E5 PROTOCOL SELF-ASSESSMENT WORKBOOK

WORKBOOK INSTRUCTIONS
1 Based upon the facility review and self assessment, facilities need to insert an "X" in the appropriate column to the
E1- Self Assessment
E2- Self Assessment
E5- Self Assessment
E6- Self Assessment
E7- Self Assessment
2 The # of elements in place for each of the E5 Protocols will automatically be tabulated in the worksheet titled "E5 A
such that it changes the calculations or references to cells). Multipliers of "0" for No Implementation, "1" for Partial
calculating the # of elements in place.
Calculation Example:
None Partial Full NA
Multiplier 0 1 2
E1 Air
Emissions -
Elements 0 5 0 4
Completed
% of Elements in Place = [(# of "None" Elements in Place x 0) + (# of "Partial" Elements in Place x 1) + (# of "Full" Elements in Place x 2)] / (# o
% of Elements in Place = [(0 x 0) + (5 x 1) + (0 x 2)] / (5x 2)] = 50%
3 The ranking color coding (red, yellow, or green) will be automatically generated on the workbook tab titled "Scoreca
% of Elements in
Rank Place
Low High
No Implementation 0% 9%
Partial Implementation 10% 94%
Full Implementation 95% 100%
4 The facilities self assessment evaluation is automatically carried over to the tabs titled:
E1- Planning Tool
E2- Planning Tool
E5- Planning Tool
E6- Planning Tool
E7- Planning Tool
The purpose of these worksheets is to assist facilities in developing a strategy for addressing any deficiencies iden
KBOOK INSTRUCTIONS
"X" in the appropriate column to the questions on the E5 Protocol workbook tabs titled:
bulated in the worksheet titled "E5 Assessment Summary" (as long as the workbook is not modified or changed
or No Implementation, "1" for Partial Implementation and "2" for Full Implementation are used for the purpose of
# of
Possible
elements in
Place
1) + (# of "Full" Elements in Place x 2)] / (# of Possible Elements x 2)
on the workbook tab titled "Scorecard Summary" based upon the following criteria for the % of elements in place:
for addressing any deficiencies identified in the self assessment process

Issue Date: 1/18/2008
Revision Date: 1/19/2008
E5 PROTOCOL SELF ASSESSMENT SCORECARD SUMMARY
Ranking Criteria
% of Elements in
Rank Place
Low High
No Implementation 0% 9%
Partial Implementation 10% 94%
Full Implementation 95% 100%
ls
ia
er
at
ie id
&
t sM
lit o l
n g
er
s
s
tio in
ci S
on
er at
en ou
ta in
Fa ls
si
at w
em ard
ili t M
e
e era
is
w te
am
Em
m as
ab s
ag az
a g in
o
N
or W
or M
an H
eh P
ir
y
M -
St -
R 6-
St -
lit
-A
E2
E5
E7
ci
E
E1
Fa
0% 0% 0% 0% 0%
YACIMIENTO AREQUIPA
R R R R R
Issue Date:
Revision Date:
EHS E5 PROTOCOL SELF ASSESSMENT PERFORMANCE SUMMARY
Business unit Name YACIMIENTO AREQUIPA

BU Location: SUD-AMERICA
Assessment Date: April 8, 2008
# of elements in place
E5 GLOBAL STANDARDS
None Partial Full NA
E5 - Environmental Standards
E1 - Air Emissions 0 0 0 0
E2 - Hazardous Materials Management 0 0 0 0
E5 - Wastewater & Stormwater 0 0 0 0
E6 - Post Mining Rehabilitation 0 0 0 0
E7 - Minerals Solid Storage Facilities 0 0 0 0
E5 Environmental Standards Total 0 0 0 0
EHS STANDARDS TOTALS 0 0 0 0
4 359404181.xlsE5 Assessment Summary

SUMMARY
place
%
elements
Possible in place
9 0%
16 0%
13 0%
13 0%
13 0%
64
64
5 359404181.xlsE5 Assessment Summary

