IWA 45:2024

International
Workshop
Agreement
IWA 45
First edition
Sustainable critical mineral
2024-08
supply chains
Corrected version
2024-11
Reference number
© ISO 2024
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ii
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Sustainability topic areas to consider in critical mineral supply chain standards . 5
4.1 General .5
4.2 Mineral exploration/extraction/mining/mineral recovery on-site processing/off-site
processing and refining .5
4.2.1 Environment .5
4.2.2 Social .6
4.2.3 Economic/Governance .6
4.3 Circularity and end of life .7
4.3.1 Environment .7
4.3.2 Social .7
4.3.3 Governance .7
4.3.4 Technical .7
5 ISO Standards relevant to sustainable critical mineral supply chains . 7
5.1 ISO standards under development .7
5.1.1 ISO/TC 298, Rare earth and ISO/TC 333, Lithium: joint working group 6 on
sustainability (under development) .7
5.1.2 ISO/TC 82, SC 7, Sustainable mining and mine closure . .8
5.2 Existing ISO standards .9
6 Assessment of existing sustainability frameworks relevant to critical mineral supply
chains . 9
6.1 Background .9
6.2 Commonalities and differences across frameworks.10
6.2.1 General .10
6.2.2 Governance structure and stakeholder engagement . 12
6.2.3 Continual Improvement . 12
6.2.4 Conformity assessment . 13
6.2.5 Environmental protection and health and safety . .14
6.2.6 Labour protections .16
6.2.7 Community and social responsibility .17
6.2.8 Ethical Business Practices and Transparency .17
7 Conclusion .18
7.1 General .18
7.2 Coherence, coordination and cooperation .18
7.3 Stakeholder Engagement and Governance .19
7.4 Topic areas for Sustainability Standards . 20
7.4.1 General . 20
7.4.2 Recommendations. 20
7.5 Priority areas for future international standardization . 22
7.5.1 General . 22
7.5.2 Recommendations. 22
Annex A (Informative) Standards/frameworks comparison matrix.24
Annex B (Informative) Workshop contributors .28
Bibliography .29

iii
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out through
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The procedures used to develop this document and those intended for its further maintenance are described
in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the different types
of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the
ISO/IEC Directives, Part 2 (see www.iso.org/directives).
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International Workshop Agreement IWA 45 was approved at workshops hosted in Tokyo (Japan), New York
(USA) and a virtual workshop held in February 2024, April 2024 and May 2024 respectively.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
This corrected version of IWA 45:2024 incorporates the following corrections:
— list in Annex B has been corrected to include missing participants and the list has been moved to
https://standards.iso.org/iso/iwa/45/ed-1/en/.

iv
Introduction
Critical minerals are vital to the production of materials and equipment needed to deliver clean energy
technologies. This means that we are increasingly relying on critical mineral supply chains, from mine to
product, for the transition to net-zero emissions.
Simultaneously, we must ensure that hard-won environmental gains in critical mineral supply chains are
not lost in the rush to deliver low, and zero, emission technologies, nor are the rights of communities and
Indigenous people overlooked due to the new imperatives.
That presents the world with a challenge – to ensure a reliable supply of the materials needed to tackle
climate change, while offering environmental and social protections which preserve human rights.
Sustainability frameworks, guidelines and standards are central to achieving these goals. They provide
best-practice for the mining industry and corporations throughout the critical mineral supply chain as well
as guidance for policy-makers seeking to ensure a responsible and reliable approach.
The ISO’s International Workshop Agreement on Sustainable Critical Minerals Supply Chains (IWA 45) has
been developed by a group of stakeholders from the mineral supply chain and designed for stakeholders
in the critical mineral supply chains, who need such a framework to assess their operations and measure
sustainability.
NOTE A list of IWA 45 participants is provided in Annex B.
This document is designed to assist those stakeholders in understanding the existing landscape of
frameworks, guidelines and standards currently available and to determine which best suit their needs.
A survey was undertaken of a range of stakeholders across geographic regions to identify relevant
frameworks, guidelines and standards that organizations are already using to assess and improve the
sustainability of critical mineral supply chains.
This document examines governance structures, sustainability topic areas and requirements within
existing frameworks. It details 30 frameworks, guidance and standards relevant to the sector. While there
was no attempt to determine the effectiveness of any of these instruments in improving sustainability,
this document provides an objective overview of the scope of governance, assurance processes and other
factors. It also pays particular attention to provisions and recommendations held in common across the
frameworks, as well as how they differ.
IWA participants identified many areas that should be considered in determining how extensively a standard
covers sustainability issues, while assessing how existing frameworks approached the management of a
wide variety of environmental, social, labour, human and Indigenous rights and transparency factors.
They concluded that, while standards and frameworks have a vital role to play in ensuring a sustainable
critical mineral supply chain, it is important to avoid developing new ISO standards that duplicate or conflict
with existing sustainability standards.
The IWA participants found no market need for another standard in the upstream or midstream segments
of the minerals and metals sector. Instead, future ISO work is needed to explore the gaps that exist within
the downstream standards landscape and how to best address them.
Above all, it is vital to engage with developing countries, Indigenous peoples and communities impacted
by mining, to encourage more stakeholders to participate in developing international sustainability
standards, to promote equal, shared governance and decision-making with rights holders and civil society
organizations, while boosting training and building capacity for vulnerable populations.

v
International Workshop Agreement IWA 45:2024(en)
Sustainable critical mineral supply chains
1 Scope
This document surveys the range of existing sustainability frameworks available for critical mineral supply
chains to aid understanding and assist in improving an organization’s sustainability outcomes. It includes an
analysis of:
— the requirements contained in existing sustainability guides or frameworks and where these tools are
similar and where they diverge;
— sustainability topic areas within existing guides and frameworks that have been accepted in different
regions and jurisdictions.
This document did not assess the effectiveness of existing standards or frameworks in improving the
sustainability performance of their users or how performance was assessed.
The results show that the existing sustainability frameworks are extensive and varied in the upstream
supply chain. The analysis undertaken as part of this document will help inform the development of potential
future ISO work programs and standards development, without duplicating or conflicting with existing
frameworks.
This document can also be used by organizations outside of ISO with respect to understanding available
sustainability standards or frameworks.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
air pollutant
material emitted into the atmosphere either by human activity or natural processes that adversely affects
humans or the environment
[SOURCE: ISO 18158:2016, 2.1.2.1]
3.2
circular economy
economic system that uses a systemic approach to maintain a circular flow of resources, by recovering,
retaining or adding to their value, while contributing to sustainable development
Note 1 to entry: Resources can be considered as concerning both stocks and flows.
Note 2 to entry: The inflow of virgin resources is kept as low as possible and the circular flow of resources is kept as
closed as possible to minimize waste, losses and releases from the economic system.

