2017 About Face 2017 Audit Protocol Final

ASPASA ABOUT FACE 2017
Audit Checklist
for
Continual Environmental Performance Improvement
[Based on ASPASA About Face 2017 and ISO 14 001:2015]
CONFIDENTIAL
OPERATION:
DATE OF AUDIT:
ASPASA AUDITOR: Cluett Consulting
% SCORE ACHIEVED: 0.00
OPERATION STATUS:
1
Copyright: ASPASA / 2017/01/A
©
Mine Manager:
eMail:
Contact Number:
GPS Coordinates
Environmental Responsible:
eMail:
Contact Number:
Secretary / Receptionist:
eMail:
Contact Number:
Postal Address:
Summary of Previous Participation
2012 2014 2015 2016 2017

Previous years % Score 0.00
Previous years Award
Previous years Auditor Alan Cluett. Pr.Sci.Nat.; FIQ; MGSSA (Cluett Consulting)
ASPASA About Face Performance

40.00
30.00
20.00
2012 2014 2015 2016 2017
ASPASA About Face Performance
Audit Participants and any additional details
Alan Cluett Lead Auditor 083 408 7724 alan@cluett.co.za

Colleen Cluett Environmental Specialist colleen@cluett.co.za
Iain Cluett Environmental Specialist iain@cluett.co.za
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ASPASA About Face 2017_x000D_Audit Protocol Manual
ASPASA ABOUT FACE MANUAL FOR AUDITORS AND ASPASA MEMBERS

Copyright Notice: This document belongs to ASPASA and is copyright protected. Except as permitted in writing by ASPASA, neither this document
nor any extract from it may be reproduced, stored in a retrieval system or transmitted in any form or by any means. Requests for permission to
reproduce should be addressed to ASPASA. Breach of copyright will be prosecuted.
Contents Sheet Tab #
Foreword 1
Introduction 1
Conversion of ASPASA About Face to ISO 14001:2015 1
ASPASA About Face Audit 1
Scope 2
Normative References 2
Terms and Definitions 2
Audit Score Graphics 3
Context of the Organisation 4
Leadership 5
Planning 6
Support 7
Operation 8
Performance Evaluation 9
Improvement 10
Please note, the following are abridged versions of these sections, for the full version please see the ASPASA About
Face 2017 Manual.
Foreword
The Aggregate and Sand Producers Association of Southern Africa (ASPASA) is a voluntary membership, private
sector producer association. A condition of ASPASA membership is that all members subscribe to ASPASA values as
set out in ASPASA Codes and Policies and that all member operations participate in the ASPASA About Face
Environmental Management System programme on an annual basis. Through this participation APSASA can provide
a level of assurance to stakeholders that its members are practicing environmental stewardship at each operation as
well as implementing management systems that will assist the members in continual improvement with regard to
environmental performance at their operations.
ASPASA lends strategic, advisory and training support to its members. It promotes the aggregate industry and the
Association both locally and internationally, encouraging interaction between its members, the authorities, surrounding
communities, customers and suppliers of goods and services.
ASPASA conducts its activities within the spirit of Competition Legal Requirement.
The ASPASA About Face programme is a mandatory environmental programme for all members. An objective of the
programme is to assist ASPASA member operations with the successful achievement of their respective
Environmental Policy goals, including but not limited to:
- continual environmental performance improvement;

- achieving legal compliance;
- impact minimisation, through pollution minimisation and optimal resource utilisation;
- improving employee awareness and empowering employees to exercise environmental stewardship at
both the workplace, at home and in their communities;
- meaningful stakeholder engagement with shareholders, employees, neighbours, authorities and
relevant interested parties.
Within the constraints of Competition Legislation, through the ASPASA About Face programme, members are
exposed to South African industry best practice and through publishing of annual About Face operation gradings,
member operations are able to benchmark their operations nationally and, where applicable, at local authority level.
Introduction
The ASPASA About Face programme was launched in 1994 with less than 40 participating quarries and was initially
based, with kind permission, on the USA National Stone Association's (NSA) 1975 "About Face" programme.
In 2008 ASPASA About Face was upgraded to satisfy the requirements of the ISO 14 001 Environmental
Management System framework. By 2016 the programme had increased to more than 100 participating quarries.
The ASPASA About Face 2017 programme utilises the format of numbering of ISO 14001:2015. It conforms with the
requirements of the ISO standard and goes beyond to include items particular to the surface mining industry in
Southern Africa, including key South African environmental legislation and international Best Practicable
Environmental Option (BPEO).
7
The ASPASA About Face 2017 programme utilises the format of numbering of ISO 14001:2015. It conforms with the
requirements of the ISO standard and goes beyond to include items particular to the surface mining industry in
Southern Africa, including key South African environmental legislation and international Best Practicable
Environmental Option (BPEO).
Conversion of ASPASA About Face to ISO 14 001:2015

ISO 14 001:2015 (Third Edition) was issued in September 2015. The ASPASA About Face 2017 manual conforms
with ISO 14001:2015.
Audits in 2017 will be treated as a baseline score for conformance to the updated manual. Due to possible score
distortion brought about by the transition from About Face 2016 to 2017 Member operations will be afforded the once-
off opportunity to choose to retain their 2016 score for 2017 or may elect to use their achieved 2017 score. In 2018
the achieved 2018 score will be final.
ASPASA About Face 2017 complies fully with all requirements of the ISO 14001:2015 framework but has been
adapted to the specific requirements of the Southern African surface mining industry. It is, therefore, essential that the
ISO 14001:2015 manual is used in conjunction with the ASPASA About Face 2017 Manual and Audit Protocol.
ASPASA About Face Audit

