Glossary

Accountability

A responsibility to answer for the correct and thorough completion of a deliverable or task. The accountable person ensures that tasks are met and delegates work to those who are responsible. The accountable person must sign off and approve the work that responsible people provide. Accountability should lie with one person/group for each task or deliverable.

A consequence rating assigned to all incidents, based on the actual unwanted event; i.e. what actually happened.

An Area of Influence is the geographical extent of a site’s (potential) impacts on the lives, livelihoods, health or well-being of external stakeholders and the natural environment. The area of influence includes: (i) the site’s activities and facilities that are directly owned, operated or managed (including by contractors); (ii) associated facilities; (iii) the impacts from planned and unplanned developments caused by the site that may occur later or at a different location (e.g. Stay In Business projects, Life of Asset developments etc); (iv) the indirect impacts on biodiversity or on ecosystem services upon which local communities’ livelihoods are dependent; and (v) the site’s primary labour sending area(s) and areas where income generated from site employment is spent.

A portable object that is created by past human activity and becomes part of an archaeological site or isolated archaeological find.

A survey undertaken to identify (a) persons eligible for compensation, and (b) identify and assess/value all assets (by owner and/or rights holder) that will need to be replaced/compensated under the Resettlement Action Plan (RAP).

Contractor

The Social Consequence Matrix breaks down potential social and human rights impacts or incidents into six categories: Economic; Personal and Political Security; Socio-Cultural Networks; Infrastructure and Services; Cultural Heritage; and Community Health and Safety. These categories allow sites to develop a comprehensive picture of the full range and type of potential social and human rights impacts on external stakeholders.

A site-specific procedure that outlines the actions to be taken if previously unknown cultural heritage is encountered.

Mitigations or controls to minimise closure related risks and maximise opportunities.

Success criteria (also known as completion criteria) are the agreed standards that must be met to facilitate lease relinquishment. They are generally defined through engagement with regulators and other external stakeholders. The success criteria reflect the legal requirements, closure vision, the post-mining land-use, closure objectives and criteria (mitigation measures), with an initial monitoring program.

To engage stakeholders in decision making, where the decision is made jointly.

In regions with low socio-economic development, or as part of mine closure planning, SED needs to adopt a specific approach called Collaborative Regional Development or CRD. In line with the Anglo American Sustainable Mining Plan, CRD is about acting as a catalyst for change in the communities and regions where we operate, in cross-sectoral, multi-organisational partnership with other stakeholders to promote larger scale, long-term socio-economic development. CRD looks beyond the immediate vicinity of our sites to identify opportunities to improve the prospects of those in our host regions, independent of our presence, so the benefits will be felt long beyond the life of the mine.

A structure or process that facilitates dialogue through which Anglo American and our stakeholders can be held to account. A CEF should cover local communities and stakeholders? within the site’s Area of Influence, meaning people living nearby that could be directly or indirectly affected by any mining-related activities.

Refers to monetary payment and/or provision of replacement or alternative assets in exchange for the taking of land, including fixed assets thereon, in part or whole, or impact on livelihood. Compensation also includes costs such as fees for obtaining land title, moving costs, etc., associated with the resettlement process.

Assesses whether a displacement management plan (DMP) has been completed, whether planning objectives have been met and if any corrective actions or extension of existing mitigation measures, especially livelihood restoration, are required to complete the displacement management process. The audit is undertaken by an independent specialist usually after sufficient time has passed for the impact of mitigation measures to manifest in a manner which can be detected.

Regular assessment against predetermined indicators on whether displacement management complies with company requirements. The review is undertaken by an independent assessor or assurance body and should commence during displacement management planning.

Compulsory acquisition/expropriation is the power of government to acquire rights in land without the willing consent of the owner or occupant if such acquisition/expropriation is deemed to be in the public interest, and often necessary for social and economic development.

A fundamental disagreement between two or more parties due to contrasting interests, values or needs.

The structures, culture and capabilities within an organisation to understand conflict in the context within which it operates, to understand how its operations impact or generate situations of conflict, and its capacity to effectively respond to conflict in ways that mitigate negative consequences and enhance positive ones.

To engage with stakeholders to inform decision making, where the decision is ultimately made by the company.

