March 2022

Tools for Social

Performance
About These Tools

Mining often takes place in and How well mining and metals companies mitigate
negative impacts from their activities and maximise
around local communities and on positive benefits for local communities and society is
Indigenous land. It has the power to increasingly important to all stakeholders. Getting it
create lasting positive outcomes and right consistently across the sector, in order to build
trusted relationships with impacted communities, will
carries the responsibility to avoid/
also be key to meeting the demand for the critical
minimise negative impacts. minerals necessary to drive the clean energy transition.

Yet, social performance – what it is, what value it

delivers and how to improve it – is not always
consistently understood or executed well.

In 2019, ICMM examined the value of the social

performance function to mining companies and to
what degree social performance was integrated into
company decision-making processes. It explored
opportunities for deeper integration of social
performance functions, in pursuit of an optimal
all-of asset approach to social performance.

In 2020, ICMM agreed a standard definition of social

performance, (see box below). It also embarked on a
project to compile this series of short, accessible, and
practical tools to support greater understanding of what
social performance is, and the enablers required within
organisations to deliver good, consistent social
performance. The tools distil practical insights from
social practitioners, both from member companies and
external experts, gained over decades of experience
supporting organisations to ‘build in’ rather than ‘bolt
on’ the management of social risks and impacts.

The tools are primarily targeted at non-social

performance specialists within mining companies, with
an emphasis on integrating social performance
considerations across whole-of-assets to improve
decision making. They will also be useful to social
performance specialists in communicating internally
about how to integrate social performance across the
business. They have been designed as an additional
resource to the existing suite of ICMM materials which
support improved social performance.

Tools for Social Performance About These Tools 2

Contents

What Is Social Performance? 4

Social Performance Maturity Matrix 12
Social Performance Competency Framework 23
Integrating Community Engagement across the Business 38
Integrating Social Performance across the Business 50
Guidance to Support Leaders 61

Social Performance Definition — Contribute to the social and economic

development of affected people and engage
Social performance is the outcome of a company’s
society more widely on key issues.
engagement, activities and commitments that can
directly and indirectly impact stakeholders or affect — Establish and maintain relationships of trust
the quality of its relationships with them. Achieving between companies and stakeholders for
excellence in social performance requires strong mutual benefit.
leadership, integrated management systems, and the
Critical to a mining and metals company’s social
capability and culture to identify, address and report
performance is how well a company fulfils its
social risks and impacts.
commitments, interactions and activities as they
Social performance management aims to: relate to local communities. Broader societal aspects
include revenue and contract transparency, mineral
— Avoid harm to people and communities from
resource governance, and engagement with partners
company activities throughout the mining life cycle.
across the value chain on social risks.
— Ensure respect for human rights.

Tools for Social Performance Contents 3

 Contents

What Is Social This is one of a set of practical tools aimed at

enhancing the understanding of what social

Performance?
performance is, why it is important and how it
can be integrated into business decision
making. The tools have been developed for
non-social performance specialists working in
mining companies and to support social
performance specialists in influencing decision
makers in their companies. The full set of tools
Tools for Social Performance can be accessed on ICMM’s website
What Is Social
Performance?
Social performance is the outcome of a Social performance management aims to:

company’s engagement, activities and — Avoid harm to people and communities from
commitments that can directly and company activities throughout the mining life cycle.

indirectly impact stakeholders or affect — Ensure respect for human rights.

the quality of its relationships with them. — Contribute to the social and economic development
Achieving excellence in social of affected people and engage society more widely
on key issues.
performance requires strong leadership,
integrated management systems and — Establish and maintain relationships of trust between
companies and stakeholders for mutual benefit.
the capability and culture to identify,
address and report social risks and Critical to a mining and metals company’s social
impacts. performance is how well it fulfils its commitments,
interactions and activities as they relate to local
communities. Broader societal aspects include revenue
and contract transparency, mineral resource
governance and engagement with partners across the
value chain on social risks.

ICMM’s Mining Principles

ICMM requires members to commit to its Mining
Principles, which define good environmental, social and
governance requirements for the industry through a
comprehensive set of performance expectations.
Almost all of the Mining Principles and related
Performance Expectations contain social performance
requirements, which are intended to embed social
performance throughout a company’s systems.

Table 1 lays out the Performance Expectations per

Principle to illustrate how they embed social
performance. Yellow shading indicates where social
performance considerations would directly influence
decision making and action to meet the expectation.
Grey shading indicates that social performance
considerations are less directly relevant but may still
contribute to decision making and action.

What Is Social Performance? 5

Table 1. Integration of Social Performance Considerations Across ICMM Performance Expectations
(Blue Shading Indicates Were Social Performance Principles Would Directly Influence Decision Making and Action)

Mining Principle Description Performance Expectations

1. Ethical business Apply ethical 1.1 Establish systems to maintain compliance with applicable law.
business practices
and sound systems 1.2 Implement policies and practices to prevent bribery, corruption and to publicly
of corporate disclose facilitation payments.
governance and
transparency to 1.3 Implement policies and standards consistent with the ICMM policy framework.
support sustainable
1.4 Assign accountability for sustainability performance at the Board and/or
development.
Executive Committee level.

1.5 Disclose the value and beneficiaries of financial and in-kind political
contributions whether directly or through an intermediary.

2. Decision- Integrate sustainable 2.1 Integrate sustainable development principles into corporate strategy and
making development in decision-making processes relating to investments and in the design,
corporate strategy operation and closure of facilities.
and decision-making
processes. 2.2 Support the adoption of responsible health and safety, environmental, human
rights and labour policies and practices by joint venture partners, suppliers and
contractors, based on risk.

3. Human rights Respect human 3.1 Support the UN Guiding Principles on Business and Human Rights by
rights and the developing a policy commitment to respect human rights, undertaking human
interests, cultures, rights due diligence and providing for or cooperating in processes to enable
customs and values the remediation of adverse human rights impacts that members have caused
of employees and or contributed to.
communities
affected by our 3.2 Avoid the involuntary physical or economic displacement of families and
activities. communities. Where this is not possible apply the mitigation hierarchy and
implement actions or remedies that address residual adverse effects to restore
or improve livelihoods and standards of living of displaced people.

3.3 Implement, based on risk, a human rights and 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 those
under 18; eliminating harassment and discrimination; respecting freedom of
association and collective bargaining and; providing a mechanism to address
workers grievances.

3.5 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 and overtime working hours within legally required limits.

3.6 Respect the rights, interests, aspirations, 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.

3.7 Work to obtain the free, prior and informed consent of Indigenous Peoples
where significant adverse impacts are likely to occur, as a result of relocation,
disturbance of lands and territories or of critical cultural heritage, and capture
the outcomes of engagement and consent processes in agreements.

3.8 Implement policies and practices to respect the rights and interests of women
and support diversity in the workplace.

What Is Social Performance? 6

 Mining Principle Description Performance Expectations

4. Risk Implement effective 4.1 Assess environmental and social risks and opportunities of new projects and
management risk-management of significant changes to existing operations in consultation with interested
strategies and and affected stakeholders, and publicly disclose assessment results.
systems based on
sound science and 4.2 Undertake risk-based due diligence on conflict and human rights that aligns
which account for with the OECD Due Diligence Guidance on Conflict-Affected and High-Risk
stakeholder Areas, when operating in, or sourcing from, a conflict-affected or high-risk
perceptions of risks. area.

4.3 Implement risk-based controls to avoid/prevent, minimise, mitigate and/or

remedy 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.

5. Health Pursue continual 5.1 Implement practices aimed at continually improving workplace health and
and safety improvement in safety, and monitor performance for the elimination of workplace fatalities,
health and safety serious injuries and prevention of occupational diseases, based upon a
performance with recognised international standard or management system.
the ultimate goal of
zero harm 5.2 Provide workers with training in accordance with their responsibilities for
health and safety, and implement health surveillance and risk-based
monitoring programmes based on occupational exposures.

6. Environmental Pursue continual 6.1 Plan and design for closure in consultation with relevant authorities and
performance improvement in stakeholders, implement measures to address closure-related environmental
environmental and social aspects, and make financial provision to enable agreed closure and
performance issues, post-closure commitments to be realised.
such as water
stewardship, energy 6.2 Implement water stewardship practices that provide for strong and
use and climate transparent water governance, effective and efficient management of water at
change operations, and collaboration with stakeholders at a catchment level to achieve
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.

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 equivalent (GHG) emissions.

7. Conservation of Contribute to the 7.1 Neither explore nor develop new mines in World Heritage sites, respect legally
biodiversity conservation of designated protected areas, and design and operate any new operations or
biodiversity and changes to existing operations to be compatible with the value for which such
integrated areas were designated.
approaches to
land-use planning 7.2 Assess and address risks and impacts to biodiversity and ecosystem services
by implementing the mitigation hierarchy, with the ambition of achieving
no-net-loss of biodiversity.

What Is Social Performance? 7

 Mining Principle Description Performance Expectations

8. Responsible Facilitate and 8.1 In project design, operation and de-commissioning, implement cost-effective
production support the measures for the recovery, re-use or recycling of energy, natural resources,
knowledge-base and and materials.
systems for
responsible design, 8.2 Assess the hazards of the products of mining according to UN Globally
use, re-use, recycling Harmonised System of Hazard Classification and Labelling or equivalent
and disposal of relevant regulatory systems and communicate through safety data sheets and
products containing labelling as appropriate.
metals and minerals

9. Social Pursue continual 9.1 Implement inclusive approaches with local communities to identify their
performance improvement in development priorities and support activities that contribute to their lasting
social performance social and economic wellbeing, in partnership with government, civil society
and contribute to the and development agencies, as appropriate.
social, economic and
institutional 9.2 Enable access by local enterprises to procurement and contracting
development of host opportunities across the project life cycle, both directly and by encouraging
countries and larger contractors and suppliers, and also by supporting initiatives to enhance
communities. 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 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).

10. Stakeholder Proactively engage 10.1 Identify and engage with key corporate-level external stakeholders on
engagement key stakeholders on sustainable development issues in an open and transparent manner.
sustainable
development 10.2 Publicly support the implementation of the Extractive Industries Transparency
challenges and Initiative (EITI) and compile information on all material payments, at the
opportunities in an appropriate levels of government, by country and by project.
open and
transparent manner. 10.3 Report annually on economic, social and environmental performance at the
Effectively report and corporate level using the GRI Sustainability Reporting Standards.
independently verify
10.4 Each year, conduct independent assurance of sustainability performance
progress and
following the ICMM guidance on assuring and verifying membership
performance.
requirements.

What Is Social Performance? 8

What Is the Value of
Social Performance?
The purpose of social performance What is distinctive about social performance is the way
in which it straddles a wide range of organisational,
is to maintain alignment between a social and operating domains. Consequently, there are
company’s behaviour and activities, a number of ways in which social performance enables
and the expectations both of local business success, as shown in Table 2. Each of these
items overlaps and is complementary to a cohesive,
stakeholders and broader society. Social
integrated approach.
performance is a support function, like
others, that enables business outcomes.

Table 2. How Social Performance Enables Business Success

Realise company values and purpose Creating value for stakeholders and communities is central to ICMM member companies’
values and vision. It also provides employees with a greater sense of purpose in their
work, which helps to attract and retain talent.

Enhance business decision-making Integrating social performance perspectives, such as risks, impacts and opportunities,
improves the outcomes of decision-making.

Manage complexity The social performance function enables businesses to better navigate complex
operating contexts, especially in new jurisdictions.

Enhance market value Empirical research has revealed that companies with strong social performance and
stakeholder cooperation tend to be more financially valuable.

Differentiate Peer-leading social performance both improves company reputation and creates value
for its external stakeholders.

Access to land Social performance is crucial in securing and maintaining access to mineral resources
and the land where they are located.

Access to finance Amidst a greater focus on ESG and compliance with standards, like the Equator
Principles, social performance has become key to securing finance.

Access to markets Social performance enables companies to maintain access to markets amidst more
stringent requirements for responsible sourcing and traceability.

‘Insure’ against risks to production Strong social performance reduces risks to production by preventing company-
community conflict.

Maintain legal compliance Some aspects of social performance are mandated via regulatory, legal, and permitting
conditions.

What Is Social Performance? What Is the Value of Social Performance? 9

How to Achieve
Excellence in
Social Performance
Social performance is core to business. As with all management systems, the maturity of these
It should be integrated across the can vary considerably. The ICMM Social Performance
organisation and supported by a fully Maturity Matrix can be used to identify the maturity of
formed business function. a mining company’s social performance approach in
The organisational structure should reflect the fact order to identify strengths and gaps to take action to
that social performance is a key enabler of an asset’s improve those systems.
and corporate’s objectives. The social performance
function, at a minimum, should be organised, Good social performance depends on the
resourced, managed, held accountable and supported skills, capabilities and engagement of people
in the same ways as other established business in the company.
support functions, such as safety and human Social performance is a technical function within
resources. However, since securing and maintaining companies that requires technical skills as well as
the social license to operate is core to business, all specific behaviours and competencies.
functions of the company should also contribute to a
Social performance practitioners need critical
single cohesive, coordinated and integrated approach
experience, skills, knowledge and behaviours to perform
to social performance.
their function within the organisation. Decision-makers
The ICMM resource on Integrating Social at all levels of the organisation should understand the
Performance Across the Organisation sets out social performance implications of their decisions.
guidance on how to structure the organisation to Other organisational functions that interact with
enable social performance success and how to stakeholders or have social performance responsibilities
achieve an all-of-asset approach to securing social (including contractors) also need to have the necessary
performance outcomes. understanding and skills to deliver on the corporate or
asset’s social performance objectives. The attitude,
An effective all-of-asset approach to approach to and awareness of social performance of
social performance requires integrated those in non-social performance roles and especially
management systems that feed information the asset general manager, can be decisive.
into company decision-making. An increasing number of practitioners in the extractives
Companies should have procedures and standards
industry have medium or long-term career experience
for managing social risk that integrate into broader
in social performance, and this trend is set to continue
company-wide systems and processes. Management
growing. Social performance practitioners come from
systems that integrate social performance serve a
a diverse range of backgrounds, including geography,
number of purposes, including embedding minimum
anthropology, sociology, economics and development.
performance standards for how an organisation
As the field becomes increasingly professionalised,
interacts and engages with stakeholders, capturing
more resources for training and professional
knowledge about the social environment in which an
development in social performance are being
organisation operates, identifying and managing
made available.
social risks, and driving continuous improvement.

