Was the Environmental Assessment Adequate? - Mining and the Environment: From Ore to Metal - page 506

levels of personnel. At least one team member needs to demonstrate a full appreciation of
social issues associated with any mine operation. Each audit team needs a lead auditor who
takes on the overall responsibility for the audit process and audit i ndings. He or she is also
the main contact person for the mine management, or the auditee. The obvious question is
who qualii es as the lead auditor? The lead auditor should, of course, have the knowledge,
skills and experience necessary to carry out the audit. Guidance on these matters is provided
in ISO 14012, the international standard on qualii cation criteria for environmental auditors.
More importantly, the lead auditor needs to demonstrate a thorough understanding of the
mining sector, and the complex web of potential environmental, social and economic issues
associated with the sector. Moreover, the lead auditor must be able to communicate effec-
tively and appropriately with a wide range of personnel, including senior management. Tact
and diplomacy are also useful attributes, as it is not unusual for employees of the auditee to
respond negatively to audit i ndings which may rel ect on their performance.
Since an environmental audit should be as objective as possible, the members of the
audit team should be independent of the activities they are to audit. If an internal audit
is being performed then none of the audit team members should be accountable to those
directly responsible for the subject matter being audited.

Agreeing on Audit Objectives and Programme

Prior to the site visit, it is essential to agree the scope and the main objectives of the audit,
and to i nalize and to coordinate the overall audit programme meaning the actual imple-
mentation of the audit plan with the mine management. Scope and objectives then deter-
mine the extent and the boundary of the audit. In view of the magnitude of most mining
operations, it is important to narrow the audit scope to the agreed audit matters (e.g. envi-
ronmental issues versus social issues, environmental management system, legal compliance
versus compliance with Equator Principles, etc). A well-designed audit programme helps to
avoid wasting valuable time, not only of the audit team, but even more importantly of mine
personnel. It is at this time that communication systems are established, and that audit con-
straints if they exist, are identii ed. Mine auditing requires the involvement of mine person-
nel and such time commitments should be clearly communicated at the outset of the audit.

A well-designed audit
programme helps to avoid
wasting valuable time, not only
of the audit team, but even more
importantly of mine personnel.

Pre-site Visit Data Review

Pre-site visit data is valuable for an effective audit programme. Information needs to relates
to the project operations, environmental monitoring and applied management practices. To
facilitate data compilation by the mine management it is common practice that the audit
team prepares an outline of information needs to facilitate information gathering by the mine
management.

Site Visit

Some audits, usually in the context of investment or divestment, are carried out entirely in
so called 'data rooms'. The audit team is given access to a set of information in a very con-
trolled manner: (1) data are only available at one location which can also be a website with
access restriction - a virtual data room; (2) data can only be accessed during a specii ed time
period, usually 3 to 5 days; and (3) the number and composition of the audit team is subject