[SOURCE: ISO 59004:2024, 3.1.1]
3.3
critical mineral
essential mineral or mineral-based resource necessary for a particular economic activity, the supply of
which is deemed to be at risk and absence could have detrimental consequences to a commercial entity and
to the economic, environmental, security and social well-being of a country, common economic region or
specific region
Note 1 to entry: In this definition, 'mineral' includes metallic and non-metallic elements which in many cases are
compounds or alloys.
Note 2 to entry: Frameworks, guidelines and standards referenced in this document can use different definitions of
critical minerals.
3.4
financial assurance
financial instrument, required by a regulatory authority and provided by the mine owner or operator, if that
company is unable or unwilling to perform required mine closure activities
Note 1 to entry: Financial instruments can include bond, levy payment or bank guarantee.
[SOURCE: ISO 20305:2020, 3.9.2]
3.5
environmental impact assessment
tool used to identify the environmental impacts of a project, asset and activity prior to decision-making
Note 1 to entry: The tool can be used to assess a project, asset and activity during its various stages, including when it
is finished.
Note 2 to entry: An organization’s activities or products or services can be a project, asset and activity to be considered
for a request for financing.
[SOURCE: ISO 14100:2022, 3.1.6]
3.6
gender equality
equal rights, responsibilities and opportunities for women and men and girls and boys
Note 1 to entry: Gender equality does not mean that women and men, girls and boys, will become the same but that
women’s and men’s rights, responsibilities and opportunities will not depend on whether they are born male or female.
Note 2 to entry: Gender equality implies that the interests, needs and priorities of both women and girls and men and
boys, are taken into consideration, recognizing them in all their diversity.
[SOURCE: ISO 53800:2024, 3.4]
3.7
gender-based violence
sexual, physical, mental and economic harm inflicted in public or in private, this also includes threats of
violence, coercion and manipulation.
Note 1 to entry: This definition is based on the description on gender-based violence provided by the United Nations
[35]
High Commission on Refugees (UNHCR).
3.8
hazardous material
item, element or substance with a potential for harm in terms of human injury or ill health (both short and
long term), damage to property, damage to the environment, or a combination of these.

3.9
human rights
rights inherent to all human beings, whatever their nationality, place of residence, sex, national or ethnic
origin, colour, religion, language or any other status.
Note 1 to entry: An authoritative list of the core internationally recognized human rights is contained in the
International Bill of Human Rights (consisting of the Universal Declaration of Human Rights and the main instruments
through which it has been codified: the International Covenant on Civil and Political Rights and the International
Covenant on Economic, Social and Cultural Rights), coupled with the principles concerning rights in the 10
International Labour Organization (ILO) core conventions as set out in the Declaration on Fundamental Principles and
[33]
Rights at Work.
[SOURCE: ISO 22300:2021, 3.1.115, modified — Note 1 to entry added.]
3.10
Indigenous rights
broad range of collective and individual rights that constitute the minimum standards to protect the rights
of Indigenous peoples and to contribute to their survival, dignity and well-being
Note 1 to entry: These include rights related to:
— equality and non-discrimination;
— self-determination, self-government and recognition of treaties;
— lands, territories and resources;
— environment;
— civil and political rights;
— participation in decision-making and indigenous institutions;
— economic and social rights;
— implementation and redress;
— culture, religion and language;
— education and media.
Note 2 to entry: This definition of Indigenous rights is as affirmed and set out in the United Nations Declaration on the
[34]
Rights of Indigenous Peoples (UNDRIP).
3.11
livelihood
capabilities, assets, income and activities required to obtain the necessities of life
Note 1 to entry: People pursue a variety of livelihood outcomes (such as more income, increased well-being, reduced
vulnerability, improved food security) through various livelihood strategies. Livelihood strategies aim to build or
contribute to an individual’s livelihood assets- comprised of human capital, natural capital, financial capital, physical
capital, social capital, and political capital.
[SOURCE: ISO/TR 19915:2023, 3.18]
3.12
extraction
procedure of mining and retrieving minerals from the earth or from waste rock and tailings that have
previously been mined
3.13
mitigation hierarchy
step-by-step tool used to limit the negative impacts of development which has four steps that are followed in
order, avoid, then minimise, then restore impacted areas and finally offset any impacts than remain

3.14
on-site processing
processing of ore at the same location as the mine.
3.15
recycling
recovery operation by which waste materials from mining (mine waste (3.20)), manufacturing processes
or any other supply chain activity and products at end-of-life are collected and reprocessed into products,
materials or substances, whether for the original or other purposes
3.16
social impact assessment
SIA
process by which an entity identifies actual and potential social or human rights risks from a project or a
planned project
Note 1 to entry: The United Nations Guiding Principles on Business and Human Rights (UNGPs) stipulate that
assessments should focus on risk to people, not risk to business. The International Association of Impact Assessment
(IAIA) defines SIA as the processes of analysing, monitoring and managing the intended and unintended social
consequences, both positive and negative, of planned interventions (policies, programs, plans, projects) and any
social change processes invoked by those interventions. Its primary purpose is to bring about a more sustainable and
[35]
equitable biophysical and human environment.
3.17
supply chain
linked set of resources and processes that upon placement of a purchase order begins with the sourcing
of raw material and extends through the manufacturing, processing, handling and delivery of goods and
related services to the purchaser
Note 1 to entry: The supply chain may include vendors, manufacturing facilities, logistics providers, internal
distribution centres, distributors, wholesalers and other entities involved in the manufacturing, processing, handling
and delivery of the goods and their related services.
Note 2 to entry: The supply chain may include the recovery, processing and placing on the market of secondary
materials.
[SOURCE: ISO 28001:2007, 3.24, modified — Note 2 to entry added.]
3.18
sustainability
state of the global system including environmental, social, and economic aspects, in which the needs of the
present are met without compromising the ability of future generations to meet their own needs
Note 1 to entry: The environmental, social, and economic aspects interact, and are often referred to as the three
dimensions of sustainability.
Note 2 to entry: Sustainability is the goal of sustainable development.
[SOURCE: ISO Guide 82:2019, 3.1]
3.19
sustainable development
development that meets the environmental, social and economic needs of the present without compromising
the ability of future generations to meet their own needs.
[18]
Note 1 to entry: Derived from the Brundtland Report.
[SOURCE: ISO Guide 82:2019, 3.2]

3.20
mine waste
materials derived from mining or processing activities, that are disaggregated and stored on site within a
defined mine feature
Note 1 to entry: Generally, it includes all mine materials except topsoil and mine water.
3.21
waste rock
rock removed in the mining process, that does not contain ore and will not be processed
[SOURCE: ISO 20305:2020, 3.5.1.4]
4 Sustainability topic areas to consider in critical mineral supply chain standards
4.1 General
Sustainability topic areas that are important to consider in critical mineral supply chain standards include,
but are not limited to, those described in 4.2 and 4.3.
4.2 Mineral exploration/extraction/mining/mineral recovery on-site processing/off-site
processing and refining
4.2.1 Environment
— Biodiversity
— Climate change/greenhouse gas emissions
— Air pollutants
— Durability, reusability, repairability of products containing critical minerals
— Energy use
— Environment cost-benefit analysis
— Environmental impact assessment and permitting
— Hazardous materials
— Mine closure and reclamation, including long-term environmental monitoring and risk mitigation
after closure
— Noise/vibration
— Non-greenhouse gas or climate change impacts (including loss of carbon sinks resulting from deforestation
or destruction of wetlands)
— Non-tailings waste management
— Pollution management and control
— Physical hazards/mine security
— Radioactive materials
— Recycling
— Resource efficiency
— Resource use
— Soil quality
— Tailings management and tailings storage facility safety
— Transport-related impacts
— Waste management
— Waste rock management
— Water/wastewater management (including water pollutants, water treatment, and water use and reuse)
— Wider mine-site development impacts (including the establishment of human settlements, transport and
other infrastructure)
4.2.2 Social
— Child/forced labour
— Community engagement/public participation
— Gender equality, women’s economic empowerment, gender-based violence protection and prevention
— Grievance mechanisms
— Health and safety
— Human rights
— Human rights due diligence, as defined by UNGPs
— Human rights and environmental defenders
— Indigenous rights/Free, Prior, Informed Consent
— Involuntary resettlement
— Labour rights
— Land Rights
— Livelihoods/distribution of economic benefits/social cost-benefit analysis
— Mine closure and reclamation, including long-term social monitoring and risk mitigation after closure
— Protection of cultural resources and religious sites
— Social assessment
4.2.3 Economic/Governance
— Corruption
— Due diligence
— Financial assurance
— Mine closure and reclamation, including long-term social monitoring and risk mitigation after closure
— Transparency
4.3 Circularity and end of life
4.3.1 Environment
— Air pollutants
— Circular economy and lifecycle assessment
— Climate/greenhouse gas (GHG) emissions
— Hazardous materials
— Recycling and recovery
— Waste management
— Water/wastewater management
4.3.2 Social
— Gender equality and gender protection
— Human rights
— Indigenous Rights/ Free, Prior, Informed Consent
— Labour rights
— Social assessment
— Community planning for mine post-closure economic sustainability
4.3.3 Governance
— Corruption
— Due diligence
— Product labelling
— Public participation
— Transparency
4.3.4 Technical
— Durability, reusability, repairability of products containing critical minerals.
5 ISO Standards relevant to sustainable critical mineral supply chains
5.1 ISO standards under development
5.1.1 ISO/TC 298, Rare earth and ISO/TC 333, Lithium: joint working group 6 on sustainability
(under development)
The scope of ISO Technical Committee (TC) 298, Rare earth and TC 333, Lithium, joint working group (JWG)
6 includes the standardization of rare earths and lithium sustainability across the value chain, including
concentration, extraction, separation, refinement, conversion, recycling and reuse. The standard being
developed will provide specific recommendations to allow organizations to set, plan and put into operation
sustainable practices for criteria that are applied in either mineral or non-mineral specific ways. Previous