What Is Social Performance? How to Achieve Excellence in Social Performance 10

The ICMM Social Performance Competency Framework Effective social performance management
supports social performance managers, human requires metrics to improve communication,
resources, and recruiters to identify the competencies monitoring and reporting
that social performance practitioners, and others with Social performance metrics are increasingly
social performance responsibilities, need to perform commonplace throughout the mining industry.
their job successfully. However, they are highly variable in their effectiveness.
Most member companies have some form of leading
The ICMM Social Performance: Guidance for Leaders
and lagging indicators, or asset- and corporate-level
helps leaders to understand the social performance
dashboards, or perhaps Key Performance Indicators
implications of their decisions and identify actions to
(KPIs) that link personal objectives to function and
achieve their social performance objectives.
business objectives. To add weight and clarity to how
social performance is discussed, especially with non-
Social performance responsibilities should
specialists and line management, social performance
be shared and owned across the asset and
needs ‘gold standard’ metrics, particularly a more
company.
consistent and all-encompassing set of metrics which
A fully integrated approach to social performance
adequately measures the outcomes and impact that
requires that different functions at the corporate- and
businesses are seeking to achieve.
asset-level are aligned, engage with each other and
build partnership-type arrangements and alliances.
This alignment facilitates a cohesive approach to social
performance across the company.

The ICMM resource on Integrating Community

Engagement Across the Organisation sets out how
non-social performance functions contribute to aspects
of community engagement to guide them in
understanding their responsibilities and support
integration.

What Is Social Performance? How to Achieve Excellence in Social Performance 11

 Contents

Social Performance This is one of a set of practical tools aimed at

enhancing the understanding of what social

Maturity Matrix
performance is, why it is important and how it
can be integrated into business decision
making. The tools have been developed for
non-social performance specialists working in
mining companies and to support social
performance specialists in influencing decision
makers in their companies. The full set of tools
Tools for Social Performance can be accessed on ICMM’s website
Introduction

What Is the Social Performance Maturity

Box 1: Mining Principles
Matrix?
ICMM’s Mining Principles define good practice
Mining companies are increasingly developing their
environmental, social and governance requirements
approach to managing social performance. The ICMM
for the mining and metals industry. They include 10
Social Performance Maturity Matrix is a tool designed to
principles, reinforced by ICMM’s eight Position
assess the maturity of a mining company’s social
Statements. The Assurance and Validation Procedure
performance approach and management systems.
reinforces commitments to transparency, and
Management maturity models are used elsewhere in ensures the credibility of reported progress. Level 4
the mining industry including for risk, health and safety, and above of the Social Performance Maturity Matrix
and security management systems. Some mining broadly indicate conformance with the social
companies already use versions of the maturity model performance elements of the Mining Principles.
in social performance. The tool contributes to and
accelerates the definition and codification of social
performance as an emerging discipline.
How to Use the Matrix
The Maturity Matrix can be used at either a corporate or
Why Use the Matrix? asset level and has been developed to assist
The matrix is intended to help the industry to develop
companies to critically analyse their approach to social
more systematic processes for managing social issues.
performance and identify actions to evolve and improve.
It is a tool to support continuous learning and
To best use the Maturity Matrix, companies should try to
improvement. Mining companies can use the resource
involve a cross-section of representatives from within
to diagnose their social performance systems to
the company in making the assessment, and to be as
identify strengths and gaps, and then plan and take
objective as possible in determining which level of
action to improve those systems. In the process, the
descriptor best suits the company’s current maturity.
tool can also assist companies to demonstrate
conformance with the Mining Principles (see Box 1). The Maturity Matrix could also be useful to consider how
Importantly, the tool helps identify actions which are external stakeholders might position each aspect;
appropriate to the current level and what is needed to companies can consider involving external stakeholders
move towards the next level. in the maturity assessment (such as national association
representatives or partners). It is not intended that it be
Who Can Use the Matrix? used by external parties or ‘verified’ in any way, nor is
General managers, corporate managers and social evidence required to support a company’s own
performance teams can use this resource to guide assessment of its maturity. However, companies may
them in assessing their existing social performance also seek an independent assessment of maturity
systems and capability levels, and plan appropriate undertaken by a third-party, at their discretion.
improvement initiatives.

Social Performance Maturity Matrix Introduction 13

The Maturity Matrix has five maturity levels (from Depending on an asset’s operating context (eg key
nascent to leadership) that apply to four key aspects of risks, stage of development and other factors), certain
social performance (leadership and culture, integration aspects of social performance may be more mature
and systems, people, and metrics). Users should take than others. For example, management systems may be
the description provided for each aspect in the detailed more mature than metrics initially. In addition, it is also
matrix and identify which one best reflects the current likely there will be a range of maturity in systems and
situation within their company or asset to determine the approaches between assets in the same company.
level of maturity. Note that the descriptions are not
Level 4 and above are broadly aligned with
prescriptive and so the entire description does not need
conformance with several of ICMM’s Mining Principles,
to be present for a company or asset to consider itself
see Box 1.
at that maturity level.

Social Performance Maturity Matrix Introduction 14

Social Performance 01
Maturity Matrix
The aspects of social performance The four aspects are:

contained in the Maturity Matrix are the — Leadership & Culture – this refers to the
organisation’s awareness of social performance, the
essential enablers of success in social
company’s policies and the ‘tone from the top’ from
performance, while the levels describe the CEO, executive committee, and board.
in generic terms the phases through — Integration & Systems – this includes three aspects:
which systems and approaches evolve. strategy – purpose and outcomes of social
performance; structure – accountabilities and
reporting lines; and management systems –
standards, policies and procedures, internal and
external reporting, risk and impact identification and
management.
— People – this aspect is about the competencies and
capabilities of social performance practitioners, as
well as the awareness, competency and capability of
social performance as demonstrated by those in
non-social performance roles.
— Metrics – this aspect includes lagging and leading
indicators of social performance outcomes, as well
as Key Performance Indicators (KPIs) and
management dashboards.

Figure 1. Social Performance Maturity Matrix – Overview Company-wide

consistent living
Leaders are SP
values beyond
champions,
technical, financial
influencing SP
Senior leadership and production
outcomes positively
publicly
acknowledges
Policy positions importance of 'S' SP aspects are hard- Systems are
are made public in ESG issues wired into business co-designed with
SP applied only management systems communities
Leadership
in a crisis Some corporate and processes
& Culture SP Management
and asset level System established
procedures Asset GMs and SP
Integration No systems SP capability and leaders are
& Systems Fit for purpose capacity are linked to interchangeable
Some SP capability SP capability at impact management,
at corporate and corporate and asset
No expert capability risk profile and
People asset level Stakeholders
context
provide performance
KPIs, indicators are monitoring against
No metrics SP metrics applied Metrics track 'all of
Metrics linked to significant metrics
to SP team only asset' performance
SP risks

Level 1: Level 2: Level 3: Level 4: Aligned with Level 5:

Nascent Basic Managed International Good Practice Leading Practice

Social Performance Maturity Matrix 15

The maturity levels of the ICMM Social Performance Maturity Matrix are defined in the following table.

Table 1. Definition of maturity levels

Maturity Descriptor Definition

Level

1 Nascent Practice is emerging: Policies may (or may not) exist at corporate level but at asset level they,
and activities relating to them, are ad-hoc and not formalised. Social performance is reactive
and firefighting; social performance operates in a silo, disconnected from other functions and
operational decision-making. There is limited understanding of social performance across
the company or asset.

2 Basic Practice is established: Policies exist at corporate level and apply at asset level, and
procedures are in-place, however implementation is inconsistent and/or not achieved
systematically. There is a basic understanding of social performance across the company or
asset.

3 Managed Practice is compliant: Corporate policies generally reflect implementation at asset level,
procedures are followed routinely and compliance with them is generally achieved, but social
performance is not yet embedded throughout asset level activities or fully integrated into
business decision making. There is sound understanding of social performance across the
company or asset and increasing acknowledgement of what needs to occur to embed and
integrate social performance.

4 Aligned with Practice is embedded: Increasing bandwidth means social performance risk management is
international good pro-active and understood across the business; continuous improvement of policies and
practice procedures occurs in line with community and stakeholder expectations, and outcomes from
incident investigations, audits, and assurance; adherence with policies and procedures is
internalised and embedded (ie, is business as usual). The company and assets meet the
performance expectations of ICMM’s Mining Principles 1, 2, 3 and 9 (see Box 1) and
performance is aligned with international good practice.

5 Leading practice Practice is continuously evolving: The company and assets not only meet the performance
expectations of ICMM and operate in alignment with international good practice, but they
demonstrate leadership to peers and wider stakeholders. The social performance of the
business as a whole continues to evolve and improve based on engagement with local and
external stakeholders. Innovative approaches to partnering and participation are evident.
Social performance is part of the organisational fabric, continues unhindered during
disruptions, and keeps pace with, and may even exceed, community and stakeholder
expectations.

For each of the aspects and maturity levels, the Social Performance Maturity Matrix provides a descriptor to
indicate the respective level of maturity.

Social Performance Maturity Matrix 16

Social Performance 02
Maturity Matrix
The Social Performance Maturity Matrix in full detail is set out below. Items in bold are considered most relevant at a corporate level.

Aspect Level 1: Level 2: Level 3: Level 4: Level 5:

Nascent Basic Managed Aligned with International Leading Practice
Good Practice

Leadership & Culture Reactive interest in social performance; Leadership verbally recognises the importance A social performance function is established Social performance leadership at corporate Company- and asset-wide support and
short-term and/or inconsistent focus of social performance but does not make and asset level is visible, leaders are social embody the values of the company, including
Organisation’s awareness of social Senior leadership publicly acknowledges the
explicit effort to operationalise effective management champions, influencing social those that reach beyond meeting specific
performance Social performance elements (eg engagement) importance of ESG issues in internal and
responses or actions performance. technical, financial or production objectives (eg
are applied when perceived as needed or in external communications and engagement
Policy and tone from CEO and ExCo transparency and respect).
crisis, for example when problems arise or Policy positions on social performance are forums. Example
Approach of asset leadership & management there are operational interruptions, or they are made public and data is collected on some Example
considered optional indicators of social performance activities/ Example Social performance is discussed alongside
progress financial, production and HSE performance at The company demonstrates leadership with
Internal leadership forums (town halls, Social performance regularly considered by
town halls, investor presentations, in annual peers and wider stakeholders.
management meetings) do not reference social Board and ExCo; and at stage-gates of capital
reports.
performance thematic areas (although they projects, including new country entry and Example
may for production, safety, financial, etc) mine closure (inc. early mine closure and care Social performance requirements are
and maintenance decisions) embedded in individual performance
No social performance expertise on executive Example
management and assessment, at asset
or asset management teams. Social
Example leadership level and executive level.
performance objectives are interchanged with Social performance of the organisation is
corporate affairs objectives. Example unaffected by leadership turn-over, at general
manager or corporate level (self-sustaining).
Little understanding of social performance by
The company is able to demonstrate that ESG
other functions and no alignment between Example
issues are perceived as critical for the
functions; decisions are made that impact
success of the business.
social performance outcomes in the absence The company/asset demonstrates that genuine
of social performance data, assessment or Example partnerships with local communities both exist
advice. and are pre-requisite for success
Social performance considered at all levels
Example

Integration & Systems: No strategy; ‘fire-fighting’ Approach or strategy based on CSR/ Social performance strategy linked with Fully integrated social performance Long-term outlook and addresses emerging
community investment projects only or business objectives, based on systematic risk accountabilities across asset/s and company issues.
Strategy conceptual in nature; focused on avoidance of and impact management
interruptions to production; non-systematic Example Example
Purpose and outcomes of social performance
identification of required social performance Example
Identification and response to long-term issues Strategic objectives are achieved, can be
outcomes or longer-term planning to achieve
and emerging trends demonstrated and are recognized or confirmed
those; no or little action to identify emerging
by host communities.
issues/trends and respond pro-actively
Example

Policies and practices of partners, suppliers

and/or contractors are influenced and reflect
the company’s/asset’s own.

Example

Companies are recognised as important, but

not the only, contributors to the ecosystem of
regional development.

Example

Social Performance Maturity Matrix 17

 Aspect Level 1: Level 2: Level 3: Level 4: Level 5:
Nascent Basic Managed Aligned with International Leading Practice
Good Practice

Structure No centralised structure or coordination Social performance activities and outcomes Foundational elements of social performance, Accountability for social performance exists at Organisational structure is stable, which
between assets heavily influenced by org structure (HSE vs EA) and additional site-specific elements, are and reporting lines extend to senior/executive enables consistent and evolving improvement
Accountabilities and reporting lines
implemented, with increasingly consistent management level; KPIs are attached to to social performance outcomes.
Foundational elements of social performance
effectiveness. remuneration/rewards for senior personnel.
are being implemented, with varying Example
effectiveness Example Company is able to demonstrate consistent
fit-for-purpose social performance across the
Accountability and reporting lines for social
There are clear accountabilities and reporting business.
performance management are being defined
lines for social performance activities; with KPIs
in place for accountable personnel Example

Management systems No systems Some corporate-level systems and procedures; Comprehensive systems, either discrete or part Social performance aspects are hard-wired Systems are co-designed with communities
asset-level procedures and protocols of an integrated management approach, to into the business processes and management (grievance, cultural heritage, etc) or benefit
Systems for managing risk, impacts, No knowledge base upon which to identify
developed, with heavy reliance on key support foundational aspects of social systems of the company (project approval, from community participation (risk assurance,
assurance, project development (including risks or impacts or otherwise support decision
individuals, and inconsistent implementation performance risk and impact management change management etc) and assumptions management of change, etc) and as a result
social criteria for stage gate progression) making (no baseline data or ongoing
about risk (profile & ratings) are continuously procedures and processes are well understood
monitoring data) Potential gaps in the knowledge base are Data management protocols are in place and
Standards, policies procedures reassessed. by communities.
acknowledged and action plans developed. new information is incorporated into
No knowledge of applicable licence or legal
Internal and external reporting Some monitoring data is captured. knowledge base. Example
obligations, commitments or regulations
Licence or legal obligations, commitments or Example Integrated systems are consistently
regulations are captured
implemented, and enable data driven decision-
Risk/obligations/commitments registers are
making support continuous improvement;
maintained
ensure continuity and consistency of
Social performance assurance process in place performance
with a focus on compliance.
Example
Example
New information is added to the knowledge
base and alerts made to team members to
review

Example

There is coordination with other sites to

leverage success and improve capacity and
understanding of potential issues.