An individual, a company or other legal entity with a formal supply chain or temporary employment services contract to do a specific job or to provide a specific service. The term contractor includes mining and non-mining contractors. This category includes any sub-contractors who are included as any part of these contractual arrangements. The term contractor also includes bidders, i.e. an individual, a company or other legal entity without a formal supply chain or temporary employment services contract to do a specific job or to provide a specific service, but which is trying to obtain such contract by going through a tender process.

A control (also referred to as a mitigation) is defined as a means to reduce the likelihood of an impact or risk occurring and/or minimise the consequences once an event has occurred.

The cut-off date provides a basis for determining eligibility for inclusion in the resettlement process. It may be defined by national legislation, and typically coincides with either the start or completion of the census and assets inventory of persons affected by the project. Persons who start occupying the project area after the cut-off date are not eligible for compensation and/or resettlement assistance. Similarly, fixed assets (such as built structures, crops, fruit trees and woodlots) established after the cut-off date need not be compensated.

The range of personal, social, economic, and environmental factors that influence health status.

A direct (primary) effect demonstrates a specific cause-and-effect relationship caused by an action occurring at the same time and place (e.g. traffic accident with a site vehicle or emissions from a site process affecting air quality).

Encompasses physical and economic displacement (see definitions for ‘physical displacement’ and/ or ‘economic displacement’).

A document setting out the principles and procedures to be adopted for resettlement. It promotes consistent good resettlement practices over time by defining the overarching principles for land access, compensation and resettlement/livelihood restoration planning that will apply to all resettlement processes, and is the precursor to the detailed RAPs and/or Livelihood Restoration Plans (LRPs) for individual project components.

Temporary physical or economic displacement.

A drill is a type of field exercise for emergency preparedness and response planning. A drill is a co-ordinated, supervised activity usually employed to test a single, specific operation or function within a single entity (e.g. a fire department conducts a decontamination drill).

Loss of assets (including land), or loss of access to assets, that leads to loss of income or means of livelihood as a result of project-related land acquisition or restriction of access to natural resources. People or enterprises may be economically displaced with or without experiencing physical displacement.

The benefits that people obtain from the natural environment including provisioning services such as food, water, building materials, and energy sources; regulating services such as mitigation of natural hazards, pest and disease control, purification of water and air, crop pollination, and carbon sequestration; cultural services such as spiritual, recreational and cultural benefits; and supporting services such as nutrient cycling and soil formation.

Entitlement to compensation and assistance due to subjection to displacement resulting from land acquisition, the revocation of rights, and/or the expropriation of property. A typical condition for eligibility is that the affected assets or rights must have been established prior to the cut-off date.

Several definitions of an emergency exist. In general, an emergency is defined as a serious, unexpected and often dangerous situation requiring immediate action. The World Bank General Environmental, Health and Safety (EHS) Guidelines define an emergency as “an unplanned event where a site loses control of a situation that may result in risks to human health, property, or the environment, either within the facility or in the local community”. The Awareness and Preparedness for Emergencies at Local Level (APELL) methodology of the United Nations Environment Programme (UNEP) defines an emergency as “an event that will produce or exacerbate injury to people and/or damage to property unless immediate intervention occurs. A threatening condition that requires urgent action.”

An integrated plan that includes all aspects related to both Anglo American’s on-site preparation as well as preparation with external stakeholders. Internally, these two elements may be captured as two separate plans: an ERP, for the on-site plan, and the EPP, for external stakeholders. While some sites may find it beneficial to keep the EPP and the ERP as two separate documents, for the purposes of the Social Way both aspects must be co-ordinated in order to manage the impact of emergencies on local communities.

Related to external preparation for emergencies. Contains emergency planning communication protocols with external stakeholders.

Related to Anglo American’s on-site preparation for emergencies. Contains key emergency roles and responsibilities of staff on site.

To engage stakeholders in decision making, where the decision is ultimately left to the stakeholder to make.

Efforts made to affect the outcome of an issue outside of the site’s direct control, typically where multiple stakeholders all have a role.

The compensation offered to persons, households, groups and/or communities physically and/or economically displaced by the project. This includes (but is not limited to): financial compensation; the right to participate in livelihood restoration programmes; replacement land and/or housing, service provision, transport assistance, and other short-term assistance required to move from one site to another.

Refers to fair, just and unavoidable differences in exposure to health risk factors and status, among groups of people. As an example, significant differences in mortality or environmental risk exposure between low- and high-income groups would be considered unfair and avoidable, and therefore considered an equity challenge.

