in a way that facilitate d sustainability reporting (AngloGold Ashanti 2003). As a first step in integrating CD into corporate strategy and structures, the company in 2 003 , just like Gold Fields, committee on Safety, Health and Environment to now cover Sustainable Development; and appointed a corporate level Social Development Manager who was expected to lead efforts at coordinating across the group. In the next step, the Board sub committee on safety, health and Ashanti the basis of its social investment philosophy across the group. Key among the provisions of the principle is that the company will

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93 seek to have positive impacts on com munities and cultures in which it operates march towards community development. In an apparent sign of its growing appreciation of the strategic significance of community devel opment, the company in its 2004 non binding guidelines on community investment practice at all operations. Again in 2004, the company organized a workshop for its community/social investment managers, especially those from developing countries within the g roup, to facilitate among othe r goals , knowledge sharing in the context of CD. In 2005, the company began the development of an integrated community management system. While development of the standards was ongoing, the company in 2008 took the strategic decision to merge its Communit y Affairs and Environmental teams, completing the process with the appointment of a corporate level Vice President for Community and Environment in the same year (AngloGold Ashanti 2008). Following the merger of the environment and community disciplines, the company in June 2009, released its integrated community and environmental policy , addressing both community and environmental issues with separate G roup visions for each. and societies in which we operate to be better off for AngloGold Ashanti having been This statement is repeated almost verbatim as one of the values of the

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94 company. To achieve that visio n, the company commits itself under the policy to e initiatives in partnership with the societies in which we operate with the aim I n 2011, AngloGold launched its community management standards, covering a range of community related issues and setting out broad corporate expectations of performance on each of those issues at all operations across the group (AngloGold Ashanti 2012). Economic economic contribution strategy that is informed by results of socio economic baseline assessment of host communities, robust community engagement, and detailed risk assessment. Each socio economic strategy must cover four main issues: local employment, local procurement, community investment, and payments to government. And for each proposed community investment, the strategy must include detailed schedules of activities, budgets, goals , a list of desired outcomes; and monitoring and evaluation plans . Since 2012, the company had been engaged in the development of guidelines that give greater clarity to these standards . Integra ting CD within the Newmont Group industry wide change towards sustainability as encapsulated in the work of the ICMM, it was clearly ahead of many mining companies in its appreciation of the import of addressing community issues from a more strategic level, very early on. In 2003, the

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95 (Newmont 2003:2). Justifying the focus on communities, he went on to e xplain that unambiguous reading of the then evolving operational climate drove the company to be more decisive and more aggressive in its interventions in this direction. As it turned out, 2003 proved to be the busiest in Newmont in terms of the and community developme nt issues, in particular. In 2003, the company engaged a series of international non governmental organizations (NGOs) and groups advocating a range of community rights to deliberate on critical issues that required addressing at a strategic level. It then set up a 3 m ember Global Community Relations Team commitment to community. des elaborate discipline specific standards on safety, health, and community; and ensures that effective management processes exist at all operations to take care of the above three major areas. unity and Under local community investment, the intent of the standard is to ensure that each facility has a strategic program that is informed by needs analysis for financial and in kind assistanc e to communities. The System requires impact assessment of all operations and the collection of baseline data in all the three areas (mentioned above) against which

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96 progress can be monitored. Further in October 2003, the company released its policy on soc ial responsibility and accompanying guidelines. The guidelines provide elaborate expectations of the company on each of the commitments made in the social responsibility policy. partneri according to the guidelines, means that each operation must seek opportunities to maximize employment, training and business opportunities, contribute to community projects identifi ed through needs analysis, and proactively identify opportunities to leverage synergies towards the delivery of CD projects in host communities. In 2007 , the company undertook a review of its community relations based on a resolution passed by its shareho reached its peak in 2006 with the jailing of company officials in Indonesia. Operation Level Integration of CD into Company Strategy There is very little evidence to suggest that the integratio n process at the corporate level had any deep impact on operational level trajectories towards the integration of community development in some of the companies. In fact, as the Goldfields Tarkwa and AngloGold Ashanti cases reveal, until well formulated community management standards and policies became available at the corporate levels (and this is very recent), each operation essentially had to grope its way through to establishing its identity in te rms of its commitment to the issue of community development and the structural and/or policy modifications that were deemed either necessary or sufficient in demonstrating that commitment. Prior to the launch of these standards and policies at the corpora te levels, the Tarkwa and Iduapriem operations appear to have relied essentially on company values, mission and vision statements. While these, in most

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97 cases, did provide some very broad perimeters of what was deemed completely unacceptable, not much dire ction existed in what was to be done beyond what was considered necessary in facilitating sustainability reporting across these operations. Below is presented a detailed discussion of the integration process occurring in each of the three cases in this st udy. Integrating CD into Company Strategy at Iduapriem community ( generally ) and community development, more specifically, into co mpany strategy and planning appears to have come from the International Finance Corporation (IFC). As pointed out in Chapter 3 , the IFC had been an important financier of the Iduapriem mine, advancing various amounts of loans to the mine (1990, 1991, 1995 and 1996) totaling about $43 million in 19996. http://ifcext.ifc.org ). To pave way for Iduapr the mine, Ashanti Goldfields , sought to restructure its debts with the IFC. The IFC made Social Action Pl and environmental risks, an ESAP generally describes the measures to be taken to mitigate the impacts of a proposed activity; and tends to include the schedule of plan implementation, mon itoring and reporting ( http://www.ifc.org ). Compliance is rigorously monitored by the IFC through periodic performance reviews ( mostly by external, independent teams of assessors) . Iduapriem agreed on an ESAP with the IFC in 2000. Among the eleven major

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98 engagement, and community development. Completion of detaile d plans covering each component with a clear list of actions, budgets, and implementation schedule are a sufficient basis for the IFC to, as in this case, complete the loan rest ructuring process. As things turned out, t he ESAP had a profound impact on the structural reorganization of the Iduapriem mine, particularly in the broader terms of its community relations. The critical tasks of stakeholder engagement, public consultation s and disclosures, and community development set out in the ESAP had introduced responsibilities for reaching out to local communities and local actors on a scale In order to address the evolving community challenge, an http://ifcext.ifc.org ), the company hired a full time Senior Community Relations Officer in 2003. It is important to poi nt out that this appointment preceded the development of a community relations unit at Iduapriem; thus, until much later, the position of a community relations officer lacked any effective integration within the existing organizational structure at Iduapri em. A substantially junior position perched in the environmental section of the company, the significance beyond the execution of a narrowly defined pre determined set of activities considered sufficient for demonstrating compliance with aspects of the ESAP. the company in 2003 introduced Community Consultative Committees (CCCs). The CCCs compri sed local chiefs as well as representatives of women, youth, NGOs, and District Assembly (DA) representatives and traditional authority and were to serve as

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99 platforms for communities to discuss pertinent issues with respect to impacts of the mine as well a s other issues related to long these communities (Renner 2004:54). It must be emphasized here, however, that neither the formation of the CCCs nor the appointment of a community relations officer produced any major approach remained substantially ad hoc and request driven . The more substantive effort at addressing c ommunity development at a more strategic level at Iduapriem began in the development of a c ommunity development plan. Development of this plan was a requirement of the ESAP. Yet, an intense campaign waged by the Foodfirst Information and Action Network (FIAN), a German based human rights group and WACAM, a local mining NGO focused on highlighti ng socio , had succeed ed in politicizing the development of this plan. Worried about the reputational implications of this campaign and accused of deliberate sponsorship of mistreatment of 2002 ( http://i fcext.ifc.org ). That meeting laid the basis for the development of a Community Action Plan (CAP) which addressed a range of short and medium term remedial actions to be taken by the company in addressing particular challenges in host communities. Among the issues addressed were sustained provision of potable water, alternative livelihood options, and scholarships to support education of children from local communities (WACAM 2003). The long term issues were to be addressed in the CDP.

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100 C ompleted in October 2 004, the CDP focused largely on addressing alternative livelihood and infrastructure development and represented a more formalized approach taken by the company to improve community welfare and ultimately prepare host communities for post mine closure surv ival (GAGL 2004). However, the plan appeared to be approached more from a compliance mode rather than from a genuine desire to improve community life. First, with a one neither the influence nor a clear community pol icy to support it, the structural framework required for anchoring the plan within the organization was absent. In fact, as was the case with the recruitment of community relations officer, the CDP seemed like one more thing to check off the checklist of E SAP commitments. Second, buy in at the senior management level of community relations generally (and community development in particular) remained extremely poor at Iduapriem for a long time. For example, although the CDP itself proposed an implementation structure that signaled the need to build an enhanced community unit, it took three years (out of the planned 5 year implementation window of the CDP) to make any meaningful attempt at addressing that issue. In addressing the prevalent disinterest of seni or management in community issues and following a recommendation by the IFC for Iduapriem to build an enhanced community relations unit, then Managing Director of the mine, David Renner, organized a one day seminar for senior staff of the company in Novemb er 2006 to drive home the essence of embracing and integrating local communities into the operations of the company. dvocated the integration of community relations into the core operations of mining companies;

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101 communities and mining companies (GNA 2006). In 2007, the company created a 3 person community relations unit whose head (a trained journalist) was supported by two deputies: a community development superintendent and a community relations officer (AngloGold Ashanti 2007). These three were responsible for stakeholder engagement, l and access negotiations; compensation payments, and implementation and monitoring of the CDP until two more community relations officers were added in 2008. From 2009, a combination of corporate level and operational level imperatives drove the further in tegration of the idea of community and community development into the organizational structures at Iduapriem. First, an external assessment of the relations/development capacity as development interventions and recommended the upgrading of the community relations unit to a full acceptance of equal importance by That recommendation tied in quite well with the growing emphasis in the AngloGold Group on the formalization of operational level community relations functions as int egrated Community and Environment Policy in 2009 and the community management standards in 2011. Consequently, in 2009 Iduapriem began a systematic effort to enhance its community relations/development capacity first by elevating the community relations unit to a full fledged department and second by recruiting additional community relations staff between 2009 and 2010.

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102 In 2011, the company recruited a development expert (with significant experience in the development field) as head of its community rel ations department ; and in 2012 re promoted its head from Senior Superintendent to Senior Manager . By these developments, wider community relations functions (including com munity development) have technically secured a status that is at par with other departments or functions within the policy space at Iduapriem. Indeed, currently, the Senior Manager of the Sustainability Department is a member of the Executive Committee (EX ECOM), the highest decision making body at AngloGold Ashanti Iduapriem Ltd. Integrating CD into Company Strategy at Ahafo Several factors combine in directing the integration of comm unity development concerns into corporate strategy at the Ahafo operation. The first, and as was the case in Iduaprie m, is the role of the IFC. D evelopment of the Ahafo mine was made possible with a $75 million direct (a nd $50 million syndicated) loan from the IFC and a s is the routine in IFC , Ahafo was required to dem environmental and social performance standards. This meant that Ahafo had to draw up a series of concrete actions (by way of an ESAP ) it sought to take to address its social and environmental impacts. The preparation of t his plan and subsequent quarterly compliance monitoring by external assessors of plan implementation by Ahafo means that community development concerns gained managerial attention right from the inception of the mine. An official tried to explain the role of IFC in this way: And IFC, as the result of the World Bank background, also has their role in this mine has also helped the company in dealing with most of these social responsibility things . (Interview 2011)

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103 While highlighting the important role of the IFC, it would be wrong to a ssume that the IFC was the only or even the most important f actor in driving conce rns about community and CD into organizational strategy at Ahafo. In fact, a host of other factors CD into its strategy. For example, a t the group level, there is evidence of clear corporate commitme nt or determination to using CSR as a major instrument of brand differentiation in the Newmont G roup. in which the company aspires to be a leader in social responsibility; but also in the rapid development and g roup wide rollout of elaborate community management standards (including the standards on community investment) as far back as 2003 , a year before construction of the Ahafo mine began and before IFC was involved in its monitoring re gimes at the mine . In line with that commitment, Newmont decided to use the Ahafo mine as a model of corpo rate social responsibility in Ghana . An official of the company put it th is way : Now, shareholder s people who will lead the process; who will act as examples for others. And that is what Newmon t decided to do in Ghana as far as CSR is concerned . (Interview 2011) Importantly, however, the existence of g roup wide community standards almost three clear years before the first gold pour in Ahafo left managers of the mine very little choice in embracing CD as they were required to comply wi th these standards. Thus in 2005, Ahafo decided to officially adopt the 5 star management system as well as the group policy on CSR (NGGL 2005:S 28). operational strategy r elates to the uniqueness of the local context in which the Ahafo

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104 mine operates. As pointed out in Chapter 3, Ahafo exists in a region (of Ghana) that had historically known very little mining. Thus , given the considerable evidence of socioeconomic dislocat ion (Akabzaa 2000) occasioned by decades of mining in other determination among locals to re write the history of mining in their backyard. Coupled with the emergence o f the relatively strong civic society and media organizations that able to get away with many of the things that other companies in times past were able to get away with. A s an official explained, eople here have never experienced mining before so we were dealing with serious issues around expectations and perceptions (I nterview, 2011) . With i ncreased local expectations of improved living conditions under pressure to demonstrate some minimal accommodation of this expectation in order to have the peace it required to operate. Another important factor was that the beginning of the globalization of social values in corporations as evident in the Global Compact and a myriad of other similar international efforts. V ery importantly, w ith Newm ont at the forefront of efforts to deepen social considerations in mining operations through its leadership roles in the ICMM, the Ahafo project was generally expecte d to demonstrate some level of leadership in CD soc ial responsibility posture. It must be pointed out, however, that a lthough all of the above factors have had

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105 development issues in host communities, arguably the most decisive factor appears to be the ambition of the mine relative to CSR . According to the Summary of Project Information (SPI) submitted by Newmont to the IFC cited in Levit and Chambers how to , in its Environmental and Social Impact Assessment (ESIA) document, Newmont stated that it was designing and operating the Ahafo South Project to be a model corporate citizen in terms of recognition of social and environmental concerns in [local] communities (NGGL 2005:S 6). So, clearly, there rage CD as a major tool of brand differentiation at Ahafo. With that focus, Ahafo decided at a very early stage of project development that it was embracing sustainability as an operational concept. The concept of sustainability in the extractive sector, the company argues, means that the project must : lead to infrastructure developme nt including electrical distribution into areas where no electrical power was previously available; potable water supply; sanitary sewage system; waste handling and disposal systems; roads; bridges; housing; health care; communication systems such as mobil e telephones and other components of societal needs that were not present in developing areas. (NGGL 2005:S 7) In October 2005, the company completed a social and CD vision and commitment document with explicit statements on its vision and commitments in the domain of CD . CD vision as stated in that document is this : T he Asutifi and Tano districts have an enhanced socio economic well being, their health is improved, education and training opportunities increase and accelerate, and that all of thes e improvements are sustainable, independent of and beyond the life of the mining activity . (NGGL 2005b:1)

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106 Importantly, , the company had decided from the outset that a community trust fund (foundation) w ould be set up as th e major framework for coordinating its broad CD interventions (NGGL 2005b) ; and that a social responsibility agreement with local communities would be signed to govern relations between the mine and local communities in the context of CD (NGGL 2006) . By Ja nuary 2006, the first consultations between Ahafo and local community representatives on these two issues development foundation and responsibility agreement had taken place. By May 2008, three agreements were signed between the company and local commu nities. The f f oundation, its operations and administration; the second addresses local employment and sets the broad principles and procedures of recruiting locals; and structures for the implementation of the these agreements as a whole . In the same year, the company officially set up its development foundation, the Newmont Ahafo Development Foundation (NADEF). Further in support of its broader visions on CD, t he company also in 2005, set up with a staff strength exceeding 40, and a dedicated comm unity development department that is autonomous from the community rela tions section, headed by a full time manager and with staff of 6. This demonstrates, in some measure, a clear commitment to integrating community development into organizational structu res and strategy at Ahafo .

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107 Integrating CD into Company Structures at Tarkwa The Tarkwa mine journey towards the integration of community development into company strategy was heavily influenced by two major pushes: operational necessities and public ac tivism against the mine. As pointed out in Chapter 3, u ntil little with the life and economic opportunities of local communities. The complete elimination of underground o perations and subsequent resort to full scale open pit mining in the Tarkwa mine in 1999 brought the company into direct conflict with its surrounding communities resulting from intense competition over land and water resources, and also from disputes pert aining to mining related environmental pollutions (noise, dust, cyanide spills etc). Con sequently, initial company concerns with communities dealt exclusively with meeting the legal obligations of resettlement and compensation payments to mine affected pe ople . Upon completion of all resettlement concerns in 2000, the company decided to create a dedicated community and public relations department. The reasoning, as you will have a peace of mind to do your gold mining. It is not possible. So the company then realized the need for a community relations manager (Interview 2014). With a staff strength of two (including the manager) in 2000, the role of the community (and pu blic) ely community engagement [and] trying to make department essentially was to create harmony between the mine and local comm unities and promote the image of the company through explicit public relations activities or efforts. .

