AngloGold Ashanti : 2023 Report to the Plenary Session of the Voluntary Principles on Security and Human Rights

Report to the Plenary Session of the Voluntary Principles on Security and Human Rights

2023

Contents
Commitments	2
1.	Statement of commitment or endorsement of the VPs	2
2.	Examples of promoting awareness of the VPs throughout the organisation or
government	2
3.	Examples of promoting and advancing implementation of the VPs internationally ...	3
Policies, Procedures and Related Activities	3
4.	Relevant policies, procedures, and/or guidelines to implement the VPs	3
5.	Company procedure to conduct security and human rights risk assessments	4

6. Company procedure or mechanism to report security-related incidents with human rights implications by public/private security forces relating to the Company's

activities	5
7. Company procedure to consider the VPs when entering into relations with
private/public security providers	6

8. Company procedure or mechanism to address security-related incidents with human rights implications by public/private security forces relating to the Company's

activities	6
Country Implementation	6
9. Overview of country operations selected for reporting	6
10. Engagements with stakeholders on country implementation	9

11. VPs considerations in the selection of private security providers and formulation of contractual agreement with private security providers, as well as arrangements with

public security forces

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12. Examples of supporting outreach, education, and/or training of (i) relevant personnel, (ii) private security, (iii) public security, and/or (iv) civil society (e.g. local

NGOs, community groups)

.................................................................................................10

13. Company procedure to review progress on implementing the VPs at local facilities

..............................................................................................................................................10

Lessons and Issues	11
14. Lessons or issues from this reporting year, as well as plans or opportunities to
advance the VPs for the organisation	11
Annexure	12
Definitions used in this report	14

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Report to the Plenary Session of the Voluntary Principles on Security and Human Rights 2023

AngloGold Ashanti (also referred to as the Company) has subscribed to the Voluntary Principles on Security and Human Rights (VPs) since 2007 - a set of non-binding principles developed in 2000 to address the issue of balancing safety and security needs against respect for human rights and fundamental freedoms. The VPs address a critical gap for companies seeking guidance on managing their potential exposure to inappropriate security and human rights practices, especially in countries that are associated with conflict and high potential for human rights abuses. The VPs also provide guidance for companies on identifying human rights and security risks and engaging and collaborating with state and private security forces. The VPs were developed through multi- stakeholder participation between governments, extractive industry members and nongovernmental organisations (NGOs).

Commitments

1. Statement of commitment or endorsement of the VPs

We seek alignment of our policies and practices with the United Nations Guiding Principles for Business and Human Rights (UNGPs) as adopted by the United Nations Human Rights Council in June 2011. This formally commits us to complying with applicable laws and respecting internationally recognised human rights, even when national laws or their application fall short of protecting these rights.

In our management of security and in terms of our recognition of human rights, aligned to our policies (available publicly at www.anglogoldashanti.com), AngloGold Ashanti is committed to implementing the VPs in the management of all its operations.

In making decisions on, and addressing, any human rights, security and community issues, the Company takes an interdisciplinary approach. The VPs underpin the Company's security management practices.

Our ongoing attendance of VPs plenary meetings, participation in pillar meetings, working groups and in-country initiatives, provide a solid platform for collaboration and engagement with peers and colleagues across pillars, to ensure alignment with the intent of the VPs.

Furthermore, our performance regarding human rights and the implementation of the VPs form part of our annual sustainability reporting, which is publicly available.

2. Examples of promoting awareness of the VPs throughout the organisation or government

Our values are underpinned by a respect for human rights and are enshrined in our Human Rights framework, especially requirements as per the new Human Rights Standard, which complement our Sustainability and HSS Policies. AngloGold Ashanti is committed to the UNGPs, VPs and other international initiatives, including the United Nations Global Compact. We also work to ensure that our broader governance is human rights compliant and recognises our responsibility to respect human rights with regard to all our operations and communities and respects the laws of the countries in which we operate.

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The implementation of proper human rights due diligence (HRDD) processes underpins our commitment to the UNGPs and ensures effective management of human rights risks, including security and risk. The implementation of our HRDD processes, which includes internal HRDD and Social Licence to Operate (SLO) assessment tools, supports AngloGold Ashanti's values to "uphold and promote fundamental human rights where we do business" and to "contribute to building productive, respectful and mutually beneficial partnerships in the communities in which we operate". The ongoing refinement of appropriate methods of redress, through a properly functioning set of grievance mechanisms, remains a priority.