EHS Audit Protocol E-1 - Air Emissions

Self Assessment Tool
Insert "X" in Appropriate Space

Protocol Element Comment
None Partial Full N/A
Are all air emission sources identified and characterized sufficiently in

order to determine the applicability of local regulations and the need for
permits/licenses, as well to manage relevant risks?
1
Are all necessary permits, licenses, or other authorizations obtained and

maintained as required by applicable regulations?
2
Is air emissions control equipment, as well as other operating equipment

that can impact air emissions, maintained in proper and effective
operating condition?
3
Are employees operating and maintaining air pollution control equipment

and other operating equipment that can impact air emissions
knowledgeable of applicable requirements and competent to carry our
their roles?
4
Is particulate matter controlled from all sources at all facilities so there is

no adverse off-site impact under normal operating conditions?
5
Is a process in place to ensure that impacts on air emissions from

modifications to existing plant operations or development of new
facilities are considered in order to minimize adverse effects on the
environment and ensure regulatory compliance?
6
Is a process in place to ensure that air pollution and odor complaints are
investigated to identify potential causes and the need for
corrective/preventive actions, and follow-up communications with the
complainant take place, where appropriate?
7
Are chlorofluorocarbons (CFCs) and other ozone depleting substances

(ODSs) inventoried and managed with care to prevent leaks?
8
Are substitute materials used in place of CFC's and other ODS's if cost-
effective and readily available?
9
EHS Audit Protocol E-2 - Hazardous Materials and Toxic Substances Management

Do hazardous materials storage procedures ensure physical protection

of the storage container/area, secondary containment or other practical
methods to contain spills, and segregation of incompatible materials?
1
Are all containers of hazardous materials (including toxic substances)

labeled as to their contents and include appropriate hazard warnings?
2
Are all personnel working with, or in the area of, hazardous materials or
toxic substances made aware of the safe work practices and PPE to
safeguard against specific hazards?
3
Are MSDSs or other comparable safety information for each hazardous

substance used maintained on-site in a manner that is readily accessible
to employees and in the employees local language?
4
Are hazardous materials and toxic substances managed to minimize

waste generation (e.g., procurement and inventory controls, operational
procedures)?
5
Are underground tanks containing hazardous materials eliminated or is

integrity testing and inventory monitoring carried out on a frequency
appropriate to the age, type and content of the tank and piping?
6
Do all new, underground tanks that contain hazardous materials have

secondary containment, leak detection and corrosion protection?
7
Are aboveground tanks containing hazardous materials provided with

secondary containment and spill and over-fill controls?
8
Are all tanks, containment areas, and associated equipment inspected

regularly for evidence of corrosion, leaks, or spills?
9
Are inspection findings documented and corrective measures taken, as

appropriate?
10
Is tank instrumentation, such as level indicators, tested and calibrated to

ensure correct operation?
11
Before a contractor is authorized to work on-site, does he/she receive a

safety orientation that provides warning of the hazards of the hazardous
materials and toxic substances in their work areas?
12
Are materials and equipment that contain polychlorinated biphenyls

(PCBs) identified?
13
Is there a process to ensure that hazardous materials usage and

storage aspects are factored into the design of new facilities or
modifications to existing operations?
14
Where practical, are less toxic materials substituted to reduce the risks
posed by hazardous materials?
15
Does management ensure adequate resources are allocated to meet

this standard and that personnel are competent to work with or around
hazardous materials based on experience, education or training?
16
EHS Audit Protocol E-5 - Wastewater and Stormwater