Example

Risk/obligations/commitments registers are

continuously updated (live system)

Social performance assurance process in place

with a focus on effectiveness and improvement

Social Performance Maturity Matrix 18

 Aspect Level 1: Level 2: Level 3: Level 4: Level 5:
Nascent Basic Managed Aligned with International Leading Practice
Good Practice

People No social performance capability at corporate Social performance practitioners with defined Social performance specialists at corporate Appropriate social performance competencies Social performance practitioners and leaders
or asset level skills and capabilities at corporate and asset and asset level are fit-for-purpose in their integrated into non-social performance roles are mainstreamed in the organisation and are
Competencies are for competence by
level experience and technical competence and considered for leadership roles.
practitioners and non-practitioners, including No dedicated people who have a social Example
have a sound understanding of the business
mine site General Managers performance focus or specialist technical skills Focus of the social performance function is Clearly defined social performance career
at corporate or asset level about outreach (external engagement) Focus of the social performance function is as Capability and capacity are linked to impact progression, that is integrated with non-social
Decision-maker awareness of social
much about internal engagement and management, risk profile and communities’ performance functions and line management.
performance, at both asset and corporate
integration as about external engagement. context
levels Example
Example
Social performance function is lean as all staff
have social performance mandate.

Example

Metrics No metrics to define performance or Some metrics measuring inputs & activities Metrics measure outputs of activities Metrics measure outcome and impact of Social performance metric(s) established and
achievement of objectives or commitments activities are understood across the business,
Management dash boards Metrics for social performance apply to social Leading and lagging indicators linked to
equivalent to safety (eg AIFR); outcome
performance team only significant social performance risks Leading and lagging indicators linked to
Leading & lagging indicators metrics are long-term and enable tracking of
significant social performance risks; plus, KPIs
Some engagement with stakeholders on trends over time.
for tracking integration
metrics.
Example
Example
Stakeholders provide performance monitoring
against metrics.

Example

Independent assessments identify a high

degree of trust in the organisation and
measurable contributions to local socio-
economic priorities

Social Performance Maturity Matrix 19

What Different Levels 03
of Maturity Look Like
What people say can be a good Stakeholders often have a nuanced and insightful
perspective on the maturity of a company’s or asset’s
indicator of the maturity level of the social performance. Drawn from many years of
company or asset’s approach to social experience, these are some of the things that have been
performance. said about different companies’ approaches to social
performance, and what these sentiments reflect in terms
of maturity of approach to social performance.

Level 1 Level 2 Level 3 Level 4 Level 5

Stake- ‘We only hear from ‘The GM always says ‘They’re a good ‘They’re a member ‘We stand beside
holders them when they the right things, but company. They tell of the community them – they are part
want something or nothing ever us what’s going on and we want them to of our community’
if something goes changes. They are all and listen when stay.’
‘They set a good
wrong.’ talk and no walk!’ things go wrong.’
‘They’ve made a example for others’
‘I’m so tired of ‘That social ‘Whenever there’s an significant
‘I can’t believe I’m
going to meetings performance issue or problem, contribution to our
saying this about a
with them – all they manager is a good they’re pretty good town over the years.’
mining company, but
do is talk and never person, but we need at getting on to it
‘We trust them’ I think they will leave
listen.’ to see things get and sorting things
things better off
fixed.’ out.’
when they’re gone.’

Team ‘I can’t get ahead ‘We spend a lot of ‘We’re getting the ‘As a team, we feel ‘I’m proud to work
of anything – time on external balance between appreciated and for my company.’
there’s also some engagement – it’s internal influencing understood by both
‘It is really satisfying
issue caused by really important to and external our managers and
to see our
operations I need know what’s going engagement about our stakeholders.’
colleagues embrace
to fix.’ on.’ right’
‘We know we’re and succeed in
‘social ‘It’s really great the ‘The metrics we’re making a difference delivering their social
performance is community reporting internally and we have the performance
taking up so much members like and have really helped metrics to objectives.’
of my time – I’ve trust me.’ management demonstrate this.’
got to get back to understand social
my day job.’ performance better’

Management ‘Social ‘Social ‘Primarily, social ‘We all need to ‘Our approach to
performance is a performance is performance is contribute to the social performance
‘nice to have’’ important – it keeps just good risk social performance gives us a strategic
the neighbours management.’ of the company.’ business advantage’
‘Social
onside.’
performance is an ‘It’s good to see the ‘My team ‘Doing social
important part of ‘Thank goodness social performance understand what performance really
us being able to tell for our social dashboard – they’re they need to do to well reflects who we
our story better.’ performance person accountable to the contribute to social are as a company.’
– we’d go under if business just like performance, it’s just
‘It’s in our interest to
they weren’t here’ other functions.’ like safety in this
ensure other
respect.’
companies do social
performance well too’

Social Performance Maturity Matrix What Different Levels of Maturity Look Like 20
 Level 1 Level 2 Level 3 Level 4 Level 5

Other ‘I never know who I ‘We never see nor ‘It’s good working ‘We’ve found that, in ‘Social performance
functions should contact hear from the social with the social fact, by working is just part of the
when an issue performance team. performance team together we’re able way we work’
comes up with our We have a hard time – we’re all on the to leverage each
‘We value social
neighbours.’ finding them.’ same page.’ other’s work.’
performance input
‘We know the ‘The social ‘The social ‘Finally, we have – they’re a critical
farmers aren’t performance performance team achieved some friend.’
happy about the manager just sent us have improved their kudos for our
‘The regulator has
water issues, but a list of issues they visibility internally environment work
noticed that we are
we’re within permit think we need to fix lately – this is good – getting social
leading the way with
requirements, so – good luck with as we need to work performance
truly integrated
we just have to get that!’ together’ involved and
solutions and have
on with it.’ improving our
asked us to share
engagement has
our approach.’
made all the
difference.’

Social Performance Maturity Matrix What Different Levels of Maturity Look Like 21
Actions to Improve 04
Maturity
Generally, progressing from one maturity ICMM members have found that achievement of Levels 3,
4 and 5 is consistent with corresponding maturity levels in
level to the next may take about one safety and risk management.
year or longer, except in the case of
Changes from one level to the next may be underpinned
maturity level 5 – the most aspirational by a change in culture or precipitated by a particular
level – where achieving this level will event or driver. Internal and external events can be
likely be an ongoing process of critical in helping to drive improvement to the next level.

continuous improvement. The actions listed below are not a definitive roadmap to
achieving the next level of maturity. Rather these are a
selection of indicative actions that, if implemented
successfully, would likely result in securing that level of
system evolution.

To achieve… Level 2 Level 3 Level 4 Level 5

Leadership Develop and publish social Include social Include social Include head of social
& culture performance Policy performance in the performance metrics in performance in key
charter of the relevant asset leadership business decision
Asset leadership promote
Board committee performance plans committees, such as
the social performance
investment committee
policy internally and Implement social Establish asset level social
externally performance awareness performance governance Set up external social
training for Leaders committee to oversee performance committee
integrated approach to to provide oversight and
Social performance
social performance advice at corporate and
reports directly to asset
asset level
level leader and joins Include social
asset management performance metrics in all Publicly demonstrate a
committees external company leadership position on
reporting specific issues

Integration As part of social Develop and implement Integrate SPMS Engage with local
& systems performance policy company-wide social requirements into other stakeholders on co-
implementation set out performance business and function design of social
mandatory minimum management system management systems performance
requirements at asset level (SPMS) Management System
aspects/elements
Develop procedures and
tools on foundational
social performance
elements

People Establish role descriptions Implement social Map social performance Require high performance
for social performance performance competency requirements in non- line management
roles that include relevant framework social performance roles candidates to spend time
expertise and experience and apply social in social performance
performance competency team or roles as part of
requirements their career development

Metrics Implement metrics at Implement asset level Implement ‘all of asset’ At corporate and asset
asset level to track metrics that track outputs social performance level, establish
activities and and outcomes of social metrics mechanism for
expenditures performance programmes stakeholders to assess
performance of company

Social Performance Maturity Matrix Actions to Improve Maturity 22

 Contents

Social Performance This is one of a set of practical tools aimed at

enhancing the understanding of what social

Competency
performance is, why it is important and how it
can be integrated into business decision
making. The tools have been developed for

Framework non-social performance specialists working in

mining companies and to support social
performance specialists in influencing decision
makers in their companies. The full set of tools
Tools for Social Performance can be accessed on ICMM’s website
Introduction

Good social performance depends on Social performance is a recognised discipline and a

technical function within companies that requires
the skills, capabilities and engagement technical skills as well as specific behaviours. Social
of people in the company – both social performance practitioners need critical experience, skills,
performance practitioners and non- knowledge and behaviours to perform their function
within the organisation. Other functions that interact with
specialists, who work at the corporate
stakeholders or have social performance responsibilities
and asset level. (including contractors) also need to have the necessary
understanding and skills to deliver on the company’s or
asset’s social performance objectives. The attitude,
approach to and awareness of social performance of
those in non-social performance roles, and especially the
asset general manager, can be decisive.

What Is the Social Performance Competency

Framework?
The Social Performance Competency Framework
describes the experience, skills, knowledge and
behaviours needed to manage social performance
successfully. The Competency Framework is enterprise-
wide: it articulates the competencies that all roles and
levels with social performance responsibilities, at
company- and asset-level, need to perform their jobs
successfully.

The Competency Framework contributes to the

professionalisation of the social performance discipline
by establishing standardised requirements for managing
social performance. It supports companies to mature
their social performance systems, integrate social
performance across the organisation and ensure that all
personnel with social performance responsibilities have
the necessary skills and behaviours.

ICMM’s Competency Framework is aligned with other

leading frameworks.1

1. For example, see the Social Practice Forum’s ‘Competency Framework for Social Performance
Practitioners’ and IPIECA’s ‘Community Liaison Officer’s Team Building and Management Guidance’

Social Performance Competency Framework Introduction 24

Why Use the Competency Framework? How to Use the Competency Framework
The Competency Framework helps companies to The Competency Framework categorises 15 key social
improve their social performance by indicating the performance competencies into four areas:
competencies needed throughout the organisation.
— Working within complex contexts – a reflection of
The Competency Framework can be used as a tool to:
the complexity and interconnectedness of social
— Plan recruitment, personal development and career performance issues and the need to understand
pathways. contexts and operate within them.

— Build awareness and capabilities in an organisation — Working within the business – acknowledging the
by identifying learning, training and coaching needs. fact that social performance is core to business,
understanding the internal environment and having
— Assess performance and identify gaps in
core business skills is critical.
competencies at an asset or corporate level.
— Working together – internal and external
Who Can Use the Competency Framework? engagement is core to achieving results in social
The Competency Framework applies to any role performance.
or level in the organisation with social performance — Technical – in relation to the typical sub-disciplines
responsibilities. As such, both social performance of social performance
practitioners and non-practitioners alike can use the
Competency Framework. To be able to chart and assess development and
progress, the Competency Framework defines four
Social performance managers and practitioners can levels of competence, starting with awareness, then
use the Competency Framework for supervision and progressing to application, integration and leadership.
career planning (see the section on career pathways for
guidance), as can other functions with social See the case studies at the end for examples of how
performance accountabilities. Human resources and member companies have built up and integrated social
recruiters may also use the Competency Framework. performance competencies.

Social Performance Competency Framework Introduction 25

The Social Performance
Competency Framework
The 15 social performance competencies are grouped — Contribute to the social and economic development
into four areas and organised around achieving the core of affected people and engage society more widely
purpose of social performance. As outlined in the ‘What on key issues.
is Social Performance?’ resource, the aims of social
— Establish and maintain relationships of trust between
performance are to:
companies and stakeholders for mutual benefit.
— Avoid harm to people and communities from
company activities throughout the mining life cycle. Table 1 below describes the competency areas and why
they are key to achieving the core purpose of social
— Ensure respect for human rights. performance. Table 2 outlines the four levels of
competency that are used throughout the framework.

Figure 1. The Social Performance Competency Framework

Systems
Assurance
thinking

Managing Data analysis

tensions and reporting

Working within
Engaging and complex contexts Stakeholder
energising engagement
people

Technical

Promoting social
Managing
Working and economic
diversity
together development
Core purpose

Conflict Social impact

management managment

Working within
the business
Knowledge Delivering
of the business results

Project and
Determining
process
strategy Integrated management
risk
management

Social Performance Competency Framework 26

Table 1. Competency Areas

Competency Area Description

Working within complex The social performance space is inherently complex and interconnected. Therefore, the abilities to both
contexts understand tensions and operate within this complexity is a foundational competency area for those with
responsibilities for social performance. It can therefore be expected that most people would require
relatively high levels of competency in this area regardless of their seniority or specific role.

