THE VOLUNTARY PRINCIPLES

ON SECURITY AND HUMAN RIGHTS

2019 Annual Plenary Report

2

Table of Contents

03 Newmont’s Implementation of the Voluntary Principles

A. COMMITMENT TO THE VOLUNTARY PRINCIPLES

04 Public Statements of Commitment to the Voluntary Principles

05 2019ActivitiestoPromotetheVoluntaryPrinciples

05 VoluntaryPrinciplesInitiatives

05 InternationalPromotionActivities

B. POLICIES, STANDARDS, PROCEDURES,

AND RELATED ACTIVITIES

06 Relevantpolicies,standards,procedures,and/or guidelinestoimplementtheVoluntaryPrinciple

07 Promotion within Newmont

08 Risk assessments

09 ReportingandInvestigationofsecurity-related humanrightsincidentsorgrievances

09 Contractmanagementwithprivate securityproviders

10 Relations with Public Security

C. COUNTRY IMPLEMENTATION 2019

11 Ghana

14 Peru

17 Mexico

D. LESSONS AND ISSUES

18 Integration of Voluntary Principles Implementation: BenefitsandChallenges

2

In2019,NewmontacquiredGoldcorptoformtheworld’sleadinggoldcompany.Inadditiontobecomingtheworld’slargestgoldproducer,thecombinationalso brought together two of the sector’s sustainability leaderswiththeir“strongcommitmentstohealthandsafety,inclusionanddiversity,andindustry-leadingenvironmental,socialandgovernanceperformance.”1

StrictadherencetotheVoluntaryPrinciples(VPs)isacentralpartofNewmont’sindustryleadingsustainabilityperformance.NewmonthasbeenasignatorytotheVPssince2004andGoldcorpcommittedtoalignmentin2008andbecameasignatoryin2016.

ThisVPannualreportisthefirstofthecombinedcompanyanddetailstheactionstakenin2019bybothcompanies,separatelyandjointly,torespectandpromotesecurityandhumanrights.ForNewmont,respectingandpromotinghumanrightsremainsparamount to fostering strong community relationships andsecuringsocialacceptanceforouroperations,inasafeandresponsiblemanner.

Newmont’s Implementation of the Voluntary Principles

1 Corporatenewsrelease,01/14/2019(https://www.newmontgoldcorp.com/ newsroom/news-details/?newsId=ab219880-52fd-47a7-a7f6-435c7fce8fea) NewmontVoluntaryPrinciplesPlenaryReport2019 | 3

PUBLIC STATEMENTS OF COMMITMENT TO THE VOLUNTARY PRINCIPLES

Respecting human rights lies at the heart of oursustainabilityapproach.TheVPsguideoursecurityarrangementsandhelpensurewerespecthumanrights.NewmontpubliclycommitstothecontinuedimplementationofthisstandardthroughourparticipationintheVPsandon-the-groundimplementationatallofouroperations.

In2019,NewmontpubliclyreportedonitscommitmenttotheVPsanditstargetsandperformanceinthe2018BeyondtheMineReport.Wealsoverifiedthatouroperationsdidnotfuelunlawfularmedconflictorcontribute to serious human rights abuses or breaches of international humanitarian lawthroughourConflict-FreeGoldReport,independentlyassuredbyBureauVeritas.

In2019,GoldcorppubliclyreportedonitsadherencetotheVPsinits2018SustainabilityreportandConflict-FreeGoldReport.ErnstandYoungLLP(“EY”)independentlyassuredthelatter.Theirindependent,limitedassurance statementnotesthatGoldcorp’sConflictFreeGoldReportisin“conformancewiththestandard”whichrequiresthatsecurityservices“donottakepartin,orsupport,serious abuses of human rights or breaches of internationalhumanitarianlaw.”EYconductedanassuranceassessmentofGoldcorp’sPeñasquitomine,thecompany’shighestriskoperatingmine,aspartoftheConflict-FreeGoldassuranceprocedure.