Objectives of the ASPASA About Face Audit include:
- to add value to member operations by assisting them with the successful and cost effective implementation of a pro-
active EMS;
- for ASPASA About Face Auditors to, in effect, become a critical, but objective, member of the operations
management team for the duration of the Audit;
'- to reduce the risks, and associated consequences, of non-compliances and the possibility of significant
environmental pollution and/or degradation resulting from the activities of the operation.
These objectives will be achieved through the following actions:

- ASPASA About Face Auditors will offer advice on matters relating to environmental management systems and
environmental stewardship;
'- ASPASA About Face Auditors will offer sound advice and cost effective solutions, where possible, to problems or
identified non-compliances with the management system, environmental policy and/or compliance obligations
Auditor Requirement
All ASPASA About Face Audits will be conducted by an appointed, independent environmental expert/s with extensive
surface mining, environmental management and auditing experience backed by recognised training in environmental
management systems, environmental legislation and auditing.
Auditors have been contracted to 'add value' to the Auditee. To this end the Audit may also be used by auditees as a
training exercise for those participating in the Audit.
ASPASA appoints Auditors that are diligent, knowledgeable and skilful. ASPASA requires that an Auditor should
exercise discretion and maintain confidentiality and a Confidentiality Agreement between ASPASA and the Auditors is
mantained.
The responsibility and activities of the Auditor, or Lead Auditor, when more than one Auditor is involved include:
a) assisting the organization when requested to determine the objectives, scope and criteria of the
assessment;
b) ensuring that the necessary skills are available to meet the assessment objectives and, if appropriate,
assembling an assessment team;
c) obtaining initial information;
d) assigning members of the assessment team to conduct the component parts of the assessment if
necessary;
e) gathering and validating information in accordance with the ASPASA programme;
f) providing auditees with an annotated Audit Protocol as well as Audit Aid Documentation.
Attendees at Audits
Audits should be attended by the responsible Operation Manager, Environmental Officers, Heads of Departments,
SHE Representatives, responsible Engineering staff and, wherever possible, Area or Regional Managers. Directors,
who, in terms of current environmental legislation, have significant legal obligations, are most welcome to attend the
entire Audit or any part thereof.
Owners/Directors of independent operations are encouraged to attend the Audits along with persons listed above.
Audit Protocol
The appointed ASPASA About Face Auditor will conduct the Audits in terms of SANS 19001:2012 Guidelines for
Auditing management systems and, where applicable, ISO 17021:2011.
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The appointed ASPASA About Face Auditor will conduct the Audits in terms of SANS 19001:2012 Guidelines for
Auditing management systems and, where applicable, ISO 17021:2011.
Audit duration
Auditees can expect the ASPASA About Face Audits to be conducted over a period of up to, and in cases exceeding,
eight hours.
The duration is strongly influenced by the cooperation of the Auditee, the availability and quality of documentation
presented, the depth of discussion and the duration of the physical Audit.
Since 2015, ASPASA About Face audits have been conducted annually. ASPASA Management Committee (ManCom)
has instructed the contracting Auditor to focus:
- the even-year Audits, i.e. 2018 and 2020 on Management System Documentation supplemented by an
approximately two-hour physical audit on the site;
- the odd-year Audits, i.e. 2017 and 2019 on the physical aspects, with approximately three-hours focusing on the
system documentation found wanting during the even-year numbered Audits
Overview of the Marking Schedule and Points System

Audit Points are allocated according to an agreed assessment of the status of the audit aspect at the time of the Audit
- partial marks may be awarded. Allocated points for each aspect audited vary in magnitude in accordance with
associated risk – e.g. risk of pollution or degradation and/or risk of penalty such as suspension of operations,
withdrawal of authorisation, or individual or company prosecution. Allowance has been made where an aspect may be
not applicable.
Scores are calculated automatically. At the end of the Audit a provisional score will be announced to the Auditee and a
copy of the Provisional Result of the Audit will be provided by the Auditor. This score may be subject to change once
the Auditor has checked through the entire document.
The Final Audit document and Score will be forwarded to the operation by the Auditor and copied to the Executive
Officer of ASPASA. This Score and Grading will be FINAL and no further score or grading discussions will be entered
into
An Executive Summary of the audit, or in the case of operators with more than one operation Company Audit Reports,
may be requested from ASPASA at a nominal charge
Results of Evaluation
The Systems Audit is conducted in accordance with the questions in this audit schedule. The final score will determine
the category of the ASPASA About Face award achieved. The four categories of Awards are expanded below –
Participation Award
Quarries achieving an audit score of <50% will be issued with a "Certificate of Participation" in the About
Face Program.
The "Fish Eagle" Grading Awards
All Audit scores greater than or equal to 50.01% qualify for an ASPASA Fish Eagle Award. The number of
"Fish Eagles" awarded ranges from 1 = 50.01% to 60%; 2 = 60.01% to 70%; 3 = 70.01% to 80%; 4 =
80.01 to 90% and 5 = 90.01% to 95%.
Showplace Award
An Audit score greater than 95.01% qualifies the operation for the prestigious "SHOWPLACE" Award.
The Quarry of the Year Award
This award may be given to the quarry which has shown the greatest improvement amongst all
operations since its last evaluation. It will be awarded on the basis of the difference in percentage scores
between the current evaluation and the previous one. To ensure rotation of the award, such an operation
will not be considered for this award again during the next audit.
Latest Revision Date: January 2017