Working within the Appreciation of working within business (the mine, the mining company and the industry more broadly)
business has often been an under-recognised competency area in social performance – sometimes described as
‘in-reach’ as opposed to outreach to external stakeholders. As well as an understanding of the business,
this area requires the skills to manage change within the business, such as through strategy, risk
management, project management and ensuring a focus on delivering performance improvements. Social
performance practitioners must be accountable to the business and be seen as credible by the business,
if they are to be successful in delivering desired outcomes.

Working together The focus of working together may be more internal or external depending on the specific role. The nature
of social performance inherently requires practitioners to be able to successfully work together with
others as a foundational competency through bridging company and community perspectives and
working towards creating a shared understanding of social performance issues and how they are
managed. In addition, an all-of-asset approach requires an additional level of ability to work successfully
with others by helping to manage internal organisational change. Practitioners are increasing applying
many of the tools originally developed for use with external stakeholders internally, such as stakeholder
mapping, engagement planning and conflict management. Therefore, engagement competencies are no
longer solely focused on external engagement and seen as a technical skill, but have become part of the
core competencies of all social performance practitioners.

Technical These include competencies required in each of the generic sub-disciplines of social performance (see
the Social Performance Landscape Report for more detail). However, more specific competencies may be
required in operating certain contexts depending on the risks (eg where there are indigenous people or a
resettlement). Generally, it would be expected that increasingly senior social-performance specific roles
would require higher levels of competency in the technical competency areas. Where responsibility for
social performance sits within other functions, they may require high competency levels in specific
technical competency areas.

Table 2. Levels of Competency

Competency Levels Description

Level 1 – Awareness A basic knowledge of the core characteristics and how they might impinge on business
decision-making.

Level 2 – Application The ability to supplement this basic knowledge of the issues with the competence to apply it
to specific activities.

Level 3 – Integration An in-depth understanding of the issues and an expertise in embedding issues into the business
decision-making process

Level 4 – Leadership The ability to help managers across the organisation operate in a way that fully integrates issues in the
decision-making process.

Social Performance Competency Framework 27

Table 3. Social Performance Competency Framework

Competency Level 1 – Awareness Level 2 – Application Level 3 – Integration Level 4 – Leadership

Working within complex contexts

Systems Ability to see and understand interconnections and interdependence between actors (stakeholders, relationships,
Thinking etc) and domains (social, economic, environmental), across time (past, present to future) and scales (local to
global) to reframe and address challenges and opportunities for business and societal progress. 2

Understanding how Dealing with complexity Estimating consequences Taking a long-term and a
systems work. and ambiguity. Seeing the of decisions on the transgenerational
Understanding big picture and the system. Working across perspective.3
interdependencies and connections rather than disciplines & boundaries.
interconnections of the parts. Understanding
systems. sustainability challenges
and opportunities

Managing Managing tensions both within and outside the organisation, across different time horizons, between different
tensions issues, etc; being able to work on one side of the issue according to the situation, without losing sight of the other
side of the tension4

Understanding of different Identifies different Ability to identify Creates new narratives

tensions in social tensions in specific interconnections between and synergies from
performance practice and situations. Identifies multiple tensions and tensions and enables
frameworks for dealing solutions to work within work with others to others to appreciate and
with them. Appreciation of and through tensions. navigate through them. work through tensions.
both sides of the tension.

Working within the business

Knowledge of Understands the strategy, decision-making processes, and day-to-day activities within the business and the
the Business culture and pressures that can impact ways of working. Proactively manages the incorporation of social
performance management within mining operations.

Understands key Demonstrates Understands how Understands the global

operational processes understanding of different/complex changes and multiple
and the impact of social operational processes Operations function pressures that impact on
performance practices on including specific roles including the mining production and
business strategies and and responsibilities at the interdependencies that ensures social
plans. operation. exist between different performance solutions
activities, priorities and respond appropriately.
processes.

Determining Contributes to the development of site and business level strategy and advances work in the context of that
Strategy strategic direction.

Understands strategy: has Broadly scans: Seeks and Sets direction: Sets clear Leads change: Alerts and
the ability to understand uses the broadest internal direction and priorities engages people in the
one’s role in the context of and external view, beyond and gaining support of need for specific
a larger strategy current issues and others. transformational changes
constraints. in the way things are
done.

2. Strandbery, C. (2015) Sustainability Talent Management: The New Business Imperative.

Available at https://corostrandberg.com/wp-content/uploads/2015/04/sustainability-competencies-20151.pdf
3. Levels adapted from Muff, K. (2016). The Collaboratory: A Common Transformative Space for Individual,
Organizational and Societal Transformation. Journal Corporate Citizenship. 18(2), 91-108.
4. Kemp, D. (2011) Between a rock and a hard place : community relations work in the minerals industry.
Centre for Social Responsibility in Mining, The University of Queensland. Available online at: https://espace.library.uq.edu.au/view/UQ:107617

Social Performance Competency Framework 28

 Competency Level 1 – Awareness Level 2 – Application Level 3 – Integration Level 4 – Leadership

Integrated Pre-empts and defines the behaviours, organizational pressures, aspects of the business and system implications
Risk that cause risk to the business, individuals and communities. Combines international good practices with the ability
Management to create and implement practical tools and techniques. Proactively identifies and addresses the behaviours that
detract from effective management of risk.

Proactively identifies Applies tools and Understands the complex Drives a group-wide
people, process, business techniques to identify the interdependencies approach to proactive and
and system factors that key factors that contribute between people, process, predictive risk
have the potential to to risk and harm. business and system management, business
create negative impacts Empowers line factors that create risk. continuity and
and risks. management to Delivers a holistic method catastrophic risks.
contribute to risk of identifying, controlling
management. and managing risks.

Project Applies project management techniques and business processes to drive and embed the effective delivery of
Management social performance activities, within new and existing projects/sites, to gain maximum value for the business.
& Business Ensures interdependencies and conflicting priorities across operations and disciplines are understood and actively
Processes managed.

Applies awareness of Applies project Applies awareness of Encourages others to

project management tools management and project management tools ensure that effective
and techniques deliver business processes to and techniques deliver social performance drives
tasks within own roles. effectively manage project tasks within own roles. better commercial
activities outcomes.

Delivering Focuses on producing results in a timely and quality fashion that ultimately drives value for the business.
Results

Works effectively: Delivers Makes good decisions: Drives performance: Has business acumen:
quality results on time. Evaluates info, makes Drives plan delivery, holds Applies rigorous
good decision, manages people and self to commercial and business
risk, drives safe, reliable account. thinking to decision
and sustainable making in order to
operations and protects generate value for the
the company’s license to business.
operate.

Working together

Engaging and Forms collaborative relationships with co-workers and other stakeholders and creates an environment of
Energizing commitment, energy, and support. Manages internal and external relationships to bring about change of behaviors
People and attitudes. Draws on the skills and experience of stakeholders, to draw them together for mutually beneficial
outcomes. Involves stakeholders at all relevant stages of social performance management, involves mainstream
company employees, and leverages comparative advantage of the business. Brings about alignment of mutual
interests between company and community.

Self-motivated: Conducts Inspires others: Engages, Collaborative: Builds Has impact and influence:
one’s own work with energizes, develops and relationships and fosters Deep self-awareness and
energy and openness enables colleagues to cross boundary applies influencing
succeed. collaboration. techniques that gain
commitment and support.

Managing Is able to engage, work with and manage people with awareness of how issues of diversity, equality and inclusion
Diversity and may affect these relationships, and proactively works to address barriers to and enable a diverse and inclusive
Inclusion approach to social performance including workplace diversity and fair pay and working hours.

Understands diversity, Identifies where Able to identify and Managing tensions which
equality and inclusion, intervention is needed to address potential come from diversity,
understands own diversity address diversity, equality diversity, equality and equality and inclusion, and
in relation to others and and inclusion issues, work inclusion challenges and allows diversity of thinking.
potential blind spots. constructively to address work strategically to Allow others to see and
issues. resolve them. appreciate benefit of
diversity and inclusion.

Social Performance Competency Framework 29

 Competency Level 1 – Awareness Level 2 – Application Level 3 – Integration Level 4 – Leadership

Conflict Understands identifies, assesses and proactively responds to conflicts, seeing them as opportunities for
Management improvement. Able to develop and reach agreements and settle disputes equitably. Good at focused listening;
understands others quickly. Can find common ground and achieve cooperation. Faces up to people problems
quickly and directly. Makes difficult decisions when appropriate.

Aware of conflict, Analyses conflict, knows Working to resolve and Ability to mediate conflict
understands root causes, what approach to use in manage conflict in high tension and
manifestations and specific contexts. Able to appropriately in a variety high-risk situations. Able
triggers work with direction in of situations. to proactively identify and
managing conflict. avoid potential conflict
situations.

Technical competencies

Managing Identifies, avoids, and where possible, and mitigates social impacts, in line with the mitigation hierarchy. Ensures
Social Impacts appropriate management of social impacts and makes effective use of resources to add value to both the
operation and local communities. Ensures consideration of social impacts from a holistic perspective, including
human rights and cumulative impacts.

Proactively identifies Understands social Translates strategies into Creates company-wide

immediate social impacts impacts and applies this practical actions to strategies to manage
and opportunities in own knowledge to pre-empt reduce impacts. Actively social impacts. Considers
area and applies and manage impacts and identifies and promotes the whole system
knowledge to suggest to create solutions. opportunities across changes required to
solutions. disciplines. manage social impacts
more effectively.

Promoting Identifies and develops opportunities for maximizing the operation’s impact on local communities and host country.
Social and Proactively identifies opportunities to form partnerships for co-creation of solutions (government, other private
Economic sector, civil society). Considers mine closure and how activities today will reduce dependence, promote self-
Development reliance and leave communities up to be better off once the mine is gone.

Proactively identifies Develops and implements Translates social and Promotes a culture that
social and economic systems to co-create economic development focuses on social and
development social and economic strategy into practical economic development.
opportunities within own development. solutions for multiple sites Explores and implements
area of responsibility in and leads the innovative solutions for
response to community development of required benefits sharing with a
needs and strengths. skills and capability in focus on win-win
others. Ensures on-going solutions for the mine,
focus on the development local communities, and
of sustainable host government.
interventions and
solutions.

Managing Able to understand, map and analyse stakeholders, and use this to develop stakeholder engagement plans that
Stakeholder align with business objectives. Can develop and deliver stakeholder engagement plans, engaging with all
Engagement stakeholders appropriately, in good faith and aligned with company values. Ensures commitments are met and
when they arise, grievances managed professionally.

Understands the need for Understands and carries Identifies priorities where Understands and
and benefit of stakeholder out successful stakeholders need to be engages with multiple
engagement and initiates stakeholder engagement engaged and managed. layers of stakeholders in a
it for selected activities. on key projects, building Carries out successful way that builds
support and buy-in from engagements to build a collaborative and mutually
the local community. common interest. beneficial relationships.

Social Performance Competency Framework 30

 Competency Level 1 – Awareness Level 2 – Application Level 3 – Integration Level 4 – Leadership

Data Analysis Creates, analyses and reports on key metrics. Uses qualitative data to identify risks and opportunities for
& Reporting improvement. Encourages an open, honest and supportive reporting culture. Ensures key metrics are practical,
relevant and embedded in business processes.

Gathers accurate Ensures effective Analyses discipline-wide Drives predictive group-

performance data and monitoring of data, processes and wide strategic indicators
promotes the value of performance data within systems to identify and makes informed
effective reporting and own area and applies data meaningful trends. Drives recommendations. Drives
data management analysis to identify effective use of the use of solutions
systems. Challenges and opportunities for databases, business (people, process and
escalates issues to ensure improvement. processes and reporting technology) to support
accurate data collection. systems and proactively globally consistent
suggests improvements in reporting.
reporting metrics.

Assurance Creates and embeds effective assurance processes in collaboration with the relevant audit functions, that
accurately measure compliance, assess the effectiveness of risk controls, enable the identification of areas for
improvement. Is able to identify best practice for wider dissemination. Applies rigorous, systematic analysis and
brings practical insights. Proactively follows up on improvement progress and identifies areas where improvements
have not been adopted.

Understands audit and Applies audit processes Able to lead cross Identifies enhancements
assurance processes and and activities to analyse functional audit teams and incorporates industry
activities and their role in data in order to identify and monitors quality of best practice to existing
evaluating and improving and escalate risks. audit procedures and audit procedure.
risk management, control outputs.
and governance.

Social Performance Competency Framework 31

Integrating Social
Performance Competencies
Through Career Pathways
To support the professionalisation Whilst career pathways will vary according to
individuals, companies, geographies and other
of social performance, the discipline contextual factors, Figures 2 to 5 illustrate some of the
should have clear career pathways. possibilities for career progression in and through social
A competency framework with different performance. Figure 2 below outlines one example of a
generic career pathway in social performance. It
levels of competence is a tool to
indicates the different competencies that are required
develop those pathways as it can be by different roles and it illustrates how specialising in
used to plan the skills, experience and certain competencies can drive a career in a specific
behaviours needed in different roles direction. For example, junior positions at assets may
require greater technical skills compared to
and the maturity needed at different counterparts at corporate level and senior managers
organisational levels. This will improve and executives need greater business aptitude than
professional development within social deep technical specialisation.
performance and facilitate the Figures 3, 4 and 5 are three possible career trajectories
movement of people into and out of to illustrate the range of career pathways within social
performance:
social performance, consequently,
helping to integrate the discipline — Figure 3 is a career beginning in social performance
and leading to a specialised technical role within the
throughout the organisation. discipline.

— Figure 4 is a career beginning outside of social

performance and transitioning into the discipline.

— Figure 5 illustrates a career beginning inside of

social performance and transitioning into a different
corporate role.