work in the former ISO/TC 298/WG 5 “Sustainability” and ISO/TC 333/WG 5 “Sustainability” included
discussions on the following environmental social and governance (ESG) criteria.
a) Environmental:
— biodiversity and protected areas;
— brine management;
— emissions, air pollution, and dust;
— fresh water quality and consumptions;
— land use, land degradation, and soil contamination;
— mine closure and reclamation;
— noise and vibration;
— recycling;
— waste, materials and tailings management.
b) Social:
— community engagement;
— free, prior and informed consent;
— labour rights;
— occupational and health;
— training and education.
c) Governance:
— crisis management and communication;
— financial reclamation and closure;
— governance and ethical conduct;
— impact assessments;
— risk and energy management;
— supply chain management;
— traceability.
5.1.2 ISO/TC 82, SC 7, Sustainable mining and mine closure
The scope of ISO Technical Committee (TC) 82, Mining, Subcommittee (SC) 7, Sustainable mining and mine
closure, includes the standardization of ESG aspects of mining to:
— minimize the negative impacts from mining through its life cycle and transition to post-mining land use;
— take action to combat climate change and its impacts;
— develop sustainable benefits and opportunities for local and regional communities;
— respect community cultural connections to places;
— adopt a long-term view that ensures inter-generational equity;

— embrace opportunities for innovation adopting the principles of the circular economy;
— enhance transparency of mining practices.
The work excludes:
— occupational health and safety aspects related to workplace activities covered by ISO/TC 283, risk
management guidance provided in ISO 31000;
— industrial wastewater treatment and reuse, covered by ISO/TC 282, SC4, machinery.
5.2 Existing ISO standards
— ISO 14001, Environmental management systems
— ISO 14002-2, Environmental management systems — Guidelines for using ISO 14001 to address environmental
aspects and conditions within an environmental topic area — Part 2: Water
— ISO 14002-4, Environmental management systems — Guidelines for using ISO 14001 to address environmental
1)
aspects and conditions within an environmental topic area — Part 4: Resources and waste
— ISO 14046, Environmental management — water footprint – principles, requirements and guidelines
— ISO 26000, Guidance on social responsibility
— ISO 3740, Acoustics — determination of sound power levels of noise sources – guidelines for the use of basic
standards
— ISO 45001, Occupational health and safety management systems — requirements with guidance for use
— ISO 21795-1, Mine closure and reclamation planning — Part 1: Requirements
— ISO 21795-2, Mine closure and reclamation planning — Part 2: Guidance
— ISO 26000, Guidance on social responsibility
— ISO 37000, Governance of organizations — Guidance
— ISO 37101, Sustainable development in communities — Management system for sustainable development —
Requirements with guidance for use
— ISO 45001, Occupational health and safety management systems — Requirements with guidance for use
— ISO 53800, Guidelines for the promotion and implementation of gender equality and women’s empowerment
6 Assessment of existing sustainability frameworks relevant to critical mineral
supply chains
6.1 Background
The ISO Strategic Advisory Group on Critical Minerals has identified a significant number of sustainability
frameworks, including guidance and standards, available outside ISO. These have gained acceptance and
have been implemented by the critical minerals industry and the broader minerals industry. As part of the
IWA 45 process, views from a range of stakeholders were gathered across geographic regions to identify
relevant frameworks, including standards and guidance, that organizations use to assess and improve the
sustainability of critical mineral supply chains.
This document examines governance structures, sustainability topic areas and requirements within 30
existing frameworks which address aspects of sustainability across critical mineral supply chains.
1) Under preparation. Stage at the time of publication: ISO/AWI 14002-4.