Are all water discharge sources identified and characterized sufficiently

in order to determine the applicability of local regulations and the need
for permits/licenses, as well to manage relevant risks?
Are permits, licenses, or other authorizations obtained from governing

agencies for all discharges, as required?
2
Are discharges monitored to ensure that they meet the applicable

standards and requirements of the governing agencies?
3
Where there are no permit or license requirements, do the wastewater

discharges not create significant degradation of the local water quality?
Are facilities and equipment that may impact wastewater discharges

maintained in proper and effective operating condition?
5
Does management ensure that adequate resources (including

competent personnel) are available to conduct activities required to
effectively manage wastewater and stormwater?
Are industrial and mining facilities operated in a manner that eliminates

or minimizes the potential for contamination of stormwater?
7
Is there a process in place to ensure that when making modifications to

existing plant operations or developing new facilities, the impacts on
wastewater generation are considered in order to minimize adverse
effects on the environment and ensure regulatory compliance?
8
Are existing operations periodically reviewed to consider wastewater

minimization, water re-use or treated water re-use options?
9
Is sanitary wastewater treated prior to discharge to surface water, either

in an off-site, centralized treatment facility or in an on-site system?
10
If an on-site system is used, is the system designed for the appropriate

population and usage and septic systems used only if explicitly
authorized by regulatory authorities?
11
Is a process in place that unauthorized disposal of waste materials to

the surface water or ground water does not occur?
12
Are practical methods for erosion and sedimentation control used so that
storm water runoff and mine drainage will minimize deposition of
sediments or mineral solids in drainage ditches or waterways beyond
the property?
13
EHS Audit Protocol E-6 - Post Mining Rehabilitation


Has an EIA been conducted by a Qualified Environmental Expert for the

mining operations/processing facility?
1
Does the EIA include a baseline assessment of existing environmental

conditions including, at a minimum, the following environmental
conditions: biodiversity, surface vegetation, land use, and topography?
2
Does the EIA include a description of the potential impacts of the Imerys
operations on existing environmental conditions?
3
Does the EIA include recommendations for minimizing the potential

impacts of the Imerys operations on existing environmental conditions?
4
Has a Mining Rehabilitation Plan (MRP) been devleoped for the

operating facility?
Does the MRP describe actions to be taken to minimize the potential

impacts of the Imerys operations on the environmental conditions?
6
Does the MRP describe the rehabilitation methodologies to be

implemented during the operational phase as well as during final
rehabilitation?
7
At a minimum, does the MRP include an element regarding final surface

vegetation?
8
At a minimum, does the MRP include an element regarding post-mining

land-use at closure?
9
At a minimum, does the MRP include an element regarding final

landforms and topography?
10
At a minimum, does the MRP include an element regarding timetables to

achieve the above stages?
11
At a minimum, does the MRP include an element regarding costs of

restoration/restoration provision. See Imerys Accounting Standards and
Financial Consolidation Umbrella Policy, 7200 Mining?
12
At a minimum, does the MRP include an element

regardingImplementation of a progress review and feedback process?
13
EHS Audit Protocol E-7 - Mineral Solids Storage Facilities


Are all MSSFs associated with facility will be designed and maintained
to prevent unreasonable risk of injury or damage?
1
Are all new MSSFs designed by a Qualified Geotechnical Expert?
Is a sytem or process in place to ensure that all changes and

modifications to existing MSSFs are reviewed by a Qualified
Geotechnical Expert?
3
Are all MSSFs associated with facility operations periodically inspected

by a Qualified Geotechnical Expert?
4
Is each MSSF inspection documented in an inspection report comparing

the designs and/or permit requirements with actual conditions?
5
If neither a design nor a permit are available for a MSSF, has an as-built
design been created by a Qualified Geotechnical Expert?
6
Do all MSSFs associated with the facility opertions have a standard

operating procedure (SOP) which describes the methodologies for the
conveyance, deposition and storage of the mineral solids?
7
Do the SOPs include the frequency of inspections as well as the

operational guidelines and constraints for MSSFs?
8
Does the SOP include constraints for structures retaining water, such as
polishing ponds, to ensure sufficient detail for safe operation?
9
Is the SOP written by a Qualified Geotechnical Expert?
10
Are substantive or technical changes to the SOPs reviewed and

approved by a Qualified Geotechnical Expert?
11
Has the facility developed and implemented an MSSFs emergency

action plan (EAP) describing actions to be taken to reduce potential
injuries and damage in the event of a failure?
12
Does the EAP include a communication system designed to inform the