Commitment to the Voluntary PrinciplesNewmont’sheadquartersisinColorado,USA,withdirectlymanageddevelopmentprojectsandoperationsinGhana,Australia,Canada,USA,Mexico,Peru,ArgentinaandSuriname.Followingtheacquisitionin2019,NewmontbegantheprocessofintegratingpoliciesandproceduresforallsustainabilityareasacrosstheformerGoldcorpsites.

A

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2019 ACTIVITIES TO PROMOTE THE VOLUNTARY PRINCIPLES

Voluntary Principles Initiatives

PriortoNewmont’sacquisitionofGoldcorp,bothcompaniessupportedthegloballyrespectedmulti-stakeholderinitiative,andactivelyparticipatedinitsgovernance.NewmontengagedintheVPsandhelpedshapeoutcomesthroughparticipationintheannualplenary,membershipontheSteeringCommitteeandprovisionofinputduringaStrategicRetreatconvenedbytheSwissGovernmentinNovember2019.

International Promotion Activities

Newmont promotes the implementation of the VPs in the countries whereitoperateswithgovernments,civilsocietyandlocalcommunities.Examples include:

GHANA

AsamemberoftheGhanaianGovernment’sImplementationSteeringCommittee,NewmontGhanacontinuedtosupportthegovernmentwithanimplementationplanfortheVPs.Wealsofacilitatetrainingforgovernmentofficials,othercompaniesandlawenforcementofficialsthroughtheChamberofMines.In2019,Newmont’sGhanaoperationscreatedawarenessoftheVPsandrespectforhumanrightsinthecommunitiesnearourmines.

PERU

Formorethantenyears,YanacochahassponsoredaVPsin-countryworkinggroupwithparticipationofprivatesecuritycontractors,governmentofficials,theSwiss,CanadianandUKembassies,andcivilsociety.

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Policies, Standards, Procedures, and Related ActivitiesRELEVANT POLICIES, STANDARDS, PROCEDURES, AND/OR GUIDELINES TO IMPLEMENT THE VOLUNTARY PRINCIPLES

Newmonthasahierarchyofpolicies,standardsandproceduresthatdefinesourexpectationsofthebehaviorofouremployeesandoursupplychainpartners.Our Code of Conduct explicitly referstothefundamentalhumanrightsofthepeoplewhereweoperateandthosewithwhomwework.ListedbelowareotherNewmontpoliciesthatpromoteimplementationoftheVPs:

B

Our Business Integrity Policy establishes the basictenetsofhowemployeesshouldconductbusiness — withhonesty,accuratereportingandwithoutcorruption.

OurSustainability & Stakeholder Engagement Policyisthefoundationalpolicythatcommitstosustainabledevelopmentandoutlineshowwecommunicatewithourstakeholders.Thispolicyexplicitlycommitstoreducetheriskofexcessiveuseofforce.Italsocommitstoworkingwithgovernmentsinatransparentmanner.

OurHuman Rights Standardisarequirementatallofoursites.ItcommitsoursitestoimplementtheUnitedNationsGuidingPrinciplesonBusinessandHumanRights(UNGPs)andtheVPs.Italsorequiressitestoidentifyandevaluateactualandpotentialhumanrightsrisksandimpactsincludingsecurity-relatedrisks.

OurEvents and Reporting Investigation Procedure ensures all sites follow a “consistentapproachtoclassifying,reportingandinvestigatingevents,determiningunderlyingcauses,andcommunicatinglessonslearnedtopreventrecurrencesacrosstheorganization.”ThisprocedurerequiresinvestigationofanyuseofforceincidentandallegedhumanrightsviolationaspertheVPs. Priortotheacquisition,bothNewmontandGoldcorphadspecificsecurityprocedures,whichremainineffect.WewillbeconductingagapanalysisofthedifferentsecurityproceduresandadoptacrossallsitesonesetofpoliciesandproceduresfortheSecurityDepartmentthatincludesthehigheststandardsfrombothcompanies.