The implementation of all these programs is geared towards building internal awareness and an understanding of where the Company's activities may have the potential to intersect with or infringe upon human rights. This also includes preventing or mitigating potential impacts or remediating impacts that have occurred, and prioritising security and human rights related potential conflict and risk.

In addition to our Security Framework audits and assessments, which include the VPs compliance assessments, sites are encouraged to use the VPs KPI's checklist and VPs Implementation Guidance Toolkit in formulating their site-based VPs procedures. Our efforts on human rights training, which aim to embed awareness and understanding of the UNGP's and the VPs, remain a priority. Training takes place in the form of induction, classroom, refresher or online training.

Respecting the rights and customs of all stakeholders is key to respecting human rights in and around our concessions. We engage with a broad cross section of community members and leadership, including traditional leaders, local and national government, women's groups, youth and people with disabilities, civil society, human rights defenders and indigenous communities in and around our operational areas. This includes advocating for and promoting the VPs.

Active participation in in-country initiatives to engage home and host governments, with a view to implementing the VPs in the respective countries remains a focus area.

3. Examples of promoting and advancing implementation of the VPs internationally

AngloGold Ashanti is open about its commitment to advancing the VPs, and, when appropriate, uses its involvement in international forums, such as the International Council on Mining and Metals (ICMM), World Gold Council (WGC), United Nations Global Compact, the InterGovernmental Forum on Minerals, Mining, Metals and Sustainable Development, UN Forum on Business and Human Rights and in-country industry forums amongst other international and national forums, to promote the VPs. The Company's VPs Annual Report is published on its website: www.anglogoldashanti.com

Policies, Procedures and Related Activities

4. Relevant policies, procedures, and/or guidelines to implement the VPs

We aim to foster sustainable development in host communities, as a way of working towards the value of wanting to leave communities better off for our having been there. We encourage meaningful and effective community engagement throughout the life cycle of a mining operation.

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We further recognise that good community relationships built on trust and where we do no harm, will have a positive impact on security and that both the complex challenges associated with general criminality, illegal and artisanal mining, resulting in increased intrusions onto our operational areas, has the potential to increase the number and severity of security incidents.

Effective strategies for community engagement and local economic development to create alternative livelihoods are essential in addressing human rights and security issues, and their causes.

Community and security related matters are addressed at board level by the Social, Ethics and Sustainability Committee. The committee's ambit covers oversight of AngloGold Ashanti's compliance with its commitment in terms of the VPs . At a corporate level, the Sustainable Development team develops company policy in respect of community-related issues, in addition to offering guidance and establishing procedures to foster operational conformity with the group's values, business principles and policies. Various operational plans, including stakeholder engagement plans and integrated development plans, and mechanisms for the reporting and resolving of complaints and grievances, form the backbone of community engagement efforts.

In addition, the Company's security framework and associated standards and procedures provide the base for measuring compliance for the VPs implementation progress, as the VPs are a key process of the security framework of which compliance is assessed annually. In supporting our commitment to security and human rights, AGA also complies with the World Gold Council (WGC) Conflict Free Gold Standard, the WGC Responsible Gold Mining Principles Standards and the ICMM Performance Expectations for members.

AngloGold Ashanti further acknowledges that our social licence to operate means that we demonstrate that we have extracted gold in a manner that does not fuel conflict. In this regard, regular security threat and risk assessments are conducted, to identify the potential for conflict and appropriate mitigation measures implemented.

We also engage public security and civil society to assist in our implementation efforts, to ensure that our security management practices are consistent with the intent of the VPs.

5. Company procedure to conduct security and human rights risk assessments

To ensure the appropriate level of protection for AngloGold Ashanti's people and assets, the Company uses its own security employees, private security providers, and public security services. At the same time, it strives to manage security in such a way that the human rights of individuals and communities affected by the Company's activities are safeguarded.

In all countries in which AngloGold Ashanti operates, threat and risk assessments are conducted to determine which security resources are required. In Colombia, Tanzania, Ghana and Guinea, risk assessments categorise threats as high and require the involvement of state police and/or military units (public security forces) on a near-permanent basis.

In addition, almost all the group's operations incorporate private security forces. As with public security, the decision to use private security is made after formal risk and threat assessments. These assessments help determine the correct number and composition of security personnel as well as their roles, and the level of protection equipment and type of weapons, which is largely

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dependent on the potential for conflict and ensuring the protection of staff. Carrying of firearms is only permitted when risk assessment determines that it is justified and that it complies with national legislation. The use of minimum force and rules of engagement is advocated at all times.