Integrating Social Performance Competencies

Social Performance Competency Framework Through Career Pathways 32
Figure 2. Example of Generic Career Pathways in Social Performance

Transition point into and

Executive
out of social performance
Business leader
Transition point into competent in
and out of social Senior Manager understanding contexts
performance and working together
Increased
competencies in
Manager business, working within
complex contexts and
working together
Understands technical
areas, strengths are in
Superintendent business, leadership
and people
management Technical
Begins to specialize in a
Specialist
sub-discipline whilst
Asset-Level Social Performance

also increasing
Community
competencies in Deep specialization in
Liaison Officer
working together and in select technical area(s)
complex contexts
Demonstrates skills in
technical areas with
basic business
understanding

Coordinator

Demonstrates growing
aptitude for working
Corporate-Level Social Performance

together and
Administrator/
understanding context
Analyst
as well as specialized
business skills
Competent business
skills with basic
technical knowledge

Transition point into and

out of social performance

Integrating Social Performance Competencies

Social Performance Competency Framework Through Career Pathways 33
Figure 3. Example Career Specialising in Social Performance

Group-Wide
Resettlement Lead

Expert in a core technical area,

understands the context of the
business and how to support
group’s business objective
Social Impact
Manager

Demonstrates fundamental
technical skills with good
understanding of role within
and contribution to business
Grievance
Coordinator

Increased technical skills

complemented by burgeoning
leadership and business skills

Community
Liaison Officer

Had a background in social science

and demonstrated good technical skills,
particularly in stakeholder engagement and
impact management. Basic proficiency in
understanding internal and external context

Figure 4. Example Career Transitioning into Social Performance

Senior Social
Performance Manager

Shows good understanding of

Previous role in the business and business
communications environment as well as
competent team leader
Social Performance
Manager

Understands all technical areas,

demonstrates competencies in
business, leadership and people
management
Stakeholder
Engagement

Strong skills in stakeholder

engagement as well as
understanding of the internal
dynamics and business
fundamentals

Integrating Social Performance Competencies

Social Performance Competency Framework Through Career Pathways 34
Figure 5. Example Career Transitioning Out of Social Performance

Transitions to corporate relations role

applying competencies from social
performance to help business build and
manage relationships to mitigate risks and
achieve business goals

Sustainability
Manager

Competent team leader with

good understanding of context
and business strategy

External Reporting
Coordinator

Increased technical skills with

greater contribution towards
strategy and business risk
management
Monitoring and
Evaluation Analyst

Analyst at corporate-level
demonstrates an understanding of
technical areas with good
knowledge of the business

Integrating Social Performance Competencies

Social Performance Competency Framework Through Career Pathways 35
Competency Case
Studies From
Member Companies

Case Study the social and behavioural competencies, such as

valuing differences, collaboration and balancing
stakeholders, that are becoming increasingly
Integrating social performance into core
important for delivery in specialist and leadership
competencies at gold fields
roles now and into the future.
In 2017, as part of a wider process of strategic
business performance improvements, Gold Fields This has been a journey for Gold Fields that is still
embarked on a process of reviewing the ongoing, but it is set to define the job architecture
competencies needed for staff to be able to execute framework to assess new talent, develop existing
their current strategy as well as considering the core talent and plan for talent that may be required in the
capabilities that may be required in the future. future. The job families have job profiles with
Competencies were a key element to the answer required accountabilities, behaviours and
because they create alignment in the way the experiences as well as clear career progression and
organisation works, and they create the mapping that are developed for all regions and
organisational culture for the business. operations to provide a sense of consistency in their
business around how talent is assessed. This new
Gold Fields identified four types of competencies:
structuring better integrates disciplines, like social
core competencies aligned with the organisation’s
performance, as it facilitates career progression and
values and embodied by all employees; critical
transitioning. It also improves recruitment and skills
behaviours required by leaders; technical knowledge,
development amongst existing staff.
proficiency and expertise specific to different roles;
and, behaviours specific to different jobs. Through By feeding social performance competencies into
consultations with core disciplines, including social an overall organisation-wide competency
performance, Gold Fields mapped the skills, framework, used for recruitment, performance
behaviours and experiences necessary to be appraisals and career development, Gold Fields are
proficient in each discipline to define the overall job working to ensure that its people will be prepared in
architecture for their business. A key pillar of that the future to solve problems in a way that supports
architecture, that came out of the consultations, is social performance.

Social Performance Competency Framework Competency Case Studies From Member Companies 36
 Case Study A principle aim of updating the Social Way was to
drive a collective mindset shift within Anglo
American to focus on social performance outcomes.
Social Way Learning: Embedding Social
Performance Across Anglo American Building social performance competencies at all
As part of its commitment to continuous levels of the organisation is a key enabler to
improvement, in 2020 Anglo American launched the successfully implement Social Way 3.0. To build
next iteration of its social performance management knowledge, skills and experiences of its people,
system, called the Social Way 3.0. Publicly available in Anglo American developed an ambitious
English, Spanish and Portuguese on an innovative organisation-wide learning programme. This
new web platform, to make the content more programme and has been designed to support
accessible and easier to navigate, the Social Way practitioners, supporting functions and leaders
provides a governing policy, implementation toolkit across the business to understand the foundational
and assurance framework for social performance for concepts and processes of social performance and
all Anglo American-managed sites, at all phases of to have the skills and experience in implementation
development. requirement to transition to the new Social Way.

The Social Way embeds international standards and Anglo American rolled-out the first phase of its
sets out clear requirements to engage with affected learning journey in early 2020 shortly after launching
and interested stakeholders; avoid, prevent, and, the updated Social Way through training and
where appropriate, mitigate and remediate adverse awareness raising sessions for over 1,700 people
social impacts; and maximise development across different functions and levels of seniority. The
opportunities. programme has used several methods to embed
learning including self-led, instructor-led, facilitated
The revamped Social Way builds on what the
advisory workshops and peer learning supported by
company has learned over the past decades to
an online learning platform. The second phase of
ensure that the identification, prioritization and
the programme has delivered additional technical
management of adverse social and human rights
training on various topic areas – such as land
impacts and risks are effectively embedded at the
access, displacement and resettlement, socio-
operational level and integrated into core planning
economic development and cultural heritage – and
and business management processes with robust
was supported by a new social practitioner forum
cross-functional support.
and dedicated communities of practice. The final
In addition to adding and expanding requirements, phase will begin in 2022 and focuses on driving
the revised Social Way materially updated numerous greater skills development.
processes to embed cross-cutting themes – such as
Anglo American’s ambitious commitment to
human rights, inclusion and diversity, leadership and
developing social performance competencies
culture – and aligned more clearly to a PLAN-DO-
throughout the organisation demonstrates that
CHECK-ACT management approach, in order to
improving social performance outcomes depends
support continuous improvement and learning across
on people across the business.
the business.

Social Performance Competency Framework Competency Case Studies From Member Companies 37
 Contents

Integrating Community This is one of a set of practical tools aimed at

enhancing the understanding of what social

Engagement across
performance is, why it is important and how it
can be integrated into business decision
making. The tools have been developed for

the Business non-social performance specialists working in

mining companies and to support social
performance specialists in influencing decision
makers in their companies. The full set of tools
Tools for Social Performance can be accessed on ICMM’s website
Introduction

Social performance is the outcome of a Stakeholder engagement is an essential component

of social performance because it builds resilient
company’s engagement, activities and relationships between companies and stakeholders.
commitments that can directly and This engagement can involve a broad spectrum of
indirectly impact stakeholders or affect activities, including sharing information, co-creating
plans, agreeing on programmes, joint decision-making
the quality of its relationships with them.
and collaborative performance monitoring.

Community engagement is a specific aspect of

Social performance aims to: stakeholder engagement that prioritises communities
local to an asset as a key cohort of stakeholders,
— Avoid harm to people and communities from
alongside other external stakeholders, such as
company activities throughout the mining life cycle.
government or civil society. Engaging with these
— Ensure respect for human rights. communities shares information and builds
relationships. It is, therefore, critical to effective social
— Contribute to the social and economic development
performance and an enabling mechanism for and the
of affected people and engage society more widely
achievement of broader business objectives.
on key issues.

— Establish and maintain relationships of trust between

companies and stakeholders for mutual benefit.

Integrating Community Engagement

Across the Business Introduction 39
Forms of Engagement

There are several forms of engagement Involve: This approach entails working directly with
communities, ensuring that their concerns are
and they differ depending on the level understood and considered in the decision-making
of involvement of communities in process.
business decision-making processes Collaborate: This involves working together with
(Figure 1): communities to make decisions, and to design and plan
initiatives collectively. This type of engagement can be
used when working towards common objectives with
Inform: This form of engagement is usually a one-way communities such as designing impact management
exchange of information from the company to strategies or community benefit initiatives. Collaboration
communities. It involves disclosing company intentions, requires a level of trust between community
commitments and limitations to community stakeholders and the asset. It may also often require
stakeholders. It does not empower them to influence each party to build capacity in each other’s
those intentions or commitments. Informing engagement and decision-making processes, so that
communities and disclosing balanced, objective they are able to collaborate in an effective way. New
information in a clear and timely manner is an important community structures to represent community
part of the overall engagement strategy, particularly stakeholders, such as working groups or committees,
during the early stages of a mining project when may need to be established to enable effective
engaging for the first time and needing to build trust. collaboration.

Consult: This form of engagement involves a two-way Empower: This involves putting decision-making in the
exchange of information, with increased information hands of community stakeholders who will have a final
sharing from the company, and receiving feedback and say on planning and implementation processes.
comments from communities in. Consulting
All forms of engagement serve different purposes and
communities is important when collecting contextual
can be used throughout the life cycle of a mine. As a
information, for example, during surveys and
project progresses and builds its relationship with
assessments. It is also used to understand community
communities, the forms of engagement will often
perceptions, priorities and expectations as well as
mature to become more consultative and participatory.
identifying potential alternatives and solutions.
This leads to increased buy-in from both parties, and
generally creates greater community satisfaction with
the project design and outcomes.

Figure 1. The Social Performance Competency Framework

Inform Consult Involve Collaborate Empower

Integrating Community Engagement

Across the Business Forms of Engagement 40
Important
Considerations During
Community Engagement
Vulnerable or marginalised people FPIC comprises a process and an outcome. An effective
process ensures that Indigenous Peoples are meaningfully
are individuals or groups who may be engaged and have sufficient information about the project
disproportionately adversely impacted and sufficient time to be involved in decisions. They can
by the asset, may not be in a position freely make decisions without coercion, intimidation or
manipulation. However, if consent is not forthcoming,
to experience project benefits, or may
despite the best efforts of all parties, in balancing the
experience challenges getting their rights and interests of Indigenous Peoples with the wider
opinions or concerns heard. population, a government might determine that a project
should proceed and specify the conditions that should
apply. In such circumstances, it is for ICMM members to
Steps should be taken to ensure vulnerable or determine individually whether they ought to remain
marginalised people are fairly represented in decision- involved with a project.”2
making process and their views and concerns are listened
Resettlement & Land Acquisition is sometimes initiated by
to and responded to.
a new project or initiative (such as, mine expansion,
Indigenous Peoples have specific rights over land or exploration, tailings management or biodiversity offsets).
natural resources, as defined in Article 1 of the International Land acquisition results in the physical or economic
Labour Organization’s Indigenous and Tribal Peoples displacement of communities. In these cases, the asset
Convention (ILO 169). To respect these rights, there are should take a more collaborative approach to resettlement
more stringent requirements related to engaging planning, implementation and monitoring. Capacity
Indigenous People, which often means using forms of building should be provided to communities to ensure they
engagement that give greater decision-making authority are able to fairly participate in negotiation and decision
to representatives of these communities, including Free, making.3
Prior and Informed Consent (FPIC).

ICMM’s position1 on FPIC is that it “seeks to respect the

individual and collective rights and interests of Indigenous
Peoples, as well as those of states, to make decisions on
the development of resources (recognising that there may
be limited recognition for indigenous rights in some
countries).

1. ICMM, Indigenous Peoples and Mining: Position Statement: https://www.icmm.com/en-gb/about-us/member-requirements/position-statements/indigenous-peoples

2. ICMM, Respect Indigenous Peoples: https://www.icmm.com/en-gb/social-performance/human-rights/respect-indigenous-peoples
3. ICMM Land Acquisition and resettlement: Lessons learned: https://www.icmm.com/website/publications/pdfs/social-performance/2015/guidance_land-acquisition-and-resettlement.pdf

Integrating Community Engagement Important Considerations During

Across the Business Community Engagement 41
ICMM Member
Commitments
While stakeholder engagement is The engagement requirements for any given initiative or
management process will differ depending on the local
directly cited as a key commitment context, the expectations of communities and the
under ICMM Principle 10, specific ICMM national regulatory framework.
member commitments for community A typical good practice engagement process that
engagement are integrated throughout involves community stakeholders would include the
ICMM’s principles, position statement following steps:

and guidance. — Informing communities of company intentions,

commitments and limitations.