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Newmont Security Policies

The Security Performance Standard“setstheminimumstandardforNewmonttoprovidesecurityservicesinamannerthatrespectshumanrights”andcomplieswiththeVPs.

Goldcorp Security Policies

The Security PolicyexpressesGoldcorp’scommitmenttothesafetyandsecurityofemployees,companyassetsandreputation,whilerespectinghumanrights.ItexplicitlycommitssitestofollowtheVPsandrespecttheUniversalDeclarationonHumanRights.

The Security StandardprovidesspecificguidanceonhowtoimplementtheVPs.

FormerGoldcorpsitescommittoimplementingtheUNICEFChildRightsandSecurityChecklistatallofitshigher-risksitesandauditscomplianceagainstthisChecklistbyathird-partyauditor.

PROMOTION WITHIN NEWMONT

Allemployeeswithcomputeraccessreceivepractical,onlinehumanrightstrainingwhichincludesourcommitmenttotheVPs.Humanrightstopicsarealsoaddressedinavarietyofways,rangingfromcross-culturaleducationalsessionstohumanresourcesandsocialresponsibilityinductionsandannualrefreshercourses.Trainingsessionsfocusedonhumanrightstopicsrangefrom30minutesto8hours,dependingonthesite’sriskprofileandtheneedsoftheaudience.Todate,morethan2,800employeeshavecompletedtheonlinetrainingapproximately3,500times(someemployeeshavetakenthetrainingmorethanonce).InGhana,allemployeesandcontractorsalsoreceivespecificVPstraining.AtCerroNegro,Peñasquito,Marlin,Yanacocha,Ahafo,AkyemandCrippleCreekandVictor,securitypersonnelandcontractorsreceivehumanrightsandVPstraining.

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RISK ASSESSMENTS

Newmontrecognizesthatidentifyingoursecurityandhumanrightsrisksisfundamentaltounderstandinghowtorespecthumanrightsasasecurityfunctionandpreventnegativeimpactsatalloursites.InourVPsRiskAssessmentModel,weassessthesecurityandhumanrightsriskstooursitesandtoourneighboringcommunities,includingtheriskthataprivateorpublicsecurityguardusesundueforceorviolateshumanitarianlaw.TheNewmontSecurityPerformanceStandardrequiresthatsitesconductasecurityandhumanrightsriskassessmentforeverynewprojectandupdateiteverythreeyearsorwhenevertriggeredbyanevent.Inactuality,mostsitesupdatetheirassessmentsannuallyorquarterly.

Examplesofevent-triggeredassessments:In2019,asecuritycontractorattheAhafooperationwaskilledinaconfrontationwithillegalminers.Inthewakeofthistragicincident,thesiteconductedariskassessmenttodeterminewhatadditionalcontrolsshouldbeputinplacetopreventanyfutureoccurrences(seeSectionCformoredetailsonthelessonslearnedfromthisincident).InPeru,theSecurityDepartmentconductedahumanrightsriskassessmentbeforepurchasingatechnologydeviceforenhancedsecurity.Theassessmentreviewedthepotentialimpactsonrightsholders(e.g.neighboringcommunitymembers,employees,andcontractors),andledtotheimplementationofcontrolsonhowtousethedeviceinarespectfulmanner.

Newmontalsowillcommissionthirdpartyriskassessmentspriortoanewprojectorexplorationasconditionswarrant.TheseassessmentsevaluatecriticalareassuchascompliancewiththeVPs,the localandnationalhumanrightscontextsanddynamics(e.g.political,socio-economic,labor),thepotentialforconflict,governmentcapacityandtheruleoflaw.

In2019,RFIconductedauditsinSurinameandPeru,KPMGinGhana,andAvanzarLLCinMexico,ArgentinaandGuatemala.LegacyGoldcorpthirdpartyassessmentsalsoverifiedcompliancewiththeUNICEFChecklistonChildRightsandSecurity.NewmontcommissionedahumanrightssupplierauditofGhana’sprivatesecuritycontractors.