The range of frameworks covered reflects those identified from the IWA 45 survey results, meetings, and
input from IWA 45 participants. This analysis is called the Comparison Matrix. ISO Standards are not
included, as the intent of this exercise was to look at what is currently in use by industry. Information on
relevant ISO standards and workstreams can be found in Clause 5 of this document.
The information provided is a representation of either what the owning organization provided during the
compilation of this information or was obtained by researchers through documentation review. The analysis
of some frameworks contains more detail than for others and this is reflected in the comparison matrix. The
analysis did not assess the effectiveness of existing standards or frameworks in improving the sustainability
performance of their users, or how performance assessments in relation to specific environmental and
social impacts were undertaken.
The intent of the IWA 45 comparison matrix is to provide an objective view of the scope of themes, governance
and assurance processes and other details. IWA participants were invited to provide comments on this
assessment, which were incorporated as far as possible. Subclause 6.2 discusses features the frameworks
shared and how they differed, based on the assessment. A summary of the analysis can be found in Annex A
and the detailed analysis can be found at: https:// standards .iso .org/ iso/ iwa/ 45/ .
NOTE The second meeting of IWA 45 featured a presentation on standards alignment initiatives, including
the Consolidated Mining Standard Initiative (CMSI), a collaboration between Toward Sustainable Mining (TSM),
CopperMark, the International Council on Mining and Metals (ICMM), and World Gold Council to consolidate their
different voluntary responsible mining standards into one global standard that would supersede each organization’s
individual standards. Because the consolidated standard is not yet published, this effort was not included in the IWA
45 Assessment.
6.2 Commonalities and differences across frameworks
6.2.1 General
Subclause 6.2 provides a broad overview of the commonalities and differences across the development
procedures and ESG criteria within the frameworks analysed. The subclauses represent key themes
within the IWA analysis. A summary of the IWA 45 assessment can be found in Annex A. The detailed
analysis is presented as a comparison matrix and can be found at: https:// standards .iso .org/ iso/ iwa/
45/ . Table 1 provides an overview of the frameworks analysed, identifying if they are principle-based or
performance-based frameworks, the part of the supply chain covered and whether the framework covers a
specific mineral or is more general. The frameworks were categorized as either supply chain due diligence
standards, performance/compliance standards, or principle-based standards. Due diligence standards focus
on risk identification and mitigation relating to mineral supply chains, performance/compliance standards
emphasize measurable benchmarks at the facility level, and principle-based standards offer flexible
guidelines and best practices, which may extend beyond minerals supply chains or be sector-agnostic.
Table 1 — Sustainability frameworks for critical mineral supply chains
Framework
(Organisation, Title of Standard/Framework)
[1]
Aluminium Stewardship Initiative (ASI), ASI Performance standard X
China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Export- X
ers (CCCMC), Chinese Due Diligence Guidelines for Responsible Mineral Supply
[2]
Chains
China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Export- X
[3]
ers (CCCMC), Guidelines for Social Responsibility in Mining Investments (GSRM)
[4]
DMT GmbH & Co. KG, TUV NORD CERA 4in1 Certification System X
[5]
Extractive Industries Transparency Initiative (EITI), EITI Standard  X
Financial Stability Board (FSB), Task Force on Climate Related Financial Disclosures  X
[6]
(TCFD)
Supply
Chain Due
Diligence
Standard
Perfor-
mance/
Conformity
Standard
Princi-
ple-Based
Framework
TTabablele 1 1 ((ccoonnttiinnueuedd))
Framework
(Organisation, Title of Standard/Framework)
[7]
Global Reporting Initiative (GRI) Standards, GRI  X
Initiative for Responsible Mining Assurance (IRMA), Standard for Responsible Min- X
[8]
ing V1
[9]
International Council on Mining and Metals (ICMM) Mining Principles  X
International Finance Corporation (IFC), IFC Performance Standards on Environ- X
[10]
mental and Social Sustainability
International Financial Reporting Standards (IFRS), IFRS S1 General Requirements X
for Disclosure of Sustainability-related Financial Information; IFRS S2 Climate-re-
[11]
lated Disclosures
International Sustainability Standards Board (ISSB), Sustainability Accounting X
[12]
Standards Board (SASB) Standards
[13]
International Tin Association, Tin Code X
International Tin Supply Chain Initiative (ITSCI) Joint Industry Traceability and Due X
[14]
Diligence Programme, ITSCI
[15]
Kimberley Process Certification Scheme (KPCS), Kimberley Process X
London Bullion Market Association (LBMA), LBMA Responsible Gold Guidance In- X
[16]
ternational Bullion Centre Recommendations; Global Precious Metals Code
Responsible Cobalt Initiative (RCI) and the Responsible Minerals Initiative (RMI), X
[17]
Cobalt Refiner Supply Chain Due Diligence Standard (Version 2)
Responsible Cobalt Initiative the Global Battery Alliance’s Cobalt Action Partnership X
and the Fair Cobalt Alliance, Cobalt Artisanal and Small-Scale Mining (ASM) ESG
[18]
Management Framework
Responsible Jewellery Council (RJC), RJC Code of Practices (COP) RJC Chain of Custo- X
[19]
dy Standard (CoC); RJC Code of Practices (COP) Standard
Responsible Minerals Initiative (RMI), Responsible Minerals Assurance Process X
[20]
(RMAP), Mineral Supply Chain Due Diligence (DD)
Responsible Minerals Initiative (RMI), Environmental, Social & Governance (ESG) X
[21]
Standard
[22]
Responsible Steel, The Responsible Steel International Standard X
[23]
Task Force for Nature-related Financial Disclosure (TNFD), TNFD  X
[24]
The Copper Mark, The Copper Mark Assurance Framework X
The Expert Group on Resource Management (EGRM), United Nations Resource Man- X
[25]
agement System (UNRMS)
The International Cyanide Management Institute, International Cyanide Manage- X
[26]
ment Code
[27]
The Mining Association of Canada (MAC), Towards Sustainable Mining (TSM) X
The Organisation for Economic Co-operation and Development (OECD), OECD Due  X
Diligence Guidance for Responsible Supply Chains of Minerals from conflict-affected
[28]
and high-risk areas (CAHRAs)
United Nations Environment Programme (UNEP) - Principles for Responsible In- X
vestment (PRI) - International Council on Mining and Metals (ICMM), Global Indus-
[29]
try Standard on Tailings Management (GISTM)
[30]
World Gold Council, Responsible Gold Mining Principles (RGMPs) X

Supply
Chain Due
Diligence
Standard
Perfor-
mance/
Conformity
Standard
Princi-
ple-Based
Framework
6.2.2 Governance structure and stakeholder engagement
Standards organizations engage stakeholders in various ways during the development and governance of a
standard or framework. In the existing frameworks assessed, stakeholder engagement in the development
and governance falls on a spectrum, from no specified engagement of stakeholders to formal multi-
stakeholder consultation processes, including stakeholder advisory panels, to equal shared decision-
making and multi-stakeholder governance. Within that spectrum, while many frameworks include
stakeholder participation in their governance structure, the frameworks vary greatly in the provision of
multi-stakeholder decision-making and ability for stakeholders to meaningfully influence decision-making
processes.
The IWA 45 Assessment also reviewed whether frameworks were International Social and Environmental
[31]
Accreditation and Labelling Alliance (ISEAL) community members and/ or code-compliant members.
The ISEAL Code of Good Practice for Sustainability Systems provides a globally recognized framework,
defining practices for effective and credible sustainability systems, including standards-setting
development processes, conformity assessment, and ecolabel management. The ISEAL Code of Good
Practice for Sustainability Systems includes requirements for stakeholder participation in
...

First edition
2024-08
Corrected version: 2024-11
Sustainable critical mineral supply chains

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Published in Switzerland
ii
Contents
Foreword . iv
Introduction . v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Sustainability topic areas to consider in critical mineral supply chain standards . 5
5 ISO Standards relevant to sustainable critical mineral supply chains . 8
6 Assessment of existing sustainability frameworks relevant to critical mineral supply
chains . 10
7 Conclusion . 20
Annex A (Informative) Standards/frameworks comparison matrix . 26
Annex B (Informative) Workshop contributors . 31
Bibliography . 36

iii
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out through
ISO technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are described
in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the different types of
ISO documents should be noted. This document was drafted in accordance with the editorial rules of the
ISO/IEC Directives, Part 2 (see www.iso.org/directives).
ISO draws attention to the possibility that the implementation of this document may involve the use of (a)
patent(s). ISO takes no position concerning the evidence, validity or applicability of any claimed patent rights
in respect thereof. As of the date of publication of this document, ISO had not received notice of (a) patent(s)
which may be required to implement this document. However, implementers are cautioned that this may not
represent the latest information, which may be obtained from the patent database available at
www.iso.org/patents. ISO shall not be held responsible for identifying any or all such patent rights.
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and expressions
related to conformity assessment, as well as information about ISO's adherence to the World Trade
Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www.iso.org/iso/foreword.html.
International Workshop Agreement IWA 45 was approved at workshops hosted in Tokyo (Japan), New York
(USA) and a virtual workshop held in February 2024, April 2024 and May 2024 respectively.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
This corrected version of IWA 45:2024 incorporates the following corrections:
— list in Annex B has been corrected to include missing participants and the list has been moved to
https://standards.iso.org/iso/iwa/45/ed-1/en/.