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108 The ultimate impetus to integrating community development into corporate strategy in the Tarkwa mine can be directly attributed to a major cyanide spill by the mine in 2001. Massive rains on the 15 th of October of that year caused a slide in the heap leach pad which subsequently forced the pipe carrying cyanide solution from the cyanide pond to the leach pad to break at a joint, releasing an estimated 900m 3 of cyanide into River Asuman and associated streams (Amegbey and Adimado 2003). For local communities which depended on River Asuman for their livelihood and which were also mostly resentful towards the mine for lack of socio economic progress (Amegbey and Adimado 2003:C128) , the spill provided a perfect Aided by local NGOs , most notably WACAM and Center for Public Interest Law (CEPIL) , and with sufficient media coverage, the communities embarked on massive public campaig ns against the mine. A key part of that campaign was a law suit filed by WACAM and CEPIL against the mine on behalf of local communities. In an out of court settlement reached on this suit, the mine decided to pay a $1m compensation to support infrastructu ral development, provision of social amenities and alternative livelihood programs in communities that had suffered the impacts of the cyanide spill (Chronicle 2008; Interview 2014). As things turned out, t he intense negative publicity generated by the s pill appeared to have shaken the mine and forced a self introspection that ultimately resulted in some internal structural reorganization towards community development. As one official put i t, After the spill we realized that no, the root cause of the pro blem was not that [much] negative publicity. So we realized that the root cause [of the

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109 negative public ity] was , rather, our not being close to the community . (Interview 2011) socio economic challenges of the host communities. Thus, the company in 2002 announced the creation of a community trust fund to provide a steady stream of resources to more strategically address community development issues in its host communities. In 2005, Goldfields Ghana also launched its integrated community development program called the Sustainable Empowerment and Economic Development (SEED) project which was to cover host communities of its two operations in Tarkwa and Damang. Conceived as a project was expected to provide the framework for improving quality of lif provide a platform for more systematically discussing broader community development issues with its host communities, the company (following the lead of Iduapriem) in 2005 also created its own version of the CC Cs as well as the Tarkwa Mine Consultative Committee (TMCC). The latter was made up of representatives of all the communities, Goldfields Ghana, District Assemb ly, as well as other decentralized agencies such as the Environmental Protection Agency (EPA), D istrict Health Directorate, Food and Agricultural Department, Labor Commission, and the Western Regional Administration. The TMCC serves two main purposes: take major policy decisions on how to address development challenges in the broader Tarkwa District, and serve as a forum to publicize the development work of the company in the District (Yirenkyi 2008).

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110 Between 2006 and 2009, the company bolstered its community and public relations department by the addition of three social workers, bringing the tota l staff staff) in 2011. In May 2009, the Tarkwa mine a olicy , which provides broader policy clarity for which, like its successor, seeks to support communities in underta king development and livelihood e nhancing projects. Industry Level Rule Changes on CD There have been very visible shifts towards community development at the 2003, the Ghana Chamber of Mines has tak en an active interest in promoting active community development across its member companies in Ghana. In 2004, the Chamber introduced a code of conduct that demands compliance with major points under four . Under community responsibility, each member company is obligated to consult local communities on their aspirations and values at all stages of mine development and to voluntarily contribute to the socioeconomic development of their host communities to th e extent permitted by their resources (GCM 2004). Further, taking account of the unique challenges presented by the mostly open pit mining in Ghana and cognizant of the threats posed by this form of mining to community livelihoods, the Chamber in 2005 als o launched a policy on members to institute alte rnative livelihood projects as mechanisms for promoting long -

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111 term employment and livelihood security in local mining communit ies, but actually provides specific principles that must be observed in such programs. Among these principles include the involvement of communities in the design of such programs, the institution of forums for exerting accountability by communities, the c reation of project coordinating committees, the creation of dedicate d source s of funding to support such projects, and the provision of training for community members to ensure success of interventions. quarterly series aimed at bringing all relevant stakeholders together to address challenges relating to the Although the F orum had been important for the Chamber to both educate the public on its industry in that regard, many NGO actors have also used the Forum to press ure the local communities. It is important to point out, however, that rule changes at the Chamber level appear to be driven by member companies, meaning that the changes at the industry group level tend to reflect changes occurring am ong major players in the industry; rarely the other way round. It is also not very clear that there exists sufficient monitoring of these codes and policies by the Chamber. Conclusion Chapter 5 reveals very significant , strong changes i n rules across all three companies although it is apparent that the speed of change was faster in some companies than in others . Importantly, Chapter 5 also reveals the operation of several factors and actors in the rule change process across these companies. It reveals the

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112 huge influence of the IFC in Iduapriem, corporate management in Newmont, and local communities in Goldfields. Very importantly, it highlights the disconnect (at least at the initial stages) between changes at the group level from changes at the operationa l level. It shows that in the main, the change in rules especially at Iduapriem and Tarkwa were driven by external circumstances rather than by corporate direction. This differs from Newmont where the most critical factor appears to be internal : corporate leadership. Chapter 5 also shows that generally, rule changes appear to be very uniform across companies (at least on the surface). For example, there are in each company broad community policies (detailing deep commitments to various aspects of standards and guidelines (that clarify corporate expectation of company interactions with communities in specific community relations and CD issues), and CSR/CD policies and standards (spelling out broad corporate vision for CD). Similarly, new community governance structures have been desig ned in each company to coordinate CD at all levels ; the corporate p olicy making s pace has been expanded to accommodate community related issues including CD at all levels in each company ; possession of social development expertise is increasingly emphasized for community relations staff; elaborate community development pl ans ( or CD agreements in the case of Newmont) have been formulated and/or signed in each company to promote a more proactive approach to CD; and very importantly, new community structures (e.g. the CCCs and SDCs) have been created to help each company coordinate CD decision making and implementation with local communities.

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113 Beneath the surface, however, there are some important differences across companies. For example, unlike both Iduapriem and Tarkwa, Newmont has a dedicated CD unit different and sep arate from its community relations department , manned by a staff capacity that i s bigger than the capacity of the total community relations departments at both Iduapriem and Tarkwa, as of 2011 . Indeed, the total staff strength ions department in 2011 was roughly 4 times bigger than the combined staff strength of the community relations departments of both Tarkwa and Iduapriem. On the surface, the decoupling of the CD department from the community relations department as well as the higher community/CD staff density at Newmont suggests a relatively strong er level of commitment to CD at Newmont, but it is not clear if and the extent to which this has any impact on CD outcomes. However, to the extent that each company has clear com munity policies and management standards on CD, dedicated community relations/CD departments, social specialists leading CD, etc., it is fair to conclude that there is a strong change in rules across all three companies.

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114 CHAPTER 6 ACTOR CONSTELL ATIONS AND INTERACTION PATTERN S WITHIN THE C D N G INDUSTRY Introduction Historically, the ad hoc nature of what could be described as community development activities in the mining industry in Ghana meant that the architecture for CD management revolved predominantly around general managers at each operation. In all cases, the general managers were by far the most dominant actors, deciding both out of goodwill and pressure, which development support to provide local communities and when. On occasions, local chiefs and/or District Assembly Member s had the chance to make inputs b y means of requests conveyed to the mines ; bu t in all instances, the decision of whether to accept those requests and to what extent to meet them was the sole preserve of general managers. In actor constellation and interaction patterns, we are interested in addressing the question of what has changed in terms of the constellation of actors that have historically defined community development priorities, designed and implemented programs. Has the organizational order changed in terms of dominant players wi thin the CD policy arrangement across companies? If there is a change, what is the nature of this change and how significant is this change in terms of the community development processes? Importantly, we are also interested in uncovering the nature of int eractions especially between the mine and other players with in the context of the CD decision making process, the mechanism s of interactions and the implications of the particular forms of interactions. To begin with , it is important to point out that, the re is evidence of some expansion of the actor constellation, and a lessening of the dominance of the general

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115 manager within the community development decision making framework across mining companies, in recent years. Three groups of actors that have gaine d some voice in the CD space are local communities, the District Assemblies (DAs) , and NGOs. Detailed discussion s on each of these groups of actors and their interaction patterns with each of the three mining companies in this study are presented below. Local Communities Over the last few years, local communities have gained relatively much bigger voice in community development decision making through the establishment of dedicated community committees such as C ommunity C onsultative C ommittees (CCCs) and/ or S ustainable Development C ommittees (SDCs). Conceived as vehicles for both identifying and prioritizing community needs and serving as channels of communication between the mines and local communities on issues of mutual concern, these committees genera lly tend to include community elites such as local chiefs, Assembly Members (AMs) and representatives of various social groups in the communities i.e. c ommunity elders, women, youths, and local NGOs (in some cases). While the composition is uniform across companies, the ability of these committees to exert any influence over the community development decision making process and the vehicles for exerting such influence, if any, var y considerably across companies. Newmont Ahafo and local communities in CD In Newmont, local communities through the SDCs are in practice the final authority in the determination of community development priorities, acting within clearly defined parameters agreed to by local communit ies and the company under the Foundation Agreem ent signed between them in 2008 (see Chapter 8) . This agreement promotes transparency over CD budgetary allocations by the company and grants

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116 communities considerable control over CD resources. For example, the agreement stipulates the share of money acc ruing to each community out of total CD resources committed by the company each year. By this arrangement , communities know from the outset, how much CD resources are available to them each year and can thus plan for their use . Importantly, the agreement also binds each community to allocate its share of CD funds to 6 main development ar eas , in order of priority : human resource development, infrastructure , social amenities, economic empowerment, natural resource protection, a nd cultural heritage and sport s. With these understandings firmly established, the SDC in each community is expected to compile a list of priority projects under each area, and submit project proposal s, with clear budgets , to the Newmont Ahafo Development Foundation (NADEF), for approval and subsequent release of funds for project execution . Typically, a final list of priorities is often arrived at through balloting on a range of proposals presented by each SDC re presentative. As explained by a community leader , prior to project selection, [ Each SDC representative ] would come to their various groups that they represent and then they w ould discuss: what do you think that we want? Maybe the youth will say we want an ICT center; the Assembly Member s w ould say maybe we want a football park. Af ter that they [all SDC rep resentatives ] would all go for a meeting and vote for all the ideas that have come . (Interview 2013) The proposals with the most votes in each developme nt area are then forwarded to the NADEF to making money available to communities through the trust fund, NADEF; and through its representation on the NADEF board, ensuring productive use of these funds. The community mainta ins full control over the development process. interactions with local

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117 communities as extremely cooperative, and as having experienced a strong , fundamental change. AngloGold Iduapriem and local communities in CD In AngloGold Iduapriem , community voice in determination of development priorities or in program design and implementation is less pronounced. The first integrated Community Development Plan (CDP) of the company launched in 2004 envisaged an implementation fr amework that involved the CCCs. According to that company by identifying and communicating pressing community needs with the company. In practice, however, community voice in the development decision making process in Iduapriem is very minimal, at best. Two factors, both internal to the company, account for this situation. The first relates to the historic lack of dedicated funding for the implementation of the CDP . Impleme ntation of that CDP (and others later) has depended largely on annual budgetary releases that remained sporadic and with little sense of urgency or commitment. An official summarized the challenge this way: mes you find it difficult following your work plan as scheduled because money may not be available to implement [programs] . [The usual management refrain is] you have to wait; there is no money. Defer some projects, go back to the community and explain to this thing a gain. (Interview 2011) The high unpredictability of budgetary releases sufficiently undermined the ability of community relations officials to assertively deal with communities on the subject of c ommunity development, given that they themselves are unable to guarantee implementation of any agreement reached with these communities.

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118 The second which is actually related to the first concerns what can be described as an obsessive concern by the compan y for controlling the community development budget. This near compulsive obsession ultimately led to a very narrow definition of the responsibilities of the community relations official hired to oversee implementation of the CDP in 2004 . One of the two key responsibilities of this officer as stated in th at CDP is A principal way of accomplishing this, it mine. According to the CD ble for their own Consequently, i n what appears to be attempts to cope with the budgetary uncertainties and deliver on controlling the development budget, there has been a strong tendency among company officials to maintain a very tight grip on the community development process, providing little room f or any meaningful participation of local communities whether in the determination of development priorities or in designing interventions. To create an appearance of community involvement, officials of the mine have tended to concentrate their consultation s with prominent community elite s , mostly the AMs and local chiefs. For example, t hough the company established CCCs since 2003, they have played very little role in the community development decision making at Iduapriem. In fact, the CCCs have served as nothing more than platforms for informing communities of projects proposed to be undertaken by the company. A community leader clarified

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119 Whatever the company decides to do in the community is passed down through t he CCC to the larger community. CCC buys into the idea, it is easier to pass that to the community . (Interview 2013) The approach then is to buy CCC support through perks (Interview 2013). Besides this gate keeping role, the CCCs have had very little success in defining community development priorities or in planning, designing and/or implementation of CD interventions by Iduapriem . As one community leader points out, T hey [AngloGold] sele cted us [i.e. the CCC] to be leaders so that if the never take. For example, they built us a room for mushroom farming. When they were coming to do this, we told them that this kind of building would not last and this kind of project w ould not help. So we said why u know when [university] graduates would ignore you] . (Interview 2013) The company almost always had its way in program selection and design : When they come and you tell them we want yo u to do it in this [way], they would say no. And then later on, they would say they are bringing you maize, palm seedlings, fertilizers, this and that . (Interview 2013) In fact, officials of the company had since 2005 depended on socio economic baseline su rvey reports, rather than direct contact with communities, to identify what they believed were community development priorit ies. As an official pointed out, [The 2008 CDP document is] what I am using to support my thinking about what needs to be done ther e [ in communities] (Interview 2011) . Providing more details to corroborate the first, another official had this to say: We did two studies on the community recently stakeholder mapping exercise and the community socio economic baseline. We put the two together to analyze what it is that the stakeholders or the community want s (Interview 2013) .

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120 While this approach might not necessarily be bad in and of itself, it is highly unlikely that these reports provide unambiguous understanding of community deve lopment priorities , especially over multiple years. CD social survey reports differed from those of concern to communities ( as identified during program implementation ) . Yet, relying on these reports appeared to have provided a instabilities towards community development as well as to manage communi ty expectations in ways that keep the development budget in check. Ironically, the CCCs gradually transformed into advocacy organs for the company in each community, a role some community members believed was deliberately encouraged by the company through leader , B ecause those who were chosen to be the head of the committee, when they go to the company, they give them everything food, etc. whatever the company said, they w ould divide and rule. If you are a this man. Give us another person. This w ould continue until they get the Whether compromised or sidelined by the company, the outcome is the same: the CD decision making process to date. In fact, since 2011, the community relations department officially cut any dealings with the CCCs over concerns that they have become too expensive to maintain; preferring instead to rely on the local chiefs and AMs for community input into the CD decision making process. In essence, not much appeared to have changed in terms of company community interaction patterns at

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121 Iduapriem . In other words, the change here (if any) in terms of company community interactions can best be described as weak . Goldfields Tarkwa, local communities and CD In Tarkwa , the situation is not very different from that at Iduapriem. Goldfields Ghana created a trust fund for community development in 2002 and through this, has a dedicated community development funding source that is unencumbe red by operational pressures. Yet, the mine continues to maintain a tight grip on the CD decision making process, allowing very little community input . Tarkwa officially recognizes 5 MCC , (ii ) chiefs, (iii) CCCs, (iv) community forums, and (v) informal meetings ( http://www.goldfields.co.za ) As a policy, the mine (through its Foundation) is expected to implement development projects recommended by CCCs. Thus, in an annual general meeting of the Foundation in 2011, The Chairman of the Foundation, Mr. Peter Turner, sought to reassure the public t hat ( http://business.myjoyonline.com ) . In practice, however, the CCCs and thus local communities have had very little say in the choice or design of community development interventions of the mine. As revealed in an interv iew with one community leader, It [the CCC] is supposed to have spearheaded all the p opinion of the mine management, I think is the [community] leadership which is the Assembly Member and the chief . (Interview 2013) He elaborated on how the process wo rks in practice : Normally, if they [the Tarkwa mine] want to do development in the community, they invite the authorities, i.e. the chiefs and the Assembly

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122 man to att end a meeting the chiefs and A ssembly man of all the communities in the catchment area (about nine) are invited to that meeting, then they would ask [about] the projects that the community . (Interview 2013) The selection of which development priorities to address in any given year is exclusively deci ded by the company The company would select the ones that fit their budget and then maybe they would come and i mplement whatever they selected (Interview 2013) . There is always the danger that projects that were lines for development wor k in each community, chiefs and Assembly Members are extremely handicapped in understanding w hat project is implementable and what is not, in any given year. A community leader explained the situation this way: Always, the management of the company has the upper hand. If you go and choose a project that is more than their budgetary allocation, th ey will not listen; they would do what they want to do for the community . (Interview 2013) There are a number of possible explanations for the dominance of chiefs and Assembly Member s in the determination of community development priorities at Goldfields Tarkwa, some purely due to local circumstances. The first reason is the convenience it offers company officials in dealing with the communities . The second, less obvious, reason is the determination on the part of the local chiefs to ensure that they, r ather than non indigene settlers, are actually in control of the development process ove r their territory. This is how a community leader put it: The Apinto/Wassa people insist on taking all decisions since they own the land we are on. They told the mine , this is our land and so we have to decide what to do (Interview 2013) .