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REPORTING AND INVESTIGATION OF SECURITY-RELATED HUMAN RIGHTS INCIDENTS OR GRIEVANCES

Evenwithrobustriskidentificationandmitigationcontrols,undesiredeventsandpotentialincidentsoccur.Newmonthasestablishedaneventreportingandinvestigationprocedureandacommunitycomplaintandgrievanceprocessateachsitetoensureallallegationsandsecurity-relatedeventsinvolvingprivateandpublicsecurityarefullyinvestigatedandrecorded,andcorrectiveactionsaretaken.Forincidentsrelatedtohumanrights,thesitemustinvolvetheHumanRightsWorkingGrouporSocialResponsibilityManagertodetermineiffurtherinvestigationandescalationisnecessary.Ourcontractswithprivatesecuritycontractorsandouragreementswithpublicsecurityrequirethemtoreportsecurity-relatedincidentsthathavepotentialhumanrightsimplications.

CONTRACT MANAGEMENT WITH PRIVATE SECURITY PROVIDERS

Newmont has a robust supplier management processledbyourSupplierCodeofConductthat sets the minimum expectations for supplierswhowanttodobusinesswithourcompany.TheSupplierRiskManagementProcess(SRiM)detailseverystepfromthepre-qualificationprocesstothefinalcontractmanagementprocess.AllsecuritysuppliersaresubjecttoSRiMpre-screeningcriteriaandadditionalmanagementcontrolstoensurecompliancewiththeVPs.Whenconsideringaprivatesecuritycontractor,beforeexecutingacontract,sitesreview:aprovider’sbackgroundchecksonpastincidentsandallegations;trainingwithrespecttohumanrights,properuseofforce,andweapons;affiliationswithillegalactivity;andanyinvolvementinactivitieswithhumanrightsimplications.

AllcontractorsandsuppliersarerequiredtocomplywiththeVPsandsomecontractswithsecurityserviceprovidersincludereferencetothe United Nations Basic Principles on the Use of Force and Firearms by Law Enforcement Officials, andtheCode of Conduct for Law Enforcement Officials.Specifichumanrightsclausesarealsoincludedthatrequiresupplierstorespect human rights in line with the Universal Declaration of Human Rights,ensuretherearenohumanrightsviolationsintheirsupplychain,andcooperatewithhumanrightsauditsifdeemednecessary.Ongoingcontractmanagementincludesregulartrainingandscreeningofallexistingandnewguardsusingregionalandnationalgovernmentdatabases.

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NUMBER OF PERSONNEL TRAINED

Region SiteNumber of

Sessions Conducted

Total Duration of all Training

Newmont Employees

Public Security

Private Security

Other External

Stakeholders

Africa

Accra Ghana

3 12 110 — — 16

Akyem Ghana

13 17 499 6 147 —

Ahafo Ghana

1 2 318 20 60 —

North/Central America

Marlin Guatemala

Data Not Collected

69 4 18 76 —

Peñasquito Mexico

Data Not Collected

60 1,686 100 570 —

South America

Cerro Negro Argentina

2 2 19 50 44 —

Merian Suriname

10 30 22 51 135 —

Yanacocha 2 Peru

2,223 14,742 8 594 662 —

RELATIONS WITH PUBLIC SECURITY

WhereNewmonthasrequestedadditionalassistancefrompublicsecurityfortheprotectionofitsassets,weensurethereisaMemorandumofUnderstanding(MOU)inplacetoestablishtheexpectationsoftherelationshipandaimtoprovideadditionaltrainingonhumanrightsandtheVPstotheofficialswhoarriveat site.

Newmontusesitsinfluenceandleverage,wherepossible,topromotetheadherencetohumanitarianlawbyourhostgovernments.InPeruandGhana,wefacilitatetrainingandhumanrightsworkshopsforgovernmentofficialsthroughthirdpartyorganizations.Wealsomonitorallinvestigationsofallegedincidentsinvolvingpublicsecurityofficersperformingdutiesonsite.Inthepastyeartherehavenotbeenanymajorincidentsinvolvingpublicsecurityofficersatoursites.

