TSM ASSESSMENT PROTOCOL

Transcription

1 TSM ASSESSMENT PROTOCOL A Tool for Assessin External Outreach Performance Introduction Launched in 2004, Towards Sustainable Minin (TSM) is an initiative of the Minin Association of Canada desined to enhance the industry s reputation by improvin its performance. MAC members subscribe to TSM uidin principles, a set of commitments that address all areas of our industry s performance. These uidin principles are backed by specific performance indicators, which member companies bean reportin aainst in These indicators are desined to identify the industry s current performance in key performance areas, and point to actions that could be taken to improve it. Areas for which performance indicators have been developed include tailins manaement, enery use and reenhouse as emissions manaement, external outreach and crisis manaement plannin. This document provides a tool to assist companies in the assessment of the standard of external outreach currently bein implemented by their facilities (see Q&A on facilities at the end of this document), in accordance with the TSM external outreach performance indicators. It enables key performance indicators to be sereated and performance improvements for each indicator tracked year to year. The use of this protocol also enhances the consistency of assessments conducted across companies. In addition, this tool has been desined to enable external verification of company performance, consistent with the TSM verification system and the initiative s commitment to transparency and accountability. Assessin External Outreach Implementation The purpose of the assessment protocol is to provide a framework for verifyin that the reported company evaluation aainst TSM indicators reflects company performance. The assessment protocol sets out the eneral expectations of MAC for external outreach by its member companies in support of the TSM initiative. Verification should also: Assist member companies to develop capacity to monitor and improve performance; and; Provide a basis for company assurance As with any assessment of a manaement system, professional judment is required in assessin the deree of implementation of a system indicator and the quality of manaement processes and intervention. Application of this protocol will therefore require a level of expertise in auditin and systems assessment and some knowlede of and experience in the practice of external outreach. This assessment protocol provides an indicator of the level of implementation of external outreach in support of the TSM initiative and is not, of itself, a uarantee of the effectiveness of external outreach activities. Minin Association of Canada External Outreach Assessment Protocol - Dec

2 Performance Indicators Four performance indicators have been established. 1. Community of Interest Identification 2. Effective COI Enaement and Dialoue 3. COI Response Mechanism 4. Reportin Five levels of performance are identified for each indicator. Criteria further define performance at each level, as illustrated below. External Outreach Assessment Criteria Level Criteria 1 No systems in place; activities tend to be reactive; procedures may exist but they are not interated into policies and manaement systems 2 Actions are not fully consistent or documented; systems/processes planned and bein developed 3 Systems/processes are developed and implemented 4 Interation into manaement decisions and business functions 5 Excellence and leadership Criteria for each performance indicator are provided in subsequent tables, which enable the assessor to determine an appropriate level of performance (Levels 1-5). When conductin the assessment, assessors should note that the four indicators complement one another. As such, performance improvements in one indicator may depend and/or coincide with performance improvements in another. For example, improved performance in COI enaement and dialoue (Indicator 2) is unlikely to occur unless COI identification has also improved. The assessor is required to select the level that most clearly represents the status of the operation. Only one level can be selected for each indicator. Where a performance element or indicator is not relevant, then an assessment of N/A should be assined. The oal of each MAC member is to achieve, at a minimum, a consistent 3 rankin on the TSM External Outreach assessment and to work towards continuous improvement. Minin Association of Canada External Outreach Assessment Protocol - Dec

3 Facility-level Assessments Respondents are expected to provide facility-level assessments for each specified indicator, as approved by the MAC Board. Facility-level reportin has been found to be the most reliable, informative and useful approach for performance evaluation. The External Outreach Contact and Reportin Form has been desined to facilitate assessment on a facility by facility basis. This will provide consistency with other MAC data collection practices in areas related to public reportin of external outreach practices. Structure of the Assessment Protocols For each indicator, the protocol provides: A statement of purpose that expresses the spirit and intent of the indicator Assessment criteria for each level of performance Supportin uidelines to help the assessor to understand the eneral scope of each indicator and to act as a framework for reviewin documentation and conductin interviews necessary for the assessment of the facility s (or company s) performance Minin Association of Canada External Outreach Assessment Protocol - Dec

4 1. COMMUNITY OF INTEREST (COI) IDENTIFICATION Purpose: To confirm that efforts have been made to identify COI affected or perceived to be affected by their operations or who have a enuine interest in the performance and activities of a company and/or operation. Communities of Interest (COI) Identification Assessment Criteria Level Criteria 1 COI have not been identified 2 Some local or direct COI have been identified Plans are in place to develop a formal system for identifyin COI 3 A formal and documented system is in place for COI identification at the local or site level that includes challenin interests 4 The formal and documented system in place for identification of COI at the site includes COI whose interest in the operation may be indirect and issues-based (e.., provincial and national NGOs) 5 The COI themselves are invited to provide reular input into the identification of COIs to ensure that consideration is iven to a broad rane of interests Communities of Interest (COI) Identification Supportin Guidelines Throuh interview and review of documentation, determine that: Communities of Interest (COI) have been formally identified and documented. There is a formal system for identifyin COI. There is an interactive process that involves COI in identifyin other roups or communities that should be considered a COI. Minin Association of Canada External Outreach Assessment Protocol - Dec

