Who is this tool for?

This tool is designed for mining companies.

The indicators in the tool are fundamental features of any responsible enterprise in the mining sector and can be used as part of evaluating compliance systems, audits and due diligence.

All mining companies planning or engaging in exploration and extraction regardless of their size, maturity or resources can use the tool. 

Companies that primarily start projects through acquisition or investment will find the indicators useful as part of their integrity due diligence on prospective targets and investments.

How can the tool help us?

The tool helps companies evaluate their business integrity and anti-corruption policies and procedures and identify the areas that need to be strengthened.

It is also designed help raise awareness among different business units and functions about the importance of business integrity during project licensing and permitting.

For companies with robust business integrity policies and practices, the tool enables them to identify and demonstrate their strengths and improvement efforts to stakeholders such as investors, regulators and the citizens of host countries.

The tool does this by

  • Highlighting the most critical policies and procedures for business integrity 
  • Providing a framework for companies to evaluate their performance  
  • Offering practical guidance and resources  

See How to Use this Tool.

Why focus on licensing and permitting?

The prospect of developing a high-value project means there are high stakes to ensure that the company secures all necessary permits and approvals to proceed with the project. This makes the licensing phase of a mining project particularly prone to corruption. 

Indeed, a quarter of all corruption cases in the oil, gas and mining sectors globally arise at the very start of those extractive projects (OECD 2016).

While other aspects of the project cycle such as revenue collection and the administration of community investment funds are often also vulnerable to corruption, this tool provide a unique and focused framework for evaluation of business integrity and corruption risks in licensing and permitting. 

What type of licensing and permitting is covered?

The broad reference to licensing and permitting covers the legal right or title for exploration and mining as well as the related project permits and requirements, including land access rights, environmental approvals and community consultation and consent.

This tool is directed primarily towards new, greenfield projects – including exploration. However, many of the same indicators apply to licences or permits required for expansions or brownfield projects.

How does this tool differ to other anti-corruption tools?

Although most anti-corruption policies and procedures apply to all business activities, this tool enables companies to conduct a deep, focused evaluation of how effectively their anti-corruption policies and procedures function in the context of this specific high-risk activity – licensing and permitting.

How was this tool developed?

Over 40 best practice laws, guides and standards on business integrity, anti-corruption compliance and responsible business conduct were considered in selecting the most critical and relevant indicators for project licensing and permitting. These include the GRI, IFC Performance Standards and guidance on the UK Bribery Act and US Foreign Corruption Practices Act. See Standards Cited for a complete list.

The tool incorporates contributions and review by several industry specialists.

The tool is also informed by insights from the piloting of an earlier version in 2020 and from a survey of company user needs and preferences.

Do we need to complete all evaluations at once?

No. The tool is designed to be used over a period of time to enable you to engage with people from different parts of the company and to conduct an in-depth evaluation.

Simply click ‘save and continue’ and your response will be saved in the form when you log out, ready for you to continue with the evaluation when you return.

You can return to review and edit your responses and notes any time prior to submitting the evaluation.

How are the results calculated?

There is a maximum of 2 points per question

Yes (2 points) – Our company meets the indicator and there is evidence to support this.
Partial (1 point) – Our company partially meets the indicator or the evidence is weak.
No (0 points) – Our company does not meet the indicator. The evidence is so weak it cannot be relied on.

Performance on each evaluation is calculated as follows:
0-33% significantly below the expectations of a responsible mining company
34-66% well below the expectations of a responsible mining company
67-79% below the expectations of a responsible mining company
80-100% meets the expectations of a responsible mining company

Will the tool be updated?

Yes. The tool will be updated periodically based on feedback from companies and user experience.

How will our data be stored and used?

Please refer to How We Use Your Data contact us if you have any queries at mining@transparency.org

Can we publish our results?

You can publicly communicate and promote your use of the tool. When communicating the results, you need to make it clear that they are derived from a self-evaluation. 

Are our results endorsed or certified by Transparency International?

Transparency International’s Accountable Mining Programme does not endorse the company for using the tool, for its performance or the results obtained. 

No communications from the company should state or imply that the company or the results it has obtained using the tool have been endorsed or certified by Transparency International’s Accountable Mining Programme.

Please refer to the Terms of Use.