Revised by: Cluett Consulting
www.cluett.co.za
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ASPASA About Face 2017_x000D_Reference Documentation
1. Scope
The ISO 14001:2015 Standard describes the requirements for an environmental management
system to manage an organisations environmental responsibility and contribute to the
environmental pillar of sustainability, and describes the intended outcomes of the
environmental management system.
The ASPASA About Face 2017 programme tailors these requirements for application to surface
mining and processing operations including aggregate, sand, minerals, clay, salt and
dimension stone in Southern Africa. The ASPASA About Face Programme can be adapted by
ASPASA for associated industries as required.
In the ASPASA About Face 2017 programme we have published requirements and recommendat
The ASPASA About Face Audit Protocol includes two categories for compliance, firstly aspects
of the Audit that are considered mandatory and as such are ‘Requirements’; and secondly,
those aspects that are not mandatory but certainly add value to the operation or operational
EMS. The later are included under ‘Recommendations’.
2. Normative References
2.1 The normative reference is ISO 14001:2015;

2.2 ASPASA About Face 2017 Manual.
3. Terms and Definitions
See ASPASA About Face 2017 Manual.
10_x000D_
ASPASA About Face_x000D_Score Card and Graphics
AUDIT SCORECARD
Operation: 0
Audit Date: 0
Auditor/s: Cluett Consulting
ASPASA Grading: 0
AUDIT INITIAL POSSIBLE NOT-APPLICABLE AWARDED SCORE
AUDIT ASPECT
SECTION # POINTS POINTS POINTS PERCENTAGE
4 Context of the Organisation 79 0 0 0.00
5 Leadership 150 0 0 0.00