2 Yanacocha’s hours include training sessions with community members, and account for multiple training sessions for private and public security personnel.

See Section (C) Country implementation below for specific information about training for security contractors.

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GHANA

TheAhafominelocatedintheBrongAhafoRegiondirectlyemploysapproximately1,103people,97percentofwhomareGhanaian.Italsoengagesabout2,357contractors,95percentofwhomareGhanaian.Ahafowasthefirstlarge-scalemineintheregion.Priortoitsstart-up,thelocaleconomywascenteredonsmall-scalecommercialfarmingandsubsistenceagriculture.Thereareapproximately110,000peoplelivinginthemine’sdirectareaofinfluence.Ahafoemploysfivesecurityprofessionalsdirectlyand445privatesecuritycontractorswith30routinegovernmentsecuritypersonnelassignedtoNewmont’soperations.

Country Implementation 2019Forthisyear’sreport,wefocusonAhafoandAkyeminGhanaandPeñasquitoin Mexico.

C

TheAkyemminelocatedintheEasternRegiondirectlyemploys781employees,95percentofwhomareGhanaian.Inaddition,theoperationengagesabout1,078contractors.Akyememploysfoursecurityprofessionalsdirectlyand170privatesecuritycontractors.Therewereapproximatelysixgovernmentsecurity personnel present at or near the operationonanongoingbasis.TheAkyemareaofinfluenceincludeseightcommunitiesandapproximately40,000inhabitants.

InadditiontoNewmont’soperatingminesinGhana,fivesecurityprofessionalsand32privatesecuritycontractorsaredeployedattheregionalofficeinAccra.

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Engagement with government, public security and civil society

In2019,Newmontfacilitated,throughtheChamberofMines,aworkshopontheVPsandprotection of human rights for the prosecutors ofthelocalanddistrictpolicedepartments.WealsocontinuetoensurethatallofourengagementwiththeGhanapoliceiscoveredunderaMOUthatrequiresbothparties“toobserveanddefendthehumanrightsandconstitutionalprivilegesofallaffectedpersons”incompliancewiththeUniversalDeclarationonHumanRights,theUnitedNationsBasicPrinciplesandCodeofConductforLawEnforcementOfficialsandtheVPs.InaccordancewiththeMOU,whengovernmentsecuritypersonnelarriveonsite,theyreceivearefresherontheVPsandthemostrelevanthumanrightsrisksfortheirpostsatsite.The

supplierhumanrightsauditfoundthattheserefresherswerevaluableforpersonnel.Weareworkingwiththepolicetofindwaystoprovidetrainingpriortotheirarrivalonsitefortheirshift.

Astrainingofthepoliceincreased,wefoundthatthepoliceperceivedthattheVPsrestricttheirabilitytoconducttheirofficialduties.Tochangethisperception,wefocusedourtrainingonspecificscenariosthatdescribehowpolicedutiescanbedonewhilerespectinghumanrights(i.e.arrestwithoutviolence).Weemphasizetheuseofdialoguetorespect human rights in line with the Ghanaian culture.Wedevelopedanddistributedabooklettothepoliceofficersthatexplainstheseconcepts.

Newmont works with Fund for Peace and a local NGO, West African Network, to promote human rights awareness in the local communities. In 2019, the sites conducted two training sessions on human rights and the VPs in the community.

Fig 1. Title page of booklet distributed by Ghana sites to police officers.

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Engagement with private security

AllcontractorsmustfollowtheSupplierRiskManagement(SRiM)processtoapplyandcontractwithNewmont(seeSection(B)fordetails).Atthecloseof2019,weplacedtheGhanaprivatesecurityservicesoutfortender.Duringtheselectionofanewproviderwewillthoroughlyreviewrelevantauditfindings,thehumanrightsrecord,andtheability to comply with the VPs for all security contractors considered.

