June 2022

Mining Principles

Performance Expectations

ICMM 01
Introduction 01

Increasingly, society understands that the

decarbonising of the global economy, the meeting
of the Paris Agreement climate targets and the
realising of the UN Sustainable Development Goals
(SDGs) requires a sustained demand for metals and
minerals over the coming decades. This has rightly
led to greater scrutiny of where these materials
have come from and of whether they are being
produced responsibly.

ICMM 02
 ICMM has long recognised that economic growth
should never be at the expense of people or planet. In
2003, ICMM published its 10 Principles for sustainable
development to set a standard of ethical performance
for our members. Over time, we have worked to expand
on these with eight position statements on key issues,
such as water stewardship and transparency of
mineral revenues.

In early April 2018, ICMM launched a global public

consultation on the introduction of a comprehensive
set of performance expectations on how members
should be expected to manage a broad range of
sustainability issues at the corporate and operational
levels, to enhance these original 10 principles.

Our enhanced Mining Principles strengthen social

and environmental requirements, on issues such
as labour rights, resettlement, gender, access to
grievance mechanisms, mine closure, pollution
and waste. Implementation is supported by robust
site-level validation, credible assurance and transparent
disclosure. Aligned with the objectives of other
responsible sourcing initiatives, our assurance
and validation procedure reinforces commitments
to transparency, and ensures the credibility
of reported progress.

The environmental, social and governance demands

on industry are becoming increasingly complex and
at the same time essential. We encourage all mining
companies to join our members in adopting ICMM’s
Mining Principles.

Mining Principles Introduction 03

Mining 02
Principles

01
Ethical Business
02
Decision Making
03
Human Rights
04
Risk Management
05
Health and Safety
06
Environmental Performance
07
Conservation of Biodiversity
08
Responsible Production
09
Social Performance
10
Stakeholder Engagement
ICMM 04
Mining Principles 05
 Ethical Decision
Business Making

Apply ethical business practices Integrate sustainable development

and sound systems of corporate in corporate strategy and decision-
governance and transparency to making processes.
support sustainable development.

Performance Expectations Performance Expectations

1.1 Establish systems to maintain compliance 2.1 Integrate sustainable development principles
with applicable law.1 into corporate strategy and decision-making
processes relating to investments and in the
1.2 Implement policies and practices to prevent
design, operation and closure of facilities.
bribery, corruption and to publicly disclose
facilitation payments. 2.2 Support the adoption of responsible physical and
psychological health and safety 2, environmental,
1.3 Implement policies and standards consistent
human rights and labour policies and practices by
with the ICMM policy framework.
joint venture partners, suppliers and contractors,
1.4 Assign accountability for sustainability based on risk.
performance at the Board and/or Executive
Committee level.

1.5 Disclose the value and beneficiaries of financial

and in-kind political contributions whether
directly or through an intermediary.

1. ICMM’s member companies already comply with all applicable law in the
countries that they operate in. However, many stakeholders say they want
mining companies to show that they have strong systems that ensure
legal compliance.
2. Psychological health in the workplace is defined in international literature as the
ability to think, feel and behave in a manner that enables workers to perform
effectively. Psychological safety in the workplace is defined as the risk of injury to
the psychological wellbeing of a worker.

ICMM 06
 those under 18; eliminating all forms of
Human harassment and discrimination; respecting
freedom of association and collective bargaining;
Rights and providing an appropriate mechanism to
address workers grievances.