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123 The mine simply obliges, as it were. The third reason may relate to the lack of incentive among community members to seriously engage with the mine in discussions over determinatio n of development priorities. Years of mistrust and inability of the company to effectively respond to problems communicated to it by the communities in the past have led many community (CCC) members to see any effort at engaging the company as a waste of t ime. As a community leader explains, I f somebody is finding [struggling to find] his/her daily bread and is coming to waste his time and nothing will come out of it, it also leads to some lackadaisical approach to some of these things. So, those are the problems. The incentive is not there . (Interview 2013) In fact, responding to why the chiefs and Assembly Member do not in turn consult their communities prior to meeting with the mine officials in discussing community needs, this is what one community le ader had to say: You beat the gong gong to meet the community and you would not get the people. The attendance alone will deter you. You w ould go and sit and only one or two people w ould come from a community of over 2,000 that the chief and the Assembly Member and other opinion leaders, we sit, put our heads together and think for them . (Interview 2013) In essence, the Tarkwa mine continue to rely on chiefs and Assembly Member s as generators of project proposals from each community. Given this situation, it is difficult to speak of any change in Tarkwa in terms of interactions with local communities in the context o f CD decision making. In other words, the change, if there is one, is weak. District Assemblies Another actor group that has gained some influence in the company led CD domain is the District Assemblies (DA s) in mining areas, though their influence, as in the case of other actors, differs considerably across companies. Currently numbering a total of 216, the District Assemblies constitute local government in Ghana and are the

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124 public sector agency for promoti ng rural development across the country. Over the last few years, as pressures on them for greater involvement in eradicating poverty in their host communities surged, mining companies in Ghana have sought to deflect these pressures by referencing the dev elopment responsibility of the A ssemblies. Yet, beyond deflecting pressures, there is evidence of genuine partnerships with DAs in the context of mining company led local development initiatives. the DAs are elaborated belo w. Newmont Ahafo and District Assemblies in CD In Newmont, the DA is an intricate part of the community development planning (and implementation) process. fter the community has decided to have whatever project, the SDC will have to contact the District Assembly for endorsement before it [ the proposal] gets to the NADEF secretariat (Interview 2013). In practice, the DA endorsement comes in two forms. The first refers to actual signatures of approp riate DA officials on speci ally designed project proposal forms, demonstrating their agreement with the contents of the project proposal to be submitted by a community. The second, probably more important part is that the Assembly must, as proof of its endorsement of the project, ag ree to and actually help the communities complete the project proposal by (in the case of infrastructural projects) specifying and elaborating the design parameters and accompanying detailed budget for each proposed project. Generally, there are three reasons why Newmont Ahafo (and others) seek s DA endorsement of community proposed development interventions. The first is to ensure DA buy in of the project in a way that ensures continuous, long term support for completed projects. By ensuring DA buy in, the mining company achieves a division of

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125 labor in which it limits its responsibility to the provision of the initial start up costs of development (especially infrastructural) projects, while committing the DA to shoulder the long term operational costs once the project is completed. This division of labor eliminates potential underutilization of development projects, while freeing company resources for other development initiatives. The second reason is to eliminate waste induced by duplication of devel opment efforts between the company and the DA. According to a member of the NADEF Board, T he other reason the SDCs must go to the DA is that assuming it is a health post you want to put up, for instance, or a classroom or whatever; maybe the DA has also planned to have a health post over there; before you are aware , think it is helpful . (Interview 2013) The third reason is a conscious attempt to not usurp or be seen to be usurping the developmen tal responsibilities of the DA. According to a company official , We have a district that we are operating in; this is just a Foundation that is supporting the gener it is important that we have a link with the district d evelopment plan, so [that] whatever development is going on should feed into the overall development plan. Otherwise, you would be a quasi government doing something else and the District is also interested in something else . (Interview 2011) Besides proje ct design, and importantly because of its role in the design of especially infrastructural projects, the DA is also an intricate part of Newmont Aha community development implementation and monitoring process . As an official pointed out, once a projec t is awarded on contract , T he project team [of the NADEF] , District Assembly and the SDC will then see to it to ensure the project is [well] executed. They have site meetings, site visits and project monitoring with the District Assembly engineers e sure that the project is co mpleted and handed over for use. (Interview 2011) In essence we can speak of a strong change in the interaction between Newmont and DAs within the CD policy process . The interaction is not just frequent and cooperative ;

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126 but it is also very substantial from project planning and design through implementation and monitoring . Goldfields Tarkwa and District Assemblies in CD As already mentioned abo ve, the TMCC is a 31 member committee that comprises the political and administrative head s of the Assembly , heads of all the decentralized public agencies in the District , chiefs from all host commu nities, and representatives of NGOs, media, the Regional Administration, and Goldfields Ghana. With its quarterly meetings chaired by the General Manager of the Tarkwa mine, the TMCC has three main functions: (i) provide policy direction on the development interventions of the mine in the District, (ii) identify and recommend district development priorities for support by the mine; and (iii) discuss progress on implementation of existing projects (Yirenkyi 2008). Although the policy direction functions of the TMCC have included discussions about broad developmen tal challenges of host communities and recommendation of appropriate remedial actions to be pursued by the mine in these communities, generally, the TMCC plays a very limited role in the actual on the ground development interventions of the company in thes e communities . Its role is effectively limited to the policy level. Yet CD interventions at the community and district levels are discussed at its meetings, the TMCC has proven useful in helping the mine inform appropriat e agencies about its activities, exchange ideas about proposed interventions, and request technical assistance where appropriate. In sum, it is fair to argue that there is a very cooperative relationship between the DA and the Tarkwa mine; and from that s ense, a great deal of change appears to have taken place as far as the interaction between the mine and DA is concerned.

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127 AngloGold Iduapriem , District Assemblies and CD In Iduapriem, the story is quite different from that in both Newmont and Tarkwa. Altho ugh Iduapriem has had a long hi story of engagement with the DA; the latter has been more useful as a mediator between the mine and local communities over a wide range of disputes spawned by years of mistrust and antagonism. In fact, no formalized structure exists for interactions between Iduapriem and the DA within the context of community development. remained ad hoc, dependent on the particular intervention at play and also on the predispositio proposed an implementation structure that comprised an Advisory Committee much of the mine, this is ye t to be set up. The lack of a formal structure for coordinating community development interventions of the mine with the DA means that in practice, the company designs and implements its own development interventions, liaising with individual sector agencies at the Distri ct level as and when necessary. As revealed by an official of the company, e do our own development projects; but we work with other stakeholders, institutions which are mandated to do those things ( Interview 2011) . For example, the company had worked with the local departments of Food and Agriculture, the National Board for Small Scale Business Industries (NBSSI), and the Community Development Department of the Assembly on specific development interventions. Currently, the Iduapriem mine appears to be evolving a more strategic approach to its involvement with the Assembly:

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128 So now, the approach is to form partnerships; we are not development agents: we contribute. So the approach is to see how we collaborate with the agency in charge of development the Municipal Assemblies in this case to bring other partners on board so that we can all work [together] . ( Interview 2013) It is not clear how this would wind up, and the particular forms these partnerships will take. Mining Companies and NGOs in CD i n Ghana NGOs have, over the last decade, gained some reasonable influence in the community development domain in the mining industry in Ghana, albeit mainly at the higher national policy level rather than at the level of CD implementation in host communiti es . Steady progress in political stability in Ghana over the last several years has spawned many NGOs of different sizes and convictions working both individually and collaboratively to promote general policy changes towards community development and respe ct for the rights of local communities (by the mining companies). Among the most prominent NGOS in this regard are WACAM, Center for Public Interest Law (CEPIL), Third World Network (TWN), Friends of the Earth (FOE Ghana), OXFAM Ghana, the Integrated Soci al Development Center (ISODEC), the Foodfirst Information and Ad vocacy Network (FIAN Ghana), the National Coalition of NGOs on Mining (an umbrella organization), and the Opportunities Industrialization Center Ghana (OIC Ghana), a local affiliate of the US based OIC International . As pointed out already, in the main, most of these NGOs in Ghana have focused on securing general policy changes towards community development rather than on active involvement in the nitty gritties of community development at th e individual company levels. WACAM and OIC, perhaps, constitute the exceptions in this case.

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129 to have some say, both in the co mmunity development policies as well as in monitoring implementation of specific interventions in local host communities. The OIC, until recently was by far the most important NGO actor within the ince 2005. With more than OIC was sought in order to leverage its development expertise towards improving development outcomes in local communities, thereby freeing th e companies from the complexities of managing massive development programs for which they had neither the expertise nor experience. In 2005, the OIC was implementing, simultaneously, three major alternative livelihood programs for all three mini ng compani es in this study: the in was described as a statutorily stipulated impact mitigation program and HIH programs of Goldfields and AngloGold respectively constituted a core part of CD in terventions, making the OIC a major player in this regard. In all cases, however, the partnership with OIC was strictly contractual, with clear delivery targets and timelines . In the case of both the SEED and HIH, the contracts were to last initially for five years. After 3 years, however, both companies terminated their contracts with the OIC , based on two reasons . First, there was a feeling that the companies were not getting the public relations (PR) value for these interventions. As

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130 an official of the Iduapriem mine pointed out, We got out of OICI arrangement because the program costs us money but we were not associated with the programs in the [because] they [OI CI] were being seen in the communities [ most communities identified the projects with them rather than with us] (Interview 2011) . The second reason was the belief that OIC was not delivering value for money: As an official at Tarkwa pointed out, ventu believe that it was top heavy: most of the funds were going into management issue s instead of going into the community directly (Interview 2011) . Conclusion In summary, Chapter 6 demo nstrates that significant changes have occurred in both actor constellation and interaction patterns, but that very important differences remain across companies especially in the area of company community interactions within the context of CD decision mak ing processes. T hree new actors that appeared to have acquired some prominence in the CD policy space , generally, are local co mmunities, NGOs, and District Assemblies (DAs) . Generally , NGOs were more prominent in Goldfields Tarkwa and AngloGold Iduapriem than in Newmont Ahafo , where their role was confined to impact mitigation. But even in both Tarkwa and Iduapriem, the involvement of NGOs appeared to be a short lived experiment in which NGOs (basically OICI and maybe a few o thers ) were given contracts to design and implement CD projects. be very pronounced across all three companies, the influence of communities in the CD space remains questionable at both Iduapriem and Tarkwa. In both c ompanies, it does not seem that any change occurred at all in terms of the structural relationships

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131 between these companies and local communities as regards CD planning, design, and/or implementation. In Newmont Ahafo on the other hand, t he re appears to b e a substantial, strong change in the power relations between the company and local communities relative to the CD process. Local communities have acquired considerable power in the determination of CD priorities as well as in the design , scheduling, imple mentation and monitoring of CD interventions.

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132 CHAPTER 7 Introduction Resources (money, knowledge, charisma etc.) confer power on particular actors against others (Wrong 1988; Dowding 1996; Pfeffer and Salancik 1974 & 1978); and changes in the distribution of resources provide critical clues about the extent of change in any given policy domain (Wiering and Arts 2009). Especially because community development requires considerable amount of resources (both money and expertise), it is impossible to measure change in that arena without examining the extent of change in resourc e distributions particularly in terms of resource flows from mining companies to local communities. This is the focus of Chapter 7 . Over the last decade, some very important changes have occurred in the s mining industry. Three major areas of change are discernible, generally, across the industry. The first regards the establishment of dedicated funding for community development; the second, somewhat related to the first, regards increases in CD budgets ; and the third concerns increased availability of development expertise across the industry. Considering the historical lack of adequate, consistent financial commitment by Ghanaian mining firms to social causes in local communities, the first two areas of change can be considered very significant. Chapter 7 addresses these three areas of change in detail. It begins with examination of the first two, paying attention to the impetus for change, the vehicle for mobilizing community development funding, as wel l as to broad trends in financial flows towards local communities. Next, the discussion shifts to the expanding development

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133 knowledge available within the mining industry and the extent to which the industry has leveraged, or not, this expertise in advanci ng CD in their local communities. Dedicated Community Development Funding One of the most important changes in the context of community development community development funding, accomplished generally by the establishment of community trust funds or (corporate) foundations, as the cases in this study show. While a combination of factors (at global and local levels) broadly influenced this development across the industry i n Ghana, the ultimate impetus for this change varied from company to company. In Goldfields, for example, the immediate impetus appears to be intricately connected to cyanide spill by the company into local rivers in October 2001. As highlighted earlier, that spill was followed by a frenzied community agitation for compensation in terms of the provision of a range of social services by the company in local communities. In response, Goldfields launched its trust fund in 2002, ostensibly to publicly assure demands; and secondly, to provide a more reliable stream of funding for managing these expectations in the long term. In Newmont Ahafo, the impetus appears to be driven by the corporate policy of excellence in social responsibility. As pointed out earlier, Newmont decided to use corporate social responsibility as a major instrument for brand differentiation in Ghana (and the Africa region); thus t he creation of a dedicated community devel opment funding appears more like a common sense approach to dealing with that goal. In AngloGold, the ultimate impetus laid fundamentally in a stability agreement signed between the Government of Ghana and the company back in December 2003 when

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134 Ashanti Gol dfields merged with AngloGold. Granting a range of fiscal and regulatory incentives to the company, the stability agreement also obliged AngloGold Ashanti to contribute a total amount of 1% http://www.sec.gov/Archives ). Interestingly, although the stability agreement came into effect in 2004, it would take mor e than 8 years for the company to establish this trust fund , a situation that is suggestive of a general apathy of the Iduapriem mine towards CD. In the main, funding for these trust funds are generated from three sources: (i) a percentage of corporate pr ofits; (ii) a production based commitment in which a company may pay a set amount of money per total production in each year; and (iii) contribution by major contractors to the mines. Except in AngloGold Iduapriem where the rate of contribution was prescri bed by a stability agreement, each company is essentially free to determine how much it considers necessary or sufficient for its community development goals in host communities. In fact, even AngloGold Ashanti was free to decide whether the 1% contributio n stipulated by the stability agreement was calculated before or after tax. The company chose the latter. Generally, and as would be expected, the amount of contribution varies from one company to another. Newmont commits the biggest amount of 1% of pre tax profit plus $1 per each ounce of gold produced at Ahafo. Goldfields commits the next biggest amount of 0.5% of pre tax profit plus $1 per each ounce of gold produced by the mine; and AngloGold commits the least amount of 1% of post tax profit with no additional production based commitment. Contractor contributions to these funds (or to the general communit

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135 not very significant. The near exception is Goldfields Tarkwa where major contractors of the mine are a lot more involved in community development funding. As a company official points out, We have some contractors on the mine [that are] assisting with [our] community development [financing]. Occasionally we talk to them and they agree: ok we will fund this project for you. So , as part of our plan, if, hool for Akoon, we would go and see one of our contractors to fund this [project] (Interview 2011). Similarly, Newmont also received the first donation from one of its contractors in 2013 when Liebherr Mining Ltd donated 15,000 (approximately $ 6 , 50 0) to NADEF in support of human resource development initiatives such as the scholarships programs . Besides funds available through these community trusts, there is also a tendency for each company to devote separate (operational) budgets to addressing spec ific development needs as may be considered necessary by the company. As a rule, however, these funds tend to have wider scope of geographic and thematic focus in terms of the causes to which they can be applied. This means that while they may be applied d irectly to social causes in local host communities, development concerns in these communities are not by any means the exclusive or even the most important focus of these funds. Usually under the control of general managers, such budgets are generally act ively geared toward reputation management of the company and may be flexibly applied to charitable causes that have the potential of enhancing the reputation of the company. This is most common at Newmont and Goldfields ; given the lack of dedicated CD fun . , for example , shows a great variety of causes to which these funds are committed across Ghana including

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136 support of local festivals, maj or national events, football clubs, among others . An official some budget in Newmont for some of these direct things th at Newmont idea is that if Newmont identifies a program which may be very strategic and good to the communities, but maybe the process of getting through the [The Ahafo Social Respons ibility] Forum and getting people [to] to support . (Interview 2011) companies in Ghana provides ad ditional direct funding for socio economic development Increased Financial Commitment to C D As the three cases in this study demonstrate, considerable financial resources have been made available for community the last ten years or so. For example, Newmont has committed approximately $7.4 million to community development in its 10 host communities between 2005 and 2010 (NADEF 2011). about $1.6 million at launch in 2012 for development interventions in its host communities. In the ten year period between 2002 and 2012, Goldfields reports a total financial commitment of a bout $18.9 1 million, averaging about $1.89 million annual budgetary commitment to CD in its 16 host communities at both Tarkwa and Damang (GFGF 2012). 1 There is a lot of inconsistency in the figures quoted in various company documents and media briefings by officials of Goldfields Ghana.