5 2. EFFECTIVE COI ENGAGEMENT AND DIALOGUE Purpose: To confirm that processes have been established to communicate with COI to understand their viewpoint, to transparently inform them of company activities and performance, and to actively enae them in dialoue and participation on issues of concern to them. Effective COI Enaement and Dialoue Assessment Criteria Level Criteria 1 Communications with COI are reactive. The facility has no formal enaement and dialoue processes. COI are neither consulted nor enaed. Communications are typically one way only. 2 Informal enaement processes are in place, and occasional dialoue occurs with COI. There are plans to develop formal COI enaement systems, but they have not been implemented. 3 Formal and documented COI enaement and dialoue systems are in place. The facility provides assistance to ensure COI are able to participate in enaement and dialoue processes, where appropriate. Communications are written in the local lanuae for COI (as required) and are written in lanuae that is clear and understandable to COI. Clear accountability has been established for COI enaement and dialoue. Time is built into processes to allow for meaninful review of proposals by COI. Relevant materials are provided to COI for review in a timely manner. 4 COI input into decisions that affect them is actively encouraed Minin Association of Canada Processes exist to identify the needs of COI for capacity buildin to allow COI to enae in effective participation on issues of interest or concern to them. Accountability for COI enaement and dialoue rests with operations senior manaement. Senior manaement reviews enaement and dialoue systems and processes annually. Enaement and dialoue trainin is provided to desinated employees. External Outreach Assessment Protocol - Dec

6 Effective COI Enaement and Dialoue Assessment Criteria continued 5 Formal mechanisms or areements with COI are in place to ensure they can effectively participate in issues and influence decisions that may interest or affect them. The facility has a consistent history of meaninful enaement with COI. Formal processes to build the capacity of COI to allow them to effectively participate in dialoue exist. COI contribute to periodic reviews of enaement processes to allow continual improvement. Effective COI Communications and Enaement Processes Supportin Guidelines Throuh interview and review of documentation, determine: That COI are reularly enaed. That the outcomes of the dialoues are documented. That the communication and enaement process includes formal areements with COI respectin the process for dialoue. That assistance is provided to COI, as appropriate, to allow them to effectively participate in dialoue. That the communications to COI are clear, understandable and take place sufficiently early for meaninful dialoue to take place. Accountabilities for COI dialoue within the company/facility. That there is participation by COI in decisions that may interest or affect them. That the COI enaement and dialoue process is reularly reviewed to ensure it remains effective. Who is responsible for the process review, includin receivin reports on outcomes. That employees involved in external outreach receive trainin on enaement and dialoue. That there are processes to assist COI in developin their skills in effective dialoue. Minin Association of Canada External Outreach Assessment Protocol - Dec

7 3. COI RESPONSE MECHANISM Purpose: To confirm that there are processes to receive complaints and concerns from COI to ensure that they are understood and effectively responded to. COI Response Mechanism Assessment Criteria Level Criteria 1 Minimal effort has been made to understand or incorporate COI concerns. There are no systems to track or respond to COI concerns. 2 The facility has an incomplete knowlede of COI concerns. The facility ives occasional consideration to COI concerns, based mostly on assumptions and sporadic consultations. An informal complaint system exists. Plans exist to develop a formal complaint and response system. 3 The facility has a ood understandin of COI concerns and documents them. A formal complaint and response system is in place with processes for follow-up and trackin. COI input is considered in decision makin. 4 The facility has a thorouh, documented knowlede of COI issues and concerns. The facility analyzes and acts upon the input received from COI. Senior manaement considers results of the enaement and dialoue processes at least annually to determine if and how to act upon them. Sufficient time is built into site processes to consider and respond to COI concerns before specific plans are carried out by the company. 5 The facility collaborates with COI to establish and achieve common objectives. Collaboration extends to address common community oals. Minin Association of Canada External Outreach Assessment Protocol - Dec

8 COI Response Mechanism Supportin Guidelines Throuh interview and review of documentation, determine that: Formal systems for understandin, trackin and respondin to COI concerns are in place. Senior manaement reularly reviews dialoue processes to ensure that it remains effective and is responsive to concerns. COI are consulted in a timely manner, and their concerns and comments considered prior to decision-makin by the company. Issues of mutual concern are addressed collaboratively. Minin Association of Canada External Outreach Assessment Protocol - Dec