Planning - Actions to Address Risks
6.1 and Opportunities 545 0 0 0.00
Planning - Environmental
6.2 Objectives and Planning to Achieve 75 0 0 0.00
Them
7 Support 280 0 0 0.00
8 Operation 275 0 0 0.00
9 Performance Evaluation 405 0 0 0.00
10 Improvement 93 0 0 0.00
11 Site Visit 560 0 0 0.00
Overall Compliance Score 2462 0 0 0.00
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ASPASA About Face_x000D_Score Card and Graphics
AUDIT GRAPHICS
Operation: 0
Audit Date: 12/30
Auditor/s: Cluett Consulting
ASPASA Grading: 0
0.00 10.00 20.00 30.00 40.00 50.00 60.00 70.00 80.00 90.00 100.00
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ASPASA About Face 2017_x000D_Context of the Organisation
Planning Phase
SECTION 4 - CONTEXT OF THE ORGANISATION
Requirement
The operation must determine its context and the scope of its EMS
Compliance /
Maximum Non-
4.1 UNDERSTANDING THE ORGANISATION AND ITS CONTEXT
Score compliance /
or N/A
Has the operation taken steps to determine internal and external issues relevant to the operation’s
4.1.1 5 0
purpose and that may affect the operations ability to achieve the intended outcomes of the EMS?
4.1.2 Have these issues been documented in an Internal and External Issues Register? 5 0
Section Scores 10 0
Compliance /
Maximum Non-
4.2 UNDERSTANDING THE NEEDS AND EXPECTATIONS OF INTERESTED PARTIES
Score compliance /
or N/A
4.2.1 Have Interested Parties:
4.2.1.1 … been identified? 3 0
4.2.1.2 … needs and expectations been determined? 3 0
… needs and expectations which the operation determines are compliance obligations been added to the
4.2.1.3 3 0
legal register?
4.2.2 Neighbourhood Survey
In the past TWO Years has a neighbourhood survey been conducted to ascertain the community's
4.2.2 3 0
perception about the operation?
4.2.3 Are meetings held with the community which are:
4.2.3.1 … held at least annually? 2 0
4.2.3.2 … formalised? 2 0
4.2.3.3 … recorded or minuted? 2 0
4.2.4 Are the minutes from these meetings circulated to all attendees and identified persons of importance? 2 0
4.2.5 Does the operation circulate a newsletter to its IPs, including neighbours? 2 0
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Section Scores 22 0
Compliance /
Maximum Non-
4.3 DETERMINING THE SCOPE OF THE ENVIRONMENTAL MANAGEMENT SYSTEM
Score compliance /
or N/A
4.3.1 Has the operation determined the scope of its EMS, considering all the elements required by the ISO standard including:
4.3.1.1 External and internal issues (taken from 4.1)? 3 0
4.3.1.2 Compliance obligations of IPs (taken from 4.2)? 3 0
4.3.1.3 The operations organisational units, functions and physical boundaries? 3 0
4.3.1.4 The operations activities, products and services? 3 0
4.3.1.5 The operations authority and ability to exercise control and influence? 3 0
Scope of the EMS
4.3.2 Is the scope of the EMS appropriate to the activities, products and services of the operation? 3 0
4.3.3.1 Is documented information on the scope of the operation’s EMS maintained? 3 0
4.3.3.2 Is a site plan that depicts the physical boundaries covered by the EMS available? 3 0
4.3.3.3 Is this documented information available to Interested Parties? 3 0
Section Scores 27 0
Compliance /
Maximum Non-
4.4 ENVIRONMENTAL MANAGEMENT SYSTEM
Score compliance /
or N/A
Does the operation have a document or ‘Manual’ that defines the Purpose, Scope and Elements of the
4.4.1 10 0
operation’s EMS?
Does the operation’s Environmental Management System cover all the elements required in terms of the
4.4.2 5 0
ASPASA About Face / ISO 14 001 Management System Framework?
Has the operation performed a ‘GAP Analysis’ that confirms how far the operation has progressed with
4.4.3 5 0
the implementation of the above defined EMS?
Section Scores 20 0
Total Score 79 0
Percentage (%) Compliance 0.00
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End of Section 4
15
g Phase
SECTION 4 - CONTEXT OF THE ORGANISATION
Requirement
The operation must determine its context and the scope of its EMS
Key Observations
Key Observations
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Key Observations
Key Observations
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End of Section 4
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ASPASA About Face 2017_x000D_Leadership
Planning Phase
5 - LEADERSHIP
Requirement
The operations Top Management will commit to and show leadership in the EMS. The operation will develop an
appropriate Environmental Policy. Organisational roles and responsibilities will be assigned for key areas of the
EMS and Environmental Management.
Compliance /
Maximum Non-
5.1 LEADERSHIP AND COMMITMENT
Score compliance /
or N/A
Does the Operation have documented information that clearly demonstrates the delegation of authority
5.1.1 10 0
for conformance with the EMS from the CEO/MD through to Operational Management?
5.1.2 Has Top Management undertaken:
5.1.2.1 To be fully accountable for the effectiveness of the EMS? 10 0
To ensure that an environmental policy and environmental objectives that are compatible with the context
5.1.2.2 5 0
and strategic direction of the organisation are established?
5.1.2.3 To ensure that the EMS and its requirements are integrated with the organisations business processes? 5 0
5.1.2.4 To ensure that resources required for the EMS are available? 5 0
To communicate the importance of effective environmental management and of conformance with the
5.1.2.5 5 0
EMS requirements?
5.1.2.6 To ensure that the EMS achieves its intended outcomes? 5 0
5.1.2.7 To direct and support persons to contribute to the effectiveness of the EMS? 5 0
5.1.2.8 To promote continual improvement? 5 0
To support other relevant management roles to demonstrate their leadership as it applies to their areas of
5.1.2.9 5 0
responsibility?
Section Scores 60 0
Compliance /
Maximum Non-
5.2 ENVIRONMENTAL POLICY
Score compliance /
or N/A
5.2.1 Does this operation have a written Environmental Policy? 10 0
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5.2.2 Has the Environmental Policy been committed to by Top Management of:
5.2.2.1 The Organisation? (CEO/MD commitment and signature) 10 0
5.2.2.2 The Operation? (Site Manager commitment and signature) 10 0
5.2.3 Is the Environmental Policy appropriate to the purpose and context of the operation? 5 0
5.2.4 Are there commitments in the Policy to:
Protection of the environment, such as prevention of pollution, sustainable resource use, climate change
5.2.4.1 2 0
mitigation and adaptation and/or protection of biodiversity and ecosystems?
Fulfilment of Compliance Obligations (including, legal, industry association i.e. ASPASA, and IP
5.2.4.2 2 0
requirements?)
5.2.4.3 Continual Improvement of the EMS? 2 0
5.2.4.4 Stakeholder engagement? 2 0
5.2.4.5 Employee training? 2 0
5.2.5 Does the policy or the EMS Manual include a commitment to periodic review of the Policy? 2 0
5.2.6 Has the Policy been reviewed within the stated review period? 2 0
5.2.7 Has the Policy been formally communicated to all persons working under the control of the operation? 2 0
5.2.8 Is the Policy posted up for display on all plant noticeboards? 2 0
5.2.9 Is the Policy available to interested parties? 2 0
Are the following included in contracts with suppliers of goods or services or contractors such as contract drillers, security, load and
5.2.10
haul or contract gardeners:
5.2.10.1 Commitment to operational Environmental Policy requirements? 2 0
5.2.10.2 Provision to Audit on-site suppliers on the environmental performance whilst on site? 2 0
5.2.10.3 A clause dealing with contractor non-compliance? 2 0
5.2.11 Is the ASPASA Environmental Policy displayed on notice boards? 2 0
Section Scores 63 0 0
Compliance /
Maximum Non-
5.3 ORGANISATIONAL ROLES, RESPONSIBILITIES AND AUTHORITIES
Score compliance /
or N/A
5.3.1 Has Top Management appointed a person, or persons, responsible for the following:
5.3.1.1 Responsibility for the overall Environmental Management at the operation? 2 0
Responsibility for the successful implementation of the goals of the Environmental Policy at the
5.3.1.2 2 0
operation?
5.3.1.3 Responsibility for ensuring the conditions of the EMP are fulfilled at the operation? 2 0
Responsibility for conducting and submitting EMP Performance Assessments, as required, at the
5.3.1.4 2 0
operation?
Responsibility for ensuring that the Financial (Pecuniary) Provision is calculated and submitted by the
5.3.1.5 2 0
operation as required?
5.3.1.6 Responsibility for establishing and maintaining an EMS at the operation? 2 0
Ensuring that the Operational EMS conforms to the requirements of ISO 14 001:2015/ASPASA About
5.3.1.7 2 0
Face?
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5.3.1.8 Responsibility for reporting on the performance of the EMS to Top Management? 2 0
5.3.1.9 Responsibility for fulfilling compliance obligations? 2 0
Has an employee (or contractor) been appointed in writing for the task of conducting Environmental
5.3.2 2 0
Aspect Assessments at the operation?
Have the appointed persons received adequate training on the extent of their environmental
5.3.3 responsibilities and the possible consequences for non-compliance with the associated legal 2 0
requirement/s?
Are the appointed persons able to keep up to date with the relevant legislation applicable to these
5.3.4 2 0
responsibilities?
5.3.5 Are these Appointments documented and included in the EMS documentation? 3 0
Section Scores 27 0
Total Score 150 0