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137 It is important to point out, however, that these resources are not always all committed to social cause s directly in local communities. For example, unlike Newmont Ahafo which direct s all financial resources from its trust fund exclusively to CD causes communities. In fac representation on th causes other than those in its 16 host communities. This, in practice, has resulted , sometimes , in significant budgetary commitment by the company to causes outside of the immediate host commu nities of the company. For example, in 2010, th e company committed more than $65 0,000 of its total development budget of that year to the renovation of a sports stadium in Tarkwa (Interview 2011) while significant amounts were also committed to various oth er programs outside of these communities . While the appropriateness of such an approach is debatable, t his practice invariably means that fewer resources are left for actual development of local host communities. In other words, that practice does not ind icate that the company prioritizes CD in host communities in any way. Increased Development Expertise in C D Besides increases in financial resources, there has been a considerable increase in social development knowledge available (through targeted recrui tments) to mining companies in Ghana. In fact, social development experts with significant working experience in the development field now play important roles in the community relations departments of all the mines. But the actual influence of these expe rts within the CD

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138 domain of these companies has varied both within and across companies over the years. For example, Goldfields Tarkwa started with a development planner as head of its community relations department in 2000; but that department, since 200 9 has been headed by a lawyer, with the development experts as his subordinates. AngloGold Ashanti hired its first social development worker in 2007 but its community relations department was until 2011 headed by trained journalists. Newmont appears to be exception where social specialists head both CD and Community relations departments of the company. The low ranks of these development experts within the organizational structures of the companies could be said to have minimize d their influence in actual company policy in the area of CD . Even where their low status is not the problem, there is a widespread lack of equal acceptance by other departments of these development experts and their departments. Thus beyond their routine responsibilities of designi ng (to the extent permitted), implementing and monitoring of community development programs, most of these development experts are typically also engaged in the internal for acceptance by their peers; and sometimes even by their own manag ement. This is how one company official put it: W [the engineers] that without that section [community relations/CD ] your where you can exhibit your technical competency .(Interview 2011) This is corroborated by another official from one of the companies : When be very firm; very arti culate, assertiv e at all levels. (Interview 2013)

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139 In other instances the work of the community development experts. Again, this is how an official from yet another company put it: Sometimes u have to virtually beg for meetings to come off frustrating, sometimes . (Interview 2011) In essence, there is some underutilization of these experts (though this may be more in some companies than others) within the community development policy domain in Conclusion As Chapter 7 shows, very significant changes have occurred generally in th e area of resources , marked by the setting up of dedicated CD budgets (derived from community trust funds) in all companies, ; increases in CD budgets by each company , broadly; and increased availability in CD expertise in all the companies. The setting up of dedicated CD budgets and/or the CD trust funds, as the study shows, was driven by different circumstances in all three companies. In Newmont, it was been driven by corporate level managers who appeared to want to leverage CSR as a major tool for brand d ifferentiation in Ghana and Africa. In Tarkwa Goldfields, again , it is fair to point at the 2001 cyanide spill and accompanying public backlash against the company . In Iduapriem, the decision stemmed from the Stability Agreement signed between the mine an d the Ghanaian government in 2003 . Besides dedicated CD budgets, there are also very visible increase in CD budgetary commitments across all three companies. For example, in Iduapriem , there was a rise in CD budgetary commitments from roughly $277, 000 in 2010 to over

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140 $500,000 in 2012. In Newmont, the CD budgetary commitments increased from under $900,000 in 2008 to the Ghana Cedi equivalent of over $3 million in 201 3 (NADEF 2013) . In Tarkwa, the ann ual CD budget average about $1.9 million covering its t wo operations at Tarkwa and Damang. The rise in CD budgets can be directly attributed to the setting up of the community trust funds, but the differences in actual CD amounts reflects differences in the funding formula embedded in the trust funds. By commi tting 1% of pre tax profit in addition to a dollar per every ounce produced, Ahafo clearly makes the biggest commitment to its trust fund; Goldfields, by committing 0.5% of pre tax profit and a dollar per every ounce of gold produce d , makes the next highes t commitment to its trust fund . Iduapriem makes the lowest commitment by committing just 0.5% of post tax profit to its trust fund (with no additional production based commitments) . Chapter 7 also shows that in some instances, especially in Tarkwa, there is considerable diversion of CD budgetary commitment away from local host communities to wider social causes. While the exact cause of this trend is unclear, the use of the higher level TMCC (i nstead of local community structures such as the CCC) in setting In practice, t he TMCC appears to constitute a good platform for more powerful actors to lobby the compan y in support of their own needs, at t he expense of host communities. Again, it must be stressed that w hile committing to wider social causes may not be bad in and of there is a c ertain perpetuation of an injustice in which local host communities are forced to bear the bulk of the negative impacts of the mining activity without receiving the bulk

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141 , a problem one would assume these companies are seeking to address b y the focus on CD . Taking into account the rates of budgetary commitments to CD and actual resource flows to CD in host communities, is fair to conclude that there appears to be a very strong change at Ahafo, an average change at Tarkwa, and a weak change at Iduapriem.

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142 CHAPTER 8 ANALYSIS OF ON THE GROUND C D INDUSTRY Introduction interventions in developing regions have remained extremely polarized , dominated by two very contradictory views. On one end is a narrative of mining companies that is invariably replete with stories about the amazing things they are doing to transform lives and promote opportunities in local communities. On the other end i s a narrative by civil communities. Both views are promoted with so much passion that any person interested in addressing that issue is often forced into accepting one narrati ve over the other. This trend appears also to have been encouraged, in part, by the dearth of academic efforts aimed at systematic and comprehensive empirical investigations of actual development le to shift present discussions away from emotion driven generalizations. C hapter 8 makes a modest attempt to confront this challenge by examining the actual on the ground development interventions pursued by the three mining companies in this study. The analysis, here, focuses on interventions in the three major areas set out earlier in this research: health (including water and sanitation), education, and livelihood security; areas generally emphasized as critical to poverty reduction and improvement of human welfare (World Bank 2006). To facilitate a much more thorough and detailed analysis as well as help us compare outcomes across companies, the analysis takes a case by case approach. This approach has the potential risk of introducing serious repetitions especially where the interventions are similar across

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143 companies; but it also has a unique advantage of helping us highlight the specific details of the interventions of each company. The discussions are organized around the three companies an interventions organized around the three areas set out above. To improve clarity, the discussions generally provide some background information to the development programs in each company, catalog the actual development interventions (deli veries), and where necessary, highlight the challenges with particular interventions. The analysis begins with AngloGold Ashanti and ends with Newmont Ahafo. Following the development of a community development plan (C DP) in 2004, in to take immediate steps to improve the quality of life for host communitie s; the second was to prepare these communities for mine closure, which at the time was estimated to occur between 2011 and 2013 (GAGL 2004). Improving the quality of life of communities was essentially understood to mean improving community access to heal thcare, education, and water and sanitation services. Preparing communities for closure was understood to mean that communities had to be assisted to develop alternative (non mining based) livelihood options to help them cope with mine closure. Described Ashanti 2005:4), implementation of the HIH project was shared between OICI and training and capacity building across the three focus areas of the HIH. AngloGold Iduapriem

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144 support base for the three focus areas. OICI was terminated in early 2008 and the HIH re launched in July o f that same year with AngloGold Ashanti taking complete control efforts at promoting access to health, education, and at improving livelihood security between 2004 and 2012 is p resented below. AngloGold Ashanti Iduapriem and Health in Local Communities deliveries in this respect have been less than impressive. In fact, until 2012, there is no evidence that the company made any investments in the provision of any health infrastructure in its host communities. Neither is there any evidence to suggest that the conce ssion, at Adieyie, beyond the provision of a borehole in 2007. In fact, contrary to the goal of expanding community access to healthcare, some events at the mine appeared to have seriously undermined community access to health. One of those included the demolishing, by the mine, of a community built health clinic at Teberebie for which no replacement was made nor compensation paid (AAIL 2008:62). The second involved the deliberate denial of service to communities (including Teberebie) at Jonah Clinic, commissioned in 2004. Located on site behind security barriers, community access to this clinic was virtually impossible. Although the company had since 2011 taken some steps to open this clinic to the communities under some sort of a quota system , the scope of those steps remains substantially minimal and largely insignificant. 2012 CD budget, under this program, three sick people (mostly children and/or elderly)

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145 from the communities are provided free i ntensive care at the Sam Jonah Clinic. However, selection into the program appears to be arbitrary and not necessarily exclusively targeted at host communities. For example, of the 3 people accepted into the program in 2012, only one was from a host commun ity. Having failed substantially in providing health infrastructure or investing in revolved around two main initiatives: (i) annual health outreach programs (led by the comp members of various ailments annually, for free. The outreach programs have also include d educational and public awareness campaigns, particularly targeting HIV/AIDS and malaria in all host communities. To address the HIV/AIDS issue, the company committed 13 (out of 36) peer educators to undertake continual education of communities on the sub ject (AngloGold Ashanti 2006). Regarding malaria, the company also undertakes annual indoor residual spraying for malaria control in the communities . health care concerns th e se tting up of community first aid teams. Under this initiative, teams of about five people from each community were trained and equipped with basic first aid kits to address basic health emergencies as well as minor ailments among community members. By the end of 2005, each community had a first aid team capable of responding to basic health conditions. By 2012, it is unclear if any of these teams survived or are operational .

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146 Perhaps recognizing the inadequacy of the above two initiatives in addressing the g oal of promoting wider community access to healthcare, and after years of community agitation and pressure, Iduapriem made its first major investment in expanding access to health by the construction of a 500,000 health center at Teberebie in 2012. By far the most significant effort of the company since 2004 in terms of health care infrastructure, the health center contains consulting rooms, a maternity unit, a laboratory, recovery wards, a dispensary unit, a laundry, and 2 unit nurses quarters. Opened in September 2013, the company also provided a borehole and extended electricity power to support the operation of the health center, which is expected to significantly improve health care delivery across the communities. Generally speaking, Iduapriem had been relatively more active at the water and sanitation front than it had been at the healthcare infrastructure front, although some questions still remain about both the numbers and viability of its interventions in this area. Concerning water, between 20 05 and 2008, Iduapriem provided a total of 8 water facilities comprising 6 hand dug wells (some mechanized) and 2 water boreholes in 5 communities (Teberebie, Adieyie, Domeabra, Badukrom and Adisakrom). From 2008 until 2011 , no new water facilities were pr ovided by the mine. In 2012, however, the company constructed two new boreholes, one each in Domeabra and Acheampongkrom, bringing the total number of water facilities delivered by the mine, as of 2012, to ten (10). Concerning sanitation, Iduapriem constru cted a total of 6 new and renovated 3 old KVIP public toilets across the communities (Table 8 1) , ranging in capacity from 2 seaters (Badukrom) to 16 seaters (Adieyie). In 2012, the company also prepared a refuse dump for the Teberebie community, the first of such effort since 2004 .

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147 Table 8 1. List of Water & Sanitation Facilities Provided by AngloGold Ashanti (2004 20 13) Communities Water facilities Sanitation Facilities Health Centers Adieyie 3 hand dug wells 2 KVIP toilets Teberebie 2 mechanized wells 3 KVIP toilets (renovated) A fully furnished health Center with nurses quarters, electricity, and water provided Wangarakrom/Badu krom 1 borehole (paid 10% of construction cost) 1 KVIP toilet New Techiman None 1 KVIP toilet Domeabra /Nkwantakrom/ 1 hand dug well 1 borehole (GAG) 1 borehole None Abompuniso 1 borehole 1 KVIP toilet Adisakrom 1 borehole None Acheampongkrom 1 borehole 1 KVIP toilet Total 10 9 1 company documents To ensure that these facilities remain viable in the long term, the company, in 2005, formed water and sanitation (WATSAN) committees in each community tasked with the management of these facilities. To address the more critical issue of water, a total of about 74 members of these committees were trained in basic pump repairs (AngloGold Ashanti 2005), providing an ample pool of pump repairers across the se communities. Despite these interventions, it is doubtful that the company achieved much success in imp roving access to water and sanitation across its communities within the period addressed here. Besides their limited numbers, an enduring challenge across all

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148 delive r adequate, potable water for community members. In practice, many of the facilities break down very quickly after installation; others yield water only in some seasons of the year; and still many others simply fail to make the mark in terms of the qualit y of water produced. As found out by the mine in a survey of these facilities in dug wells provided by the company do not necessarily yield pota In fact, none of the water (and toilet) facilities provided or renovated by the mine at Teberebie was functional at the time of the fieldwork for this research in 2013. T he implication of this is not only that communities are un able to access clean drinking water on a sustained basis, but also that a substantial part of the However, from evidence on the ground, it appears the company has been largely unable to cope with these repairs, most likely due to lack of funds. As revealed by a community leader in Teberebie in 2013 , for example, T he problem is with how quic kly it [the repair] is done e will do it, we will do it, we will do it, and it borehole here has broken down for more than 4 months. When we tell them, they would always say they will come [fix it]. They never come . (Interview 2013) situation, a number of factors have rendered them largely ineffectual . First, most of the repairs were beyond basic; second, spare parts for the pumps were either lacking or cost more than the communities could afford; and third, the pumps provided were n ot necessarily the types community WATSANs were trained to repair. These meant that communities were

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149 largely unable to maintain the water facilities, shifting all burdens to the Iduapriem mine , and further exacerbating the water challenge in these communit ies . AngloGold Iduapriem and Livelihood Security Extreme inability of the Iduapriem mine to employ significant numbers of livelihood security. 1,250 employees in 2008, only 87 were community members (AAIL 2008). To take account of this reality and to address the impact of the massive loss of farmland incurred by local communities, livelihood plans under the HIH. livelihood security efforts have revolved around six main initiatives: (i) livestock production; (ii) crops production; (iii) agro food processing; (iv) m icro enterprise development (through specialized vocations training); (v) micro credit schemes; and (vi) youth apprenticeship training. Each of these initiatives is discussed below: Livestock production: Under the livestock initiative, participants were ta ken through basic animal care routines that included how to feed animals and how to treat common animal diseases. Under this initiative, three animals were targeted: pigs, goats and sheep. These were selected on the basis of their potential economic value as well as to reflect the local economic history relative to these animals. Each participant was free to choose from among these three animals. Following the training, participants were put into groups; each group member was provided a start up breed of a chosen female animal while sharing access to a group owned male of the same animal. Participants were additionally provided basic construction materials to house the animals. In the case of pigs, a limited amount of feed was also provided to ease the

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150 econo mic burden on participants during the first few months. Despite the very well intentioned efforts, the success of the livestock program was put into question almost re place lost animals. By 2008 when OICI was terminated, very little remained of this program across the communities; the lack of further support by the mine since 2009 led to its complete collapse. Crop production: Under crop production, a key o bjective of Iduapriem was to help community members with access to some farmland get the most out of these lands in terms of productivity and ultimately profit from crop sales . This was to be accomplished by training the farmers in modern farming practices and plant c are. To help diversify the crop base and thereby improve steady flow of income to farmers (GAGL 2004), the initiative focused on two groups of crops: vegetables (carrots, lettuce, cabbage, etc.) and oil palm. Participants were trained in a range of activit ies including how to set up nurseries, how to transplant seedlings, and how to treat common diseases associated with these crops. At the end of the training, participants were provided seedlings for planting. While it is not clear how many seedlings were p rovided vegetable farmers, oil palm farmers were provided enough seedlings to cover up to an acre of farm. Additionally, all participants were also provided basic farm implements such as cutlasses, chemical sprayers, wellington boots, watering cans, and fe rtilizer s to progress made by participants in using their new skills set. It is important to note, however, that while the oil palms component of the program has survived and c ontinues to receive company support about 800 more farmers added between 2011 and 2012

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151 the vegetables component collapsed right after the first farming season in 2005, due to lack of market s for the ( farm ) produce. Agro processing and value addition: The third major livelihood initiative concerns agro food processing. Here, OICI concentrated its efforts on the processing of cassava (into gari) and oil palm (into oil). Building on local knowledge in the processing of these crops, the aim was simply to help communities mechanize the processing methods involved and thereby improve the scale of their outputs. Thus, participants (in groups) were provided a cassava mill (at Abumpuniso) and two oil palm mills (at Adieyie and Teberebie) and trained in their op eration. They were also offered basic book keeping training to ensure profitable operation of the mills. It is worthy of note that currently, all three mills are in disuse, outgrown with weeds in the above locations due both to lack of community interest a nd lack of company support . Specialized vocations training: Under this initiative, the goal was to spawn the development of non agro based micro enterprises across the communities. Consequently, a select number of community participants (in groups) were t rained in the production of five main items: pomade, powder, batik tie and dye, soap, and pastry. As in all cases, trainees under this initiative were provided an assortment of ingredients required to help them begin production. Interestingly, and like the other initiatives, most groups collapsed before the exit of OICI in 2008. Many complained about the lack of work sheds and storage for their wares (AAIL 2008), a complaint that, more than anything , reflects a broad lack of community buy in into the progra ms ostensibly due to their non involvement in programs selection, design, and implementation .