iv
Introduction
Critical minerals are vital to the production of materials and equipment needed to deliver clean energy
technologies. This means that we are increasingly relying on critical mineral supply chains, from mine to
product, for the transition to net-zero emissions.
Simultaneously, we must ensure that hard-won environmental gains in critical mineral supply chains are not
lost in the rush to deliver low, and zero, emission technologies, nor are the rights of communities and
Indigenous people overlooked due to the new imperatives.
That presents the world with a challenge – to ensure a reliable supply of the materials needed to tackle climate
change, while offering environmental and social protections which preserve human rights.
Sustainability frameworks, guidelines and standards are central to achieving these goals. They provide best-
practice for the mining industry and corporations throughout the critical mineral supply chain as well as
guidance for policy-makers seeking to ensure a responsible and reliable approach.
The ISO’s International Workshop Agreement on Sustainable Critical Minerals Supply Chains (IWA 45) has
been developed by a group of stakeholders from the mineral supply chain and designed for stakeholders in
the critical mineral supply chains, who need such a framework to assess their operations and measure
sustainability.
NOTE A list of IWA 45 participants is provided in Annex B.
This document is designed to assist those stakeholders in understanding the existing landscape of
frameworks, guidelines and standards currently available and to determine which best suit their needs.
A survey was undertaken of a range of stakeholders across geographic regions to identify relevant
frameworks, guidelines and standards that organizations are already using to assess and improve the
sustainability of critical mineral supply chains.
This document examines governance structures, sustainability topic areas and requirements within existing
frameworks. It details 30 frameworks, guidance and standards relevant to the sector. While there was no
attempt to determine the effectiveness of any of these instruments in improving sustainability, this document
provides an objective overview of the scope of governance, assurance processes and other factors. It also pays
particular attention to provisions and recommendations held in common across the frameworks, as well as
how they differ.
IWA participants identified many areas that should be considered in determining how extensively a standard
covers sustainability issues, while assessing how existing frameworks approached the management of a wide
variety of environmental, social, labour, human and Indigenous rights and transparency factors.
They concluded that, while standards and frameworks have a vital role to play in ensuring a sustainable critical
mineral supply chain, it is important to avoid developing new ISO standards that duplicate or conflict with
existing sustainability standards.
The IWA participants found no market need for another standard in the upstream or midstream segments of
the minerals and metals sector. Instead, future ISO work is needed to explore the gaps that exist within the
downstream standards landscape and how to best address them.
Above all, it is vital to engage with developing countries, Indigenous peoples and communities impacted by
mining, to encourage more stakeholders to participate in developing international sustainability standards, to
promote equal, shared governance and decision-making with rights holders and civil society organizations,
while boosting training and building capacity for vulnerable populations.
v
Sustainable critical mineral supply chains
1 Scope
This document surveys the range of existing sustainability frameworks available for critical mineral supply
chains to aid understanding and assist in improving an organization’s sustainability outcomes. It includes an
analysis of:
— the requirements contained in existing sustainability guides or frameworks and where these tools are
similar and where they diverge;
— sustainability topic areas within existing guides and frameworks that have been accepted in different
regions and jurisdictions.
This document did not assess the effectiveness of existing standards or frameworks in improving the
sustainability performance of their users or how performance was assessed.
The results show that the existing sustainability frameworks are extensive and varied in the upstream supply
chain. The analysis undertaken as part of this document will help inform the development of potential future
ISO work programs and standards development, without duplicating or conflicting with existing frameworks.
This document can also be used by organizations outside of ISO with respect to understanding available
sustainability standards or frameworks.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at https://www.electropedia.org/
3.1
air pollutant
material emitted into the atmosphere either by human activity or natural processes that adversely affects
humans or the environment
[SOURCE: ISO 18158:2016, 2.1.2.1]
3.2
circular economy
economic system that uses a systemic approach to maintain a circular flow of resources, by recovering,
retaining or adding to their value, while contributing to sustainable development
Note 1 to entry: Resources can be considered as concerning both stocks and flows.
Note 2 to entry: The inflow of virgin resources is kept as low as possible and the circular flow of resources is kept as
closed as possible to minimize waste, losses and releases from the economic system.
[SOURCE: ISO 59004:2024, 3.1.1]
3.3
critical mineral
essential mineral or mineral-based resource necessary for a particular economic activity, the supply of which
is deemed to be at risk and absence could have detrimental consequences to a commercial entity and to the
economic, environmental, security and social well-being of a country, common economic region or specific
region
Note 1 to entry: In this definition, 'mineral' includes metallic and non-metallic elements which in many cases are
compounds or alloys.
Note 2 to entry: Frameworks, guidelines and standards referenced in this document can use different definitions of
critical minerals.
3.4
financial assurance
financial instrument, required by a regulatory authority and provided by the mine owner or operator, if that
company is unable or unwilling to perform required mine closure activities
Note 1 to entry: Financial instruments can include bond, levy payment or bank guarantee.
[SOURCE: ISO 20305:2020, 3.9.2]
3.5
environmental impact assessment
tool used to identify the environmental impacts of a project, asset and activity prior to decision-making
Note 1 to entry: The tool can be used to assess a project, asset and activity during its various stages, including when it is
finished.
Note 2 to entry: An organization’s activities or products or services can be a project, asset and activity to be considered
for a request for financing.
[SOURCE: ISO 14100:2022, 3.1.6]
3.6
gender equality
equal rights, responsibilities and opportunities for women and men and girls and boys
Note 1 to entry: Gender equality does not mean that women and men, girls and boys, will become the same but that
women’s and men’s rights, responsibilities and opportunities will not depend on whether they are born male or female.
Note 2 to entry: Gender equality implies that the interests, needs and priorities of both women and girls and men and
boys, are taken into consideration, recognizing them in all their diversity.
[SOURCE: ISO 53800:2024, 3.4]
3.7
gender-based violence
sexual, physical, mental and economic harm inflicted in public or in private, this also includes threats of
violence, coercion and manipulation.
Note 1 to entry: This definition is based on the description on gender-based violence provided by the United Nations High
[35]
Commission on Refugees (UNHCR).
3.8
hazardous material
item, element or substance with a potential for harm in terms of human injury or ill health (both short and
long term), damage to property, damage to the environment, or a combination of these.
3.9
human rights
rights inherent to all human beings, whatever their nationality, place of residence, sex, national or ethnic
origin, colour, religion, language or any other status.
Note 1 to entry: An authoritative list of the core internationally recognized human rights is contained in the International
Bill of Human Rights (consisting of the Universal Declaration of Human Rights and the main instruments through which
it has been codified: the International Covenant on Civil and Political Rights and the International Covenant on Economic,
Social and Cultural Rights), coupled with the principles concerning rights in the 10 International Labour Organization
[33]
(ILO) core conventions as set out in the Declaration on Fundamental Principles and Rights at Work.
[SOURCE: ISO 22300:2021, 3.1.115, modified — Note 1 to entry added.]
3.10
Indigenous rights
broad range of collective and individual rights that constitute the minimum standards to protect the rights of
Indigenous peoples and to contribute to their survival, dignity and well-being
Note 1 to entry: These include rights related to:
— equality and non-discrimination;
— self-determination, self-government and recognition of treaties;
— lands, territories and resources;
— environment;
— civil and political rights;
— participation in decision-making and indigenous institutions;
— economic and social rights;
— implementation and redress;
— culture, religion and language;
— education and media.
Note 2 to entry: This definition of Indigenous rights is as affirmed and set out in the United Nations Declaration on the
[34]
Rights of Indigenous Peoples (UNDRIP).
3.11
livelihood
capabilities, assets, income and activities required to obtain the necessities of life
Note 1 to entry: People pursue a variety of livelihood outcomes (such as more income, increased well-being, reduced
vulnerability, improved food security) through various livelihood strategies. Livelihood strategies aim to build or
contribute to an individual’s livelihood assets- comprised of human capital, natural capital, financial capital, physical
capital, social capital, and political capital.
[SOURCE: ISO/TR 19915:2023, 3.18]
3.12
extraction
procedure of mining and retrieving minerals from the earth or from waste rock and tailings that have
previously been mined
3.13
mitigation hierarchy
step-by-step tool used to limit the negative impacts of development which has four steps that are followed in
order, avoid, then minimise, then restore impacted areas and finally offset any impacts than remain
3.14
on-site processing
processing of ore at the same location as the mine.
3.15
recycling
recovery operation by which waste materials from mining (mine waste (3.20)), manufacturing processes or
any other supply chain activity and products at end-of-life are collected and reprocessed into products,
materials or substances, whether for the original or other purposes
3.16
social impact assessment
SIA
process by which an entity identifies actual and potential social or human rights risks from a project or a