During2019,aconfrontationbetweenartisanalminersandprivatesecuritypersonnelresultedinthedeathofacontractsecurityguard.TheHumanResourcesdepartmentprovidedcounselingtoguardswhowitnessedthedeathandanyotheremployeewhofeltaffectedbytheincident.Thesiteconductedariskassessmentandidentifiedkeycontrolstopreventfutureincidents.Forexample,thesitechangeditspatrollingmethods,demarcatedcertainareasasrestrictedandmadeplanstoaddadditionalelectronicsecuritymeasurestoreducetheneedforguardsinhigh-riskareas.

Promotion of the VPs with employees and contractors

OurGhanaoperationshaveprogressivelybeen increasing the number of personnel trainedonhumanrightsandtheVPs.In2019,allemployeesandcontractorsreceivedhumanrightsandVPstrainingonline.In2020,weaimtoincludethesetopicsinourLearningandDevelopmentCenteraspartoftheinductionandannualrefresher.

Artisanal small mining

Managingtheimpactsofsmall-scaleminersisachallengeinGhana.Oursecurityandsocialandexternalresponsibilitydepartmentsworkclosely together to implement our global ArtisanalandSmall-ScaleMiningStrategythatincludessecurity,performance,livelihooddevelopmentandexternalengagementwith,forexample,thegovernmentofGhana.

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PERU

Yanacochaisanopenpitminingoperationthatproduced514,600consolidatedouncesofgoldin2019.Yanacochadirectlyemploysapproximately1,280people,with50percentfromlocalareas,andanother49percentfromotherareasofPeru.Contractorsrepresentanadditional4,288workersasofDecember2019.ThesecurityfunctionatYanacochaconsistsofeightemployeesand583contractors,alongwith594governmentsecuritypersonnelthatroutinelyvisitthesite.

Engagement with government, public security and civil society in 2019

Asnotedabove,weactivelyengagewithanin-countryworkinggroupinthepromotionoftheVPsandthedevelopmentofaNationalActionPlanfortheUNGPsatanationallevel.OurgoalistoencouragePerutobecomeamemberofthe VPs.

WehaveaninterestinensuringthatinPeruallminingcompaniesandcivilsocietyactorsact in a manner respectful of humanitarian lawandthatgovernmentfulfillsitsdutytoprotecthumanrights.WepromotetheVPsandrespectofhumanrightsthroughannualmeetingswithgovernmentpersonnel,regionalandnationalpolicecommanders,theprivatesectorandcivilsociety.Ataregionallevel,Newmontworkswiththelocalpoliceunderasignedagreementtoprovidedonationsandpromoteawarenessofhumanrightsstandards,humanitarianlawandtheVPsamongallnewrecruitsandexistingofficers.In2019,theSociedadNacionaldeMineríayPetroleodePerunominatedNewmonttobetheChairoftheHumanRightsWorkingGroup.Internationally,theHumanRightsSuperintendenthasworkedwithShiftandTheBusinessandHumanRightsCentertoprovidePeru’sperspectiveontheimplementationoftheVPsandtheUNGuidingPrinciples,especiallyonthemosteffectivemethodologiesforhumanrightsduediligence.

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Engagement with local communities

TheYanacochamineobservesdailytheimportanceofsecurityandhumanrights,andtheimpactsofconflict.Violenceandinsecuritymaysuspendsocialdevelopmentprojectsandleadtonegativeimpactsonthemostvulnerablepeople.TheYanacochaSecuritydepartmenthasworkedhardtoreducetensionswithlocalcommunitiesandhasestablishedaseriesofprogramstoimproverelationsbetweensecurityandthecommunity.Securityengagesthecommunitythroughparticipationincorporate-sponsoredcommunityevents,healthcampaignsanddirecttrainingonsecurityissues.

ForyearsthesitehasworkedcloselywiththeRondascampesinas(localcommunitylawenforcement)tohelpthemformalizeandpromote awareness on the appropriate use offorce.Annually,weorganizeaseminarforalltheRondasintheareaofinfluenceofYanacochaandConga.Attheseminar,thePoliceconductapresentationaboutlawful

useofforceandthelimitsoftheir authority andYanacochapresentsonhumanrightsandtheVPs.