End of Section 5
21
g Phase
5 - LEADERSHIP
Requirement
The operations top management will commit to and show leadership in the EMS. The operation
will develop an appropriate Environmental Policy. Organisational roles and responsibilities will
be assigned for key areas of the EMS and Environmental Management.
Key Observations
Key Observations
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Key Observations
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End of Section 5
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ASPASA About Face 2017_x000D_Actions, Risks and Opportunities
Planning Phase
6 - PLANNING
6.1 ACTIONS TO ADDRESS RISKS AND OPPORTUNITIES
Requirement
The operation must identify it's environmental aspects and compliance obligations and plan actions to address
these.
Compliance /
Maximum Non-
6.1.1 GENERAL
Score compliance /
or N/A
Has the operation considered the external and internal issues identified, the IP requirements and the
6.1.1.1 10 0
scope of the EMS when planning the EMS and determining its risks and opportunities?
6.1.1.2 Is documented information available of the identified risks and opportunities that must be addressed? 5 0
Is documented information available on the environmental aspects, compliance obligations and planning
6.1.1.3 5 0
actions and processes related to these so as to demonstrate that they are carried out as planned?
Section Scores 20 0
Compliance /
Maximum Non-
6.1.2 ENVIRONMENTAL ASPECTS
Score compliance /
or N/A
6.1.2.1 Does the operation have a documented procedure for conducting Environmental Aspect Assessments? 5 0
Does the operation have a documented Environmental Hazard Identification and Risk Assessment
6.1.2.2.1 3 0
((SH)EHIRA) protocol?
6.1.2.2.2 Does the ((SH)EHIRA) include an assessment against Legal requirements? 5 0
Does the operation use this ((SH)EHIRA) to assess the likelihood, consequence and significance of
6.1.2.2.3 3 0
identified aspects?
Does the assessment include a legal requirement and consequence for each environmental aspect
6.1.2.3 3 0
identified in the assessment?
Does the Environmental Aspect Assessment Procedure include management sign-off on completion of
6.1.2.4 5 0
the required activity and verification?
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Does the Environmental Aspect Assessment Procedure include a scheduled or conditional review, such
6.1.2.5 3 0
as following a relevant change, incident, accident or event?
Does the Environmental Aspect Assessment include control measures that are intended to mitigate the
6.1.2.6 3 0
identified aspects and associated impacts?
6.1.2.7 Has the operation determined the environmental aspects of its activities, products and services within the scope of its EMS? Including:
6.1.2.7.1 Those that it can control and those it can influence? 3 0
6.1.2.7.2 The associated impacts? 3 0
6.1.2.8 Does the operation consider a life cycle perspective? 3 0
Are changes, including planned or new developments and new or modified activities, products and
6.1.2.9 3 0
services taken into account?
6.1.2.10 Are normal, abnormal and reasonably foreseeable emergency conditions considered? 3 0
6.1.2.11 Does the Aspect Assessment include consideration of possible impacts on:
6.1.2.11.1 Air Quality from sources of dust, equipment exhaust fumes, smoke and odours? 2 0
6.1.2.11.2 Soil including topsoil stockpiling, soil and overburden, pollution or degradation? 2 0
6.1.2.11.3 Water both surface and groundwater; in dams, settlement ponds, water courses, the quarry and boreholes 2 0
6.1.2.11.4 Noise levels at the operation perimeter and on the nearest neighbours? 2 0
6.1.2.11.5 Vibration from blasting, vehicles and large crushers on sensitive receivers? 2 0
6.1.2.11.6 Fauna & Flora including alien and invasive vegetation listed in National and Provincial legal requirement? 2 0
6.1.2.11.7 Heritage including graves, historic or religious structures or artefacts? 2 0
6.1.2.11.8 Fire that may occur on operational equipment, chemical storage, waste or vegetation? 2 0
6.1.2.11.9 Chemicals including hazardous substances, their on-site storage, handling, spillage or disposal? 2 0
6.1.2.11.10 Waste including its storage, handling, spillage or disposal? 2 0
6.1.2.11.11 Aesthetics that include views of the operation from surrounding areas and of sensitive viewers? 2 0
6.1.2.11.12 Radiation from radio-active sources such as belt scales and/or including radiation from the resource? 2 0
6.1.2.11.13 Light Pollution that may cause a nuisance to neighbours or a vehicle accident risk at night? 2 0
6.1.2.11.14 Blasting including "fly-rock", dust and fume, noise, air-blast and ground vibration? 2 0
6.1.2.11.15 Late Shifts including working at night or on weekends and the noise impact on neighbours? 2 0
Transport Vehicles moving on and off the site including speed, noise, mud-carryover and spillage on
6.1.2.11.16 2 0
roads?
6.1.2.12 Does the Aspect and Impact Assessment take into account:
6.1.2.12.1 Normal conditions? 3 0
6.1.2.12.2 Abnormal conditions? and 3 0
6.1.2.12.3 Reasonably foreseeable emergency situations? 3 0
Has the operation determined the aspects that have or can have significant environmental impact (i.e.
6.1.2.13 3 0
significant environmental aspects) using established criteria?
Does the operation have documented information on its environmental aspects and associated
environmental impacts, the criteria used to determine its significant environmental aspects, and significant
6.1.2.14 5 0
environmental aspects? None of above = 0; 1 of the above = 1; 2 of the above = 3, and 3 of the above
=5
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Have the significant environmental aspects been communicated among the various levels and functions