Imerys management, regulatory agencies, and local community safety
authorities in an appropriate manner in the event of a failure?
13
EHS Audit Protocol E-1 - Air Emissions

Improvement Planning Tool
Protocol Element Corrective Action Plan Responsible Person(s) Target Completion Date(s)
Are all air emission sources identified and characterized

sufficiently in order to determine the applicability of local
regulations and the need for permits/licenses, as well to
manage relevant risks?
1
Are all necessary permits, licenses, or other authorizations

obtained and maintained as required by applicable
regulations?
2
Is air emissions control equipment, as well as other

operating equipment that can impact air emissions,
maintained in proper and effective operating condition?
3
Are employees operating and maintaining air pollution

control equipment and other operating equipment that can
OK
impact air emissions knowledgeable of applicable
requirements and competent to carry our their roles?
4
Is particulate matter controlled from all sources at all

facilities so there is no adverse off-site impact under
normal operating conditions?
5
Is a process in place to ensure that impacts on air
emissions from modifications to existing plant operations or
development of new facilities are considered in order to
minimize adverse effects on the environment and ensure
6 regulatory compliance?
Is a process in place to ensure that air pollution and odor
complaints are investigated to identify potential causes and
the need for corrective/preventive actions, and follow-up
communications with the complainant take place, where
7 appropriate?
Are chlorofluorocarbons (CFCs) and other ozone depleting

substances (ODSs) inventoried and managed with care to
prevent leaks?
8
Are substitute materials used in place of CFC's and other

ODS's if cost-effective and readily available?
9
EHS Audit Protocol E-2 - Hazardous Materials and Toxic Substances Management
Do hazardous materials storage procedures ensure

physical protection of the storage container/area,
secondary containment or other practical methods to
contain spills, and segregation of incompatible materials?
1
Are all containers of hazardous materials (including toxic

substances) labeled as to their contents and include
appropriate hazard warnings?
2
Are all personnel working with, or in the area of, hazardous

materials or toxic substances made aware of the safe work
practices and PPE to safeguard against specific hazards?
3
Are MSDSs or other comparable safety information for

each hazardous substance used maintained on-site in a
manner that is readily accessible to employees and in the
employees local language?
4
Are hazardous materials and toxic substances managed to

minimize waste generation (e.g., procurement and
inventory controls, operational procedures)?
5
Are underground tanks containing hazardous materials

eliminated or is integrity testing and inventory monitoring
carried out on a frequency appropriate to the age, type and
content of the tank and piping?
6
Do all new, underground tanks that contain hazardous

materials have secondary containment, leak detection and
corrosion protection?
7
Are aboveground tanks containing hazardous materials

provided with secondary containment and spill and over-fill
controls?
8
Are all tanks, containment areas, and associated

equipment inspected regularly for evidence of corrosion,
leaks, or spills?
9
Are inspection findings documented and corrective

measures taken, as appropriate?
10
Is tank instrumentation, such as level indicators, tested and
calibrated to ensure correct operation?
11
Before a contractor is authorized to work on-site, does

he/she receive a safety orientation that provides warning of
the hazards of the hazardous materials and toxic
substances in their work areas?
12
Are materials and equipment that contain polychlorinated

biphenyls (PCBs) identified?
13
Is there a process to ensure that hazardous materials

usage and storage aspects are factored into the design of
new facilities or modifications to existing operations?
14
Where practical, are less toxic materials substituted to

reduce the risks posed by hazardous materials?
15
Does management ensure adequate resources are

allocated to meet this standard and that personnel are
competent to work with or around hazardous materials
based on experience, education or training?
16
EHS Audit Protocol E-5 - Wastewater and Stormwater