Determining the outcomes of an intervention or programme, as well as its associated value for the intended beneficiaries through systematic and regular data collection (monitoring). Its purpose is to improve the effectiveness and sustainability of interventions/programmes and to inform decision-making about future interventions/programmes.

A field exercise involves response operations conducted during a simulated emergency. The purpose of a field exercise is to rigorously test emergency capabilities of the total response system. Response equipment is deployed, realistic scenarios are used, medical personnel and equipment including operating rooms are included, etc. Field exercises involve all or most of the emergency-response functions, as well as community groups and government agencies. A field exercise is a multi-party, multi-jurisdictional, multi-disciplinary exercise, with ‘boots on the ground’ response. Field exercises may attract media attention.

a final (actual and potential) consequence rating is assigned to an incident after LFI investigation, based on all information collected as part of the LFI investigation. Therefore, the final consequence rating may differ from the preliminary consequence rating.

Permanent or temporary displacement of individuals, households and/or other affected groups from their occupied residence or property against their will, without providing access to legal or other forms of protection. To be distinguished from legal eviction.

There is no universally accepted definition of FPIC. The IFC notes, however, that FPIC builds on and expands the process of ICP described above and is established through good faith negotiation between the company and the Affected Communities of Indigenous Peoples. The site will need to demonstrate that is has documented: (i) the mutually accepted process between the site and Affected Communities of Indigenous Peoples, and (ii) evidence of agreement between the parties as the outcome of the negotiations. FPIC does not necessarily require unanimity and may be achieved even when individuals or groups within the community explicitly disagree.

Replacement cost as a rate of compensation for lost assets must be calculated as market value plus transaction costs. (International Finance Corporation (IFC), 2012); i.e. A replacement cost/value of any land or other asset is the cost/value equivalent to or sufficient to replace/purchase land or other asset of equivalent value or agricultural productivity. Depreciation of structures and assets should not be considered.

A simulated emergency response exercise with no actions in the field. The dominant feature of this exercise is the actual performance of some or all of the actions that would be required of participants in an actual emergency, except those activities that are performed at the scene of an accident. The purpose is to test planning and response capabilities of personnel and systems without actually deploying response equipment or resources; i.e. without any ‘boots on the ground’. A functional exercise involves co-ordination between the company and external entities.

Means standards, practices, methods and procedures conforming to local legislation/ regulatiuons and the exercise of the degree of skill and care, diligence, prudence and foresight which would reasonably and ordinarily be expected from a skilled and experienced person or body engaged within the relevant industry or business sector.

Land acquisition and management of associated displacement impacts that is undertaken by national authorities on behalf of a company to deliver unencumbered access to land. Normally undertaken in jurisdictions where national law requires government authorities to lead land acquisition processes.

A specific allegation or complaint relating to the site, its policies, activities, real or perceived impacts or the behaviour of its employees or contractors. Grievances are an expression of dissatisfaction with the company on the part of stakeholders. Grievances can be expressed through physical action (e.g. protests, road blockages, land invasions); verbally (in the course of discussions with site staff, etc.); or in writing.

The process for receiving, recording, and resolving grievances.

Source or situation with the potential for harm.

The World Health Organization defines health as: “A state of complete physical and mental and social well-being and not purely the presence or absence of disease,” and “the extent to which an individual or a group is able, on the one hand, to realise aspirations and to satisfy needs, and on the other, to change or cope with the environment.”

Is a characteristic of an individual, population, or environment which is subject to measurement (directly or indirectly) and can be used to describe one or more aspects of the health of an individual or population (quality, quantity and time).

Refers to descriptive measures of difference in exposure to health risk factors, and to differences in health status between groups of people.

A community health needs assessment involves a systematic review of the current health issues faced by a population, with the outputs leading to agreed priorities, and development of strategies to direct resource allocation with the aim of addressing identified community health needs, improving health outcomes and reducing inequalities. The process involves the community and collaborative participation.

A change in the health status of an individual, group or population which is attributable to a planned intervention or series of interventions, regardless of whether such an intervention was intended to change health status.

Consists of organised public and private health services, health departments and ministries, health-related non-government organisations (NGOs,) community groups and professional associations.