6.1.2.15 3 0
of the organisation?
Section Scores 97 0
Compliance /
Maximum Non-
6.1.3 COMPLIANCE OBLIGATIONS
Score compliance /
or N/A
6.1.3.1.1 Has the operation determined, and does it have access to its compliance obligations? 5 0
6.1.3.1.2 Has the operation determined how these compliance obligations apply to the operation? 5 0
6.1.3.1.3 Does the operation take these compliance obligations into account through its EMS? 5 0
6.1.3.1.4 Does the operation have documented information of its compliance obligations? 5 0
6.1.3.1.5 Is a site specific Environmental Legal Register available for this operation? 10 0
Does the Site Specific Register include the following National Legislation:
6.1.3.1.5.1 The Constitution of the Republic of South Africa? 3 0
6.1.3.1.5.2 The Mineral and Petroleum Resources Development Act? 3 0
6.1.3.1.5.3 The National Environmental Management Act? 3 0
6.1.3.1.5.4 The NEM: Air Quality Act? 3 0
6.1.3.1.5.5 NEM:AQA Regulation 283 (2 April 2015) - National Atmospheric Emission Reporting regulations? 3 0
6.1.3.1.5.6 The NEM: Waste Act? 3 0
6.1.3.1.5.7 NEM:WA Regulation 632 (24 July 2015) - Planning & Maintenance of Residue Stockpiles and Residue Dep 3 0
6.1.3.1.5.8 The National Water Act? 3 0
6.1.3.1.5.9 NWA Regulation 704 (4 June 1999) - Use of water for mining…? 3 0
6.1.3.1.5.1
The National Veld and Forest Fire Act? 3 0
0
6.1.3.1.5.11 NEM: Biodiversity Act? 3 0
6.1.3.1.5.1
The Advertising on Road and Ribbon Development Act? 3 0
2
6.1.3.1.5.1
The National Heritage Resources Act? 3 0
3
6.1.3.1.6 Does the Register include applicable provincial ordinances? 3 0
6.1.3.1.7 Does the Register include applicable local authority by-laws? 3 0
6.1.3.1.8 Does the Register include applicable SANS standards or extracts of the Standards? 3 0
Does the Register include a section that covers all environmental authorisations (such as licences,
6.1.3.1.9 3 0
permits, exemptions and conditions contained in correspondence with the Authorities)?
6.1.3.1.10 Does the Register include a section that covers all servitudes that may affect the operation? 3 0
6.1.3.1.11 Does the Register include an approved EMP Implementation Checklist / Action Plan? 3 0
Does the Register include additional compliance obligations such as from Interested Parties or industry
6.1.3.1.12 3 0
associations, such as ASPASA?
27
6.1.3.1.13 Is it evident that this register is being used and is understood by operational management? 3 0
Does the operation have a written procedure that ensures the site specific legal register is updated on a
6.1.3.1.14 3 0
scheduled/regular basis, such as a hardcopy or electronic update subscription?
Is it evident that this procedure is sufficient? i.e. Is all applicable recent legislation available in this legal
6.1.3.1.15 3 0
register?
6.1.3.1.16 Has a member of the operation's management team undergone appropriate environmental legal training? 5 0
Has the site specific legal register been evaluated and approved by a suitably competent person, e.g. an
6.1.3.1.17 5 0
Environmental Legal Specialist or suitably trained person, to ensure that it is complete?
6.1.3.1.18 Has the operation conducted an Environmental Legal Compliance Audit (ELCA)? 3 0
6.1.3.1.18.
Did it include all the requirements detailed in the Site Specific Legal Register? 3 0
1
6.1.3.1.18.
Has it been conducted in the past year? (N/A if it has not) 3 0
2
6.1.3.1.18.
Was it conducted by a competent person with suitable training? 3 0
3
6.1.3.1.18. Where non-compliance with compliance obligations have been found, has corrective action been
5 0
4 introduced to correct any non-compliance(s)?
6.1.3.2 Mineral and Petroleum Resources Development Act 28 of 2002 and GN R527 MPRDA Regulations
6.1.3.2.1 Does the operation have an approved and signed EMP document? 10 0
6.1.3.2.2 Does the operation have a valid mining authorisation? 10 0
6.1.3.2.3 Has the EMP been updated within the past 5 years or within the required period? 3 0
6.1.3.2.4 Is the signator of the EMP UNDERTAKING a valid person in the chain of command of the organisation? 5 0
Has the signator of the 'EMP Undertaking' delegated Authority to the Appointed Mine Manager to ensure
6.1.3.2.5 5 0
that the conditions of the Approved EMP are executed at the operation, where applicable?
6.1.3.2.6 Does the operation conduct performance assessments of its EMP, as required? 5 0
Has the operation compiled and submitted a performance assessment report, in the format required, to
the minister, in which compliance with the requirement for conducting performance assessments is
6.1.3.2.7 5 0
demonstrated, every two years or as specified in the approved EMP or agreed to, in writing, by the
minister?
6.1.3.2.8 Does the operation have an Authority Approved Financial Provision for mine closure? 5 0
6.1.3.2.9 Has the Financial Provision been approved within the required period? 5 0
National Environmental Management Act 107 of 1998
6.1.3.3 Are there any other industries located within the approved EMP/Mining Authorisation Area? If yes the following questions apply, if no
then mark as n/a.
6.1.3.3.1 Do these other industries have the necessary approvals? 5 0
Asphalt Plant
6.1.3.3.1.1.1 A valid authorisation from the responsible Environmental Authority? 5 0
6.1.3.3.1.1.2 A valid Atmospheric Emissions Licence (AEL)? 5 0
6.1.3.3.1.1.3 An inclusion in the contract with the operation regarding environmental compliance? 5 0
6.1.3.3.1.2 Other (e.g. Block Plant, Readymix Concrete Plant)
6.1.3.3.1.2.1 An inclusion in the contract with the operation regarding environmental compliance? 5 0
6.1.3.4 NEMA GN R549 Regulations relating to Polychlorinated Biphenyls
28
6.1.3.4.1 Are management informed about PCB (Poly-chlorinated biphenyls)? 3 0