Are all water discharge sources identified and

characterized sufficiently in order to determine the
applicability of local regulations and the need for
permits/licenses, as well to manage relevant risks?
1
Are permits, licenses, or other authorizations obtained from

governing agencies for all discharges, as required?
2
Are discharges monitored to ensure that they meet the

applicable standards and requirements of the governing
agencies?
3
Where there are no permit or license requirements, do the

wastewater discharges not create significant degradation
of the local water quality?
4
Are facilities and equipment that may impact wastewater

discharges maintained in proper and effective operating
condition?
5
Does management ensure that adequate resources

(including competent personnel) are available to conduct
activities required to effectively manage wastewater and
stormwater?
6
Are industrial and mining facilities operated in a manner

that eliminates or minimizes the potential for contamination
of stormwater?
7
Is there a process in place to ensure that when making
modifications to existing plant operations or developing
new facilities, the impacts on wastewater generation are
considered in order to minimize adverse effects on the
8 environment and ensure regulato
Are existing operations periodically reviewed to consider

wastewater minimization, water re-use or treated water re-
use options?
9
Is sanitary wastewater treated prior to discharge to surface

water, either in an off-site, centralized treatment facility or
in an on-site system?
10
If an on-site system is used, is the system designed for the
appropriate population and usage and septic systems used
only if explicitly authorized by regulatory authorities?
11
Is a process in place that unauthorized disposal of waste

materials to the surface water or ground water does not
occur?
12
Are practical methods for erosion and sedimentation

control used so that storm water runoff and mine drainage
will minimize deposition of sediments or mineral solids in
drainage ditches or waterways beyond the property?
13
EHS Audit Protocol E-6 - Post Mining Rehabilitation


Has an EIA been conducted by a Qualified Environmental

Expert for the mining operations/processing facility?
1
Does the EIA include a baseline assessment of existing

environmental conditions including, at a minimum, the
following environmental conditions: biodiversity, surface
vegetation, land use, and topography?
2
Does the EIA include a description of the potential impacts

of the Imerys operations on existing environmental
conditions?
3
Does the EIA include recommendations for minimizing the

potential impacts of the Imerys operations on existing
environmental conditions?
4
Has a Mining Rehabilitation Plan (MRP) been devleoped

for the operating facility?
5
Does the MRP describe actions to be taken to minimize the

potential impacts of the Imerys operations on the
environmental conditions?
6
Does the MRP describe the rehabilitation methodologies to

be implemented during the operational phase as well as
during final rehabilitation?
7
At a minimum, does the MRP include an element regarding

final surface vegetation?
8

post-mining land-use at closure?
9

final landforms and topography?
10
timetables to achieve the above stages?
11

costs of restoration/restoration provision. See Imerys
Accounting Standards and Financial Consolidation
Umbrella Policy, 7200 Mining?
12
At a minimum, does the MRP include an element

regardingImplementation of a progress review and
feedback process?
13
EHS Audit Protocol E-7 - Mineral Solids Storage Facilities

Are all MSSFs associated with facility will be designed and

maintained to prevent unreasonable risk of injury or
damage?
1
Are all new MSSFs designed by a Qualified Geotechnical

Expert?
2
Is a sytem or process in place to ensure that all changes

and modifications to existing MSSFs are reviewed by a
Qualified Geotechnical Expert?
3
Are all MSSFs associated with facility operations

periodically inspected by a Qualified Geotechnical Expert?
4
Is each MSSF inspection documented in an inspection

report comparing the designs and/or permit requirements
with actual conditions?
5
If neither a design nor a permit are available for a MSSF,

has an as-built design been created by a Qualified
Geotechnical Expert?
6
Do all MSSFs associated with the facility opertions have a

standard operating procedure (SOP) which describes the
methodologies for the conveyance, deposition and storage X
of the mineral solids?
7
Do the SOPs include the frequency of inspections as well

as the operational guidelines and constraints for MSSFs? X
8
Does the SOP include constraints for structures retaining

water, such as polishing ponds, to ensure sufficient detail
for safe operation?
9
Is the SOP written by a Qualified Geotechnical Expert?
10
Are substantive or technical changes to the SOPs
reviewed and approved by a Qualified Geotechnical
Expert?
11
Has the facility developed and implemented an MSSFs

emergency action plan (EAP) describing actions to be
taken to reduce potential injuries and damage in the event
of a failure?
12
Does the EAP include a communication system designed

to inform the Imerys management, regulatory agencies,
and local community safety authorities in an appropriate
manner in the event of a failure?
13