planned project
Note 1 to entry: The United Nations Guiding Principles on Business and Human Rights (UNGPs) stipulate that
assessments should focus on risk to people, not risk to business. The International Association of Impact Assessment
(IAIA) defines SIA as the processes of analysing, monitoring and managing the intended and unintended social
consequences, both positive and negative, of planned interventions (policies, programs, plans, projects) and any social
change processes invoked by those interventions. Its primary purpose is to bring about a more sustainable and equitable
[35]
biophysical and human environment.
3.17
supply chain
linked set of resources and processes that upon placement of a purchase order begins with the sourcing of
raw material and extends through the manufacturing, processing, handling and delivery of goods and related
services to the purchaser
Note 1 to entry: The supply chain may include vendors, manufacturing facilities, logistics providers, internal distribution
centres, distributors, wholesalers and other entities involved in the manufacturing, processing, handling and delivery of
the goods and their related services.
Note 2 to entry: The supply chain may include the recovery, processing and placing on the market of secondary materials.
[SOURCE: ISO 28001:2007, 3.24, modified — Note 2 to entry added.]
3.18
sustainability
state of the global system including environmental, social, and economic aspects, in which the needs of the
present are met without compromising the ability of future generations to meet their own needs
Note 1 to entry: The environmental, social, and economic aspects interact, and are often referred to as the three
dimensions of sustainability.
Note 2 to entry: Sustainability is the goal of sustainable development.
[SOURCE: ISO Guide 82:2019, 3.1]
3.19
sustainable development
development that meets the environmental, social and economic needs of the present without compromising
the ability of future generations to meet their own needs.
[18]
Note 1 to entry: Derived from the Brundtland Report.
[SOURCE: ISO Guide 82:2019, 3.2]
3.20
mine waste
materials derived from mining or processing activities, that are disaggregated and stored on site within a
defined mine feature
Note 1 to entry: Generally, it includes all mine materials except topsoil and mine water.
3.21
waste rock
rock removed in the mining process, that does not contain ore and will not be processed
[SOURCE: ISO 20305:2020, 3.5.1.4]
4 Sustainability topic areas to consider in critical mineral supply chain standards
4.1 General
Sustainability topic areas that are important to consider in critical mineral supply chain standards include, but
are not limited to, those described in 4.2 and 4.3.
4.2 Mineral exploration/extraction/mining/mineral recovery on-site processing/off-site
processing and refining
4.2.1 Environment
— Biodiversity
— Climate change/greenhouse gas emissions
— Air pollutants
— Durability, reusability, repairability of products containing critical minerals
— Energy use
— Environment cost-benefit analysis
— Environmental impact assessment and permitting
— Hazardous materials
— Mine closure and reclamation, including long-term environmental monitoring and risk mitigation after
closure
— Noise/vibration
— Non-greenhouse gas or climate change impacts (including loss of carbon sinks resulting from
deforestation or destruction of wetlands)
— Non-tailings waste management
— Pollution management and control
— Physical hazards/mine security
— Radioactive materials
— Recycling
— Resource efficiency
— Resource use
— Soil quality
— Tailings management and tailings storage facility safety
— Transport-related impacts
— Waste management
— Waste rock management
— Water/wastewater management (including water pollutants, water treatment, and water use and reuse)
— Wider mine-site development impacts (including the establishment of human settlements, transport and
other infrastructure)
4.2.2 Social
— Child/forced labour
— Community engagement/public participation
— Gender equality, women’s economic empowerment, gender-based violence protection and prevention
— Grievance mechanisms
— Health and safety
— Human rights
— Human rights due diligence, as defined by UNGPs
— Human rights and environmental defenders
— Indigenous rights/Free, Prior, Informed Consent
— Involuntary resettlement
— Labour rights
— Land Rights
— Livelihoods/distribution of economic benefits/social cost-benefit analysis
— Mine closure and reclamation, including long-term social monitoring and risk mitigation after closure
— Protection of cultural resources and religious sites
— Social assessment
4.2.3 Economic/Governance
— Corruption
— Due diligence
— Financial assurance
— Mine closure and reclamation, including long-term social monitoring and risk mitigation after closure
— Transparency
4.3 Circularity and end of life
4.3.1 Environment
— Air pollutants
— Circular economy and lifecycle assessment
— Climate/greenhouse gas (GHG) emissions
— Hazardous materials
— Recycling and recovery
— Waste management
— Water/wastewater management
4.3.2 Social
— Gender equality and gender protection
— Human rights
— Indigenous Rights/ Free, Prior, Informed Consent
— Labour rights
— Social assessment
— Community planning for mine post-closure economic sustainability
4.3.3 Governance
— Corruption
— Due diligence
— Product labelling
— Public participation
— Transparency
4.3.4 Technical
— Durability, reusability, repairability of products containing critical minerals.
5 ISO Standards relevant to sustainable critical mineral supply chains
5.1 ISO standards under development
5.1.1 ISO/TC 298, Rare earth and ISO/TC 333, Lithium: joint working group 6 on sustainability
(under development)
The scope of ISO Technical Committee (TC) 298, Rare earth and TC 333, Lithium, joint working group (JWG)
6 includes the standardization of rare earths and lithium sustainability across the value chain, including
concentration, extraction, separation, refinement, conversion, recycling and reuse. The standard being
developed will provide specific recommendations to allow organizations to set, plan and put into operation
sustainable practices for criteria that are applied in either mineral or non-mineral specific ways. Previous
work in the former ISO/TC 298/WG 5 “Sustainability” and ISO/TC 333/WG 5 “Sustainability” included
discussions on the following environmental social and governance (ESG) criteria.
a) Environmental:
— biodiversity and protected areas;
— brine management;
— emissions, air pollution, and dust;
— fresh water quality and consumptions;
— land use, land degradation, and soil contamination;
— mine closure and reclamation;
— noise and vibration;
— recycling;
— waste, materials and tailings management.
b) Social:
— community engagement;
— free, prior and informed consent;
— labour rights;
— occupational and health;
— training and education.
c) Governance:
— crisis management and communication;
— financial reclamation and closure;
— governance and ethical conduct;
— impact assessments;
— risk and energy management;
— supply chain management;
— traceability.
5.1.2 ISO/TC 82, SC 7, Sustainable mining and mine closure
The scope of ISO Technical Committee (TC) 82, Mining, Subcommittee (SC) 7, Sustainable mining and mine
closure, includes the standardization of ESG aspects of mining to:
— minimize the negative impacts from mining through its life cycle and transition to post-mining land
use;
— take action to combat climate change and its impacts;
— develop sustainable benefits and opportunities for local and regional communities;
— respect community cultural connections to places;
— adopt a long-term view that ensures inter-generational equity;
— embrace opportunities for innovation adopting the principles of the circular economy;
— enhance transparency of mining practices.
The work excludes:
— occupational health and safety aspects related to workplace activities covered by ISO/TC 283, risk
management guidance provided in ISO 31000;
— industrial wastewater treatment and reuse, covered by ISO/TC 282, SC4, machinery.
5.2 Existing ISO standards
— ISO 14001, Environmental management systems
— ISO 14002-2, Environmental management systems — Guidelines for using ISO 14001 to address
environmental aspects and conditions within an environmental topic area — Part 2: Water
— ISO 14002-4, Environmental management systems — Guidelines for using ISO 14001 to address
1)
environmental aspects and conditions within an environmental topic area — Part 4: Resources and waste
— ISO 14046, Environmental management — water footprint – principles, requirements and guidelines
— ISO 26000, Guidance on social responsibility
— ISO 3740, Acoustics — determination of sound power levels of noise sources – guidelines for the use of basic
standards
— ISO 45001, Occupational health and safety management systems — requirements with guidance for use
— ISO 21795-1, Mine closure and reclamation planning — Part 1: Requirements
— ISO 21795-2, Mine closure and reclamation planning — Part 2: Guidance
— ISO 26000, Guidance on social responsibility
— ISO 37000, Governance of organizations — Guidance
— ISO 37101, Sustainable development in communities — Management system for sustainable development —
Requirements with guidance for use
— ISO 45001, Occupational health and safety management systems — Requirements with guidance for use
— ISO 53800, Guidelines for the promotion and implementation of gender equality and women’s empowerment
6 Assessment of existing sustainability frameworks relevant to critical mineral
supply chains
6.1 Background
The ISO Strategic Advisory Group on Critical Minerals has identified a significant number of sustainability
frameworks, including guidance and standards, available outside ISO. These have gained acceptance and have
been implemented by the critical minerals industry and the broader minerals industry. As part of the IWA 45
process, views from a range of stakeholders were gathered across geographic regions to identify relevant
frameworks, including standards and guidance, that organizations use to assess and improve the
sustainability of critical mineral supply chains.
This document examines governance structures, sustainability topic areas and requirements within 30
existing frameworks which address aspects of sustainability across critical mineral supply chains.
The range of frameworks covered reflects those identified from the IWA 45 survey results, meetings, and input
from IWA 45 participants. This analysis is called the Comparison Matrix. ISO Standards are not included, as
the intent of this exercise was to look at what is currently in use by industry. Information on relevant ISO
standards and workstreams can be found in Clause 5 of this document.
The information provided is a representation of either what the owning organization provided during the
compilation of this information or was obtained by researchers through documentation review. The analysis
of some frameworks contains more detail than for others and this is reflected in the comparison matrix. The
analysis did not assess the effectiveness of existing standards or frameworks in improving the sustainability

