Updated June 2023

Mining Principles

Performance Expectations

Mining Principles i
Introduction 01

Increasingly, society understands that

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

ICMM 01
 ICMM has long recognised that economic growth
should never be at the expense of people or planet. In
2003, ICMM published its 10 Principles for sustainable
development to set a standard of ethical performance
for our members. Over time, we have worked to expand
on these with nine position statements on key issues,
such as water stewardship and transparency of
mineral revenues.

In early April 2018, ICMM launched a global public

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

Our enhanced Mining Principles strengthen social

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

The environmental, social and governance demands

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

Mining Principles 02
Mining 02
Principles

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

Apply ethical business practices Integrate sustainable development

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

Performance Expectations Performance Expectations

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

1. ICMM’s member companies already comply with all applicable law in the countries that they operate in. However, many stakeholders say they want mining companies to show that they
have strong systems that ensure legal compliance.

2. Psychological health in the workplace is defined in international literature as the ability to think, feel and behave in a manner that enables workers to perform effectively. Psychological
safety in the workplace is defined as the risk of injury to the psychological wellbeing of a worker.

ICMM 05
 3.4 Respect the rights of workers by: not employing
Human child or forced labour; avoiding human trafficking;
not assigning hazardous/dangerous work to
Rights those under 18; eliminating all forms of
harassment and discrimination; respecting
freedom of association and collective bargaining;
and providing an appropriate mechanism to
address workers grievances.
3.5 Equitably remunerate employees with wages
Respect human rights and the interests, that equal or exceed legal requirements or
represent a competitive wage within that job
cultures, customs and values of market (whichever is higher) and assign regular
workers3 and communities affected by and overtime working hours within legally
our activities. 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
Performance Expectations hierarchy to address adverse impacts and; deliver
sustainable benefits for Indigenous Peoples.
3.1 Support the UN Guiding Principles on Business
and Human Rights by developing a policy 3.7 Work to obtain the free, prior and informed
commitment to respect human rights, consent of Indigenous Peoples where significant
undertaking human rights due diligence adverse impacts are likely to occur, as a result
and providing for or cooperating in processes of relocation, disturbance of lands and territories
to enable the remediation of adverse human or of critical cultural heritage, and capture
rights impacts that members have caused the outcomes of engagement and consent
or contributed to. processes in agreements.

3.2 Avoid the involuntary physical or economic 3.8 Implement policies and practices to respect the
displacement of families and communities. rights and interests of women that reflect
Where this is not possible apply the mitigation gender-informed approaches to work practices
hierarchy and implement actions or remedies and job design, and that protect against all forms
that address residual adverse effects to restore of discrimination and harassment, and behaviours
or improve livelihoods and standards of living that adversely impact on women’s successful
of displaced people. participation in the workplace.4

3.3 Implement, based on risk, a human rights and 3.9 Implement policies and practices to respect the
security approach consistent with the Voluntary rights and interests of all workers5 and improve
Principles on Security and Human Rights. workforce representation in the workplace so it is
more inclusive.

3. ‘Workers’ is defined in the Health and Safety Performance Indicators Guidance, 2021, as ‘people who are engaged in work related activities on behalf of an employer. Workers may be
employees, contractors or third parties’.

4. ‘Workplace’ is defined in the Health and Safety Performance Indicators Guidance, 2021, under work environment as ‘the establishment and other locations where one or more workers
are engaged in work-related activities as a condition of employment. The work environment includes not only geographic or physical locations but also the equipment or materials used by
the worker during the course of his or her work‘.

5. All workers regardless of sex, gender, national origin, Indigeneity, age, caring responsibilities, cultural background, ethnicity, linguistic background, physical or mental ability status,
religious affiliation, sexual orientation, gender identity, intersex status, socio-economic background and/or other categories of under-representation.

Mining Principles 06
 Risk Health
Management and Safety

Implement effective risk-management Pursue continual improvement in

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

Performance Expectations Performance Expectations

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

6. These should cover issues such as air, water, biodiversity, noise and vibration, health, safety, human rights, gender, cultural heritage and economic issues. The consultation process
should be gender sensitive and inclusive of marginalised and vulnerable groups.

7. Psychosocial hazards are aspects of work which have the potential to cause psychological or physical harm including bullying, mental stress, workplace violence.

ICMM 07
 Environmental Conservation
Performance of Biodiversity

Pursue continual improvement in Contribute to the conservation

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

Performance Expectations Performance Expectations

6.1 Plan and design for closure in consultation with 7.1 Neither explore nor develop new mines in
relevant authorities and stakeholders, implement World Heritage sites, respect legally designated
measures to address closure-related protected areas, and design and operate any
environmental and social aspects, and make new operations or changes to existing operations
financial provision to enable agreed closure and to be compatible with the value for which such
post-closure commitments to be realised. areas were designated.
6.2 Implement water stewardship practices that 7.2 Assess and address risks and impacts
provide for strong and transparent water to biodiversity and ecosystem services
governance, effective and efficient management by implementing the mitigation hierarchy,
of water at operations, and collaboration with with the ambition of achieving no-net-loss
stakeholders at a catchment level to achieve of biodiversity.10
responsible and sustainable water use.
6.3 Design, construct, operate, monitor and
decommission tailings disposal/storage facilities
using comprehensive, risk-based management
and governance practices in line with
internationally recognised good practice, to
minimise the risk of catastrophic failure.8,9
6.4 Apply the mitigation hierarchy to prevent pollution,
manage releases and waste, and address potential
impacts on human health and the environment.
6.5 Implement measures to improve energy
efficiency and contribute to a low-carbon future,
and report the outcomes based on internationally
recognised protocols for measuring CO2
equivalent (GHG) emissions.