E5 PROTOCOL SELF-ASSESSMENT WORKBOOK

Hochgeladen von

Dokumentinformationen

Originalbeschreibung:

Originaltitel

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

E5 PROTOCOL SELF-ASSESSMENT WORKBOOK

Hochgeladen von

Copyright:

Verfügbare Formate

WORKBOOK INSTRUCTIONS

None Partial Full NA

1) + (# of "Full" Elements in Place x 2)] / (# of Possible Elements x 2)

for addressing any deficiencies identified in the self assessment process

E5 PROTOCOL SELF ASSESSMENT SCORECARD SUMMARY

Business unit Name YACIMIENTO AREQUIPA

4 359404181.xlsE5 Assessment Summary

5 359404181.xlsE5 Assessment Summary

EHS Audit Protocol E-1 - Air Emissions

Insert "X" in Appropriate Space

Are all air emission sources identified and characterized sufficiently in

Are all necessary permits, licenses, or other authorizations obtained and

Is air emissions control equipment, as well as other operating equipment

Are employees operating and maintaining air pollution control equipment

Is particulate matter controlled from all sources at all facilities so there is

Is a process in place to ensure that impacts on air emissions from

Are chlorofluorocarbons (CFCs) and other ozone depleting substances

Insert "X" in Appropriate Space

Do hazardous materials storage procedures ensure physical protection

Are all containers of hazardous materials (including toxic substances)

Are MSDSs or other comparable safety information for each hazardous

Are hazardous materials and toxic substances managed to minimize

Are underground tanks containing hazardous materials eliminated or is

Do all new, underground tanks that contain hazardous materials have

Are aboveground tanks containing hazardous materials provided with

Are all tanks, containment areas, and associated equipment inspected

Are inspection findings documented and corrective measures taken, as

Is tank instrumentation, such as level indicators, tested and calibrated to

Before a contractor is authorized to work on-site, does he/she receive a

Are materials and equipment that contain polychlorinated biphenyls

Is there a process to ensure that hazardous materials usage and

Does management ensure adequate resources are allocated to meet

EHS Audit Protocol E-5 - Wastewater and Stormwater

Insert "X" in Appropriate Space

Are all water discharge sources identified and characterized sufficiently

Are permits, licenses, or other authorizations obtained from governing

Are discharges monitored to ensure that they meet the applicable

Where there are no permit or license requirements, do the wastewater

Are facilities and equipment that may impact wastewater discharges

Does management ensure that adequate resources (including

Are industrial and mining facilities operated in a manner that eliminates

Is there a process in place to ensure that when making modifications to

Are existing operations periodically reviewed to consider wastewater

Is sanitary wastewater treated prior to discharge to surface water, either

If an on-site system is used, is the system designed for the appropriate

Is a process in place that unauthorized disposal of waste materials to

EHS Audit Protocol E-6 - Post Mining Rehabilitation

Insert "X" in Appropriate Space

Has an EIA been conducted by a Qualified Environmental Expert for the

Does the EIA include a baseline assessment of existing environmental

Does the EIA include recommendations for minimizing the potential

Has a Mining Rehabilitation Plan (MRP) been devleoped for the

Does the MRP describe actions to be taken to minimize the potential

Does the MRP describe the rehabilitation methodologies to be

At a minimum, does the MRP include an element regarding final surface

At a minimum, does the MRP include an element regarding post-mining

At a minimum, does the MRP include an element regarding final

At a minimum, does the MRP include an element regarding timetables to

At a minimum, does the MRP include an element regarding costs of

At a minimum, does the MRP include an element

EHS Audit Protocol E-7 - Mineral Solids Storage Facilities

Insert "X" in Appropriate Space