IWA 45:2024
(Main)Sustainable critical mineral supply chains
Sustainable critical mineral supply chains
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.
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International
Workshop
Agreement
IWA 45
First edition
Sustainable critical mineral
2024-08
supply chains
Corrected version
2024-11
Reference number
© ISO 2024
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
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
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. I
...
International
Workshop
Agreement
IWA 45
First edition
Sustainable critical mineral
2024-08
supply chains
Reference number
© ISO 2024
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
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 .32
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.
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 pro
...
First edition
2024-08
Corrected version: 2024-11
Sustainable critical mineral supply chains
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication
may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying,
or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO
at the address below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: + 41 22 749 01 11
E-mail: copyright@iso.org
Website: www.iso.org
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
...
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