— Consulting communities when assessing risks and

These commitments are summarised in Table 1 below.
gathering baseline contextual data.
References to engagement approaches are outlined for
various issues, including: — Involving and/or collaborating with communities to
develop management plans, implement these plans
— Risk management
and monitor and evaluate (M&E) their effectiveness.
— Health and safety Working to obtain the consent of Indigenous
Peoples where required.
— Mine closure
— Consulting communities about their perceptions and
— Tailings management
expectations related to certain issues, such as social
— Water stewardship investment programmes.4

— Conservation of biodiversity — Informing communities of the outcomes, often

accompanied by public reporting or the local
— Climate change
disclosure of performance outcomes.
Engagement approaches differ throughout the process
of managing these issues. Generic phases of the
process outlined in the table include:

— Communicate commitments & limitations

— Risk assessment

— Data gathering & baseline

— Mitigation design & planning

— Implementation

— Monitoring & evaluation

— Understanding expectations & perceptions

— External reporting

4. For further guidance see: https://www.icmm.com/en-gb/guidance/social-performance/understanding-company-community-relations-toolkit

Integrating Community Engagement

Across the Business ICMM Member Commitments 42
Engagement Requirements for
Non-Social Performance
Table 1

Communicate Risk assessment Data gathering Mitigation design & Implementation Monitoring Understanding External reporting
commitments & baseline planning & evaluation expectations
& limitations & perceptions

Risk management5 Inform Consult Consult Involve/Collaborate Involve/Collaborate Involve/Collaborate Consult Inform
Publicly disclose Understand community Gather information from Involve communities in the Deepen community Involvement of trained Understand community Be transparent with communities
commitment to manage E&S perceptions of environmental communities to understand co-design of the GM and risk involvement in the risk community members in perceptions of environmental about outcomes of risk management
risks and impacts and social risks and impacts the environmental & social and impact management assessment and grievance monitoring and evaluation of and social risks and impacts and the GM
context measures process impacts
Inform Inform
Promote the Grievance FPIC/Empower Involve/Collaborate Apply international standards for
Mechanism (GM) as a way for Ensure meaningful Conduct participatory public reporting on the GM
communities to raise participation of Indigenous evaluation of the GM
concerns regarding impacts communities, work to obtain
the consent where required

Health and safety6 Inform Involve/Collaborate Inform

Publicly disclose Co-develop community- Publicly report on performance
commitment to safe working focused emergency
conditions preparedness

Mine closure7 Inform Consult Consult Collaborate/Empower Involve/Collaborate Consult Consult Inform
Publicly disclose Ensure available information Understand the Collaborate with Partner with community- Seek community input into Understand, expectations, Share experiences regarding social
commitment to closure is used to assess the closure socioeconomic context, communities to develop a based organisations and the development of closure capacity and capability transition with other mines and
planning risks, including input from including community social transition process and non-governmental success criteria regarding closure both industry in the region recognising the
communities where dependence on the mine and an integrated closure vision organisations where during the operational phase value in learning from their collective
Inform applicable the desires of communities including options for appropriate on training, and also post closure experiences
Initiate early engagement on post-closure land use social transformation and
closure Consult social investment initiatives
Meaningful participation is
Understand community
critical to ensure community
Inform needs, expectations,
ownership of the results
Ensure messaging around capacity and capability
closure is integrated into the regarding closure and
FPIC/Empower
stakeholder engagement economic diversification
Ensure meaningful
programme
participation of Indigenous
communities, work to obtain
the consent where required

5. ICMM Mining Principles: https://www.icmm.com/en-gb/about-us/member-requirements/mining-principles

6. Ibid
7. ICMM Integrated Mine Closure: Good practice guide (2nd edition, 2019): https://www.icmm.com/en-gb/guidance/environmental-stewardship/integrated-mine-closure-2019

Integrating Community Engagement Engagement Requirements for

Across the Business Non-Social Performance 43
 Communicate Risk assessment Data gathering Mitigation design & Implementation Monitoring Understanding External reporting
commitments & baseline planning & evaluation expectations
& limitations & perceptions

Tailings management89 Inform Consult Consult Consult Involve/Collaborate Involve/Collaborate Consult Inform
Publicly disclose Understand societal Allow communities to share Consult regarding Continue to provide input to Involvement of trained Consult to understand Develop a plan for sharing
commitment to tailings concerns around tailings their unique local knowledge alternatives analysis community engagement community members in parameters of concern for information with communities based
management and understanding of the activities related to tailings surveillance and downstream communities which should on input from consultations
Involve/Collaborate
area management and respond to water monitoring be included in surveillance
Establish an effective Annually publish: tailings descriptions
Co-develop community- requests for information. If
operational-level, non- and design; consequence
focused emergency such information cannot be
judicial GM in accordance classifications; results from risk and
preparedness provided, explain why
with UNGP effectiveness impact assessments; summary of
criteria Work with communities to monitoring and reviews; emergency
Collaborate
maintain a shared state of response plans; and commitment to
Collaborate on developing a
readiness for emergencies fund closure
resettlement action plan if
physical or economic
displacement is unavoidable
as a result of tailings location

FPIC/Empower
Ensure meaningful
participation of Indigenous
communities, work to obtain
the consent where required

Water stewardship10 Inform Consult Consult Collaborate Involve/Collaborate Collaborate Consult Inform
Publicly disclose Understand community Understand community Work with the with Partner with community on Partner with community to Understand community Locally disclose water usage and
commitment and conduct concerns and priorities as water needs, access community to plan shared water saving initiatives monitor water usage and water expectations from the quality data
early engagement with part of risk assessment and requirements and hygiene benefits from water initiatives quality data mine and perceptions of
communities regarding water response planning awareness impacts
FPIC/Empower
Consult Ensure meaningful
Seek local or indigenous participation of Indigenous
knowledge of water usage communities, work to obtain
the consent where required

8. ICMM Tailings Management: Good practice guide (2021): https://www.icmm.com/en-gb/guidance/environmental-stewardship/tailings-management-good-practice

9. Global Industry Standard on Tailings Management (2020): https://globaltailingsreview.org/wp-content/uploads/2020/08/global-industry-standard_EN.pdf
10. ICMM Water Stewardship Framework (2014): https://www.icmm.com/en-gb/guidance/environmental-stewardship/water-stewardship

Integrating Community Engagement Engagement Requirements for

Across the Business Non-Social Performance 44
 Communicate Risk assessment Data gathering Mitigation design & Implementation Monitoring Understanding External reporting
commitments & baseline planning & evaluation expectations
& limitations & perceptions

Conservation of Inform Consult Consult Collaborate Involve/Collaborate Involve/Collaborate Consult Inform

biodiversity 11 Publicly disclose Understand community Seek local or Indigenous Seek community Support to community Involve community Understand community Locally disclose water usage and
commitment and conduct interests, perspectives and knowledge of biodiversity participation in mitigation education programs on associations and institutions perceptions of biodiversity quality data
early engagement with priorities for biodiversity and measures, goals and target biodiversity management in biodiversity management, impacts
communities regarding its management Consult ensuring the social, monitoring
biodiversity Understand where economic and institutional
communities are directly development of communities
dependent on biodiversity
Collaborate
Collaborate on developing a
resettlement action plan if
physical or economic
displacement is unavoidable
as a result of biodiversity
initiatives.

FPIC/Empower
Ensure meaningful
participation of Indigenous
communities, work to obtain
the consent where required

Climate change12 Inform Consult Consult Involve/Collaborate Involve/Collaborate Involve/Collaborate Consult Inform
Publicly disclose Understand community Understand community Partner with communities to Partner with communities to Share scientific information Understand community Publicly report on performance
commitment to managing perceptions of climate resilience to climate change identify climate resilience implement climate resilience about climate change to perceptions of how the mine
climate change, including the change risks and and identify existing local actions that can bring shared actions that can bring shared inform community manages climate change
risks and opportunities opportunities initiatives benefit benefit preparation and emergency risks and opportunities
planning
Inform
Publicly disclosing
governance and risks can
strengthen community
relations

11. Good Practice Guidance for Mining and Biodiversity (2006): https://www.icmm.com/en-gb/guidance/environmental-stewardship/good-practice-mining-biodiversity
12. Adapting to a Changing Climate: Building resilience in the mining and metals industry (2019): https://www.icmm.com/en-gb/guidance/environmental-stewardship/adapting-climate-change-2019

Integrating Community Engagement Engagement Requirements for

Across the Business Non-Social Performance 45
Community Engagement
Responsibilities
Community engagement specialists Understanding the approach to and objectives sought
from community engagement by other functions is
are usually responsible for, or provide critical for positive outcomes, especially by the function
support to, planning and coordinating leading the engagement. This is particularly the case
engagement activities on a day-to-day for the asset level General Manager who is usually
responsible for the decisions being made as a result
basis. An integrated approach to
of the engagements.
engagement requires internal alignment,
Table 2 below details the type of support non-social
and collaboration across the asset
performance functions should provide in community
and company. engagement and the technical areas which intersect
and, therefore, need to be integrated into engagement
planning and implementation.

Table 2. Support to Community Engagement From Different Functions

Function/ Type of support Areas of integration/intersection

Department

General Asset — Overseeing decision making — Overall business objectives

Management — Attending community meetings — Risk management

— Ensuring engagement is adequately resourced — Annual plans and scheduling of activities

and trained
— Company commitments to communities
— Facilitating support from other departments
— Company limitations
where required

— Review of engagement reports and outcomes

— Input into resolution of grievances

Environment — Partners in engagement where technical input is — Environmental impacts, incidents and
needed environmental management approaches

— Attending relevant community meetings to — Environmental targets & performance

provide technical input
— Livelihoods, land management, post mining
— Input into engagement planning where relevant rehabilitation.

— Input into resolution of grievances when required

— Review of engagement reports and outcomes

Safety — Community safety, incidents, or emergencies

Integrating Community Engagement

Across the Business Community Engagement Responsibilities 46
 Function/ Type of support Areas of integration/intersection
Department

Human Resources — Local employment opportunities

— Local employment targets & performance

— Upskilling and employability programmes

— Local and regional economic development

strategies

— Workforce development

Procurement — Local procurement opportunities

— Local procurement targets & performance

— Local entrepreneur programmes

— Local/regional economic development strategies

Security — Incident response and management

— Integrated approach to Voluntary Principles on

Security and Human Rights implementation

Capital Projects — Input into engagement messages and planning — Project design
where necessary
— Risk analysis
— Supporting the resolution of grievances where
— Execution planning
necessary.

Production — Local employment and procurement

programmes

— Site risk management protocols (eg ground

disturbance)

Legal — Identifying and documenting legal frameworks

within which action and innovation where
possible

Finance — Local entrepreneur programmes

— Donations

— Compensation payments

— Social investment programmes

— Benefit delivery programmes

Integrating Community Engagement

Across the Business Community Engagement Responsibilities 47
Considerations for
Undertaking
Community Engagement
When a function needs to instigate a 1. Connect with the community engagement expert,
explain what you need to do and why.
community engagement process, it
should collaborate with the asset’s 2. Identify who needs to be engaged and how (the
main considerations will likely be how many people,
community engagement experts to plan the best way to communicate and the language).
and execute the process. It may look A good place to start is the asset’s stakeholder
something like this: mapping or stakeholder database.

3. Understand the current relationship the asset has

with community stakeholders. This consists of their
current concerns or sensitivities and existing level of
knowledge on the topic. A good place to start is the
asset’s socio-economic baseline and grievance
database.

4. Consider whether an education programme is

required prior to engagement to ensure meaningful
engagement (understanding on both sides)

5. Work with the community engagement expert to set

up the meeting – they will help to ensure that the
right people are there (particularly the legitimate
representatives) and may schedule additional
meetings for vulnerable groups or other community
cohorts.

6. Prepare, prepare, prepare and ensure that

appropriate communication materials (like pictures,
videos and models) are ready to aid the
engagement.

7. Prepare colleagues for the meeting – have them

consider how they will behave, how they will
demonstrate that they are listening, how they will
speak clearly (ensure that they avoid using technical
language and jargon). Plan strategies to de-escalate
the situation if things become heated.

8. Ensure that there are minutes of the meeting that are

saved to the system. Follow up on any questions or
concerns that could not be answered at the time.

9. Update the stakeholder database with new

information learned during the engagement and
update the commitments register if necessary.

Integrating Community Engagement Considerations for Undertaking

Across the Business Community Engagement 48
Key Engagement Tools
That Require Input
From Other Functions
Like many activities, community Table 3 below lists these engagement tools and
describes how functions need to input into them.
engagement can require several tools
developed with input from across the
business.

Table 3. Input Into Different Engagement Tools From Other Functions

Tool Inputs required from functions

Socio-economic Each function should review the socio-economic baseline to understand local communities and the social
baseline context they are operating in. This should include understanding the location of communities, social
sensitivities, vulnerable and marginalised groups, and the presence of Indigenous Peoples.

Social performance The asset social performance plan should outline the objectives, accountabilities and deliverables that
plan non-social performance functions will deliver.

Stakeholder database Each function should identify their own list of external stakeholders for their relevant discipline and include
this in a stakeholder database.

Stakeholder Each function should work with the engagement specialist to plan future engagements. This includes:
engagement plan — Creating a schedule for engaging regularly with their identified stakeholders

— Creating engagement messages regarding issues related to their function

— Identify any events, milestones or changes that will need to be communicated with the local
stakeholders

— Identify issues where local stakeholders should be consulted

— Identify any decisions that should be made in collaboration with communities or will need FPIC from
indigenous peoples.

Commitment log Any commitments made publicly or locally by any function need to be logged and tracked on a commitment
database. This includes verbal commitments, commitments contained within publicly disclosed documents,
such as ESIAs, or regulatory requirements.

Grievance database All functions should be fully aware of the grievance mechanism and have the details available to pass on to
community members when conducting work in communities.

Any community grievances raised directly to other functions (for example, during fieldwork) should be
logged in the grievance database.

All functions should contribute to resolving grievances relevant to their area.

Asset senior leaders should also support grievance resolution by facilitating co-ordination where necessary.

Engagement records Engagement records (like minutes of meetings or summaries) should be shared with each function when
issues have been raised that are relevant to their area

Engagement Monitoring and evaluation reports about consultation should be shared with relevant functions to ensure
monitoring & continuous improvement of engagement activities while maintaining integration throughout the business.
evaluation reports

Integrating Community Engagement Key Engagement Tools that Require

Across the Business Input from Other Functions 49
 Contents

Integrating Social This is one of a set of practical tools aimed at

enhancing the understanding of what social

Performance across
performance is, why it is important and how it
can be integrated into business decision
making. The tools have been developed for

the Business non-social performance specialists working in

mining companies and to support social
performance specialists in influencing decision
makers in their companies. The full set of tools
Tools for Social Performance can be accessed on ICMM’s website
Introduction

Social performance is the outcome of a Across the mining industry there is an emerging
consensus about how social performance can best be
company’s engagement, activities and organised, the work social performance teams need to
commitments that can directly and do, and the organisational elements that enable
indirectly impact stakeholders or affect success. This resource describes how to organise social
performance and how to achieve a business-wide
the quality of its relationships with them.
approach to securing desired social performance
Achieving effective social performance outcomes.
requires strong leadership, integrated
management systems, and the
capability and culture to identify,
address and report social risks and
impacts. The social performance
function leads, organises, facilitates,
and influences these outcomes, and
consequently its role within and
contribution to the company go beyond
the activities and outputs of the social
performance function.

