Appendix B: Core principles of meaningful engagement

Core principles

• Principle 1
  Designed and undertaken with a mutually beneficial perspective (‘right mindset’).

  Includes/involves:​

  • Designed in a manner which is based around trust between the company and stakeholders
  • Has a rights-based focus, with the intent to ensure that human rights are respected and observed in the design of the engagement systems/processes
  • Informed by a mindset that looks at ways beyond simply meeting the minimal requirements for engagement and focuses on opportunities to capitalise on greater stakeholder involvement and potential co-ownership
  • Internal alignment with company about objectives for stakeholder engagement and ongoing management of stakeholders
  • Objectives for stakeholder engagement are captured within a stakeholder engagement strategy/plan
  • Engagement is to be conducted in good faith with stakeholders, with a desire to achieve a positive outcome for all parties
• Principle 2
  Conducted with the context-specific stakeholders (‘right people’).

  Includes/involves:​

  • Identifying and characterising the nature of the project/activity and the manner and extent to which stakeholders are likely to be impacted
  • Stakeholder identification and analysis is conducted to identify stakeholders of relevance to the project/ activity, as well as the issues of primary importance to stakeholders
  • Different categories and types of stakeholders are to be involved in the engagement carried out, including vulnerable and disadvantage groups
  • There is the potential for companies to seek advice/support of qualified third-party facilitators/ companies to engage those who may not usually be able to participate in engagement activities due to distance-related isolation, fear of reprisal, and/or other context-specific factors
• Principle 3
  Occurs in a timely manner (‘right time’).

  Includes/involves:​

  • Engagement is to commence early within the life cycle of project/activity conducted which allows the opportunity for feedback to help shape/inform design
  • While engagement is to commence early, it is to be conducted throughout the entire life cycle of the project/activity, and to be viewed as a continuing process
  • Expectations associated with the frequency of engagement should be jointly agreed between the company and stakeholders to manage expectations
  • Engagement should not be a ‘last minute’ exercise, only ‘when needed’, or when a project/activity outcome is fait accompli
  • Engagement is to be respectful of stakeholder’s time and therefore should be designed to ensure maximum involvement/response with minimal imposition
  • Any questions/concerns raised by stakeholders during engagement conducted needs to be responded to in a timely manner (as per stakeholder engagement strategy/plan, or as previously agreed with stakeholder/s)
• Principle 4
  Designed and undertaken via methods suitable for stakeholders and the desired outcome (‘right methods’).

  Includes/involves:​

  • Stakeholder engagement initiatives should be ‘fit-for-purpose’ – not a ‘one-size-fits-all’ approach, with the selection of the appropriate tools/techniques based on the local context and the stakeholders previously identified to be engaged
  • Engagement with stakeholders needs to be respectful (no matter the views of those involved) and maintain a sense of trust between the parties
  • The manner in which engagement is conducted should take account of cultural sensitivities and requirements (e.g. gender or customs)
  • Stakeholder decision-making processes are to be considered as part of the activities conducted (e.g. a group or hierarchy-based process that takes time to conclude)
  • Engagement should ensure stakeholder confidentiality is maintained, and remains free from external manipulation, interreference, intimidation and/or coercion
• Principle 5
  Provides transparency in process and decision-making (‘right process’).

  Includes/involves:​

  • The process for decision-making for the project/activity is suitably explained to stakeholders at the start of the process, in a format and language that can be understood
  • Provision of documentation (disclosure) to stakeholders is timely, equitable, and non-discriminatory in nature
  • Documentation provision allows sufficient time for stakeholder appreciation and review to enable more detailed feedback/responses
  • The overarching process, engagement activities undertaken, and feedback received from stakeholders, should be appropriately logged to enable use as part of decision-making
  • Potential use of third-party companies or systems to assist response anonymity and encourage feedback
  • Follow through on outcomes arising from stakeholder engagement activities conducted
• Principle 6
  Actively considers and responds to feedback (‘right responses’).

  Includes/involves:​

  • All feedback received from stakeholders is to be reviewed and suitably considered by the company in relation to the direction and/or decisions taken for a project/activity
  • Responses should be systematically integrated into project/activity design and implementation, with valid and responsible stakeholder preferences pursued
  • Stakeholders should be informed as to the key developments and/or outcomes of a project/activity, particularly how decisions have been shaped by the feedback received
  • Regular reporting on a project/activity should be provided to stakeholders in a format and language that is easily understood

• Factor 1
  Supported by the necessary management systems (‘right systems’).

  Includes/involves:

  • Establishment of a company-wide management system that incorporates stakeholder engagement. This should include aspects of stakeholder identification, communication and feedback.
  • Clear communication with stakeholders in relation to the channels/avenues that can be used to provide feedback, ask questions, or submit grievances.
  • Development and implementation of a transparent grievance mechanism for the company, project or activity. The grievance mechanism should include clear process and timeframe requirements in relation to receipt, management, investigation and remediation of grievances.
  • Management systems should facilitate appropriate monitoring and evaluation of project/activity outcomes and look at ways to incorporate stakeholders through feedback and ‘lessons learnt’ or joint- monitoring initiatives (where possible and practicable).
    
• Factor 2
  Sufficient resource allocation enables engagement to occur (‘right resources’).

  Includes/involves:​

  • Identification of what resources are needed to enable stakeholder engagement for a project/activity early in the process so that financial and non-financial resources can be made available to practitioners.
  • Specific financial costs will vary based on the tools/techniques employed for stakeholder engagement, and the period of time allocated for initiatives to be carried out.
  • Resources should be commensurate with the project/activity context and the nature of the engagement planned to be conducted.
  • Suitably qualified personnel should be used to carry out engagement initiatives.
  • Insufficient resource provision can substantially impact the ability for stakeholder engagement to be conducted (particularly with disadvantaged or vulnerable groups) or for feedback to be sufficiently incorporated into the project/activity.