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152 Micro credit scheme: To support the operation and/or expansion of the above initiatives, the company (through OICI) also launched a micro credit program in 2005 to extend credit to community members desiring to start new businesses or expand existing ones . Preference was given to trainees in the various livelihood groups as well as petty/retail traders whose training appeared to be limited to financial management. The goal was to use the credit facility to promote economic vitality of the communities. As in other areas, loan disbursement was strictly based on groups. In 2005, a total of $36,000 was reportedly loaned out to 18 groups comprising 317 community members in various sectors (AAIL 2008). After 2005, the loan focused more on small scale enterprise groups (essentially petty retail traders) across the communities. Consequently, in 2008, a total of 34 retail traders accessed loans from the credit scheme. Despi te the initial promise of the scheme, poor loan repayment led to its collapse almost immediately after launch. Youth apprenticeship training: The youth apprenticeship initiative was introduced in 2007 to purposely address the challenge of the massive youth unemployment in the area. At launch in 2007, nine youths across the 8 host fabrication, auto mechanics, sign writing, hairdressing, and dressmaking (AngloGold Ashanti 2007 ) . The program covered the enrollment and graduation costs for each apprentice and provided monthly maintenance allowance to each. As an extension of the apprenticeship program, special arrangements were also made with the University of Mines and Technology (UMA T) in the nearby town of Tarkwa to reserve spaces for training community members (with the requisite qualification) in various technician

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153 programs at the University. In 2007, three students were accepted into the program at UMAT. The numbers have since in creased appreciably : b etween 2011 and 2012, a total of 34 youths have been enrolled under this program at UMAT. Interestingly, since 2011 and in what appears to be a change in strategy, no non UMAT apprentices were supported by the mine. That is , nobody el se was supported to learn other trade forms. Thus, a s revealed in the forgone discussions, the oil palm program and, to a lesser extent , the youth apprenticeship programs remain the only viable livelihood interventions at play at Iduapriem. More recently, the company has also embarked on efforts to support the registration of local businesses to make them eligible for contracts from the company. But the long term viability of that program is questionable given its dependence on the mine and the strong certainty that this program will disappear as soon as the mine closes. AngloGold Iduapriem and Education in Local Communities Considered one of the more pressing challenges across host communities (AAIL 2008) and compared with the other two area s, education received by far the mo st consistent support by AngloGold Iduapriem interventions in its local communities over the last decade have focused on two key ess to education; and the second addresses improving quality of education. To expand access, Iduapriem focused on providing educational infrastructure (by constructing new and renovating old school blocks) and by providing educational scholarships. Actual deliveries by the company in the area of educational infrastructure are quite modest. Between 2004 and 2012, the Iduapriem mine constructed two early childhood development centers (ECDCs) at Teberebie and Adieyie; a 6 unit classroom and workshop block at

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154 A bompuniso, and a 3 unit classroom block at Wangarakrom/Badukrom. It also renovated a 6 unit classroom block at Adieyie. As was to be expected, distribution of school facilities took account of the population as well as geographical spread of the hamlets an d communities surrounding the mine. The emphasis, it appeared, was to minimize the distance students had to travel to get to school. In most cases, however, it does not appear that the company made any provisions for classroom furni shing . The second relat ed initiative to increase access to education involved the phases since 2004. In 2004, the company began a bursaries program that focused on assisting dependents of its empl oyees who gained admission into senior secondary school. In that year, the company made a total of 1,308 awards (AngloGold Ashanti 2004). However, because the bursaries were limited to employees, only dependents of the few community members employed by the mine qualified to receive them. To ensure broad coverage for all communities, the company converted the bursaries into a scholarship program in 2005 and supported students at both the junior and senior secondary school levels. In 2006, the scheme was expa nded to also cover students in tertiary institutions. Interestingly, not more than 10 awards were made each year, between 2006 and 2009, to students in tertiary institutions (AngloGold Ashanti 2006, 2009). Since 2011, however, the total number of scholarsh ips awarded has increased quite substantially , reaching more than 180 scholarships as of 2012. It is important to point out that the scholarship program at Iduapriem has been generally very well st ardent critics acknowledge how helpful it has been to education in the community. This

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155 is what a community leader who appeared particularly resentful towards the company on other issues had to say about the scholarship program: They have done very well in this respect and we have to be honest about it. They have truly done well in this respect. If only your ward [ your child or any student for that matter ] does well in school, they will support [him or her ] up to the university [ level ] . (Interview 2013) In addition to expanding community access to education, Iduapriem has also sought to improve the quality of education in its host communities. Towards this, the company has prioritized the attraction and retention of qualified teachers in host community s chools . Two key instruments deployed by the company in this direction are (Teberebie, A bompuniso, and Wangarakrom/Badukrom) has a 3 unit built by the company. To retain teachers, the company instituted a teacher retention concession monthly allowan ces between 10% and 15% of their basic pay. These payments have been quite significant , reaching more than 50,000 ( about $25,000) in allowances to teachers in its host communities between 2011 and 2012 alone . Other interventions made by the mine toward s improving educational quality in host communities include support for in service training of teachers, and ad hoc donations of teaching materials to schools. In terms of in service training, the company in 2005 supported the training of 12 ECDC teachers across its communities. Three years later in 2008, it also sponsored 40 teachers from the host communities to attend a three day teaching workshop focusing on lesson planning, effective teaching practice, and evaluation at Tarkwa. Again in 2011, the compa ny sponsored 2 teachers (from

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156 Adieyie and Teberebie) to take part in a Mathematics camp organized by the Ghana Education Service at Takoradi. Unlike the in service training and the other initiatives, the company showed very little consistency in its donati ons of teaching materials to schools across host communities. In fact, a part from donations made by the company to the two ECDCs at Adieyie and Teberebie in 2005, no further donations of teaching/learning materials were made by the company as of 2012. Ta organized initially under the framework of the Sustainable Community Empowerment and Economic Development (SEED) program, which lik improve livelihood and quality of life of members of its host communities. The SEED had three main strategic objectives. The first was to increase economic opportunities and improve livelihoods for its host communities; the sec ond was to improve the health status of members of its host communities; and the third was to improve the quality of education and increase school enrollment in its host communities (GFGF 2005). As was the case in Iduapriem, the SEED was implemented by OIC I (under contract) beginning in November 2005. Goldfields terminated its contract with the OICI officially in May 2009 because the program was thought to be identified more with OICI than with Goldfields and also because it was deemed that OICI channeled t oo much money to management issues instead of actual, on the ground programs. Since 2009, Goldfields took over implementation and management of its SEED program and other CD interventions. In the analysis here, attention is focused on the development inter ventions pursued by the company both under the SEED and outside of it in the three areas of

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157 areas are discussed below. ies Under the SEED program, Goldfields set itself two main goals in its interventions in the area of health. The first was to improve access to healthcare services in all of its host communities; and the second was to improve access to water and sanitation facilities across these communities. Under the first goal of improving access to health care services, the company planned and executed t wo main interventions: (a) construction and rehabilitation of health facilities ac ross its host communities; and (b) creation of community health facilitators (CHF) program . Under the second goal of improving access to water and sanitation facilities, two major interventions were planned and executed: (a) provision of water and toilets facilities in all communities; and (b) formation of WATSAN committees to manage and maintain these facilities. The discussed below. Expanding community access to healthcare services Most of Goldfiel communities predate the SEED program and, in fact, took place in circumstances completely unrelated to the goals in the SEED. For example, the company constructed the first health clinic in a host community in New Atuabo in 2002 largely as part of a resettlement deal reached between the company and some community activists who opposed the relocation terms proposed by the company in 2000 ( Hufstader 2007) . The second health center was built by the com pany at Huniso in 2004 as part of a broad compensation package agreed between the company and that community following the

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158 2001 cyanide spill incident. Since 2005 when the SEED program was launched and its goals articulated, no new health facility was cons tructed by the mine in its host communities, effectively limiting to 2 the total number of health facilities provided by the mine across its host communities 2 between 2002 and 2012 . Under the SEED, the h relied basically on two sets o f interventions: (i) donations of equipment and drugs to existing health centers; and (ii) the creation of a Community Health Facilitators (CHF) program. In terms of donations, it is interesting to note that very little atte ntion was paid to the health facilities within the of 2013, Goldfields made only two donations to a health facility in its host communities 3 . This included the donation of drugs and medical equipment to the Huniso clinic in 2005, f ollowed up eight years later with a donation of two motorbikes to the same clinic in 2013. Thus, it is fair to say that in terms of expanding community access to healthcare services as articulated under the SEED, not much happened. The exception might be the CHFs. In 2005, the company created the CHF program under which one person from each community was trained in basic health care management . Supported with donation of drugs, provision of bicycles (in 2006), payment of monthly allo wances, and supervised occasionally by a qualified health nurse resident in or near the community, the CHF in each community was expected to serve as the first point of contact for the diagnosis, advice and treatment of basic ailments of 2 Goldfields in 2005 constructed a 40 bed maternity block for the Tarkwa Government Hospital. In 2007, it also collaborated with Iduapriem to construct an HIV testing center at Tarkwa in 2005. Before these, in 2002, Goldfields also constructed a mortuary f or the Tarkwa Government Hospital. Given the proximity of Brahabobom and Akoon to Tarkwa, one might fairly argue that these interventions occurred in host communities. This author does not necessarily share that view. 3 See 2 above.

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159 community members. 2008). However, based on the recommendation of that assessment, Goldfields has since 2009 stopped the pay ment of monthly allowances to these CHFs. This appears to have significantly dampened the morale of CHFs and led to the virtual collapse of the program in some communities. In other communities such as Brahabobom, the CHF still remains an important part of the health delivery scheme in the community. Expanding community access to water and sanitation facilities substantial. Specifically in terms of water provision, between 2002 an d 2011, the company constructed about 132 hand dug wells (fitted with pumps) across its host perhaps for the same reasons, by far the greater number of the water facili ties constructed by the mine predated the SEED. In fact, of the 132 facilities provided by the mine, just about 50 were constructed between 2005 and 2011. convenience across host communities has also been very impressive. As shown in Table 8 2 below, between 2002 and 2011, the mine constructed a total of 20 public toilets across its communities: 10 of these were water closet toilets while the rest were aqua privy toilets. Similarly , some visible effort has also been dedicated by the mine to solid waste disposal across the communities. As at 2010, 14 refuse bays and refuse containers have been provided by the mine across its communities. To support long term viability of these facil ities, the company also invested in the formation of WATSAN committees in each community. As was the case in Iduapriem, these committees were

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160 provided with basic implements such as wheelbarrows, shovels, wellington boots, etc. and charged with responsibil ity for the management and maintenance of the water and sanitation facilities. Importantly, at least two members of these committees (in each community) were trained and provided basic tools to undertake minor repairs of the water pumps. All major annual repairs were to be undertaken by a private company under contract with Goldfields, although it is not clear that this actually happened (Wellmann 2008). Table 8 2 : List of Goldfields' W ater and Sanitation Interventions in Host C ommunities NAME OF COMMUNITY TYPE OF FACILITIES PROVIDED AT THE COMMUNITIES Hand dug Well fitted with Pumps WC Toilets Aqua privy Toilets Refuse Containers and Bays Samahu 7 2 Abekoase 12 2 Tebe 19 Huniso Area 12 5 Pepesa Area 34 1 Brahabobom 5 1 1 New Atuabo 33 8 11 10 Akoon 2 3 TOTAL 132 10 22 14 Source: GFGF 2010. It is worthy of note that despite the heavy concentration of boreholes and pump fitted wells, until very recently, access to water had been severely limited across most of and safe drinking water year round. To address the challenge, the company has since 2012 resorted to the provision of the more expensive but very effective own (STWS). The STW S s are specially managed water systems designed to provide piped water to communities considered big enough to provide economies of

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161 scale of piped water systems, but too small or too dispersed to be conveniently managed by a conventional urban utility company. As at 2013, three STWS were supplied by the company (New Atuabo, Pepesa and Brahabobom) , bringing considerable relief to these communities. Tarkwa Goldfields and Livelihood Security in Host communities communities appear to be a virtual replica of the HIH interventions at Iduapriem. five main areas. The first area of focus wa s crop production crops grown by local farmers and to increase crop yield in ways that maximize agricultural income (GFGF 2005). To diversify the range of crops grown, three main crops w ere targeted under this program: vegetables (mainly cabbage, lettuce, carrots etc.); cassava, and oil palm. To maximize yield, efforts were made to obtain improved, high yielding and early maturing breeds of these crops for participating farmers. In terms of cassava, farmers were provided with the high yielding, but largely inedible Afesiafi breed, meant to be sold to gari producers rather than consumed by farmers. Recruitment into this program (like all the others) was done by lottery in 2006. Participating farmers were subsequently trained and supplied with seedlings as well as a set of basi c farming implements to begin production. On site extension services were provided by OICI officials to ensure viability of the program. Interestingly, however, both the cassava and vegetable initiatives failed almost instantly. Heavy rains in 2006 led to extremely bad results, forcing many farmers to walk away from the initiative and leading eventually to the discontinuation of the vegetable component of the program by the OICI that year. For the cassava growers who

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162 appeared to not have been informed abou t the inedibility of the cassava they were growing, it was the sudden realization that they could not eat this crop that upset many and caused them to abandon the program. Importantly, however, the oil palm component of this program has survived and contin ues to draw quite a lot of attention from both community members and the mine. Currently, the mine continues to support this program mainly by the supply of seedlings to interested farmers ; and the institution of an award scheme both to reward motivate others to join (Interview 2011). The second area of focus was animal/livestock production . Under this initiative, the company focused on three main animals: pigs, goats, and sheep. Participants in the prog ram were trained in basic animal care and subsequently provided with starter animal breeds, one year stock of feed (in the case of pig farmers), and bags of cement and nails to provide housing for the animals. To provide ready veterinary support, the comp (CLWs) , trained in collaboration with the Ministry of Agriculture and provided basic drugs to support animal producers across the 8 communities. While the livestock program looked promisin g in the beginning, it was soon hit by extremely high mortality rates among the animals just as happened at Iduapriem. The mortality was explained by the OICI as a result of the transportation induced stress suffered by the animals. However, an external as sessment of this initiative in 2008 identified a lack of early, sufficient collaboration with the Ministry of Agriculture as a major factor (Wellmann 2008). Importantly, as of 2012, no functioning CLWs existed in any of the host communities.