6. Company procedure or mechanism to report security-related incidents with human rights implications by public/private security forces relating to the Company's activities

AngloGold Ashanti is a strong corporate citizen and supporter of transparency and active stakeholder engagement. We have mechanisms in place to report grievances and concerns, including our "Speak Up" platform. Site-specific grievance processes for employees and communities at large exist to report concerns related to legal non-compliance, fraud, bribery and corruption, human right infringements, safety and environmental matters. AngloGold Ashanti's "Speak Up" platform is administered by a third party.

Our Code of Business Principles and Ethics is fundamental to our performance with integrity. It sets out our expectations of the conduct of our directors, employees, contractors and consultants, and affirms our commitment to the highest standards of integrity and ethics in the conduct of our business.

Reporting through the "Speak Up" platform is anonymous unless the reporter specifically chooses to disclose their identity. All concerns are carefully investigated, and feedback is provided to the person raising the concern. Results are communicated to the Audit and Risk Committee, the SES Committee and to the Serious Concerns Committee, a senior management committee.

Central to the AngloGold Ashanti Human Rights framework are robust and credible grievance mechanisms. These operate at every level of the Company, from community liaison offices to site and Group-level tools. The speedy recording, investigation and resolution of grievances is a priority. All AngloGold Ashanti sites are expected to avoid or, where not feasible, minimise their impacts on local communities through project design and management plans. Grievance mechanisms for local communities are critical to implementing and managing this process. These mechanisms are guided by our Management Standards on Complaints and Grievances, and Community Incident Management, both of which are aligned with the UNGPs. Complaints and grievances lodged with the Company are managed on iSIMS, a platform that provides transparency when recording, investigating and mitigating impacts, and reporting and resolving complaints.

In addition, since 2010 AngloGold Ashanti has used a standardised reporting procedure for security and human rights related incidents to report on any potential violations of the VPs. This has not only enhanced the integrity and archiving of data relating to the VPs but has also raised awareness of AngloGold Ashanti's compliance requirements, as the system is treated as a learning tool for stakeholders across the Company's operations worldwide.

A summary of the security incidents that occurred during 2022 and 2023 can be found in Section C.9 of this report. The Company's reporting on the VPs provides further details with respect to four categories:

• significant incidents resulting in third-party deaths/injuries and involving interventions by security personnel;

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• significant incidents resulting in third-party deaths/injuries but without the intervention of security personnel;
• significant incidents resulting in the deaths of, or injuries to, AngloGold Ashanti staff; and
• incidents of community unrest/protests.

7. Company procedure to consider the VPs when entering into relations with private/public security providers

As reported in (5) above, security considerations in a number of countries necessitate reliance on special support from private and public security services.

Our use of private and public security services is guided by the VPSHR, International Code of Conduct for Private Security Service Providers and the UN Code of Conduct for Law Enforcement Officials.

AngloGold Ashanti seeks to ensure that all private/public security personnel are trained in, and are familiar with the provisions of the VPs , and specific stipulations regarding their obligations with respect to compliance are being written into contracts and memorandums of understanding (MoUs). In line with the Company's commitment to these Principles, rules of engagement and the use of minimum force are advocated at all times. Alleged violations committed by private and public security providers are dealt with in accordance with AngloGold Ashanti's own investigative procedures and the applicable national legislation.

8. Company procedure or mechanism to address security-related incidents with human rights implications by public/private security forces relating to the Company's activities

Any security incident at any of AngloGold Ashanti's sites is reported and investigated, and appropriate remedial action taken, in alignment with the UNGPs. A multi-disciplinary approach is used to investigate and manage incidents and identify causes and appropriate remedial action. Incidents involving public security are prioritised to ensure engagement at appropriate levels, in an effort to ensure due process. The Company maintains records of all incidents.

Details on incidents which occurred in 2023 are provided in the Annexure.

Country Implementation

9. Overview of country operations selected for reporting

AngloGold Ashanti reports on community and security-related incidents at its operations and exploration sites across the globe. Data is reported for the calendar year ended 31 December 2023, with data for the same period in 2022 supplied for comparative purposes.

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Table 1: Fatalities and injuries, related to interventions by security personnel, at AngloGold Ashanti operations in 2023.