Everyyear,theSecuritydepartmentholdsafairwith40communitiestopromoteinteractionbetweenYanacochaemployeesandthecommunity.Thefairincludesfoodandactivitiesforthechildren.Securitystaffservesthefoodandhaspositiveandmorepersonalinteractionswiththecommunity.Withtimemoreandmorecommunitieshavejoined.Securitystaffestimatethatthisactivityhashelpedreducephysicalconfrontationswithsecurityguardsby60percentandincreasepositiveengagementwiththecommunity.

SecurityalsoparticipatesinseveralcivicactionsledbytheSocialResponsibilitygroupsuchashealthcampaignfordoctorsand dentists.

In2019,YanacochaimplementedanewprogramforfemaleRonderascalledOjos Propios.TheSecuritydepartmentprovidedcamerastothewomenandtrainedthemontheirusesotheycoulddocumenttheirdailylivesandstruggleasmothers,sistersandRonderas.Over300womenparticipated.Locally,thephotoswereexhibitedinagalleryandapublicationwasdistributed.Weaimtocreateanetworkwiththewomenwhoparticipatedandworkwiththeminthefuture.

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Engagement with private security

YanacochacontractssecurityprovidersfollowingtheSRiMprocess.Thecontractwiththesite’ssecurityproviderincludescompliancewiththeVPs,allNewmontCodesandpolicies,andtheUniversalDeclarationofHumanRightsthatprohibitsallformsofchildlabor.Athird-partyauditorassessedcontractorcompliancewithitscontractandtheVPsin2019.Allrecommendationswereimplemented.

YanacochaprovidesVPstrainingfocusedonthepracticalimplementationoftheuseofforceandrelevanthumanrightsriskstoallsecuritycontractoremployeesandNewmontmanagersofthesecontracts.Thetrainingalsoincludesawarenessofthegrievancemechanism,riskassessmentanddesiredbehaviorofcontractors.In2019,weextendedtrainingtothesecuritycontractorsresponsibleforgoldshipments.

Promotion with all employees

Allemployeesreceiveaninductionthatincludesinformation about Newmont’s human rights commitments.Everyyearemployeeswithaccesstoacomputerreceiveanonlinehumanrightstraining.Individualdepartmentsreceiveadditionaltrainingonhumanrightsrisksspecifictotheirareaofwork.Forexample,thepermittingareareceivestrainingontheproceduresforaccesstolandandrelatesthesetotherespectofpropertyrightsandcommunityrelations.EveryquartertheSiteLeadershipTeamreceivesabriefpresentationonhumanrights.TheHumanRightsSuperintendentforYanacochaisavailableforanyconsultationregardinghumanrightsconcernsor questions.

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MEXICO

Peñasquitoisanopenpitminingoperationthatproduced187,195consolidatedouncesofgoldin2019.Ofthe6673employeesandcontractorsemployedbythemine,22.8percentarefromthecommunitiessurroundingPenasquito,42.2percentfromtheStateofZacatecas,33.6percentfromotherstatesinMexicoand1.4percentothercountries.ThesecurityfunctioninMexico(includingPeñasquitoandallsatelliteoperations)consistsofnineemployeesand327contractors.

Promotion activities with government, public security and civil society

Throughout2019,sitesecurityengagedwiththeGovernorandSub-GovernorofZacatecastodiscussthesecuritysituationintheState.Inlate2019,NewmontmadeaformalrequesttotheStateGovernmenttosendpublicsecuritytothemineareatoprovidesecuritytothesurroundingcommunitiesduetoheightenedinsecurityandincreasedviolence.Thesiteisfacilitatingthisservicebyprovidinghousingonsiteandmealstothepublicofficials.Thenumberofofficialsfluctuates,asdoesthebranchofsecuritybetweenStatePolice,MinisterialPoliceandtheNationalGuard.Uponarrivaltosite,allpublicsecurityofficialsreceiveapresentationonPeñasquito’sexpectationsconcerningtheuseofforce,VPsandhumanrights.