3.5 Equitably remunerate employees with wages

that equal or exceed legal requirements or
represent a competitive wage within that job
market (whichever is higher) and assign regular
Respect human rights and the interests, and overtime working hours within legally
cultures, customs and values of required limits.

workers3 and communities affected by 3.6 Respect the rights, interests, aspirations,
our activities. culture and natural resource-based livelihoods
of Indigenous Peoples in project design,
development and operation; apply the mitigation
hierarchy to address adverse impacts and; deliver
sustainable benefits for Indigenous Peoples.
Performance Expectations 3.7 Work to obtain the free, prior and informed
consent of Indigenous Peoples where significant
3.1 Support the UN Guiding Principles on Business
adverse impacts are likely to occur, as a result
and Human Rights by developing a policy
of relocation, disturbance of lands and territories
commitment to respect human rights,
or of critical cultural heritage, and capture
undertaking human rights due diligence
the outcomes of engagement and consent
and providing for or cooperating in processes
processes in agreements.
to enable the remediation of adverse human
rights impacts that members have caused 3.8 Implement policies and practices to respect the
or contributed to. rights and interests of women that reflect
gender-informed approaches to work practices
3.2 Avoid the involuntary physical or economic
and job design, and that protect against all forms
displacement of families and communities.
of discrimination and harassment, and behaviours
Where this is not possible apply the mitigation
that adversely impact on women’s successful
hierarchy and implement actions or remedies
participation in the workplace.4
that address residual adverse effects to restore
or improve livelihoods and standards of living 3.9 Implement policies and practices to respect the
of displaced people. rights and interests of all workers5 and improve
workforce representation in the workplace so it is
3.3 Implement, based on risk, a human rights and
more inclusive.
security approach consistent with the Voluntary
Principles on Security and Human Rights.

3.4 Respect the rights of workers by: not employing

child or forced labour; avoiding human trafficking;
not assigning hazardous/dangerous work to

3. ‘Workers’ is defined in the Health and Safety Performance Indicators Guidance,

2021, as ‘people who are engaged in work related activities on behalf of an
employer. Workers may be employees, contractors or third parties’.
4. ‘Workplace’ is defined in the Health and Safety Performance Indicators
Guidance, 2021, under work environment as ‘the establishment and other
locations where one or more workers are engaged in work-related activities as a
condition of employment. The work environment includes not only geographic or
physical locations but also the equipment or materials used by the worker during
the course of his or her work‘.
5. All workers regardless of sex, gender, national origin, Indigeneity, age, caring
responsibilities, cultural background, ethnicity, linguistic background, physical or
mental ability status, religious affiliation, sexual orientation, gender identity,
intersex status, socio-economic background and/or other categories of
under-representation.

Mining Principles 07
 Risk Health
Management and Safety

Implement effective risk-management Pursue continual improvement in

strategies and systems based on physical and psychological health and
sound science and which account safety performance with the ultimate
for stakeholder perceptions of risks. goal of zero harm.

Performance Expectations Performance Expectations

4.1 Assess environmental and social risks and 5.1 Implement practices aimed at continually
opportunities of new projects and of significant improving workplace physical and psychological
changes to existing operations in consultation health and safety, and monitor performance for
with interested and affected stakeholders, the elimination of workplace fatalities, serious
and publicly disclose assessment results.6 injuries, psychosocial hazards7 and prevention of
occupational diseases, based upon a recognised
4.2 Undertake risk-based due diligence on conflict
international standard or management system.
and human rights that aligns with the OECD
Due Diligence Guidance on Conflict-Affected and 5.2 Provide workers with training in accordance with
High-Risk Areas, when operating in, or sourcing their responsibilities for physical and
from, a conflict-affected or high-risk area. psychological health and safety and implement
health surveillance and risk-based monitoring
4.3 Implement risk-based controls to avoid/prevent,
programmes based on occupational exposures.
minimise, mitigate and/or remedy physical and
psychological health, safety and environmental
impacts to workers, local communities, cultural
heritage and the natural environment, based
upon a recognised international standard or
management system.

4.4 Develop, maintain and test emergency response

plans. Where risks to external stakeholders
are significant, this should be in collaboration with
potentially affected stakeholders and consistent
with established industry good practice.

6. These should cover issues such as air, water, biodiversity, noise and vibration,
health, safety, human rights, gender, cultural heritage and economic issues.
The consultation process should be gender sensitive and inclusive
of marginalised and vulnerable groups.
7. Psychosocial hazards are aspects of work which have the potential to cause
psychological or physical harm including bullying, mental stress, workplace
violence.