Integrating Social Performance

Across the Business Introduction 51
How Is the Organisational
Context Important to
Social Performance?
Leadership – The site General Manager (or most At the asset level, the strategy describes the key social
senior asset-level decision-maker) and their senior performance focus areas and how all functions and line
management team have significant influence over social management integrate to contribute to the asset’s
performance outcomes, both positive and negative. The overall social performance. The strategy should also
General Manager is often the sole enabler or blocker of describe what success looks like, which could be to set
social performance at an asset level, as they usually a life-of-asset aspiration around leaving communities
have final decision-making authority for social better off, or similar.
performance and operational activities. Therefore, much
People – Central to the success of social performance
of the success in integrating social performance across
are the experience, skills, knowledge and behaviours of
the company at asset level hinges on the relationship
practitioners. Many mining companies have social
between the General Manager and the social
performance competency frameworks to support the
performance manager (or most senior person
enhancement of social performance capability and
responsible for social performance) – this is discussed
capacity in their organisations. There are an increasing
further below.
number of training and professional development
At a corporate level, the Board, Executive Committee programmes available too.
and CEO create the context – company structure,
Many other non-social performance roles, particularly at
strategy, policies, systems and culture – within which
asset level, have a role to play in securing the strategic
senior leaders throughout the organisation situate their
social performance outcomes companies seek.
decision-making. In short, an ‘all-of-asset’ approach to
Whoever has direct social performance responsibilities
social performance requires that decision-makers at all
(including contractors) or has interactions with or
levels of the organisation understand the purpose of
impacts on stakeholders should have the necessary
social performance and understand the social
understanding and skills to deliver on the social
performance implications of their decisions.
performance objectives. The attitude, approach and
Culture – Company culture is important to social awareness of social performance of those in non-social
performance because many of the business decisions performance roles, especially the asset General
and behaviours that will have the most impact on Manager, can be decisive.
stakeholders (and thus on the asset’s or company’s
Structure – Ultimately, if a company recognises that
social performance) may not be explicitly prescribed
social performance risks and issues are critical to its
courses of action in company policies, standards, or
business, the social performance function may need to
procedures.
be a standalone function, the same as human
Strategy – A good strategy is one which describes a resources or procurement. However, as companies
coherent set of actions and programs aimed at fulfilling evolve their approach to social performance, it is
the organisation’s overarching goals. A strategy common to integrate social performance with other
describes how all the parts fit together, and the functions, such as health and safety, or corporate
outcome that will result from this coordinated and affairs. In addition, some companies’ organisational
collective effort. At corporate level, this means clearly structures have the asset-based social performance
outlining the social performance policy and associated team reporting into asset level management, others into
implementation framework and articulating how it links a central function. The advantages and disadvantages
to other strategic pillars and overall company purpose. of these approaches are described below.

Integrating Social Performance How Is the Organisational Context

Across the Business Important to Social Performance? 52
Table 1. Different Approaches to Integrating Social Performance Across Functions

Approach Opportunities Constraints

Standalone social — Recognition that social performance is a discrete — May not be integrated into business decision-
performance function and valuable function making

— Support specialist expertise — May not enable specialists to gain commercial or

other expertise to support high value
— Equity with other disciplines
contributions

Integrated with — Possibility for strong alignment on systems, — Expertise may be biased towards health and
Health, Safety & especially risk management, incidents and safety, or environment
Environment assurance
— System may be more rigid than may be required
— Strong link with environment on incident and for engagement and to be responsive to
impact management community dynamics

— Collaboration with environment on biodiversity,

livelihood, land management, cultural heritage,
rehabilitation and closure; and, with health and
safety on community health impact and social
investments

Integrated with — Consistency and alignment of all stakeholder- — Risk of weaker link to core business
Corporate Affairs facing work
— ‘Public affairs’ approaches and philosophy
— Influential in business decision-making different to social performance

— Less likely to understand management system

and proactive approaches to risk management

Reporting at asset — Greater consistency of approach company-wide — Potential to mis-align from operational risks
level to function — Broader perspective on social and business risks — Less understanding of operational and
community context
— Support company-wide transfer of good
practice — Less influence on operation-level leaders

Reporting at asset — Closer to the action and can influence and — Increased possibility of variability across the
level to operations advise operational management company

— Gain strong understanding of business — Harder to transfer good practice across business
operations

— Strong connection to host communities and

stakeholders

— Local accountability for decision-making

Integrating Social Performance How Is the Organisational Context

Across the Business Important to Social Performance? 53
Systems – Most mining companies now have internal specific projects or programmes. More sophisticated
standards that set out social performance approaches include the tracking of the outcome and
requirements and procedures at asset level. The social impact of such programmes. These are sometimes
performance management system should include used for internal and external reporting. As companies
identification, assessment, mitigation and control of implement social performance management systems,
social performance risks and impacts. The there are also possibilities to develop metrics and KPIs
management system should be commensurate with using data generated from the management system.
the identified risks, it should avoid and minimise Many companies have management dashboards that
adverse impacts, have processes for engagement include social performance metrics that reflect the
with stakeholders including during impact assessment priorities and risks in the location. At a corporate level,
and for reporting performance, and have effective social performance metrics tend to include KPIs on the
grievance mechanisms. Importantly, social uptake and effective implementation of the company-
performance systems should be integrated with wide management system, occurrences of significant
company-wide systems and management processes, incidents and the management of significant risks.
with information outputs – such as stakeholder Metrics on capability and capacity, mirroring diversity
grievances, social risk assessment and socio- targets, are also possible. The leading practice on
economic impact assessments – being fed into metrics is to co-monitor outcomes with relevant
decision-making. Social risk analysis should be stakeholders, such as environmental co-monitoring.
integrated into a broader company risk management There is also scope for considerable innovation and
process, ensuring appropriate social performance development of social performance metrics, for
indicators, aspects, and content. example systemic, repeated co-design, co-monitoring,
and co-reporting of social performance metrics with
Metrics – Companies typically have social
affected local stakeholders and establishing a single
performance metrics that serve a range of purposes.
metric to reflect overall social performance, similar to all
The more basic approaches can include the tracking
injury frequency rate in safety.
of activities and inputs, such as expenditures, against

Integrating Social Performance How Is the Organisational Context

Across the Business Important to Social Performance? 54
What Is the Work of the
Social Performance Team?
Given the organisational enablers of 1. Socio-economic Baseline Characterisation and Impact
Management – processes to characterise the socio-
effective performance, as set out above, economic context in which the asset or company operates,
what is the work, the organisation and and to identify, avoid, prevent, mitigate and remediate
functions within the social performance adverse social impacts. Baseline characterisation and
impact management must be an ongoing process, as
team that are required for success? contexts evolve and stakeholders are unlikely to accept
There are five main areas of work for long term negative impacts, regardless of whether or not
social performance teams. These are: these impacts are permitted by the regulator.
2. Social and Economic Development – activities to develop
a lasting positive contribution to the communities where
the company works, such as though local employment
and skills development, local procurement and business
development, shared infrastructure, regional natural
resource management, and social investment.
3. Stakeholder Engagement – activities to engage with
potentially affected and interested stakeholders in a
transparent manner to ensure that they are able to
express their views on risks and opportunities and
partner for positive development.
4. Performance Management and Reporting – processes
to lead, manage or support the development of a
reporting policy, strategy and standard processes and
to manage systems to facilitate the delivery of the
sustainability strategy.
5. Risk, Assurance and Systems – processes to lead,
develop or manage systems to assess and profile
social performance risks and opportunities across the
business, and to verify the implementation of systems
and performance reported, in line with strategic
business objectives.

It is important to note that the above areas refer to types of

work, not necessarily numbers of individuals or divisions of
responsibilities. At smaller mines operating in contexts of
lower socio-economic risk and complexity it might be that
one individual will carry out a number of these work areas.
In larger operations, or those mines in complex operational
contexts, several individuals within a team might carry out
each area of work or they may be an integral part of other
functions (eg local procurement within the procurement
department). The resources applied must be commensurate
with the operating context.

Integrating Social Performance What Is the Work of the

Across the Business Social Performance Team? 55
Why Should Social
Performance Be Integrated
Across the Business?
One of the most important lessons Examples of issues linked to other functions that might
require the support of social performance
emerging from the social performance competencies to address them include: complaints
discipline over the last decade is that, about lack of opportunities in local employment;
very often, the cause of conflict complaints about the behaviour of construction workers
in the village on weekends; disputes about the terms
between the company and asset level
and conditions of local procurement contracts; damage
stakeholders is rooted in the actions of to a cultural heritage site caused by a sub-contractor
core business (operations) or other earthworks operator; and, unmet commitments made to
functions (such as security, human communities by company representatives. The worst
examples of this dysfunction may arise where business
resources or procurement). functions make decisions or take actions without

Integrating Social Performance Why Should Social Performance

Across the Business Be Integrated Across the Business? 56
applying a social performance perspective, which approach to social performance can be challenging to
results in significant negative social impacts, and achieve, not least because the KPIs and incentive
subsequent stakeholder outrage, protests, or structures often promote business decisions and
roadblocks. In some cases, companies may perceive actions that at best do not prioritise social performance
that these issues were solely a result of external factors, outcomes, or at worse, contribute to sub-optimal social
thereby ignoring the extent to which they may be performance outcomes. The ‘all-of-asset’ approach
‘self-inflicted injuries’. In other cases it may lead to social means that social performance is the sum total of all the
performance practitioners being called in to resolve a actions, activities, outputs and impacts of the asset, not
problem that could have been avoided. Often in these only the outputs of the social performance practitioners.
cases the social performance practitioners may not
A challenge that usually arises from other support
have the ability to fully remedy or prevent similar
functions is some form of ‘why should I do social
incidents from recurring in the future.
performance?’ The answer is that it depends on the risk
By integrating social performance in an ‘all-of-asset’ context and values of the company. If securing and
approach, companies would be taking a very similar to maintaining the asset-level social licence to operate is a
social performance as to safety management; namely, critical risk to the business, accountabilities with
that all employees and business functions have some supporting KPIs to track implementation, ought to be
accountabilities for their own safety and the safety established. If securing and maintaining the social
performance of the company overall. licence of the asset is an asset level KPI, then all the
functions and divisions of that asset ought to be
An ‘all-of-asset’ understanding of social performance
contributing to securing the desired outcomes. As
describes an approach whereby all the employees,
social performance is linked to so many business
functions and line management of the asset contribute
functions, and so often has the potential to affect
to a single cohesive, coordinated and integrated
business performance, it is rare that the response to
approach to securing and maintaining its social licence.
this question is ‘you don’t need to do anything’.
Whilst this approach may seem simple, an ‘all-of-asset’

Integrating Social Performance Why Should Social Performance

Across the Business Be Integrated Across the Business? 57
What Does Integrating
Social Performance
Look Like in Practice?
Given the business case for an First, integration is a negotiated, two-way process.
Company standards and policies will set out what is
integrated approach, what does this required and this will provide an overarching framework
look like in practice? There are two to guide the integration process. Social performance
principles to consider in undertaking practitioners, engaging with operations and other
functions will have to engage with and influence these
the integration of social performance
other functions to secure desired outcomes. As with all
across an asset or company. engagement and relationship management, an
ongoing process of ‘give and get’ will usually be
needed. Some ICMM members explicitly set out in their
internal standards how social performance integration
will occur.

One of the starting points for success is ensuring that

the social performance team is seen as credible within
the business, particularly in the perception of
management and operations. Credibility will be key for
social performance to be able to engage for the
purpose of securing jointly agreed objectives. Equally,
the tone and approach of operations and other
functions is important. Table 2 describes the positive
and negative perceptions operations and other
functions can have of social performance, as well as
the ways in which operations and other functions can
contribute to or undermine a consistent ‘all-of-asset’
approach to social performance.

Second, as mentioned earlier, the relationship between

the senior asset leaders is critical. A strong relationship
of trust and mutual respect, based on leadership
understanding and appreciating the role of social
performance, will lead to higher performance
throughout the workforce. A lack of trust and
confidence amongst senior leaders will make much of
the wider integration across the asset more difficult.

Integrating Social Performance What Does Integrating Social

Across the Business Performance Look Like in Practice? 58
Table 2. Perceptions of Social Performance

Function/ Functions’ perspective of social The function’s approach to social performance

division performance

Potential positive Potential negative Contributing Challenging

perception perception

Legal Competent managers of Potential source of Provides advice on legal Enforces legal position as the
social risk and impact; non-compliance with issues as a framework only way forward; unwilling to
insightful/strategic internal compliance within which action and consider alternative, and
advisers to company on procedures and innovation is possible. compliant strategies or
social risk and impact; therefore, social approaches.
protects company from performance
human rights allegations practitioners maybe
and other exposures. perceived as a risk to the
company.

Environment Active and supportive Siloed in approach to Partnership on impacts, Narrow, siloed approach with
partner function in risks, impacts and risk and incident no working
managing risks, impacts incidents; unable to follow management; aligned on acknowledgement of social
and incidents; seeking to systematic processes; livelihoods, biodiversity and environmental
understand insists on single channel and natural resource intersection points;
interconnection between of engagement through management. environment programmes
social and environmental social performance. that create social impacts, for
risks. eg offsets causing livelihood
displacement.