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163 The third area of focus was agro food processing and value addition. Under this initiative, and very similar to Iduapriem, the company focused on the processing of mainly cassava and oil palm into gari and palm oil respectively . Considering that the processing of both g ari and palm oil were traditional economic activities across these communities, the focus of this initiative was not necessarily to teach participants how to process these foods; but to simply help them mechanize the process. In that direction, participant s (112 in oil palm and 196 in gari) were put into groups and provided processing plants (cassava and oil palm mills) across the communities. A total of 10 cassava and 9 oil palm mills were installed across the 8 communities and participants were trained in their use. As it turned out, however, this initiative, like the others, hardly survived beyond 2009. In fact, by that year, 4 of the 9 gari groups and 3 of the10 palm oil groups had collapsed. Lack of support by Goldfields since then led eventually to the collapse of the other groups. The fourth area of focus under the livelihood security interventions at Goldfields Tarkwa was micro enterprises development. Under this initiative, a micro credit scheme was to be established to provide a constant stream of capital or credit to support the development of retail trade and expansion of other productive enterprises across the communities. Unlike Iduapriem which provided seed money to begin the scheme, Goldfields provided no such money. On the contrary, OICI was expected to develop linkages with external financial organizations through which members could access loans. Despite a few attempts, OICI was unable to find money to support the micro credit scheme beyond a 500 (about $300) Meloche Fund 4 . In essence, under the 4 This was a donation b y a FarmServe Volunteer, Dr. Martin Meloche.

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164 micro enterprise development initiative, the company did little more than train participants on basic concepts in credit access and financial management (OICI 2009). The fi fth area of focus dealt with specialized vocations training. Intricately c onnected with the micro enterprise development initiative, the vocations training module focused on five main activities: pastry/bread, soap, pomade, powder, and batik production. In each case, participants were put into groups of 25, trained, and supplied start up inputs and basic equipment to facilitate production. It is important to note that this initiative, just like the others, achieved very little. Many of the groups folded up before 2009 and the rest shortly after. A major challenge attributed to th e failure of the vocations training initiative was the lack of work sheds. But it appears that, like most of the other initiatives, there was simply not enough community buy in to the programs. This means that people were willing to leave the program at th e least challenge . OICI livelihood security interventions Since terminating OICI, the Tarkwa mine abandoned most of the SEED inspired initiatives; and in their place instituted two major programs. The first is the company The agribusiness initiative, believed to be heavily influenced by similar programs at Goldfields South Africa (Botin 2009), takes the view that although some of the programs ru n under the SEED had a real potential for changing socio economic conditions on the (sic) (GFGF 2010b:1). To overcome that lack of seriousness, the company was to own and run the program by itself and then use it to provide jobs to community members. Consequently, the mine set up two large farms at Abekoase and Huniso as well as a bamboo project at Samahu. The Abekoase project consists of 8 fish ponds, a 40 acre

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165 oil pal m farm (intercroppe d with corn and plantain ), a 27 stock piggery, and a ruminants farm compri sing 18 sheep and 24 goats (as of 2010) (GFGF 2010b). The farm is also complemented with an office complex that includes a warehouse, an office space, and residential units for farm staff. As of 2010, about 40 community members were employed at Abekoase . The Huniso project, as of 2010, was under construction , but was expected to have all the facilities present at the Abekoase site. The bamboo project, on the other hand, was a part nership between the mine and the Pioneer Bamboo Ltd. This project is expected to be a major supplier of semi processed bamboo sticks to a lamination plant at Assin Fosu in Ghana. Currently, a bamboo processing plant has been established in Samahu in furth erance of that goal. Like the farms at Abekoase and Huniso, the ultimate objective of the bamboo project was to provide a reliable source of jobs for community members. However, all community members employed by the mine to work on the bamboo project had b een laid off as of 2010, raising questions not only about the employment potentials of these agribusiness projects, but also about the long term transformative impacts of these on the economic situations of host communities. Besides the agribusiness proje cts, Goldfields also introduced the youth apprenticeship program, focused on addressing youth unemployment across local communities. Launched in 2011, the apprenticeship program provides opportunities for unities to develop skills in a diverse range of productive sectors, particularly those of interest to the mine e.g. welding, electrical installation, and auto mechanics . Importantly, under the program, a select number of youth is also trained by the mine i n the operation of heavy duty mine

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166 equipment such as dump trucks and employed when an opening exists (GFGF 2012). Since, 2012, attempts have been made by the company to broaden the apprenticeship program to cover other non mining related professions such a s dressmaking, bricklaying, and hairdressing. It is, however, not clear how many people (if any) have participated in the above areas so far. more visible under the SEED SEED interventions, especially in terms of educational infrastructure had been significant as well. With the launch of the SEED, however, the company took a more integrated approach, broadening its fo cus to include not just infrastructure, but also other qualitative aspects of education such as increasing school enrollment and improving the quality of education in host communities (OICI 2009). Increasing school enrollment: To increase school enrollme nt, Goldfields focused on two main initiatives. One of those was to ensure that each community had host communities has been very substantial. As at 2011, the company had been able to construct school blocks for early childhood development centers (ECDCs), primary schools, and junior high schools in all host communities, except Tebe and Abekoase whose populations are considered by the mine as not meeting the threshold for building schools there. Both villages, however, currently share an ECDC among them. In all cases, the school blocks are accompanied with classroom furniture, school libraries, stores, and sometimes kitchens (e.g. Brahabobom ECDC) and security fencing (e.g. Samahu). In some communities such as Akoon with large student populations, two sets

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167 of primary school blocks have been built by the company to help the community end a shift system in which the school was divided between morning and afternoon sessio ns. The second initiative deployed by Goldfields Tarkwa to increase school enrollment in its host communities is the introduction of a scholarship scheme in 2005. While the scholarship focuses on secondary and tertiary education, it was intended to serve a s an additional incentive to increase school enrollment and completion rates at commu nities, only students pursuing engineering courses are eligible to receive an award. As an official of the mine explained, Y our area of study must be relevant to the key strategic areas that we want to intervene in. For example, if you qualify for law, we might not give you a scholarship; the key needs of the industry are what we are looking at . ( Interview 2011) This restricti on appears to be driven strictly by self interest . As explained by the official quoted above, e want to make sure that our pipeline of these skills provision and retentio n in the industry is kept alive (Interview 2011) . Generally, selection of awardees is undertaken by a special committee with to available figures, a total of about 391 scholarships have been awarded to students fro m across the 8 host communities as o f 2012. Of these, about 136 went to students at the tertiary level while the rest went to students at various secondary schools around the country. Also, in response to increasing demands for scholarships by community members, the company in 2009 further i ntroduced a Bursary Scheme which pays half of tuition and/or fees for beneficiaries and caters to students at all levels of education.

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168 About 350 students from the 8 host communities were awarded bursaries in 2012 (GFGF 2012). Improving educational quality: educational interventions is to improve the quality of education across host communities. Here too, Goldfields interventions appear very similar to those at nd two key initiatives. The first deals largely with attracting and retaining qualified teachers to the schools under its operational jurisdiction, accomplished essentially through the provision of quarters . Impressively, as at 2011, each school has been provided with a 3 unit , sufficient to help at least some teachers consider accepting posting to these areas. The second initiative to improve quality of education deals with improving school management and monitoring in each community. This has largely been accomplished through the formation and training of school management committees (SMCs) in each of the communities , although it is not clear how many of these committees are still active . Importantly, it is yet not very clear what the impact of these initiatives ha s been on performance of students. Anecdotal evidence suggests they may not be helping much, given trends in pass rates at the Junior High School ( JHS ) level across the communities. It is however impossible to know whether things would have been much worse without these initiatives. social interventions is the signing of the Foundation Agreement between the mine and local communities in May 2008. This agreement was important in a number of ways. First, it determined that a community trust fund (NADEF) would be the key vehicle through

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169 which all community development interventions of the company would be delivered and/or coordinated. Second, it put local communities at the forefront of the community development decision making process through the community level 7 member Sustainable Deve lopment Committees (SDCs). Third, it promoted full transparency in community, further enhancing community control over the development process. Finally, it delimited the focus are previously pointed out in Chapter 5 CD resources would be channeled to six core areas set out in Table 8 3 below ( NGGL 2008 a ). Funds are allocated annually by Newmont through the NADEF to each community based on a special sharing formula that takes account of the population of concession. Once funds ar e released by the company, each community is free to use its allocation based on the areas specified in table 8 3 as and when they please. This means that funds not drawn by a commun ity in a particular year remain available to that community and can be use d at any time. This fact makes the approach of cataloging actual development deliveries in each community a little tricky in this particular case, as most communities h ave been able to draw most of their allocation from under most of the priority areas set out by the agreement in Table 8 3, and to ensure consistency, the discussions will focus on the actual projects delivered in the three areas of health, education and l ivelihood security as presented below.

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170 Table 8 3 . Human Resources Infrastructure Social Amenities Economic Empowerment Natural Res. Cultural Heritage & Sports Scholarships Pre job training Water Electricity Roads Health centers Schools Toilet facilities incinerators Community Centers Police posts Community libraries Employment Establishment of factories/cottage industries Credit facilities Market stalls Broadly Festivals Palaces Sports Cross cultural activities/ protocols Source: NGGL 2008 a Newmont Ahafo and Healthcare in Host C ommunities Although Newmont had shown early interest in improving community access to healthcare by, for example, undertaking in March 2006 a survey of all health facilities in the host communities and drawing up a priority list of actions to take, not much happened in this domain between July 2006 when production began and May 2008 health interventions in that period were focused more on employees and resettled communities , rather than on the wider community. This has changed since 2009 as the company, both through the NADEF and its Community Development (CD) Department, has sought to address issues concerning community access to healthcare delivery. The company has made some very important investments in improving healthcare infrastructure across its host communities. For example, through the NADEF a new health clinic was establishe d in Terchire and existing clinics in both Gyedu and Kenyase were renovated and expanded. The Gyedu clinic expansion works covered the construction and furnishing of a new records office. Funded directly by Newmont (independent of NADEF funds), renovation works on the Kenyase health center involved re roofing the entire hospital, extending water supply to

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171 the clinic, providing two apartments to house nurses, and constructing two new recovery wards, among others. In Ntotroso, a state of the art nursing trai ning college was built to help overcome lack of qualified health professionals in the mine area (Boateng 2014). A brainchild of the Ntotroso chief, construction of the nursing school which began in 2011 cost more than 1.3 million (roughly $800,000) ; Ne wmont paid more than 90% of this amount . Besides healthcare infrastructure, Newmont has also, since 2011, launched an annual health outreach program in its bid to addressing healthcare access issues in its communities. Coordinated by its CD department in partnership with the US based Project C.U.R.E, the outreach programs have typically involved the provision of free medical care (covering eye, dental, gynecological, and other general health conditions) to community members as well as donation of medical s upplies and equipment (such as delivery beds, laboratory equipment, blankets, etc.) to select health facilities across the communities. As of 2014, three health centers from the host communities received medical supplies and equipment under the program. Q uite apart from addressing healthcare delivery, the Ahafo mine has also made substantial investments in enhancing community access to water and sanitation services. Concerning water, in the five year period between 2009 and 2013, a total of 11 mechanized b oreholes 5 have been constructed through NADEF in four host communities (2 in Ntrotrosu; 2 in Terchire; 1 Afrisipakrom; and 6 in Adrobaa). In the twin city of Kenyase, the company in 2012 invested more than $475,000 into expanding the government owned Small Town Water System (STWS). The expansion involved the drilling of additional wells, installation of booster pumps, bigger reservoirs, and a 200kva 5 This figure does not include facilities provided in resettled communities under the impact mitigation programs of the company.

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172 electricity transformer to power the delivery of 3,000 liters/hour of water from the system to the twin city of Kenyase ( http://asutifi.ghanadistricts.gov.gh ). quite impressive as well. As of 2013, a total of 8 toilet facilities have been constructed, ranging in capacity from 12 to 20 seaters, in 6 communities (1 in Terchire, 2 in Susuanso, 1 in Adrobaa, 1 in W a mahinso, 2 in Ntotrosu; and 1 in Yamfo). Of the 8 toilets, 4 are water closet toilets including two 20 seaters at Ntrotroso and one 14 seater each at Susuanso and Yamfo. The rest are aqua privy toilets. Newmont Ahafo and Education in Local Communities CD interventions. Being relatively more urbanized, however, the educational needs of at both Tarkwa and Iduapriem. Generally, the communities at the Ahafo mine had a relatively better distribution of educat ional facilities prior to the arrival of Newmont. This means that there were basic schools (i.e. primary schools and J unior H igh S chool s) in each of the 10 host communities, built by religious missions and/or the national government. For example, the twin city of Kenyase had a total of 5 basic schools prior to the arrival of Newmont. Most of these schools also boasted a relatively better number of qualified teachers . The challenge then was not about lack of school s; as became obvious, it was more about the quality of school infrastructure in these communities. With some of the schools built more than half a century ago with little or no repairs during that period, most of the school infrastructures across the 10 co mmunities were in disarray. In some instances as occurred at Kenyase No.2, for example, students were forced to study under trees as their school buildings

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173 either became too dangerous to study in or had simply collapsed. Thus, for most communities , a key p riority in the area of education concerned improving the quality of their educational infrastructure. Other areas of priority concerned improving student performance (quality of education) and expanding access to post basic education. Improving educationa l infrastructure: Through NADEF, Newmont achieved quite impressive results in terms of the provision of educational infrastructure across the 10 host communities. In the 5 year period between 2009 and 2013, more than 35 units of classrooms were built acros s the 10 communities, all accompanied with classroom furniture, textbooks, stores, libraries, and (in some cases) information and communication technology (ICT) centers. In some cases, such as in Kenyase No.1 , additional schools have been constructed. Ta ble 8 4 below provides a more complete of the 10 host communities.

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174 Table 8 4 : Newmont Ahafo's Investments in E ducation I nfrastructure Community Educational Inve stments Gyedu 4 unit A 3 Unit fully furnished Kindergarten School Block with learning/teaching materials Susuanso A fully furnished Community Library A 3 unit fully furnished JHS school block Kenyase No.2 A 6 unit School Block with office, store, library, furniture and text books Afrisipakrom A fully furnished Community Library A 4 unit Adrobaa A 4 unit Renovation and furnishing of a 6 unit DA Basic School block Kenyase No.1 A2 storey fully furnished model JHS school block ICT Center at RC Basic School ICT Center at Anglican Basic School ICT Center at Presbyterian Basic School ICT Center at Methodist JHS Wamahinso A fully furnished 6 unit School Block A 58 Seater School Bus for the Gyamfi Kumanini Senior High Technical School Yamfo Fully furnished Community Library ICT Center Ntotrosu 4 Nursing 6 unit Classroom Block, fully furnished ICT Center 4 Unit College of Nursing (Already discussed under Health) Terchire No new educational infrastructure Source: NADEF 2009, 2010, 2011, 2013.