9 4. REPORTING Purpose: To confirm that reportin on community enaement and dialoue activities is open and transparent. Reportin Assessment Criteria Level Criteria 1 No reportin on community enaement occurs beyond reulated requirements. 2 Reportin on community enaement and dialoue activities is inconsistent. Reportin is internal only. 3 Formal reportin systems on community enaement and dialoue activities are in place. The system includes responses to COI on concerns raised by them. 4 Response to COI concerns is reported publicly on a reular basis. Opportunities exist for COI to provide feedback on public reportin. 5 COI provide input into the scope of public reportin. COI feedback on enaement and dialoue processes and outcomes is actively souht and reported publicly. Reportin Supportin Guidelines Throuh interview and review of documentation, determine: That the company reularly reports on its community enaement and dialoue activities. How these reports are released (i.e. internally only, to the COI only, publicly?). What information is included in the reports. Whether reportin systems are formalized. That COI input is souht on reportin processes and outcomes. That COI provide input into the scope of public reportin. Minin Association of Canada External Outreach Assessment Protocol - Dec

10 Frequently Asked Questions 1. What is a Community of Interest (COI)? COI include all individuals and roups who have an interest in, or believe they may be affected by, decisions respectin the manaement of operations. They include, but are not restricted to: employees Aboriinal or indienous peoples minin community members suppliers neihbours customers contractors environmental oranizations and other non-overnmental oranizations overnments the financial community, and shareholders. 2. Can partial levels of performance be reported (e.. 2.5)? Only one level can be selected for each indicator. Where a performance element or indicator is not relevant, then an assessment of N/A should be assined. 3. How should the assessment be undertaken? It is recommended that the assessment be completed usin a process of documentation review, interview and discussion includin representative site manaement, operations and environmental personnel. A level of expertise in auditin and systems assessment and some knowlede of and experience in the practice of external outreach is required. 4. How should split responsibilities be addressed? formal Where an operation is shared between two parties, e.. a joint venture, the two parties are encouraed to discuss amonst themselves who should complete the assessment, whether it should be undertaken jointly or divided so that the results reflect the appropriate activities of each company. 5. What does mean? The term formal is used frequently in the assessment, and usually in conjunction with system or process. Formalized processes or activities are usually iven status throuh clear and precise requirements, usually Minin Association of Canada External Outreach Assessment Protocol - Dec

11 documented as a written procedure. This means that the business can clearly and easily demonstrate that the process or system is in place. It would also typically require documented processes or an audit trail. 6. What is a System? A system, or manaement system represents processes that collectively provide a systematic framework for ensurin that tasks are performed correctly, consistently and effectively to achieve a specified outcome and to drive continual improvement in performance. A systems approach to manaement requires an assessment of what needs to be done, plannin to achieve the objective, implementation of the plan and review of performance in meetin the set objective. A manaement system also considers necessary personnel, resources and documentation requirements. Other definitions associated with systems are: Policy: The formal expression of manaement s commitment to a particular issue area that presents the stance of the company to interested external parties. Practice: Informal, undocumented approaches to carryin out a task. Procedure: A formalized, documented description of how a task is to be carried out. 7. What does effective mean? Where the term effective is used, it requires the element to be fully operational in order that desired outcomes can be achieved. 8. What does clear and understandable mean? Clear and understandable means that lanuae in communications is at a readin level that is appropriate for the typical educational level of attainment of COIs and is free from technical jaron. 9. What is meant by capacity buildin? Capacity buildin refers to the development, fosterin and support of resources and relationships at individual, oranizational, inter-oranizational and systems levels. 10. What are enaement and dialoue? Enaement is a process of two-way communication that addresses the specific needs for information of COI and the company/facility in a way that is understandable to the participants in the discussion. Dialoue is a form of communication that leads to shared understandin between participants. 11. What is meant by facility? A facility is a distinct operatin unit of a company to which the performance indicators can be applied. It is reconized that companies may cateorize their facilities in different ways. Minin Association of Canada External Outreach Assessment Protocol - Dec

12 12. How does one assess facility-level performance when some of the indicators apply to company or corporate office responsibilities? The measurement of external outreach performance is most relevant at the facility level. For example, policies, prorams and resources that support enaement and dialoue processes are often provided or reinforced at the corporate level that uide or complement facility-level activities. A full assessment of facility-level enaement and dialoue systems will want to take this into account. 13. Can corporate documentation be used to demonstrate facility-level commitment? Written senior manaement commitment at the corporate level (e.. a corporate policy) can only be accepted as evidence durin a facility-level self-assessment or TSM verification if it is accompanied by evidence that the corporate commitment is bein applied and adhered to at the facility level. There must be evidence of a link between the corporate documentation and facility-level practices. If this linkae is established, then the corporate documentation can be accepted as evidence of facility-level commitment. 14. How is senior manaement defined? For the purposes of external outreach performance measurement, senior manaement refers to the corporate and/or site personnel with overall responsibility and accountability for enaement and dialoue processes. For lare oranizations with many sites, outreach takes place at several levels community, reional and national. In these circumstances, senior manaement describes personnel with overall responsibility for outreach at each of the various levels. Minin Association of Canada External Outreach Assessment Protocol - Dec