Is a description and/or measurement of the health of an individual or population at a particular point in time against identifiable standards, usually by reference to health indicators.

Where a high risk exists of a significant breach of Anglo American’s values and ethical business standards. An appropriate mitigation strategy should be devised immediately.

Communities that live in or around areas where physically displaced people will be resettled to or where replacement agricultural land is allocated, and who, in turn, may be affected by the resettlement. Resettlement may give rise to impacts on host communities – for instance, through increased pressure on land, water or other resources, or through changes in local socio-economic dynamics.

A person or group of persons who share a dwelling unit. A dwelling unit is a house, apartment, mobile home, cluster of rooms, or a single room in which the occupants live and eat separately from other persons and which has direct access from the outside of the building or through a common hall. A household does not necessarily correspond to a family and may consist of a single family, one person living alone, two or more families living together, or any other group of related or unrelated persons who share living and cooking arrangements.

Human rights are rights inherent to all human beings, regardless of nationality, place of residence, sex, national or ethnic origin, colour, religion, language, or any other status. We are all equally entitled to out human rights without discrimination. These rights are all interrelated, interdependent and indivisible. Universal human rights are often expressed and guaranteed by law, in the form of treaties, customary international law, general principles and other sources of international law. Universal human rights include civil and political rights, economic, social and cultural rights, labour rights, environmental rights and protection of vulnerable groups. Salient human rights are those most at risk, typically relevant to a specific activity or operating context.

Effects arising from an event, if it occurs, that could affect the external stakeholders.

Changes to the lives, livelihoods, health or well-being of external stakeholders directly or indirectly caused by a site. Impacts can be positive or negative. SHIRA (see Section 3C) is focused on identifying potential negative impacts. Impacts can be cumulative. Cumulative impacts are the combined effects of multiple projects/activities in an area.

An unwanted event which instantaneously or over the course of time harms or otherwise negatively impacts (internal and/or external) people, the environment, company assets (i.e. plant, property, or equipment) and/or the company’s reputation. It is an unwanted event which leads or may lead to the actualisation of risk. An incident can have one or more consequences (material losses/damage/business interruption, harm to people safety, harm to people occupational health, environment, legal and regulatory, social, and reputational) as per the Anglo American Group Risk Matrix.

An unwanted event related to site activities that has an adverse impact on the health or well-being of external stakeholders, or results in damage to their property, assets, or livelihoods. An incident with social consequences may arise from a site’s technical failure or accident, or a failure to anticipate, prevent or mitigate an impact. All incidents with social consequences should be investigated under the LFI process.

An indirect effect is a secondary by-product (removed by distance or caused by an action occurring later in time) of an interaction among multiple variables and may be a consequence of a direct effect (e.g. site induced in-migration and pressure on basic services, transmission of communicable diseases, or change in traditional values due to resettlement).

ICP involves an in-depth exchange of views and information, and an organised and iterative consultation, leading to the site incorporating into their decision-making process the views of the Affected Communities on matters that affect them directly, such as the proposed mitigation measures, the sharing of development benefits and opportunities, and implementation issues.

Forms of cultural heritage that embody cultural values or are part of a living cultural tradition such as local knowledge, innovations or community practices (also known as living heritage).

The ICbS guides investment teams in scoping stage work by discipline from Opportunity to Feasibility. The investment leader is responsible to identify and engage stakeholders including study and project team members, key discipline resources, and others to review the ICbS and select appropriate criteria.

The Anglo American IDM is a formal, yet flexible structure that will be leveraged for each investment based on the investment complexity, risk and monetary value. It establishes a streamlined investment decision-making approach that is aligned with industry best practice. The IDM comprises of four tiers: IDM Policy, IDM Process, IDM Criteria, and IDM Tools.

Resettlement is considered involuntary when affected individuals or communities do not have the right to refuse land acquisition that will result in displacement. This occurs in cases of lawful expropriation or restrictions on land use based on eminent domain; and in cases of negotiated.

Questions, requests for information, or general perceptions. If not addressed well, issues may become grievances. Issues do not have to be registered as grievances, but they should be recorded so that emerging trends can be identified and addressed before they escalate.

Refers to the availability of land to be occupied or used as intended, with the required security of ownership or tenure and in agreement with the (displaced) land users and/or local communities.