	Incident						2023								2022
	Region/		Community			AngloGold		Community		AngloGold Ashanti
		Members			Ashanti Security		Members		Security Personnel
	Operation/
								Personnel
	Exploration Site
		Fatalities		Injuries	Fatalities		Injuries		Fatalities		Injuries		Fatalities		Injuries
	Guinea, Siguiri		*1			1			-			52			-			-			-			57
				*1
	Ghana, Obuasi		-			-			-			9			-			1			-			13
												*2
	Ghana, Iduapriem		-			-			-			1			-			2			-			-
	Tanzania, Geita		-			3			-			5			-			4			-			9
				*1									*1
	Total		1			6			-			67			-			10			-			79

* Incidents involving discharge of firearms / less lethal weapons.

Table 2: Summary of fatalities among and injuries to third parties involved in illegal activities at AngloGold Ashanti operations/exploration sites in 2023, not related to security intervention.

Incident			2023			2022
Operation / exploration site		Fatalities			Injuries		Fatalities		Injuries
Tanzania, Geita		1			1						2
	(illegal					-
			(illegal mining)					(illegal mining)
		mining)
Guinea, Siguiri		31			31			5			3
	(illegal
			(illegal mining)			(illegal mining)			(illegal mining)
		mining)
Ghana, Obuasi		-			-			-			1
							(illegal mining)
Total		32			32			5			6

NOTE: Fatalities and injuries recorded are within our mine concessions, which can span hundreds of square kilometres, and not necessarily in or close to our active operational areas.

Certain of these figures may include information reported to us by other sources. Any such information cannot always be independently verified.

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AngloGold Ashanti has been seeking greater involvement from communities in addressing the issue of artisanal and small/scale mining (ASM). The initiative has two goals: one is to encourage the reporting of ASM fatalities and the other is to raise awareness and to educate people about the dangers of ASM activity.

Table 3: Summary of community protest actions at AngloGold Ashanti operations, during 2023.

Operation/exploration		Number of Protest Actions
site		2023			2022
Ghana, Iduapriem		-			2
Ghana, Obuasi		3			5
Guinea, Siguiri		17			11
Tanzania, Geita		1			-
Colombia, Quebradona		2			1
Total		23			19

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10. Engagements with stakeholders on country implementation

AngloGold Ashanti engages extensively with a variety of stakeholders i.e., social and business partners that have an interest in, or are affected by, the Company's activities.

At Siguiri Mine in Guinea, ongoing challenges with illegal ASM in our operational areas necessitated discussions with community leadership and relevant authorities, in co-designing a conflict prevention framework to address the incursions. In this regard a Community Security Partnership program was designed in 2023, based on the fundamentals of conflict prevention, community enhanced security and the respect for human rights, which was implemented at the end of 2023 and gaining momentum whilst ongoing refinement of the initiative takes place.

As part of AGA's commitment to continuous improvement in managing security with the utmost respect for human rights, collaboration with the International Code of Conduct Association (ICoCA) resulted in Geita Gold Mine (Tanzania) hosting ICoCA in October 2023, enabling them to develop a case study as per the below news excerpt from the ICoCA website:

Exploring a Collaborative Security Model at Geita Gold Mine

The ICoCA staff had the chance to visit the Geita Gold Mine in Tanzania, managed by AngloGold Ashanti. This was an opportunity to delve into a remarkable security collaboration model that involves community policing, local law enforcement, in-house security, and private security services provided by SGA Security, an ICoCA Certified Member. This collaborative model not only safeguards the mine's operations but also enhances the well-being and prosperity of the surrounding communities. It's a great example of how businesses can positively impact the regions in which they operate. During their three-day visit to Geita, the ICoCA team actively engaged with numerous programme stakeholders, conducting in-depth interviews and documenting their findings with the goal of sharing them as a comprehensive case study.

Click here to view the full case study on the ICoCA website.

We continue to support VPs in-country working groups, most notably in Ghana and Brazil, which not only reinforces our commitment our VPSHR implementation internally, but to engage and network with external stakeholders on in-country implementation improvements.

Our commitment to the VPs is embedded in our sustainable development and security management practices and we prioritise our engagement with governmental agencies, public security forces and industry peers. We participate in several national forums e.g., industry, government, public security and community forums, to ensure interaction and collective efforts to proactively address stability issues, including the respect for human rights.

11. VPs considerations in the selection of private security providers and formulation of contractual agreement with private security providers, as well as arrangements with public security forces

As reported above, AngloGold Ashanti frequently relies on governments or government agencies to provide security at its operations. All contractual agreements and MoUs with private and public security service providers must include references to the Company's commitment to and obligations to the VPs, country legislation, and must spell out what AngloGold Ashanti expects from its private and public security providers.

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