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175 Improving student performance: According to summaries of the project proposals for most of the school buildings constructed, school infrastructural improvements have been aimed mostly at improving performance of students. But other strategies have been deployed as wel l, including the establishment of (community and school) libraries, aimed at providing learning materials to stu dents as well as inculcating in them the habit of learning and research. As of 2013, a total of 3 fully furnished modern libraries and one school library were constructed in 4 communities. Additionally, efforts have also been directed at attracting well qualified teachers to the schools. As in the case of both Iduapriem and Tarkwa, this has been accomplished mostly through the construction of the communities. Currently, there are a total of four 4 unit four of the 10 host communities at Ahafo . Among the general justifications provided for include: (a) to encourage teachers to accept postings to the communities, (b) to reduce teacher absenteeism and lateness characteristic of teacher s commuting long distances to school; and (c) increase student teacher contact hours. In essence, attracting qualified teachers has been treated as an important strategy in improving quality of education and student performance. As in other cases, however , there are currently no studies tracking changes in student performance across the host communities that could provide an objective basis of evaluating the impacts of these interventions. Besides the above, and probably at a less significant level, Newm ont also launched in 2011, a regional level Spelling Bee contest aimed at promoting academic excellence among students both in its host communities and the Brong Ahafo Region of

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176 Ghana, generally. Supported with a $35,000 annual budget and coordinated by it s CD department, the regional contest is aimed at preparing students for the national competition. (Kenyase No.1, Ntotrosu, and Yamfo) were among the six students who qualified for the nation al competition from the Brong Ahafo Region, quite an impressive result. Increasing access to post basic education: Human resource development is seen as a critical aspect of ensuring a sustainable future for local communities at Ahafo (NGGL 2008 a ); and p o st basic education has been prioritized as a crucial part of this , receiving massive resource commitment from Newmont through its scholarship program under NADEF. The impact of this scholarship program in terms of the number of students from across the com munities that have been able to continue their education beyond the basic level is tremendous. Between 2009 and 2013, a total of about 4,523 students (1,474 tertiary and 3,049 secondary) have received scholarships covering diverse educational fields in sch ools across Ghana. The scholarships, since 2012, have also been extended to support youths from across the communities who wish to pursue apprenticeship opportunities rather than go to school. As of 2013, a total of 499 youths received scholarships coveri ng apprenticeship enrollment , maintenance, and graduation fees in diverse occupational areas. Combined, about 5,022 scholarship award s have been made by Newmont as of 2013 (Table 8 5). It is important to point out that , unlike Goldfields, there are no restrictions on the ram. Awards apply to all courses and one only needs to show proof of admission into a recognized institution to qualify. Importantly, selection of beneficiaries is entirely undertaken at the community

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177 level by the 7 member SDCs according to specific guidelines designed by NADEF in concert with the 10 host communities. The community control over the selection process eliminates the risk of enrolling non community members in this program, thereby ensuring that scholarship resources go directly to only students from these host communities. Table 8 5 . Newmont Scholarship Awards (2009 2013) Year # Tertiary students # Secondary students Apprentices Tot al Awards 2009 142 264 406 2010 335 767 1,102 2011 239 588 827 2012 432 760 263 1,192 2013 326 640 236 996 Total 1,474 3,049 499 5,022 Source: NADEF 2009, 2010, 2011, 2013. Newmont and Livelihood Security in Ahafo Communities communities was to expand its Livelihood and Economic Empowerment Program (LEEP) to all communities. Implemented by the OICI beginning in 2005, the LEEP was essentially an impact mitigation program focused on re establishing viable alternative those who were resettled and those who lost their farms to the mine. The LEEP comprised most of the mod ules implemented by the OICI at both Iduapriem and Tarkwa and was expected to end around 2007/2008. The plan then was to introduce a second

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178 version of the LEEP ( known as LEEP 2) which, unlike the LEEP 1, will focus on addressing livelihood security for the communities. However, as discussions around the Responsibility Agreement between the mine and communities continued under the framework of the 53 member Ahafo Social Responsibility Forum (ASRF), the appropriateness of the LEEP 2 became more questionable and a decision was eventually made to abandon it. In its place, and reflec ting understandings reached between the mine and local communities, Newmont decided to address the issue of livelihood security under two separate agreements: the Local Employment Agreement (LEA) and the Foundation Agreement discussed earlier. Local Emplo yment Agreement: Under the LEA, the company made an across the 10 host communities (NGGL 2008b). Its goal was to ensure that within ten years of operation, about 50% o recruited from host communities. To that end, the mine committed to hiring a 100% of its unskilled labor from host communities, while giving preference to comparatively qualified skilled labor from thes e communities. Based on negotiations under the ASRF, each community was allocated an employment quota based on a combination of three concession (in general); and (ii i) tracked by the ASRF through annual employment reports to be issued by the company. To facilitate equitable selection of

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17 9 each applicant must have his application form and photo duly endorsed by the community chief, Assembly Member , and youth leader. All applications are kept in a transparent box, locked simultaneously by the community chief, Assembly Member , and Newmont. Applicants are selected through lottery, and those picked are interviewed and employed. Between 2008 and 2011, Newmont repor tedly employed a total of about 1,471 people from its host communities ( NGGL n.d ). The Foundation Agreement: The second agreement addressing livelihood security is the Foundation Agreement. Under this agreement, the company dedicates a total of 17% of it s annual CD budget to economic empowerment in local host communities. This has generated substantial amounts of money to support wider economic activities across communities in Ahafo , especially through the establishment of a credit schemes . Interestingly until 2011, funds under economic empowerment remained dormant as no community made attempts to draw its allocation, perhaps out of concern about the potential challenge of non repayment of loans by community beneficiaries of antic ipated credit schemes . In 2010, however, NADEF began a training scheme called the micro credit concept development training to enhance the capacity of the SDCs to create and manage the credit scheme in each community. Following this training, NADEF supe rvised the launch of a pilot micro credit scheme in three communities (Gyedu, Wamahinso, and Ntotroso). The aim of the credit scheme, as articulated in the training document, is to help beneficiaries earn a living, start businesses, and cater for their mat erial needs. Six areas of economic activity were targeted for sup port under the scheme: (i) crop production ; ( ii) livestock production; (iii) micro enterprise development (essentially petty retail trading); (iv) handicrafts (carving,

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180 basketry, etc.); (v) specialized vocations (dressmaking, hairdressing, etc.); and (vi) agro marketing (i.e. wholesale/retail of foodstuff) Loans are granted exclusively to groups consisting of between 5 and 10 people. With repayment periods ranging between 6 to 12 months, each group was eligible, initially, to receive between 100 (roughly $75 6 ) and 500 (roughly $ 3 75) , depending on the type of business proposed. In 2011, a total of about 40,000 (roughly $31 ,000) was loaned out to 139 people (including 94 women). Foll owing the success of the pilot scheme (100% repayment), five other communities (Adrobaa, Afisipakrom, Terchire, Susuanso, and Kenyase No.1) have now launched their own micro credit schemes. As of 2013, a total of 285,100 (approximately $167,000) was di sbursed under the credit scheme to 781 people across eight communities. In 2013, the credit schemes in some communities began to extend support for business start ups in the area. For example, in that year, more than 9,700 (roughly $5 , 7 00) was granted in loans to two women (graduates from the youth apprenticeship program) to open hairdressing salons at Ntotroso. By this, the credit scheme appears to be providing a link between the apprenticeship program and micro enterprise development. As things stand now, the credit scheme is still very much in its experimental stages and with the massive amounts of money accumulated under the econom , its impact on local economic revival is bound to be substantial, i f well managed. 6 All conversions based on estimated Dollar Cedi exchange rate of the particular year addressed.

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181 Conclusion Chapter 8 shows that although there is a great deal of similarity in terms of CD objectives and the approaches deployed, there are some very important differences in terms of actual CD outcomes both across thematic areas and across c ompanies , although strict comparison in outcomes is near impossible . Health : I n the area of health, there is a great deal of focus on infrastructural development. But compared with education, investments in healthcare infrastructure have not been very impressive , generally, perhaps due to the relatively more capital inte nsiveness of health infrastructure . Generally, however, CD outcomes in health appear to be more substantial in the area of water and sanitation, although major challenges remain i n those areas as well. Besides infrastructure, Chapter 8 also reveals two non infrastructural approaches currently deployed by companies towards addressing community access to healthcare : annual health outreach programs and the establishment of community h ealth workers schemes . Companies differ in terms of the emphasis received by any of the se two approaches. For example, in both Newmont and Iduapriem, there is a certain amount of emphasis on annual health outreach programs that typically provide free med ical screening and treatment for various ailments for community members. Typically communities are rotated each year and in the case of Iduapriem, health screening is limited to specific types of ailments in any one year (AAIL 2008). This means that not a ll communities have access to health outreach programs every year; and not all health conditions are addressed, making the contribution of the outreach programs marginal. In Tarkwa, the emphasis is on community health workers (community health facilitators CHFs ) . Although the withdrawal of monthly allowances to these CHFs appears to

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182 have significantly undermined this program, the contribution of this scheme to improving communi ty access to basic healthcare has been very important. Very importantly, a s evident throughout the discussions in Chapter 8 , the viability of interventions and especially actual CD outcomes differ significantly across companies. In terms of infrastructural development for health care services, water and sanitation, Iduapriem appea CD outcomes ha ve been impressive especially in terms of water and sanitation, if we take into consideration the longer time frame within which those accomplishments were achieved ; the actual number of projects , and if we also take into consideration the fact company, then it is fair to place Newmont ahead of Tarkwa. Education: In the area of education, general ly, company led CD interventions appear to be more substantial and more consistent than in the two other areas. E ducation is prioritized for countering, in the long term, massive community pressure for employment at the mines as well as for guaranteeing deep and long term s o cio economic transformation in local communities. Generally, company interventions in the area of education are driven by the twin objectives of expanding education access and improving educational quality in communities. Efforts to expand access rely most ly on improving educational infrastructure and the setting up of educational scholarship schemes . As revealed here , generally, i nvestments in educational infrastructure has been quite signifi cant across all the three cases. Indeed, about 90% of the total e ducational infrastructure available in the host communities of both Iduapriem and

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183 Tarkwa can be credited to these companies , a situation that reveals chronic underinvestment by national and local governments in these communities. Efforts to improve educat ional quality , on the other hand , tend to rely on three main strategies : teacher recruitment and retention, construction of education support infrastructure (mostly at Newmont), and donation of education materials to schools . Again, e ach of these three strategies receives varying degrees of emphasis across companies . As revealed in Chapter 8 , generally, a ll three companies have tended to rely on building in their efforts to attract and retain qualified teachers. Idupriem, much to its c redit, goes a step further than the rest by creating a teacher retention allowance scheme under which it pays teachers in its host communities up to 15% of their basic pay each month. In Newmont, there is also an additional emphasis on the provision of edu cation support amenities such as community libraries and ICT centers in the communities. Tarkwa appears to concentrate only on the provision of quarters. In the main , donation of school supplies appears to be very insignificant in the scheme of efforts at promoting quality of education, as these donations are not only very sparse, but typically very symbolic , rather than substantive . Despite the relatively better performance of all three companies in the area of education, Chapter 8 also reveals very significant differences in actual CD outcomes in this area. For example, in the 10 year period between 2002 and 2011, Tarkwa constructed and furnished 5 new ECDCs, six 6 unit new primary school blocks, and six 3 unit Junior High School (JHS) blocks across its host communities. Iduapriem, in the 9 year period between 2004 and 2012, constructed ( mostly without furnishing) 2 new ECDCs, two new 6 unit primary school blocks and renovated one 6 unit primary school

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184 block across its communities. Similarly, N ewmont in 5 years constructed (and furnished) five new 6 unit primary school blocks, one 3 u nit ECDC block, and one 3 unit JHS school block. Differences in outcomes extend to the scholarship programs as well. Between 2005 and 2012, Tarkwa made an estimated 391 full scholarship awards and offered 350 bursaries. While exact figures for the entire period are not available for Iduapriem, it is unlikely that its total awards can surpass 350 given that between 2006 and 2009, the company limited its awards to tertiary students to 10 and made a total of 186 awards between 2011 and 2012. The Ahafo mine in five years (between 2009 and 2013) provided more than 4, 500 full scholarships to students from host communities. Thus, clear differences exist in terms of CD outcomes in the area of education Again, if the time frame of the accomplishment of these outcomes is taken into consideration , there is little doubt that Newmont outperforms b oth Iduapriem and Tarkwa. In fact, Iduapriem appears to have performed the poorest in comparative terms . Livelihood security: Livelihood security interventions appear to have received less consistent support, compared with education. In both Iduapriem an d Tarkwa, the interventions appear extremely similar , consisting of modules addressing crop production, handicrafts, animal production, micro enterprise development and m icro credit schemes designed to improve community access to capital. Youth apprenticeship schemes were added along the way, but unlike Iduapriem, this scheme is still in its infancy at Tarkwa. All the livelihood security interventions (in exception of the apprenticeship programs) at both Iduapriem and Tarkwa were designed, implemented and managed by the OICI under contract in the first three years . Interestingly, only the

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185 crop production schemes (essentially the oil palm module) ha ve survived (to date) amo ng the OICI led livelihood security programs at both Iduapriem and Tarkwa . Both companies , since taking over implementation of the se programs, appear to have abandoned the OICI led initiatives (except the oil palm module). In fact, i n Tarkwa, the emphasi s now is on maximizing community employment through the operation of an agribusiness project directly managed by the mine. This means that currently, at both Tarkwa and Iduapriem, livelihood security interventions rely predominantly on the provision of oi l palm seedlings to interested farmers and support for youth apprenticeship programs . Specifically , in Iduapriem , some feeble efforts at promoting entrepreneurial development are also being made in which local residents interested in obtaining contracts fr om the mine are assisted to formally register their companies . Newmont takes a slightly different approach to its livelihood security programs , relying on three main strategies : maximizing local employment , providing resources for community economic empowerment programs ; and youth apprenticeship . As of 2011, the company reportedly employed more than 1,400 community members (a mere total population). As required under the Development annual CD commitments to communities are dedicated to economic empowerment. This, over the last 5 years, has made available to each community significant amounts of money in support of economic empowerment programs. For example, in 2009, total money available fo r economic empowerment in the twin cities of Kenyase alone amounted to the Ghana Cedi equivalent of roughly $600,000 , more than twice the total CD budget in Iduapriem in 2010. As shown here

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186 c ommunities are currently using this money to set up credit sche mes in support of local economic activities mainly in opening new enterprises and expanding existing ones . Besides the credit schemes and local employment, Ahafo is additionally focusing on promoting youth apprenticeship, having supported the training of roughly 450 youths so far in various skill /occupational areas under various . In sum, g iven the amount of resources available to communities for the credit scheme s at Ahafo, total amounts disbursed so far, and the number of youths suppor ted under the apprenticeship program, it is obvious that Newmont again tops both Iduapriem and Tarkwa in terms of achievements in the area of livelihood security. his would mean that Newmont a ppears to have achieved the most substantial CD outcomes over all.

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187 CHAPTER 9 SYNTHESIS OF FINDINGS AND CONCLUSIONS Overview of Research Objectives Drawing on the Policy Arrangement Approach (PAA), at the heart of this research were three related objectives. The first was to analyze the degree of change in the CD a nd rules bounding this domain. The second was to understand and compare CD outcomes across companies, examining how CD outcomes relate to the degrees of change across companies. The third objective, closely related to the second, was to find out whether or adaptation strategy or something more than that. An important hypothesis of the research was that CD outcomes would be more substantial (both quantitatively and qualitatively) in cases where there exits deep change than in cases where there exists shallow change . While this hypothesis may appear to lack sophistication, here, it serves the crucial purpose of providing a potential basis to link outcomes to discussions about c hange within the PAA framework. Degrees of Change As fairly evident t hroughout the discussions above and summarized in Table 9 1 below, there appears to be varied levels of change across mining companies in Ghana . In Ahafo, we see what can effectively be described as a deep change in which there are strong , fundamental changes not only in discourse; but also in rules, resources and actors . For example, i n Newmont , we notice a re orderi ng of the terms of engagement between the company and local communities in ways that give communities substantial degrees of autonomy

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188 in the determination of CD priorities as well as in the design, scheduling, i mplementation , and monitoring of CD intervent ions. Again, we also notice the allocation of massive CD resources by the Ahafo mine to local communities and the granting of considerable control to communities over these resources by means of improved transparency in resource allocation. In terms of CD resources, the study reveals that Newmont Ahafo , which currently earns less annual revenue than Goldfields (see GCM 2012) , commits twice the rate of CD resources committed by Goldfields, and very importantly ensures that all of its CD resources are dire ctly channeled to CD in local communities. And very importantly, that Newmont directs all of its CD resources to local communities has not stopped the company from contributing in significant ways to other social causes in Ghana, apparently using money fr om its operational budget. T he increased power of communities in the CD policy space at Ahafo appears to be enhancing trust between the company and local communities and strengthening local decision making and political structures in ways that nurture str onger community cohesion and facilitate long term community resilience and (all things equal) prosperity. But besides resources and structural changes in company community relations at Ahafo , we also notice in Newmont substantial changes in rules. For exa mple, the study reveals the existence in Newmont of by far the largest community relations department in Ghana as well as the establishment of a CD department that is separate and independent from the community relations department. All these provide suff icient basis to conclude that the change in Newmont is not just a mere adaptation strategy; it is definitely more than that. It appears to be both deep and substantial.

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189 In both Iduapriem and Tarkwa, the study shows what can appropriately be of the amount of change in both compan ies. In other words, it belies considerable, historically significant changes Table 9 1 . Summary of Degrees of Change across the Three Companies Dimensions of CD Policy Arrangement Change Degree of Change in Company Newmont Goldfields AngloGold Discourses Utopias Strong Strong Strong Paradigms Strong Strong Strong Policy programs Strong Strong Strong Rules Legislation Strong Strong Strong Procedures Strong Strong Strong Actors Actor constellation Strong Strong Strong Interaction patterns Strong Weak Weak Resources Financial flows Strong Average Weak Overall degree of Change Strong Shallow Shallow Source: Author .