A procedure required in cases where short-term and/or intermittent requisite land access will result in temporary restrictions on land access; damage to or loss of crops, trees or structures of economic value; temporary disturbance in livelihood activities; or temporary physical displacement as a result of short-term risks to health and safety.

Includes the outright purchase of property and purchase of access rights, such as rights of way.

An investigation process used for all incidents, independent of consequence level and consequence type. The LFI process consists of related steps which ensure incidents are reported, investigated, learnings are shared, and corrective and preventative actions are communicated and closed-out in a consistent manner. This will ensure that, as an organisation, we collectively learn from incidents, and the effectiveness of controls is continually reviewed and improved to prevent similar incidents (repeats) from occurring.

An eviction process, usually government-led, that is developed in consultation with relevant authorities to deal with cases where it has not been possible to reach negotiated settlement agreements with all displaced households or individuals despite having followed a comprehensive and participatory resettlement planning process.

The Life of Asset Plan represents the approved plan for an Asset based on known resources of sufficient confidence and is the foundation of the Asset’s 5-year plan. It is the more detailed plan for the selected go-forward case drawn from several favourable​ options considered within the Resource Development Plan (RDP). LoAPs are updated every 1-2 years or as needed to remain aligned with plan changes.

A livelihood comprises the capabilities, assets and activities required for a person to make a living, such as: wages from employment; cash income earned through an enterprise or through sale of produce, goods, handicrafts or services; rental income from land or premises; income from a harvest or animal husbandry; share of a harvest (such as various sharecropping arrangements) or livestock production; self-produced goods or produce used for exchange or barter; self-consumed goods or produce, food, materials, fuel and goods for personal or household use or trade derived from natural or common resources; pensions; various types of government allowances (child allowances, special assistance for the very poor); and remittances from family or relatives.

Analogous to a RAP, except that it is appropriate for cases where displacement impacts are limited to economic displacement (i.e. does not include physical displacement).

A programme intended to set out how to replace or restore livelihoods lost or reduced as a result of a project. The programme will aim to restore or preferably improve the quality of life and standard of living of affected parties, and ensure food security through the provision of economic opportunities and income generating activities of affected property owners and their households. The livelihood restoration section of a DMP (RAP/LRP) should include several livelihood restoration programmes to achieve livelihood restoration.

When a context-specific approach is taken for those consulted with the content presented in a readily understandable format and the techniques used being culturally appropriate.

A contractor whose work with Anglo American is directly associated with the core processes of the mine and/or plant, and includes contractors involved in mining extraction, handling/ beneficiation, processing, engineering maintenance and maintenance support, mining rehabilitation, gas drainage (ongoing mine operations) and roles that touch product through the midstream and downstream value chain areas of the business. This includes those contractors where Anglo American has outsourced a mining activity to the contractor.

Measures to prevent/eliminate, reduce/minimise remediate and compensate/offset potential negative impacts.

The collection and analysis of financial and non-financial information on a regular basis in order to check performance against stated objectives, budget and work plan. Monitoring is normally concerned with inputs, activities and outputs.

Features of objects that embody cultural values, such as sacred rocks, caves, streams or waterfalls.

A condition where the release of the hazard and/or exposure to the hazard in an uncontrolled manner does not result in harm (i.e. no injury, ill-health, damage, etc.). Near-misses should be recorded as potential incidents.

Settlement terms achieved through (a) providing fair and appropriate compensation and other incentives or benefits to affected parties, and (b) mitigating the risks of asymmetry of information and bargaining power. Negotiated settlements usually aim to achieve a “willing buyer and willing seller” scenario. However, Anglo American considers all displacement to be involuntary even if negotiated settlement is achieved.

The Anglo American Operating Model guides the way the company plans and executes work to ensure we are operating our assets more effectively (productive) and more efficiently (cost competitive) than our competitors. The Operating Model aims to ensure team members have a clear understanding of how their own work, and their team’s work, produces consistent, improving and repeatable outcomes. It aims to produce stable operations delivering predictable outcomes and reduced variability in processes.

A management tool to identify, quantify, prioritise and control risks in an integrated way.

Participatory monitoring and evaluation goes beyond simply informing stakeholders of monitoring results for a given intervention/programme and gives them an active role in setting targets and selecting indicators and involves them in the process of gathering and analysing monitoring/evaluation data.