Are Management aware of GN R549, dated 10 July 2014, regarding the phasing out of PCBs in all
6.1.3.4.2 electrical equipment by 2023 and the requirement that all PCB contaminated compounds must be safely 3 0
disposed of by 2026. And that penalties apply for individuals for non compliance?
6.1.3.4.3 Has a PCB survey been conducted on the site that includes (excluding sealed units):
6.1.3.4.3.1 Transformers 5 0
6.1.3.4.3.2 Capacitors 5 0
6.1.3.4.3.3 Switchgear 5 0
6.1.3.4.3.4 Oil bath electrical equipment such as old welding units? 5 0
6.1.3.4.4 If any equipment or materials have been identified to contain PCB (i.e. PCB concentration greater than 50mg/kg):
6.1.3.4.4.1 Has the operation registered with the Director-General (of Environmental Affairs)? 5 0
6.1.3.4.4.2 Has the operation developed and submitted a phase-out plan to the Director-General? 5 0
National Water Act 36 of 1998
6.1.3.5
Does the operation have the appropriate water use authorisations (either Licence or General Authorisation)
6.1.3.5.1 Section 21a – “Taking water from a water resource” 5 0
6.1.3.5.2 Section 21b - "Storing water" 5 0
6.1.3.5.3 Section 21c - "Impeding or diverting the flow in a water course" 5 0
6.1.3.5.4 Section 21d - "Stream flow reduction activity" 1 0
6.1.3.5.5 Section 21e - "Irrigation of land with water containing waste" 5 0
Section 21f - "Discharging waste or water containing waste into a water resource through a pipe, canal,
6.1.3.5.6 5 0
drain…"
6.1.3.5.7 Section 21g - "Discharging water containing waste" 5 0
6.1.3.5.8 Section 21h - "Disposing, in any manner, heated waste water from industrial or power generation" 1 0
6.1.3.5.9 Section 21i - "Altering the bed, banks, course or characteristics of a water course" 5 0
6.1.3.5.10 Section 21j - "Removing, discharging water from underground…" 5 0
6.1.3.5.11 Section 21k - "Using water for recreational purposes" 1 0
6.1.3.6 National Water Act Regulation 704
Has a Compliance Audit with the NWA Regulation 704 requirement been completed on the operational
6.1.3.6.1 5 0
area?
Where exemptions from any requirements of these regulations are required, have these been authorised,
6.1.3.6.2 5 0
in writing, by the Minister?
6.1.3.7 National Environmental Management Air Quality Act 39 of 2004 and GN R283
In terms of NEM:AQA GN Regulation 283 (2 April 2015), has the operation: registered NAEIS as a data
6.1.3.7.1 5 0
supplier?
In terms of GN R827 (November 2013):
6.1.3.7.2
Is the operation required to undertake a dustfall monitoring programme in terms of GN R827 (November 2013)?
6.1.3.7.2.1 If yes, is the operation complying with this requirement? 5 0
6.1.3.7.2.2 If yes, is the written notice included in the legal register and legal compliance audits? 5 0
National Environmental Management Biodiversity Act 10 of 2004 and National Heritage Resources Act 25 of 1999
6.1.3.8
Have steps been taken to identify:
29
6.1.3.8.1 Listed threatened or protected species on site (including plants and animal species)? 5 0
6.1.3.8.2 Listed alien or invasive species on site (including plants and animal species)? 5 0
6.1.3.8.3 Heritage resources on site? 5 0
Where listed alien or invasive species utilised on site (for example for windbreaks), does the operation
6.1.3.8.4 5 0
have the correct permits in place for these specimens?
Where restricted activities are carried out on listed threatened or protected species occurring on site,
6.1.3.8.5 5 0
does the operation have the correct permits in place?
National Environmental Management Waste Act 59 of 2008
For wastes other than domestic waste, non-hazardous business waste or chemicals, garden waste, waste packaging, waste tyres and
6.1.3.9
building and demolition waste or excavated earth material that doesn’t contain any hazardous waste or hazardous chemicals, does the
operation have a Waste Inventory that details:
6.1.3.9.1.1 All waste types? 5 0
6.1.3.9.1.2 Classifications of waste? 3 0
6.1.3.9.1.3 Volumes generated? 3 0
6.1.3.9.1.4 The quantities of waste that has been:
6.1.3.9.1.4.1 Re-used? 2 0
6.1.3.9.1.4.2 Recycled? 2 0
6.1.3.9.1.4.3 Recovered? 2 0
6.1.3.9.1.4.4 Treated? 2 0
6.1.3.9.1.4.5 Disposed of ? 2 0
6.1.3.9.1.5 Has a responsible person been appointed at the operation to manage Waste:
6.1.3.9.1.5.1 On a monthly and 3 0
6.1.3.9.1.5.2 Annual basis? 3 0
6.1.3.9.2 Are these records retained for at least five years? 2 0
If the operation has sufficient waste to require a NEM:WA Section 20 and Chapter 5 Permit, i.e. 80m3 of
6.1.3.9.3 1 0
Hazardous, 100 m3 of general waste or 500m2 of waste tyres stored on site, does it have such a permit?
Are Safety Data Sheets (SDSs) available for all hazardous wastes held by the operation, subject to sub-
6.1.3.9.4 5 0
regulation 5 of GN R634 (August 2013)?
6.1.3.10 OHS Act 85 of 1993 Regulations
6.1.3.10.1 GN R155 Asbestos Regulations, 2001
6.1.3.10.1.
Are management familiar with the OHS Act Asbestos Regulations (GN R155, 10 February 2002)? 3 0
1
6.1.3.10.1. Does the operation have an inventory of all asbestos containing materials / waste at the operation?
5 0
2 Including sheeting, guttering, down pipes, water pipes, insulation, ceiling boards.
6.1.3.10.2 GN R236 Lead Regulations, 2001
6.1.3.10.2.
Are management familiar with the OHS Act Lead Regulations (GN R236, 28 February 2002)? 3 0
1
6.1.3.10.3 GN R1179 Hazardous chemical substance regulations
6.1.3.10.3.
Are 16 Point Safety Data Sheets (MSDS) available for all chemical substances on the site? 5 0
1
30
6.1.3.10.3.
Are these documents supplied to the persons handling the substances? 2 0
2
6.1.3.10.3.
Are these documents available to Interested Parties, if requested? 2 0
3
6.1.3.10.3. Are hazardous chemical substances disposed of in accordance with the requirements of this regulation
5 0
4 (Regulation 15)?
6.1.3.11 Mining Charter Requirements
6.1.3.11.1 Does the operation have a copy of GN838 (GG33573) on site? 2 0
Is there any evidence that operation management and environmental responsibles have considered the
6.1.3.11.2 2 0
document and considered ways of promoting the objectives?
6.1.3.11.3 Has Management discussed GN838 with its employees and local target community stakeholders? 2 0
Has the operation implemented an EMS that focuses on continual improvement to review, prevent and
6.1.3.11.4 2 0
mitigate environmental impact?
Does the operation undertake continual rehabilitation of mining-disturbed land in accordance with the
6.1.3.11.5 2 0
approved EMP?
6.1.3.11.6 Does the operation provide for the safe storage and disposal of residual wastes and process residues? 2 0
Has the operation designed and planned all operations so that adequate resources are available to meet
6.1.3.11.7 2 0
the closure requirements of all operations (involved with the site)?
Has the operation conducted a "Mining Charter Compliance Audit" in accordance with Section 2.9 of GN
6.1.3.11.8 5 0
838?
6.1.3.12 Other Compliance Obligations
6.1.3.12.1 Has a compliance audit on the ASPASA Codes and Policy been conducted? 3 0
Section Scores 395 0
Compliance /
Maximum Non-
6.1.4 PLANNING ACTION
Score compliance /
or N/A
6.1.4.1 Has the operation planned actions to address:
6.1.4.1.1 It’s significant environmental aspects? 3 0
6.1.4.1.2 It’s compliance obligations? 3 0
6.1.4.1.3 It’s identified risks and opportunities? 3 0
It’s goals for protection of the environment, such as prevention of pollution, sustainable resource use,
6.1.4.1.4 3 0
climate change mitigation and adaptation and/or protection of biodiversity and ecosystems?
6.1.4.1.5 Continual Improvement of it’s EMS? 3 0
6.1.4.1.6 Stakeholder engagement? 3 0
6.1.4.1.7 Employee training? 3 0
Has the operation planned how to integrate and implement these actions into it’s EMS processes and
6.1.4.2 3 0
other business processes?
6.1.4.3 Has the operation considered:
31
6.1.4.3.1 Its technological options? 3 0