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190 in terms of discourse, rules, and even resources that have occurred in both companies. For example, in both companies we see some important changes in discourse, rules and even in resources. For example, we notice the emergence of dedicated CD budgets as well as increases in CD commitments i n both companies. I n Iduapriem, w e notice very progressive increments in CD commitments over the last few years. For example, almost twice that of 2011. In a historical context, this is extremely significant, given the very negligible CD commitme nts at the mine in the past . In Goldfields, we can speak of similar developments as average annual CD budget (if we divide the total budget between the Tarkwa and Damang mines) hovers roughly arou nd $900,000. Both Iduapriem and Tarkwa also have dedicated community staff in their community relations departments with other significant changes in terms of CD/community policy. Yet, a s shown in the table above, a critical area of the CD policy arrange ment that has continued to suffer serious deficiency in terms of change in both Iduapriem and Tarkwa regards the structural relationship between these companies and local communities within the context of CD decision making processes . Community involvemen t is an important moral and practical requirement of CD (Cary 1970; Chambers 1995; Cavaye 2006) and without sufficient changes in that arena, it is impossible to talk of change at all. Interestingly, as the study shows, i n both companies, there continues a perpetuation of a regime in which community voice is muzzled and/ or sidelined in CD planning, design, and implementation ; and CD approached essentially . (lo cal communities) rather t han as a collaborative endeavor between these companies and

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191 local communities. Community involvement in the CD policy arrangement in both Tarkwa and Iduapriem remains extremely marginal as even new community structures created purposely for coordinating community input are routinely sidelined in preference for local community elites, mostly chiefs and Assembly Members. It is important to point out that w hile lo cal chiefs and AMs remain important players within local political structures that must be given their due, the utter sidelining of broad based community decision making structures and increasing overemphasis on these elites appear to be reconfiguring loca l power relations in ways that undermine traditional systems of accountability and legitimacy . Such reconfiguration is being propped up and sustained by an unhealthy system of co dependence in which these elites depend on the mines for favors in the forms of jobs and contracts (for themselves and/or families) while the companies depend on these elites to legitimize their programs in local communities. The resultant shifts in allegiance by these community el ites away from their members appears to be inspir ing a deepening sense of voicelessness and despondency among local communities, a situation that can hardly be deemed to be consistent with the very notion of development. As a local community leader revealed in an interview , for example, t have good leaders who can speak for us, nothing you say or do gets traction [with the mine]. The problem is that because they [the chiefs and Assembly Members] are afraid of losing their contracts they do the wrong thing. the communit y (Interview 2013). This situation raises the possibility that current CD processes in both Iduapriem and Tarkwa might themselves compromise the viability of local political structures and

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192 enervate community cohesion in ways that that could potentially u ndermine long term community prosperity. Even while the study acknowledges some very important changes in the resource element at both companies, there remain very serious issues there as well. In Tarkwa, for example, we notice a very strong PR orientati on to CD where substantial resources are routinely diverted away from local host communities to projects that may be deemed to offer more PR value . In other words, it does not seem that local communities are particularly prioritized in the allocation of CD resources at Tarkwa. In Iduapriem, the challenge relates to the seeming disinterest of the company to committing resources to CD in local communities. Communities appear to be approached almost as a burden; and levels of resource commitments do not show any level of deep commitment to addressing poverty in local communities. This is amply demonstrated not only by the very minimal resources committed to CD by the mine under its newly created trust fund; but very importantly, the long delay even by the com pany in the setting up of this trust fund which, by the way, was a key requirement in the stability agreement signed between AngloGold and the Ghanaian government 7 . Given these conditions, it is fair to conclude that the change in both Iduapriem and Tark wa is nothing more than an adaptation strategy in which both companies do just about enough to demonstrate compliance with demands of key actors and broader social expectations of corporations vis à vis poverty reduction. 7 That the Government was unable to enforce this major requirement speaks volumes.

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193 Comparison of CD Outcomes An interesting finding in this research is that not only do CD outcomes differ across companies, but that they also differ across sectors (or thematic areas) even in the same compan y . On the latter, the study reveals that generally, education had tended to receive the most substantial and consistent support across all the three companies . CD o utcomes in the areas of health and livelihood security are more nuanced across companies. T his is an important finding because research on CSR both in the mining industry and elsewhere has tend ed to provide generalized conclusions on poverty reduction outcomes of corporate led CD interventions , without much effort at distinguishing between outco mes across sectors. This study would suggest the need to pay attention to such details in evaluation of company led social development interventions both in the mining industry and other sectors . Importantly, as the study shows, the three companies in thi s study also differ in terms of CD outcomes ( although it has to be repeated that strict comparison is nearly impossible ) . Generally, the CD outcomes in all the three sectors health, livelihood security, and education appear to be more substantial (bot h in terms of quantity and quality) in Newmont than in the other two companies , especially if the time frame within which those accomplishments were achieved is taken into consideration. Over all, CD outcomes appear to be the least substantial (both in qua ntitative and qualitative terms) in Iduapriem . Tarkwa is straddled between the two. This finding would appear to confirm the underlying hypothesis of the study i.e. that where there is change in all four dimensions (or in all 8 change indicators) of a CD policy domain , outcomes would be expected to be substantial both in quantitative and qualitative terms.

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194 Importantly, this finding is also consistent with existing CSR literature. For example, in their study of CSR in the mining industry in Southern Africa, Hamann and Kapelus (2004) found that while there were substantial green washing in the industry, this was not true for all companies. It would thus be appropriate for research in this area to both acknowledge these differences and seek to explain them in systematic ways . Evaluati ng the Effect s of the PAA Dimensions on CD Outcomes I t is important to note that while the study appears to confirm the view that changes in the four dimensions will lead to more substantial CD outcomes, the findings suggest that change in resource flows is by far the most important factor in determining differences in CD outcomes across companies. This finding appears quite self evident: more resources allow for increasing CD outcomes and improving the quality of those outcomes. For example, more resources allow for more scholarships for more students; more, bigger, and better equipped health clinics; and more, better water facilities; etc. T hus , the impact of change in resources is quite self evident, and indeed offers a fairly robust explanation for differences in CD outcomes across the cases in this study. For example, Newmont commits the highest amount of CD resources ; Tarkwa commits the next highest; and Iduapriem commits the least , closely mirroring their CD outcomes . As the study shows, however, it is not just about increasing CD resources; but it is also about ensuring maximum flow of these resources directly to host communities as we ll as enhancing community control over the resources within clearly stipulated frameworks acceptable to both company and communities. And this leads to t he next most important factor which appears to have influenced differences in CD outcomes: actor inter actions, especially interactions between company and local communities. Increased collaboration between

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195 communities and companies in ways that give greater voice to communities (in CD planning, design, scheduling, and implementation) and enhance community control over CD resources appear s to be critical to both the quantity and quality of CD outcomes. Regarding community involvement in CD planning and implementation, the study shows that the abject failure of livelihood security interventions in both Tarkw a and Iduapriem was the result of lack of adequate community involvement in program planning, design , scheduling, and implementation. Against a backdrop of intense community mistrust of these companies, the lack of adequate involvement in CD programming op ens the door for communities to treat well intentioned CD programs with an extreme sense of opportunism. For example, for most community residents who, out of mistrust for mining companies, see force as the most viable way of getting anything out of th ese companies , the introduction of a credit scheme in which communities played no role in is entitled to dip his hands. This was very evident in Iduapriem, where the compan y was unable to recover loans advanced to community members under its credit scheme. Contrast this with the situation at Ahafo, where the credit scheme was designed and implemented by communit ies and where loan recovery was 100% (NADEF 2013). Secondly, enhanced community control over CD resources, as is the case in Newmont, has several advantages including promoting trust between communities and companies as well as strengthening local decision making institutions. But of crucial consequence t o CD outcomes is that enhanced community control over CD resources eliminates or significantly minimizes administrative costs related to CD management by companies , thereby giving communities more mileage from CD resource commitments .

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196 For example, instead of sacrificing a borehole or two to cover administrative costs related to contract administration by the company or to cover the recruitment of one more staff to administer CD programs , allowing communities to lead this process eliminates these administrat ive costs and consequently increases the amount of CD resources available for use by communities. Very i mportantly, increased community involvement in and control over CD resources has the potential of strengthening local community structures, thereby pro ducing more resilient (and all things equal, more prosperous) communities after mine closure. In sum, greater community control over CD resources and CD decision making processes influence s CD outcomes first, by improving the chances for success of CD inte rventions ; and second, by minimizing waste of CD resources in terms of unnecessary administrative costs . But to ensure success, community control over resources must be pursued within clearly stipulated, agreeable frameworks. f a CD agreement is worth exploring by other companies. While the other dimensions discourse and rules are important, the findings of this study suggest that changes in discourse and rules may have very marginal, if any, impact on CD outcomes. This does not necessarily mean that changes in these dimensions are not important. In fact, changes in discourse especially at the policy action level may have serious implications for change in the three other dimensions, including resources, which can then have huge impact on CD outcomes. Yet, there is no indication that changes in discourse per se have any direct influence in determining CD outcomes (in qualitative or quantitative terms) across companies. This holds true for rules , as well. For example, while change in rules appears to be very important in

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197 deepening company commitment to CD or more as a sign of commitment to CD , it does not appear that change in rules per se has more than marginal direct bearing on CD outcomes. In this sense, it is fair to say that rule changes may not have any direct effect on CD outcomes. In fact, what this study offers is some proof that rules can very easily be decoupled from actual practices especially where such rules are deemed inconvenien t . This is amply demonstrated in both Iduapriem and Tarkwa where new structures for coordinating community inputs into CD processes were conveniently, routinely sidelined. While one may argue that better enforcement of rules may make a difference, there is no proof in this study to support such claims. In fact, there is no evidence that significant impact on CD outcomes in that company. This may be so because r ules , by thei r very nature , are such that it is fairly easy to symbolically demonstrate compliance without radical changes in actions or practices. For example, it is easy to hire a social another thing to allow these specialists the space to bring their skills to bear on actual CD practices . This means that in terms of company led CD, the most important determinants of CD outcomes are resources (i.e. resource flows) and actors (i.e. stronger community involvement and control over CD resources). The implication of this finding is that mining c ompanies desirous of enhancing their CD outcomes explore ways of increasing their resource commitments and enhancing community control over CD resources and the CD decision making process. Th e latter part of this conclusion is consistent with

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198 development theory that sees stronger community involvement as an instrument for enhancing development outcomes and building stronger, more resilient communities (Cary 1970; Christensen and Robinson 1989; Chambers 1995; Cavaye 2006). Why Newmont Excels This study rev ealed the operation of several factors driving change across all three companies in this study . These include both broader structural influences such as of the proper role of corporations as evident in the concept of schemes such as the Global Compact that have sought to operationaliz e its ideals ; as well as strategic actions by specific actors such as the IFC, local communities , other companies ( peer pressure ) and the ICMM. Just as in Iduapriem and Tarkwa, the study shows that all the above factors and actors have had important influence on the change process in Ahafo as well. T he study shows the importance of the local community context, the role of the IFC, the changed glo bal operational environment, the ICMM, and competitors (history of other mining companies in Ghana) as having had very important influences on the change process in Ahafo . So, why was there deep change at Newmont and not at Iduapriem or Tarkwa? The answe r appears to be management to CSR particularly in Ghana and its Africa region. As the study amply shows, there appears to be a strong determination by the corporate management at Newmont to use CSR as a tool fo r brand differentiation in the African r egion. A number first point of entry into Africa, and with goals of possible expansion on the continent; t he company saw excellent corporate reputation as a sine

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199 qua non for success and future expansion in the region. While expanding into a new visibility as a top five global mining giant makes it extremely vulnerable to negative public c ampaigns. Thus the corporate management prioritized CSR as a key part of the and operational strategy in the Africa r egion. Second, given sustainable mining , its managers appea red to be more sensitive to the issue of corporate reputation within the new global operational climate of mining companies , hence the focus on CSR . CD policy arrangement s uch as the large community relations and CD departments and generous CD resource commitments without a reference to what appears to be an extremely For example, it is not possible to explain the necessary for maintaining its massive hive of community relations and CD staff without admitting the possibility that the company has a more favorable predisposition to CSR. And this shows right in the organi zational mission of the company. Again, it can only be out of a stronger commitment to CSR that the CEO of Newmont in late 2005 was able to publicly commit the Ahafo mine to dedicating 1% of total pre tax profit to CD (in addition to a production based co announcement, Goldfields had already set up its foundation; and it was public knowledge that the company was contributing not more than 0.5% of its pre tax profit to CD. It would thus have been rea sonable, or not out of place, for Newmont to peg its

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200 rate of contribution to CD especially when it was very obvious that Ahafo would make less annual profits than Goldfi elds, can only mean one thing: that Newmont takes its CSR (in Ghana) very seriously. As the study shows, that level of commitment is clearly missing in both Iduapriem and Tarkwa. In fact, at Iduapriem, there is no evidence that CSR was prioritized in an yway, even with all the ongoing rule changes there . The same appears to be true for in the work of the CD team. As one official pointed out (and worth repeating here) , So metimes frustrating, sometimes . (Interview 2011) In light of this discussion, it is fair to conclude that m anagement attitude to CSR is more important in promoting deep change than all other factors. This conclusion appears to receive some level of support in the literature on CSR. Management attitude to CSR is found to be very important in the CSR performance of firms ( Cunningham et al. 2003; Campbell 2007; Jarutirasarn and Aiyeku 2010) and in some circumstances, even more important than state regulation (Braithwaite and Makkai 1991). The PAA, Change , and Corporate led CD As shown in this study, the PAA holds a great potential as a framework for analyzing change . While the framework persists largely within the public policy domain, more specifically the environmental policy domain in Europe, this st udy does present a very strong evidence of its usefulness even in private policy domains such as corporate led CD . T its comprehensiveness and the mechanisms it provides for linking structural level changes with strategic actions as well

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201 as for evaluati ng the interactions among different dimensions of a policy domain in ways that bring an overwhelming illumination to a subject matter. Within the context of corporate led CD, the PAA not only afford s us the opportun ity to uncover rhetoric practice gaps across companies , but it also allows us to see how that gap is motivated , structured , and maintained across companies . However , as the study shows, the PAA suffers some unique challenges in the categorizations of change. As shown here , the simple deep shallow categorization of change appears to be inadequate in addressing the broad spectrum of change evident in this study . For example, the idea of sh allow change is unable to effectively distinguish between cases in which there were strong changes in all change indicators except one, and in cases where there were no changes except in one change indicator . I t would thus be important for further cat egorizations of change to be explored. Again, as this study shows, within the context of corporate led CD, it may be important to connect analysis of change within the PAA framework to actual CD outcomes on the ground. The reasoning here is very simple: change in policy practices is only important in terms of the outcomes they produce. In other words, it is impossible to speak of change in practices if no changes in outcomes exist. Even beyond this, evaluation of outcomes allow for deeper investigation of the influences of each dimension within the policy arrangement in ways that facilitate better understanding both of the policy domain and of the operation of the PAA. However, as the study shows, evaluation of CD outcomes must pay particular attention to resource flows and extent of community influence or control over CD processes and resources.

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202 Conclusion by evaluating changes in the four dimensions (discourse, rules, actors, and resources) that define the CD policy domain in each company. It further examined CD outcomes across the three companies in the study and analyzed the interaction between degrees of change and actual CD accomplishment in each company. By its comprehensiveness, industry. It similarly offers useful suggestions for strengthening the PAA as a theoretic al framework for analysis of change especially in the area of CSR or more specifically corporate led CD.

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220 BIOGRAPHICAL SKETCH Collins Nunyonameh received h is Bachelor of Science in Tourism from the University of Cape Coast, Ghana in 2003. He received his Master o f Arts in International Studies from the Morgan State University at Baltim ore, Maryland, USA. Collins obtained his PhD in Interdisciplinary Ecology from University of Florida in August 2014. Prior to entering the University of Florida, Collins worked briefly Ministry of Foreign Affairs , and served as Research Officer at the Institute for Democratic Governance (IDEG ) for three years. Collins won several honors throughout his education including an Honors Shore, USA; Best Graduating Stud ent from the Geography and Tourism Department in the University of Cape Coast in 2003; full scholarships at both Morgan State and University of Florida; recipient of a Hunt Davis Summer Research Fellowship, certificates of Academic Achievement from Universities of Maryland Eastern Shore and Florida as well as others. Collins has also published a number of articles in various newspapers in Ghana , addressing various issues including national elections and African regional integration. He is also the au thor of the book, Students, Politics and Democracy in Ghana: Issues and Trends , which addresse s the role of the student At the University of Florida , Collins focused his research on evaluating corporate led efforts at address ing rural poverty in the Ghanaian mining industry. His Dissertation, Mining and Community Development in Ghana , was supervised by Dr. Christine Overdevest. Collins is currently pursuing career s in academia and politics in Ghana, his home country.