Loss of house/apartment, dwelling or shelter as a result of project-related land acquisition which requires the affected person(s) to move to another location.

A consequence rating assigned to all incidents, based on a reasonable worst-case scenario; i.e. what could have happened.

In the context of community health and safety, the term potentially affected community is often used instead of the more generalised term potentially affected stakeholder.

For the purposes of completeness, the term potentially affected community(ies) generally describes a community (e.g. town(s), village(s) or group of settlements) within a clear geographical boundary where site-related health impacts may reasonably be expected to occur. Potentially affected communities are inherently prospective and simply represent best professional judgments, with the potential that these may change over time. These communities may be affected by impacts that can be direct (communities affected by proximity and operations of the project), indirect (e.g. influenced by transport routes, local economic changes and changes in culture and lifestyles), or cumulative impacts. Potentially affected communities may be classified collectively based on the homogeneity of their impacts/risks.

A preliminary (actual and potential) consequence rating is assigned to an incident before LFI investigation, based on the preliminary and often incomplete information available at the time.

Any event that poses a particularly high risk to stakeholders and/or to sites. A PUE is any event with a maximum consequence rating of either 4 or 5 (high and major) on the Anglo American Operational Risk Management risk matrix.

In contrast to government-led resettlement, project-led resettlement refers to land access and displacement funding and management by the company.

Individual who has considerable, demonstrable and recent expertise in the specific field in comparable contexts. Where relevant, expertise should be supported with appropriate background, credentials, professional registration and/or qualification.

Remediability reflects the ease with which those impacted could be restored to a situation at least the same as/equivalent to their situation prior to the impact. Delaying action may affect the ability to remediate. The Social Way Social Consequence Matrix provides guidance to identify remediability.

Similar to a displacement management plan (DMP); however, remedial planning is undertaken where past land access and displacement management are not compliant with company and/or good practice standards. The need for and scope of the remedial plan is determined based on findings of the compliance reviews and close-out audit.

An umbrella term denoting the spectrum of actions to mitigate the adverse impacts of physical and/or economic displacement.

A plan that provides a comprehensive set of actions for addressing impacts related to physical and economic displacement. It describes the procedures and activities that will be taken to compensate for losses, mitigate adverse project impacts, and provide development benefits to those who will be resettled or displaced as a result of the project.

Support provided to people who are physically displaced by a project. Assistance may include transportation, food, shelter, and social services that are provided to affected people during their relocation. Assistance may also include cash allowances that compensate affected people for the inconvenience associated with resettlement.

The activity or circumstance that causes displacement and requires resettlement. This may be land access for operational purposes, or environmental, health or safety impacts on a specific community.

The effect of uncertainty on business objectives. An effect is a deviation from the expected – positive or negative. Risk is forward looking and refers to future events or circumstances. Risks can be defined as financial, legal or reputational threats to the business. Risks can arise from impacts and site risk registers should reflect this linkage. The actualisation of a risk should be avoided.

The driver(s) of the risk event: the principal reason(s) why the risk could happen. These can include conditions, circumstances, trends and activities that may result in the risk event occurring. Causes can be internal or external to Anglo American.

Effects arising from the risk event, if it occurs, that could affect the achievement of Anglo American’s business objectives.

Incidents or occurrences that arise from a cause that could have an effect on the achievement of objectives or otherwise lead to harm or loss in the context of Anglo American’s reputation and stakeholder relationships.

A measure to determine the significance of the impact on those impacted and includes factors such as the duration of the impact and the number of people affected. Guidance is provided in the Social Way Social Consequence Matrix for identifying the significance rating for scale.

A gazetted set of monetary compensation rates to be used in the valuation and calculation of compensation for various categories of land, structural assets, crops and trees, and other assets which might be purchased by authorities during land acquisition.

Sensitive receptors are people or communities that may have a significantly increased sensitivity or exposure to contaminants by virtue of their age and health (e.g. schools, day care centres, hospitals, nursing homes), proximity to source of exposure or contamination (noise, air quality), or the facilities they use (e.g. water supply). The location of sensitive receptors must be identified in order to evaluate the potential impact of the contamination on public health and the environment.

Where a significant risk exists of a breach of Anglo American’s values and ethical business standards. An appropriate mitigation strategy should be devised as soon as possible.

Includes early and advanced exploration activities, projects, mines and processing facilities in operation, care and maintenance/other suspension of activities, closure and post-closure.