Safety Competent support Source of risk – not A holistic approach to Limited involvement in off-site
function; able to assist following safety safety and wellbeing is safety programmes, such as
with investigations; procedures when off site. taken, including for community-based safety
incident and crisis example, safety in initiatives.
management; visible community, schools,
supporter of safety pedestrian safety, etc.
function within asset and
adjacent communities.

Human Competent, consistent, Source of confusing Delivers significant local Focussed on transactional HR
Resources organised support demands and changing employment, skills uplift only; fails to implement
function; advice and priorities; gatekeeper; and employability routine career development
support on local potential to be perceived programmes; aligns with and HR processes with social
employment and as organisational ‘outlier’. local and regional performance professionals.
employability economic development
programmes. strategies; takes
strategic view of
workforce development.

Procurement Competent, consistent, Source of confusing Support local Prioritises cost reductions;
organised support demands and changing entrepreneur does not engage with social
function; partner in priorities; gate keeper; programmes; supports performance to overcome
developing local support potential to be perceived securing discretionary barriers to entry for new
enterprises; active as organisational ‘outlier’. spend locally; engages entrepreneurs/start-up
support with external and integrates companies.
engagement. programmes with local/
regional economic
development strategies.

Capital Source of expert advice; Seen as delaying Social performance Narrow focus on costs and
Projects able to advise and completing the job or as involved in project schedule, at exclusion of
support in resolving gatekeepers. design, risk analysis, prudent medium-term and
complex issues; gives execution planning. long-term risk management.
credible, expert advice;
provides practical
solutions.

Integrating Social Performance What Does Integrating Social

Across the Business Performance Look Like in Practice? 59
 Function/ Functions’ perspective of social The function’s approach to social performance
division performance

Potential positive Potential negative Contributing Challenging

perception perception

(Asset) Competent, consistent, Rarely seen; unclear what With Human Resources Narrow focus on costs and
production/ organised support social performance do or and Procurement, drive production.
line function; social what their priorities are; local employment and
management performance manager a see social performance procurement
respected, credible as only sponsorships, programmes; support
contributor to the donations or public social performance with
management team. relations. implementation of
relevant site risk
management protocols
(eg ground disturbance).

Security Competent, consistent, ‘Soft-touch’ with Fully engaged with social Focus on physical security of
organised support communities, sometimes performance as required, asset only; not willing to
function; partner in exacerbating conflict especially on incident engage on wider issues
developing holistic through unfulfilled response and possibly contributing to
security solutions; reliable commitments, and management; integrated conflict
and credible, especially in making company ‘the approach to Voluntary
crisis response. enemy’. Principles on Security
and Human Rights
implementation.

Finance Competent, consistent, Source of risk, potential Supportive of local May fail to make payments on
compliant, organised for non-compliance; entrepreneur time – compensation,
support function. overhead. programmes; invoices with local suppliers,
understands and etc.
supports social
performance perspective
on donations,
compensation payments,
social investment
programmes, and wider
benefit delivery
programmes.

Integrating Social Performance What Does Integrating Social

Across the Business Performance Look Like in Practice? 60
 Contents

Guidance to This is one of a set of practical tools aimed at

enhancing the understanding of what social

Support Leaders
performance is, why it is important and how it
can be integrated into business decision
making. The tools have been developed for
non-social performance specialists working in
mining companies and to support social
performance specialists in influencing decision
makers in their companies. The full set of tools
Tools for Social Performance can be accessed on ICMM’s website
Introduction

This tool is intended for leaders at both Achieving good social performance is heavily influenced
by the awareness, commitment and proactive
asset and company levels to support leadership of individuals that comprise and/or lead
the assessment of social performance management teams, make decisions about the
within their organisation, and help operation of the asset or company and/or have
influence on the workforce and other stakeholders.
embed the systems, competencies and
The effective and sustained management of social risks
culture required to consistently manage and impacts requires social performance to be
social risks and impacts. integrated into business decision making processes,
and the development of the requisite capabilities,
capacity and culture across the organisation.

Leaders can drive this integration through

demonstrating a belief in its business value, identifying
and addressing social performance implications in
their own decision-making and that of others, and
championing excellence in delivery. Unless leaders
actively create the necessary enabling environment
for social performance, it can be seen as an ‘add-on’
– peripheral rather than central in contributing to
successful operations.

At asset level, typically the General Manager of

operations has the unique ability and authority to drive
social performance outcomes. This may extend to the
inclusion of social performance capabilities in their
senior leadership team, in making it a mandatory item
on management team and toolbox agendas, and in
setting asset-wide indicators for social performance.

At corporate level, company leadership has the

capability to drive the value of social performance to
the broader business. The personal engagement and
interest of a company CEO is vital in driving positive
change in social performance through their corporate
leadership team. Similarly, the company Board has a
role in setting expectations and providing active scrutiny
over social performance outcomes.

This tool consists of guiding questions that are intended

to support leaders to 1) better understand social
performance within their company, and 2) identify areas
for improvement.

Guidance to Support Leaders Introduction 62

The guiding questions are organised around several These guiding questions are predicated on important
thematic areas: principles for effective social performance leadership,
including: putting people at the centre of consideration;
— Leadership roles and responsibilities
taking an ‘all-of-asset’ approach to social performance;
— Skills and competencies having the capabilities to operate in complex
environments; and, understanding how power, rights
— Decision-making
and responsibilities affect social performance.
— Risk and opportunity assessment
Learnings generated from these questions can support
— Integrated management leadership teams and their entire organisations in
meeting social performance objectives.
— Incentives

— Engagement and reporting

— General principles for effective social performance

leadership

Guidance to Support Leaders Introduction 63

Leadership Skills and
Roles and Competencies
Responsibilities
Leaders are accountable for the performance of the Leaders should have adequate awareness and
company and assets. Effective management of social understanding of how social performance can impact
performance is critical to achieving company their business – both broadly and in relation to specific
performance. operations. They should understand where their roles
and responsibilities require the technical skills to lead on
Despite the complexity and uncertainty involved in
the issue. The level of competency of senior leaders will
many aspects of social performance, senior leaders are
also set the tone for the wider company.
accountable for identifying reasonably foreseeable
potential risks and opportunities and using the best
Guiding Questions
available information to make informed decisions that
will ensure effective performance of the business. — Have specific competencies related to social
performance been defined for leaders?
Guiding Questions — How are social performance competencies
— Have roles and responsibilities for social considered in recruitment and professional
performance been explicitly defined for different development of leaders?
levels of leadership?
— What processes and training are in place to ensure
— To what extent do leaders consider social leaders remain competent and up-to-date on social
performance risks and opportunities to be an performance issues?
integral part of their management accountabilities?
— Are leaders able to access advice and support from
— Is accountability for social performance risks and internal and external experts on social performance,
opportunities considered as part of internal on both a regular formal basis and on an ad hoc,
performance evaluations of senior leaders? case-specific basis?

— Are there clear and effective reporting lines in place

to communicate between corporate and asset levels
on social performance risks and opportunities?

Guidance to Support Leaders 64

Decision-Making Risk and
Opportunity
Assessment
To mitigate social risks and advance opportunities, Social performance business risks and opportunities
leaders should ensure that social performance issues can be significant, as well as creating both positive and
are an integral part of decision-making at all levels of negative impacts on stakeholders. However, these will
the organisation and throughout all parts of the vary from company to company, from asset to asset,
business. and from stakeholder to stakeholder, as well as all of
these changing over time. Social performance risks can
Guiding Questions often be complex and uncertain. Management of social
— To what extent are social performance issues performance needs to be commensurate with the
regularly considered in leadership team meetings nature of these different business risks and impacts on
and decision-making? stakeholders. Senior leaders, therefore, need to ensure
effective processes are in place to assess and respond
— To what extent are social performance issues to these different and changing aspects.
systematically considered in business models and
strategy? Guiding Questions
— To what extent is social performance systematically — Are social performance issues consistently and
considered in project stage gate thresholds for explicitly considered by leaders in regular company-
capital allocation and significant life cycle decision wide and asset-level risk and impact assessments?
points, such as new country entry, closure, and
— Does the company consider impacts from the
significant changes?
business on communities and/or stakeholders (ie
— How are critical trade-offs that may positively or the risks to those affected by the business)? Is this
negatively impact social performance outcomes informed by the perspectives and concerns
understood and acknowledged when decisions are expressed by those impacted?
being finalised?
— How are material issues that may directly or
— To what extent are decisions informed by the best indirectly impact social performance (eg
available information on social performance risks resettlement, cultural heritage, Indigenous Peoples,
and opportunities? Free, Prior and Informed Consent (FPIC), conflict
affected areas, serious human rights abuses
including child labour and forced labour, etc) or
indirectly related (eg, tailings, water, emergency
preparedness, critical ecosystems, biodiversity, mine
closure, climate change, etc) specifically flagged and
considered by leadership?

— How do leaders ensure that management measures

are effective at responding to identified risks and
impacts?

Guidance to Support Leaders 65

Integrated Incentives
Management

An ‘all-of-asset’ approach to social performance – Incentives for senior leaders and personnel across the
when decision-makers at all levels of the organisation workforce should help drive behaviours which support
understand the social performance implications of their effective social performance management,
decisions – is most effective and is most likely to be management of social performance risks and impacts,
successful when internal processes and practices and ideally promote long-term positive social outcomes.
support an integrated approach to the management of Care should be taken to ensure that other incentives do
performance. not unintentionally contradict social performance-
specific incentives, and that leaders are reasonably able
Guiding Questions to balance differing priorities should they emerge.
— To what extent are social performance aspects
integrated in company- and asset-level business Guiding Questions
strategy and plans? — To what extent do senior leaders’ incentives relate
to social performance and align with wider KPIs
— Are these strategies/plans as well as company
and targets?
policies and standards regularly reviewed and
updated to ensure alignment with community and — To what extent do other performance incentives
stakeholder expectations, emerging global trends, have the potential to undermine or be inconsistent
and outcomes from incident investigations, audits, with social performance-related incentives (eg
and assurance? production targets vs stakeholder engagement
processes)?
— Are adequate resources committed to ensure
effective and consistent implementation of the social — To what extent are social performance issues
performance aspects of these strategies, plans, incorporated within broader workforce
policies and standards? performance incentives, including for specialist and
non-specialist social performance personnel?
— Are formal training and community of practice
programmes in place for social performance – — What incentives and disincentives for assets are in
for specialist and non-specialist positions? place to ensure they meet company policies and
standards related to social performance?
— Are there all-of-company and all-of-asset social
performance metrics, data collection, and reporting
of social performance activities?

— Are asset-level grievance mechanisms and

processes for investigation of serious social
performance incidents in place, and how are senior
leaders engaged in these processes?

— To what extent do senior leaders participate in

oversight of social performance outcomes, including
and support audit and assurance programmes,
review of the effectiveness of social performance
management, and the setting and tracking
improvement programmes in response to these
reviews?

Guidance to Support Leaders 66

Engagement General Principles
and Reporting for Effective Social
Performance
Leadership
Leaders should engage on social performance issues. Experience has shown that effective leadership in
They should do this both internally and externally, to social performance is under-pinned by senior leaders
promote and embed a positive social performance demonstrating that they understand and follow certain
culture – cultivating it within the company and being principles such as: putting people at the centre of
transparent about performance, but also helping to consideration; taking an ‘all-of-asset’ approach to social
grow it within the industry more broadly. performance; having the capabilities to operate in
complex environments; and, understanding how power,
Guiding Questions rights and responsibilities affect social performance.
— Are leaders encouraged to directly engage with
communities or local groups on issues of concern, Guiding Questions
regularly host or attend community events or hold Putting People at the Centre
roles in the community where they can actively — To what extent do senior leaders express the
engage with residents? company’s/asset’s purpose in relation to impact on
— Do leaders actively engage with credible third people and society?
parties to better evaluate and inform the company or — To what extent do senior leaders demonstrate that
asset’s social performance? they put people at the centre of decision-making in
— Are teams within the company encouraged to relation to business activities?
internally dialogue on issues of social performance, — To what extent do senior leaders treat social
raising questions or concerns about the company’s performance as a professional discipline, in the
social performance? same way they do other disciplines?
— To what extent does public reporting sufficiently — To what extent do senior leaders take long-term
articulate engagement activities throughout the views in decision making and consider long-term
organisation, and discuss where progress or value creation and societal outcomes?
performance has been insufficient or where things
have gone wrong, and the measures taken to Whole-of-Asset Approach
address these? — To what extent is social performance integrated in
— Are decisions and actions that advance social wider business management?
performance commitments celebrated, and those — To what extent does the company leverage core
that run counter to these commitments reviewed? business activities to manage social performance
— Do leaders publicly demonstrate and promote and achieve positive social outcomes?
leading practices that will encourage better industry
wide social performance?

— Do leaders help foster collaboration and facilitate

partnerships to solve collective challenges faced
in society?

Guidance to Support Leaders 67

Operating in Complex Environments
— To what extent are senior leaders capable of
managing the business in contexts of uncertainty,
unpredictability and unanticipated outcomes?

— To what extent do senior leaders recognise and

behave in ways which demonstrate that the
company and assets are an integral part of society?

— To what extent are senior leaders effective at

collaborative decision-making, both with internal
and external parties?

Understanding Power, Rights and Responsibilities

— To what extent do senior leaders understand the
power, rights and responsibilities of different parties
in the social performance ecosystem, and the role of
the company and assets in understanding,
identifying and proactively addressing
discrimination vulnerability and exclusion?

Guidance to Support Leaders 68

Acknowledgments

The Tools for Social Performance were developed by

ICMM – Nicky Black, Hannah Clayton, Marcus Addy and
Danielle Martin – with expert input from the ICMM
Community Support Working Group.

Special acknowledgement goes to the expert team at

Synergy Global Consulting, particularly Ed O’Keefe and
Brooke Parkin, to Simon Wake, independent consultant,
and the Social Practice Forum.
ICMM stands for mining with principles.

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
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related to determination or implementation of any management practice.
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icmm.com March 2022