ICMM 08
 Environmental Conservation
Performance of Biodiversity

Pursue continual improvement in Contribute to the conservation

environmental performance issues, of biodiversity and integrated
such as water stewardship, energy approaches to land-use planning.
use and climate change.

Performance Expectations Performance Expectations

6.1 Plan and design for closure in consultation with 7.1 Neither explore nor develop new mines in
relevant authorities and stakeholders, implement World Heritage sites, respect legally designated
measures to address closure-related protected areas, and design and operate any
environmental and social aspects, and make new operations or changes to existing operations
financial provision to enable agreed closure and to be compatible with the value for which such
post-closure commitments to be realised. areas were designated.

6.2 Implement water stewardship practices that 7.2 Assess and address risks and impacts
provide for strong and transparent water to biodiversity and ecosystem services
governance, effective and efficient management by implementing the mitigation hierarchy,
of water at operations, and collaboration with with the ambition of achieving no-net-loss
stakeholders at a catchment level to achieve of biodiversity.10
responsible and sustainable water use.

6.3 Design, construct, operate, monitor and

decommission tailings disposal/storage facilities
using comprehensive, risk-based management
and governance practices in line with
internationally recognised good practice, to
minimise the risk of catastrophic failure.8,9

6.4 Apply the mitigation hierarchy to prevent pollution,

manage releases and waste, and address potential
impacts on human health and the environment.

6.5 Implement measures to improve energy

efficiency and contribute to a low-carbon future,
and report the outcomes based on internationally
recognised protocols for measuring CO2 8. As of 5 August 2020, all ICMM members committed to implement the
Global Industry Standard on Tailings Management (GISTM). All tailings facilities
equivalent (GHG) emissions. operated by members with “Extreme” or “Very high” potential consequences
will be in conformance with the Standard by 5 August 2023. All other
tailings facilities operated by members not in a state of safe closure will
be in conformance with the Standard by 5 August 2025.
9. Riverine tailings, freshwater lake and/or shallow marine tailings disposal
may be considered only if deemed to be the most environmentally and socially
sound alternative, based on an objective and rigorous environmental and
social impact assessment of tailings management alternatives. The scope
of the assessment should be agreed between the member company and
the host government.
10. The ambition of no net loss applies to new projects and major expansions to
existing projects that impact biodiversity and ecosystem services.

Mining Principles 09
 Responsible Social
Production Performance

Facilitate and support the knowledge- Pursue continual improvement in

base and systems for responsible social performance and contribute to
design, use, re-use, recycling and the social, economic and institutional
disposal of products containing development of host countries and
metals and minerals. communities.

Performance Expectations Performance Expectations

8.1 In project design, operation and 9.1 Implement inclusive approaches with local
de-commissioning, implement cost-effective communities to identify their development
measures for the recovery, re-use or recycling priorities and support activities that contribute
of energy, natural resources, and materials. to their lasting social and economic wellbeing,
in partnership with government, civil society
8.2 Assess the hazards of the products of mining
and development agencies, as appropriate.
according to UN Globally Harmonised System
of Hazard Classification and Labelling or 9.2 Enable access by local enterprises to
equivalent relevant regulatory systems and procurement and contracting opportunities
communicate through safety data sheets across the project life-cycle, both directly and
and labelling as appropriate. by encouraging larger contractors and suppliers,
and also by supporting initiatives to enhance
economic opportunities for local communities.

9.3 Conduct stakeholder engagement based upon

an analysis of the local context and provide local
stakeholders with access to appropriate and
effective mechanisms for seeking resolution of
grievances related to the company and its
activities.

9.4 Collaborate with government, where appropriate,

to support improvements in environmental and
social practices of local Artisanal and Small-scale
Mining (ASM).

ICMM 10
 Stakeholder
Engagement

Proactively engage key stakeholders

on sustainable development challenges
and opportunities in an open and
transparent manner. Effectively report
and independently verify progress
and performance.