An emergency caused by site activities or stemming from a technical failure at site.

Site-Induced Migration (SIM) is defined as the movement of people into or out of an area in anticipation of, or in response to, real or perceived opportunities associated with a site. People moving into the area (i.e. in-migrants) look to benefit in terms of (direct and indirect) employment, community development initiatives and other site activities, including resettlement. People moving out of the area (i.e. out-migrants) typically do so in response to site closure or care and maintenance.

Vulnerability is the accepted term for the sensitivity of the society, communities, and households to positive and negative impacts and changes. Vulnerable communities, groups, or individuals may be: i) Excluded or inhibited from meaningful participation in sites’ engagement and decision-making processes; ii) Less likely to be able to cope with potential adverse impacts and manage changes caused by a site; iii) Less able to take advantage of the opportunities and benefits a site provides.

The process for identifying, prioritising, and managing adverse social and human rights impacts and risks.

A tool used as part of SHIRA and incident and grievance management to determine the social consequence rating of incidents and potential impacts on external stakeholders, based on an assessment of scale, vulnerability and remediability.

The work Anglo American is doing to ensure we are adopting a consistent approach, sharing best practice and that operations have the support they need to ensure societal consent and cooperation in respect of mine modernisation.

Encompasses our interactions, activities and outcomes with respect to local communities and other local stakeholders in those areas affected by our mining activities. Social Performance is not philanthropy for reputational purposes nor is it focused solely on those activities required to satisfy local legal or regulatory requirements. Rather, Social Performance is essential for achieving our strategic business objectives while ensuring the Anglo American Group avoids harm and creates an environment in which communities impacted by our operations can prosper sustainably.

A site level cross-functional management committee that facilitates an integrated, multi-disciplinary approach to manage potential social and human rights impacts and risks.

An outcomes-based measurement tool that helps organisations to understand and quantify the social, environmental and economic value they are creating. SROI is a participative approach that is able to capture in monetised form the value of a wide range of outcomes, whether these already have a financial value or not.1 In simple terms, SROI is a structured framework for comparing the investment cost of a project with the measured or expected outcomes.

The process of transitioning communities from the operational mining phase to the post-mining phase through the collaborative establishment of sustainable livelihoods where practicable.

SED includes projects/initiatives aimed at sustainably improving communities’ well-being, spanning the 16 SED elements. SED projects can also act as controls in the management of potential social and human rights impacts and other risks to the business.  In contrast to Collaborative Regional Development (CRD), which looks beyond the immediate vicinity of our sites and promotes larger scale, long-term development in partnership, SED comprises often more focused, locally sustainable opportunities leveraging best available capability at site with a short- to medium-term perspective.

The SED elements can be grouped into four broad thematic themes of socio-economic development, which are called SED categories and include Living Conditions, Quality of Life, Social Cohesion and Civic Engagement.

The SED Priority Setting Matrix helps sites to analyse and evaluate relevant internal and external data and to select (prioritise) socio-economic outcomes (‘components’) with the highest value (internal and external) that constitute the foundation of the SED Plan. It also helps sites to identify critical success factors and constraints to improve the design of projects. The SED Priority Setting Matrix is designed to be used in a workshop setting to review and analyse data related to the internal and external context, summarise and score findings, and develop a list of priority elements that will be the focus of the SED Plan.

Formerly referred to as SED pillars or levers, delivery mechanisms are types of projects or intervention mechanisms that are useful for driving or delivering change in one or several priority elements, such as enterprise development or skills development.

Drivers are ‘the reasons why’ Anglo American implements SED projects, determining what Anglo American sites need the SED Plan to achieve. Some of the drivers are mandatory (e.g., licensing commitments and SED-relevant SHIRA controls) while others are voluntary or considerations for planning (e.g., government or community priorities).

Drawing on existing models of the social and economic development needs of individuals, families and communities, 16 elements have been identified as being determinants of a “good” life. Positive changes in these elements contribute towards socio-economic development and the improvement of thriving communities.

The SAR is a publicly available report that summarises the SMP for external stakeholders, providing transparency and accountability on a site’s social performance. The SAR is to be updated and disclosed to local communities and other interested stakeholders at least every five years.