Engagement with private security contractor

Monthly,Peñasquitomonitorsitssecuritycontractorperformanceagainst13KPIs,sevenofwhicharetiedtocompensation.Threeofthese targets help track VP implementation: (1)100percentgovernmentbackgroundchecksuptodate,(2)100percenttrainingprogramsarecompletedasplanned,and(3)zerocrediblecommunitycomplaintsaboutahumanrightsviolation.

Allguardsreceivedetailedtrainingonhumanrightsandtheappropriateuseofforce.In2019,thesitetrainedallofitsguardsonchildrightsandtheproperimplementationoftheprocedureonthetreatmentofminorsaspart of the site’s compliance with the UNICEF Checklist on Child Rights and Security.

Promotion with employees and contractors

Allemployeesandcontractorscompleteathree-dayinductionthatincludesinformationontheVPsandhumanrights.Asmanyoftheemployeesandcontractorsarefromthelocalcommunities,thishelpstopromotethe site’s commitment to the VPs with local community members.

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Sharing best practices across sites

TheacquisitionofGoldcorpgaveNewmontsites the opportunity to learn how other sitesareimplementingtheVPs.In2019,fourlegacyGoldcorpsitesinCanadaandoneNewmontsiteintheUSAconductedadesktopassessmentagainsttheVPs.ItwasausefulexercisetodeterminehowtheVPscanbeappliedinCanada/USAorotherlowriskoperatingjurisdictionssuchasAustralia.TheassessmentendedwithawebinarwithrepresentativesfromacrossNewmont’ssitessotheycouldlearnfromoneanother,identifygapsanddiscusshowtheycouldfillthegapsgoingforward.Weidentifyadditionalgoodpracticesfromvarioussitesonanongoing basis.

Raising the bar for all sites to the highest of both companies’ standards

Uponannouncingtheacquisition,Newmontreviewedandmappedallsustainabilityandexternalrelationsstandards(includinghumanrights)forbothcompanies.ThemappingexerciseconcludedthattheNewmontstandardshadmoredetailedandstringentrequirements.TheseNewmontstandardswereadoptedforthecombinedcompany.

Asindicatedabove,theSecurityDepartmentwillconductasimilarmappingexercise.ItislikelythattheNewmontstandardsforriskassessmentandotherareaswillbeadoptedandcertainbestpracticesfromtheGoldcorpsiteswillbeconsidered.Forexample,toensure compliance with the Convention on the Rights of the ChildandtheUN Rules for the Protection of Juveniles Deprived of their Liberty,legacyGoldcorpsites,suchasPeñasquitoandMarlin,havedevelopedaspecificprocedureforguardsonhowtotreatminorswhoarefoundtrespassingintothe sites.

Lessons and IssuesINTEGRATION OF VOLUNTARY PRINCIPLES IMPLEMENTATION: BENEFITS AND CHALLENGES

Overall,theintegrationprocessfortheimplementationoftheVPsatNewmonthasprovedtobebothbeneficialandchallengingatourminesites.

D

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Policy implementation challenges

Whiletheintegrationofpoliciesshouldincreaseperformanceacrossallsites,someNewmont policies present a challenge for the implementationoftheVPsatlegacyGoldcorpsites.Mostnotably,severallegacyGoldcorpsiteshaveapracticeofhiringarmedprivatesecurityguards,whichdoesnotalignwithNewmont’s Sustainability & Stakeholder Engagement Policy’s commitment of no weaponsonsite.In2020,Newmontwillassesstheriskofcontractingarmedsecuritycontractors,identifynecessaryproceduralcontrolsandmovetowardscompliancewithcompanypolicies.

IT and reporting systems alignment

Bothcompaniesreliedondifferentsupportsystemsforhumanresources,incidentreportingandinvestigations,andgrievancemechanisms.In2020,NewmontwillintegratethesesystemsandtrainpersonnelofthoseregionswithbothNewmontandlegacyGoldcorpsites.

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