Performance Expectations

10.1 Identify and engage with key corporate-

level external stakeholders on sustainable
development issues in an open and
transparent manner.

10.2 Publicly support the implementation of the

Extractive Industries Transparency Initiative
(EITI) and compile information on all material
payments, at the appropriate levels of
government, by country and by project.

10.3 Report annually on economic, social and

environmental performance at the corporate
level using the GRI Sustainability Reporting
Standards.

10.4 Each year, conduct independent assurance

of sustainability performance following the
ICMM guidance on assuring and verifying
membership requirements.

Mining Principles 11
Assurance 03
and Validation

ICMM Assurance and Validation 12

Building on the values and commitments While Sustainability Report Assurance has been the
primary component of ICMM’s assurance procedure
of members, ICMM’s Mining Principles since 2008, starting in 2020, validation of progress
combines enhanced performance with implementing performance expectations at the
expectations with robust site-level corporate and asset levels is required. The expectation
is that company members will disclose their validation
validation of performance expectations
activities on an annual basis.
and assurance of corporate
Assets subject to validation include all operations
sustainability reports. Aligned with the
involved in the production or refining of minerals
objectives of other responsible sourcing and metals over which a company member exercises
initiatives, our assurance and validation control. Validation comprises the following elements:
procedure reinforces commitments to — Self-assessment of all assets subject to PE validation
transparency, and ensures the credibility (ie subject assets)
of reported progress on social and — Prioritisation of assets for third-party validation
environmental performance. — Third-party validation of prioritised assets

— Disclosure

Company members are required to complete a

self-assessment of all applicable assets once every
three years. Members are also required to conduct
third-party validation of prioritised assets within a
three-year validation cycle. Validation activities evaluate
the implementation of the Performance Expectations
individually. There is no overall outcome for a given
asset. Validation outcomes are determined for each
individual Performance Expectation, with possible
outcomes comprising: ‘Meets’, ‘Partially Meets,’
and ‘Does not Meet’. In some situations, the outcome
may be ‘not applicable’.

Third-party Validations must be conducted

by qualified validation service providers (VSPs).
VSPs are professional service providers that must
meet ICMM requirements for independence,
experience, expertise and lack of conflicts of interest.
ICMM will keep a register of VSPs for members
or other interested parties use.

Members are required to disclose, publicly,

their validation activities on an annual basis.
The disclosure will need to be made on a member’s
website or in a sustainability or corporate report.

Mining Principles Assurance and Validation 13

Position 04
Statements

Since 2003, Position Statements have Mining Principles

01
Ethical Business
been developed to clearly articulate 02
Decision Making
member commitments on a number 03
Human Rights
of critical industry challenges. 04
Risk Management
05
Health and Safety
Position Statements are endorsed 06
Environmental Performance
by the ICMM Council and include 07
Conservation of Biodiversity
specific commitments that members 08
Responsible Production
must implement, alongside the 09
Social Performance
10
Social Performance
Performance Expectations.

June 2022

Transparency of Mineral Revenues

01
Ethical Business
Stakeholder Engagement
Transparency
of Mineral Revenues
10

Position Statements

ICMM 04

June 2022

Climate Change
04
Risk Management
Environmental Performance
Climate Change
06

Position Statements
08
Responsible Production
10
Stakeholder Engagement

ICMM 01

ICMM 14
 June 2022

Water Stewardship
03
Human Rights
Risk Management
Water Stewardship
04

Position Statements
06
Environmental Performance
07
Conservation of Biodiversity
10
Stakeholder Engagement

ICMM 03

June 2022

Tailings Governance
01
Ethical Business
Decision Making
Tailings Governance
Framework
02

Position Statements
04
Risk Management
05
Health and Safety
06
Environmental Performance
07
Conservation of Biodiversity
ICMM 05
10
Stakeholder Engagement