Interested or affected parties, including: neighbouring communities and businesses; local, regional and national governments (i.e. the authorities); employees, contractors, and suppliers; non- governmental organisations (NGOs) and community-based organisations (CBOs); media groups; other Anglo American operations and Anglo American corporate centre.

Guides the design and implementation of SED projects and are developed for each priority SED element (identified through the priority setting matrix). The objective of the SoW is to identify desired outcomes at the element level and identify an appropriate approach to deliver on the desired outcomes, including a Theory of Change. The approach should be based on an understanding of the internal and external context, opportunities for partnership and collaboration, cost and timelines, unintended consequences, and vulnerability, inclusion and delivery issues.

An individual, a company or other legal entity contracted by a contractor to conduct (a portion of) the specific job or to provide (a portion of) a specific service as part of the contractor’s work with Anglo American.

Contractor.

While we continue to meet the ever-growing demand for our products, we must play our part to address the environmental challenges of a carbon-constrained world and society’s wider expectations of us as enablers of change. The far-reaching and ambitious Sustainable Mining Plan was launched in 2018 as part of the FutureSmart Mining™ programme. This programme is bringing together step-change innovation in technology, digitalisation and sustainability – working hand in hand towards sustainable mining - and is central to the Anglo American Purpose to re-imagine mining to improves people’s lives. The Sustainable Mining Plan was developed through extensive internal and external engagement and analysis of critical opportunities and risk, including the UN Sustainable Development Goals (SDGs), and is built around three major areas or Global Sustainability Pillars:

• Developing trust as a corporate leader, providing ethical value chains, policy advocacy and improved accountability to the communities we work with.
• Building thriving communities with better health, education and levels of employment; and
• Maintaining a healthy environment through using less water, delivering positive biodiversity outcomes, and moving closer to our vision of a carbon neutral mine.

Under each of the Global Sustainability Pillars there a set of stretch goals. At the heart of the Sustainable Mining Plan is Collaborative Regional Development, our model for bringing long-term sustainable development opportunities to the regions around our operations.

Communities, sub-groups or individuals with a reduced or compromised ability to realise or maintain a sustainable livelihood. Systemic vulnerability describes a pre-existing condition unrelated to a site’s presence, impacts or activities.

Movable and immovable objects (e.g. properties, graves, sites, structures, or groups of structures) that have archaeological (prehistoric), paleontological, historical, cultural, artistic or religious value.

A way of thinking and a process for describing the issue a project seeks to address, the aspired changes (impact and outcome) and activities required that will lead to have the outcomes and impact. It helps to reveal assumptions and pre-conditions between the output and the outcome and to identify the critical success factors in the project design. Developing a Theory of Change shows that sites understand to the best extent possible the dynamics that could affect the success or failure of their programmes and projects and have incorporated these into their design.

Contractor.

People who, by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage or social status, may be more adversely affected by project-induced displacement than others and who may be limited in their ability to re-establish themselves or take advantage of resettlement assistance and related development benefits. They may include people living below the poverty line, the landless, the elderly, women- and children-headed households, ethnic minorities, communities dependent on natural resources or other displaced persons who may not be protected through national land compensation or land titling legislation. In a project-specific context, vulnerability is a relative concept in that it is intended to identify persons, households or groups requiring additional support/assistance over and above that applicable to the displaced community as a whole.

A structured review technique to identify and analyse hazards in the workplace and to check the adequacy of existing or planned hazard controls.

The WHO SARA is a health facility assessment tool using a set of tracer indicators designed to assess and monitor the service availability and readiness of the health sector and to generate evidence to support the planning and managing of a health system. The objective is to generate reliable and regular information on service delivery (such as the availability of key human and infrastructure resources), on the availability of basic equipment, basic amenities, essential medicines, and diagnostic capacities, and on the readiness of health facilities to provide basic healthcare interventions relating to family planning, child health services, basic and comprehensive emergency obstetric care, HIV, TB, malaria, and non-communicable diseases. In addition to the SARA assessments, specific guidance on health capacity assessments to respond to emergencies in case of site-induced migration are published by the WHO. As required, these can be adapted to consider other health service indicators such as the ability to manage trauma cases either through effective in-transit stabilisation, definitive care and referral care.

Anglo American’s group wide whistleblowing programme, which provides a confidential and secure means for employees, suppliers, business partners and other stakeholders to raise concerns about breaches in company Business Principles.