1)
Under preparation. Stage at the time of publication: ISO/AWI 14002-4.
performance of their users, or how performance assessments in relation to specific environmental and social
impacts were undertaken.
The intent of the IWA 45 comparison matrix is to provide an objective view of the scope of themes, governance
and assurance processes and other details. IWA participants were invited to provide comments on this
assessment, which were incorporated as far as possible. Subclause 6.2 discusses features the frameworks
shared and how they differed, based on the assessment. A summary of the analysis can be found in Annex A
and the detailed analysis can be found at: https://standards.iso.org/iso/iwa/45/.
NOTE The second meeting of IWA 45 featured a presentation on standards alignment initiatives, including the
Consolidated Mining Standard Initiative (CMSI), a collaboration between Toward Sustainable Mining (TSM),
CopperMark, the International Council on Mining and Metals (ICMM), and World Gold Council to consolidate their
different voluntary responsible mining standards into one global standard that would supersede each organization’s
individual standards. Because the consolidated standard is not yet published, this effort was not included in the IWA 45
Assessment.
6.2 Commonalities and differences across frameworks
6.2.1 General
Subclause 6.2 provides a broad overview of the commonalities and differences across the development
procedures and ESG criteria within the frameworks analysed. The subclauses represent key themes within
the IWA analysis. A summary of the IWA 45 assessment can be found in Annex A. The detailed analysis is
presented as a comparison matrix and can be found at: https://standards.iso.org/iso/iwa/45/. Table 1
provides an overview of the frameworks analysed, identifying if they are principle-based or performance-
based frameworks, the part of the supply chain covered and whether the framework covers a specific mineral
or is more general. The frameworks were categorized as either supply chain due diligence standards,
performance/compliance standards, or principle-based standards. Due diligence standards focus on risk
identification and mitigation relating to mineral supply chains, performance/compliance standards
emphasize measurable benchmarks at the facility level, and principle-based standards offer flexible guidelines
and best practices, which may extend beyond minerals supply chains or be sector-agnostic.
Table 1 — Sustainability frameworks for critical mineral supply chains
Framework
(Organisation, Title of Standard/Framework)
[1]
Aluminium Stewardship Initiative (ASI), ASI Performance standard  X
China Chamber of Commerce of Metals, Minerals & Chemicals Importers & X
Exporters (CCCMC), Chinese Due Diligence Guidelines for Responsible Mineral
[2]
Supply Chains
China Chamber of Commerce of Metals, Minerals & Chemicals Importers &   X
Exporters (CCCMC), Guidelines for Social Responsibility in Mining Investments
[3]
(GSRM)
[4]
DMT GmbH & Co. KG, TUV NORD CERA 4in1 Certification System  X
[5]
Extractive Industries Transparency Initiative (EITI), EITI Standard    X
Financial Stability Board (FSB), Task Force on Climate Related Financial Disclosures   X
[6]
(TCFD)
[7]
Global Reporting Initiative (GRI) Standards, GRI   X
Initiative for Responsible Mining Assurance (IRMA), Standard for Responsible
X
[8]
Mining V1
[9]
International Council on Mining and Metals (ICMM) Mining Principles   X
Supply
Chain Due
Diligence
Standard
Performa
nce/
Conformit
y
PriStancipndarled-
Based
Framewo
rk
Framework
(Organisation, Title of Standard/Framework)
International Finance Corporation (IFC), IFC Performance Standards on  X
[10]
Environmental and Social Sustainability
International Financial Reporting Standards (IFRS), IFRS S1 General Requirements  X
for Disclosure of Sustainability-related Financial Information; IFRS S2 Climate-
[11]
related Disclosures
International Sustainability Standards Board (ISSB), Sustainability Accounting  X
[12]
Standards Board (SASB) Standards
[13]
International Tin Association, Tin Code  X
International Tin Supply Chain Initiative (ITSCI) Joint Industry Traceability and Due X
[14]
Diligence Programme, ITSCI
[15]
Kimberley Process Certification Scheme (KPCS), Kimberley Process X
London Bullion Market Association (LBMA), LBMA Responsible Gold Guidance X
[16]
International Bullion Centre Recommendations; Global Precious Metals Code
Responsible Cobalt Initiative (RCI) and the Responsible Minerals Initiative (RMI), X
[17]
Cobalt Refiner Supply Chain Due Diligence Standard (Version 2)
Responsible Cobalt Initiative the Global Battery Alliance’s Cobalt Action Partnership X
and the Fair Cobalt Alliance, Cobalt Artisanal and Small-Scale Mining (ASM) ESG
[18]
Management Framework
Responsible Jewellery Council (RJC), RJC Code of Practices (COP) RJC Chain of X
[19]
Custody Standard (CoC); RJC Code of Practices (COP) Standard
Responsible Minerals Initiative (RMI), Responsible Minerals Assurance Process X
[20]
(RMAP), Mineral Supply Chain Due Diligence (DD)
Responsible Minerals Initiative (RMI), Environmental, Social & Governance (ESG)  X
[21]
Standard
[22]
Responsible Steel, The Responsible Steel International Standard  X
[23]
Task Force for Nature-related Financial Disclosure (TNFD), TNFD   X
[24]
The Copper Mark, The Copper Mark Assurance Framework  X
The Expert Group on Resource Management (EGRM), United Nations Resource   X
[25]
Management System (UNRMS)
The International Cyanide Management Institute, International Cyanide  X
[26]
Management Code
[27]
The Mining Association of Canada (MAC), Towards Sustainable Mining (TSM)  X
The Organisation for Economic Co-operation and Development (OECD), OECD Due   X
Diligence Guidance for Responsible Supply Chains of Minerals from conflict-affected
[28]
and high-risk areas (CAHRAs)
United Nations Environment Programme (UNEP) - Principles for Responsible  X
Investment (PRI) - International Council on Mining and Metals (ICMM), Global
[29]
Industry Standard on Tailings Management (GISTM)
[30]
World Gold Council, Responsible Gold Mining Principles (RGMPs)  X
Supply
Chain Due
Diligence
Standard
Performa
nce/
Conformit
y
PriStancipndarled-
Based
Framewo
rk
6.2.2 Governance structure and stakeholder engagement
Standards organizations engage stakeholders in various ways during the development and governance of a
standard or framework. In the existing frameworks assessed, stakeholder engagement in the development
and governance falls on a spectrum, from no specified engagement of stakeholders to formal multi-
stakeholder consultation processes, including stakeholder advisory panels, to equal shared decision-making
and multi-stakeholder governance. Within that spectrum, while many frameworks include stakeholder
participation in their governance structure, the frameworks vary greatly in the provision of multi-stakeholder
decision-making and ability for stakeholders to meaningfully influence decision-making processes.