June 2022

Indigenous Peoples and Mining

03
Human Rights
Environmental Performance
Indigenous Peoples
and Mining
06

Position Statements
09
Social Performance

ICMM 07

June 2022

Mining Partnerships for

Development
Ethical Business
Mining Partnerships
for Development
01

Position Statements
02
Decision Making
03
Human Rights
09
Social Performance
10
Stakeholder Engagement
ICMM 02

June 2022

Mercury Risk Management

04
Risk Management
Environmental Performance
Mercury Risk
Management
06

Position Statements
08
Responsible Production

ICMM 06

June 2022

Mining and Protected Areas

06
Environmental Performance
Conservation of Biodiversity
Mining and
Protected Areas
07

Position Statements

ICMM 08

Mining Principles Position Statements 15

ICMM stands for mining with principles. June 2022

We bring together a third of the global metals and

mining industry, along with key partners to drive
leadership, action and innovation for sustainable
development, ultimately delivering a positive
contribution to society.

Through collaboration, ICMM member companies

set the standard for responsibly produced minerals
and metals in a safe, just and sustainable world.

Disclaimer
This publication contains general guidance only and should not be relied upon as
a substitute for appropriate technical expertise. Although reasonable precautions
have been taken to verify the information contained in this publication as of the date
of publication, it is being distributed without warranty of any kind, either express
or implied. This document has been prepared with the input of various International
Council on Mining and Metals (‘ICMM’) members and other parties. However, the
responsibility for its adoption and application rests solely with each individual member
company. At no stage does ICMM or any individual company accept responsibility
for the failures or liabilities of any other member company, and expressly disclaims the
same. Each ICMM member company is responsible for determining and implementing
management practices at its facility, and ICMM expressly disclaims any responsibility
related to determination or implementation of any management practice.

Each ICMM member company is responsible for determining and implementing

management practices at its facility, and ICMM expressly disclaims any responsibility
related to determination or implementation of any management practice. Moreover,
although ICMM and its members are committed to an aspirational goal of zero fatalities
at any mine site or facility, mining is an inherently hazardous industry, and this goal
unfortunately has yet to be achieved.

In no event shall ICMM (including its officers, directors, and affi liates, as well
as its contributors, reviewers, or editors to this publication) be liable for damages
or losses of any kind, however arising, from the use of or reliance on this document,
or implementation of any plan, policy, guidance, or decision, or the like, based on this
general guidance. ICMM, its officers, and its directors expressly disclaim any liability
of any nature whatsoever, whether under equity, common law, tort, contract, estoppel,
negligence, strict liability, or any other theory, for any direct, incidental, special, punitive,
consequential, or indirect damages arising from or related to the use of or reliance
on this document.

The responsibility for the interpretation and use of this publication lies with the user
(who should not assume that it is error-free or that it will be suitable for the user’s purpose)
and ICMM. ICMM’s officers and directors assume no responsibility whatsoever for errors
or omissions in this publication or in other source materials that are referenced by this
publication, and expressly disclaim the same.

Except where explicitly stated otherwise, the views expressed do not necessarily represent
the decisions or the stated policy of ICMM, its officers, or its directors, and this document
does not constitute a position statement or other mandatory commitment that members
of ICMM are obliged to adopt.

ICMM, its officers, and its directors are not responsible for, and make no representation(s)
about, the content or reliability of linked websites, and linking should not be taken
as endorsement of any kind. We have no control over the availability of linked pages
and accept no responsibility for them.

The designations employed and the presentation of the material in this publication
do not imply the expression of any opinion whatsoever on the part of ICMM, its officers,
or its directors concerning the legal status of any country, territory, city or area or
of its authorities, or concerning delimitation of any frontiers or boundaries. In addition,
the mention of specific entities, individuals, source materials, trade names, or commercial
processes in this publication does not constitute endorsement by ICMM, its officers,
or its directors.

This disclaimer should be construed in accordance with the laws of England.

ICMM
34–37 Liverpool Street
London EC2M 7PP
United Kingdom
+
44 [0] 20 7467 5070
[email protected]
icmm.com

ICMM 16