8. As of 5 August 2020, all ICMM members committed to implement the Global Industry Standard on Tailings Management (GISTM). All tailings facilities operated by members with
“Extreme” or “Very high” potential consequences will be in conformance with the Standard by 5 August 2023. All other tailings facilities operated by members not in a state of safe closure
will be in conformance with the Standard by 5 August 2025.

9. Riverine tailings, freshwater lake and/or shallow marine tailings disposal may be considered only if deemed to be the most environmentally and socially sound alternative, based on an
objective and rigorous environmental and social impact assessment of tailings management alternatives. The scope of the assessment should be agreed between the member company
and the host government.

10. The ambition of no net loss applies to new projects and major expansions to existing projects that impact biodiversity and ecosystem services.

Mining Principles 08
 Responsible Social
Production Performance

Facilitate and support the knowledge- Pursue continual improvement in

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

Performance Expectations Performance Expectations

8.1 In project design, operation and 9.1 Implement inclusive approaches with local
de-commissioning, implement cost-effective communities to identify their development
measures for the recovery, re-use or recycling priorities and support activities that contribute
of energy, natural resources, and materials. to their lasting social and economic wellbeing,
8.2 Assess the hazards of the products of mining in partnership with government, civil society
according to UN Globally Harmonised System and development agencies, as appropriate.
of Hazard Classification and Labelling or 9.2 Enable access by local enterprises to
equivalent relevant regulatory systems and procurement and contracting opportunities
communicate through safety data sheets across the project life-cycle, both directly and
and labelling as appropriate. by encouraging larger contractors and suppliers,
and also by supporting initiatives to enhance
economic opportunities for local communities.
9.3 Conduct stakeholder engagement based upon
an analysis of the local context and provide local
stakeholders with access to appropriate and
effective mechanisms for seeking resolution of
grievances related to the company and its
activities.
9.4 Collaborate with government, where appropriate,
to support improvements in environmental and
social practices of local Artisanal and Small-scale
Mining (ASM).

ICMM 09
 Stakeholder
Engagement

Proactively engage key stakeholders

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

Performance Expectations

10.1 Identify and engage with key corporate-

level external stakeholders on sustainable
development issues in an open and
transparent manner.
10.2 Publicly support the implementation of the
Extractive Industries Transparency Initiative
(EITI) and compile information on all material
payments, at the appropriate levels of
government, by country and by project.
10.3 Report annually on economic, social and
environmental performance at the corporate
level using the GRI Sustainability Reporting
Standards.
10.4 Each year, conduct independent assurance
of sustainability performance following the
ICMM guidance on assuring and verifying
membership requirements.

Mining Principles 10
Assurance 03
and Validation

ICMM Assurance and Validation 11

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

environmental performance. — Third-party validation of prioritised assets

— Disclosure

Company members are required to complete a

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

Third-party Validations must be conducted

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

Members are required to disclose, publicly,

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

Mining Principles 12
Position 04
Statements

Since 2003, Position Statements have Mining Principles

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

June 2023

Diversity, Equity and Inclusion

02
Decision Making
Human Rights
Diversity, Equity
and Inclusion
03

Position Statement
04
Risk Management
05
Health and Safety
10
Stakeholder Engagement

December 2021

Transparency of Mineral Revenues

01
Ethical Business
Stakeholder Engagement
Transparency
of Mineral Revenues
10

Position Statement

Transparency of Mineral Revenues i

October 2021

Climate Change
04
Risk Management
Environmental Performance
Climate Change
06

Position Statement
08
Responsible Production
10
Stakeholder Engagement

Climate Change i

ICMM 13
 January 2017

Water Stewardship
03
Human Rights
Risk Management
Water Stewardship
04

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

Water Stewardship i

December 2016

Tailings Governance
01
Ethical Business
Decision Making
Tailings Governance
Framework
02

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

May 2013

Indigenous Peoples and Mining

03
Human Rights
Environmental Performance
Indigenous Peoples
and Mining
06

Position Statement
09
Social Performance

Indigenous Peoples and Mining i

February 2010

Mining Partnerships for

Development
Ethical Business
Mining Partnerships
for Development
01

Position Statement
02
Decision Making
03
Human Rights
09
Social Performance
10
Stakeholder Engagement
Mining Partnerships for Development i

February 2009

Mercury Risk Management

04
Risk Management
Environmental Performance
Mercury Risk
Management
06

Position Statement
08
Responsible Production

Mercury Risk Management i

August 2003

Mining and Protected Areas

06
Environmental Performance
Conservation of Biodiversity
Mining and
Protected Areas
07

Position Statement

Mining and Protected Areas i

Mining Principles 14
ICMM stands for mining with principles. Updated June 2023

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.

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

Each ICMM member company is responsible for determining and implementing

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

In no event shall ICMM (including its officers, directors, and affi liates, as well
as its contributors, reviewers, or editors to this publication) be liable for damages
or losses of any kind, however arising, from the use of or reliance on this document,
or implementation of any plan, policy, guidance, or decision, or the like, based on this
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of any nature whatsoever, whether under equity, common law, tort, contract, estoppel,
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consequential, or indirect damages arising from or related to the use of or reliance
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The responsibility for the interpretation and use of this publication lies with the user
(who should not assume that it is error-free or that it will be suitable for the user’s purpose)
and ICMM. ICMM’s officers and directors assume no responsibility whatsoever for errors
or omissions in this publication or in other source materials that are referenced by this
publication, and expressly disclaim the same.

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

ICMM, its officers, and its directors are not responsible for, and make no representation(s)
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The designations employed and the presentation of the material in this publication
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or its directors concerning the legal status of any country, territory, city or area or
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or its directors.

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

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Mining Principles 15