The IWA 45 Assessment also reviewed whether frameworks were International Social and Environmental
[31]
Accreditation and Labelling Alliance (ISEAL) community members and/ or code-compliant members. The
ISEAL Code of Good Practice for Sustainability Systems provides a globally recognized framework, defining
practices for effective and credible sustainability systems, including standards-setting development
processes, conformity assessment, and ecolabel management. The ISEAL Code of Good Practice for
Sustainability Systems includes requirements for stakeholder participation in the development or revision
process of standards, including public consultation on the standard, balanced participation in the consultation
process, responding to public comments, balanced decision-making about the standard that ensures the
governance decision-making body is open to all stakeholders, balanced and diverse, and consensus-based
decision-making.
The IWA 45 Assessment of existing sustainability frameworks includes the following aspects of stakeholder
engagement in the governance structure of the frameworks.
— Composition of stakeholders.
— Board composition (including any specific voting and decision-making provisions).
— Stakeholder participation in the standard setting process.
— ISEAL membership/ code compliance.
6.2.3 Continual Improvement
Several frameworks define processes and timelines allowing for their review and update to ensure continued
improvement, relevance and alignment with current industry best management practices. Some frameworks
regularly review their objectives, strategies and the performance of their tools and systems. The reviews can
include an evaluation of the impacts and outcomes of the framework and apply these lessons. Review cycles
allow a standard to respond to new evidence, stakeholder input, external changes and to adapt its strategies
to improve its impacts and remain fit for purpose. The frameworks differ in review and update cycles. They
also differ in their guiding frameworks for monitoring, evaluation and learning (MEL) activities to support the
framework’s impact and improvement. The ISEAL Code of Good Practice provides an example of requirements
for MEL standard performance for continual improvement.
Several frameworks also specify different levels of achievement within their certification systems to reflect
and recognize increasingly higher levels of performance within the given framework. The IWA 45 Assessment
did not consider whether the framework includes performance monitoring and evaluation to measure
improvements in sustainability performance.
IWA participants observed that the organization of hierarchal tiers can assist in recognizing high achievers
while acknowledging participants with some degree of sustainable operations and allowing for continued
improvement. This inclusivity allows more participants to enter the program and incentivizes improved
performance within the given framework as participants build sustainability capacity. Some standards require
third-party certification to reach certain tiers or levels of achievement.
The IWA 45 assessment includes the following aspects of the processes to review and update frameworks and
levels of certification:
— progressivity of review/update cycles;
— tiers of standard certification.
6.2.4 Conformity assessment
The ISO Committee on Conformity Assessment (CASCO) develops standards related to conformity assessment,
e commonly known as the CASCO Toolbox. Conformity assessment is the demonstration that specifies
requirements are fulfilled. Specified requirements can be stated in normative documents such as regulations,
standards and technical specifications. Conformity assessment includes activities such as testing, inspection,
validation, verification, certification and accreditation. The collection of all activities that are repeatedly
applied to a specified group of products, processes, services, systems, persons or bodies is referred to as a
‘conformity assessment scheme’ or ‘scheme’.
The functional approach is the basis of all types of conformity assessment. It is composed of the selection,
determination, review, decision and attestation, and surveillance, when required. An attestation that
fulfilment has been demonstrated is issued based on the decision. Support for on-going validity of the
attestation can be accomplished through surveillance, or continuous/periodic monitoring. Accreditation
provides an additional layer of confidence. It is a third-party attestation related to a conformity assessment
body (certification/inspection/verification/validation body, laboratory) conveying formal demonstration of
its competence, consistent operation and impartiality in performing specific conformity assessment activities.
Conformity assessment is defined in ISO/IEC 17000 as the “demonstration that specified requirements are
fulfilled”. ISO/IEC 17020 defines requirements for the operation of various types of bodies performing
inspections. The broad definition of inspection in the standard allows greater flexibility in application from
systems to services and raw material to finished products. Audit activities use an organized, predictable
process for assessing records and other information to determine whether requirements have been fulfilled.
ISO/IEC 17000 defines an audit as a “process for obtaining relevant information about an object of conformity
assessment and evaluating its objectively to determine the extent to which specified requirements are
fulfilled”. The ISO/IEC 17021 series outlines requirements for certification bodies to ensure that management
system certifications are performed in a consistent, competent, and impartial manner. The audit activity may
provide assurance of a credible management system certification. Certification is defined in ISO/IEC 17000 as
“third-party attestation related to an object of conformity assessment, with the exception of accreditation.”
ISO/IEC 17065 identifies the general requirements for certification bodies to ensure they are competent, apply
consistent processes, and operate in an impartial manner to facilitate national and international trade of
certified products, processes and services.
The frameworks in the IWA 45 Assessment rely on different conformity assessment requirements to provide
a verification system that a standard or technical specification has been applied.
The IWA 45 Assessment of existing sustainability frameworks include the following:
— assurance standards (adherence to specific iso or other standards);
— self-assessment;
— document analysis;
— site inspection;
— independence of auditors;
— involvement of affected parties in audits/ access and participation;
— grievance mechanisms;
— whistle blowing protection;
— transparency of audits/ publication of audits;
— correction action plans/ monitoring;
— disclaimers/legal liability documents.
IWA 45 participants noted that the conformi
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