6.1.4.3.2 Its financial, operational and business requirements? 3 0
6.1.4.4 Has the operation planned how to evaluate the effectiveness of these actions? 3 0
Section Scores 33 0
Total Score 545 0

End of Section 6.1
32
g Phase
6 - PLANNING
6.1 ACTIONS TO ADDRESS RISKS AND OPPORTUNITIES
Requirement
The operation must identify it's environmental aspects and compliance obligations and plan
actions to address these.
Key Observations
Key Observations
33
34
Key Observations
35
36
37
38
Key Observations
39
End of Section 6.1. Actions and Risks
40
ASPASA About Face 2017_x000D_Planning Environmental Objectives
Planning Phase
6 - PLANNING
6.2 ENVIRONMENTAL OBJECTIVES AND PLANNING TO ACHIEVE THEM
Requirement
Objectives must be set and actions to achieve them must be planned. N
/
A
Compliance /
Maximum Non-
6.2.1 ENVIRONMENTAL OBJECTIVES T
Score compliance /
o
or N/A
t
Have environmental objectives been set for the operation that cover the actions identified in Section 6.1.4 a
6.2.1.1 10 0 ###
completely? l
6.2.1.2 Are these objectives:
6.2.1.2.1 Consistent with the environmental policy? 3 0 ###
6.2.1.2.2 Measurable (if practicable)? 3 0 ###
6.2.1.3 Have the objectives been communicated as required? 3 0 ###
6.2.1.4 Are objectives monitored for progress towards their completion? 3 0 ###
6.2.1.5 Is there a system for the periodic review and updating of objectives? 3 0 ###
6.2.1.6 Is documented information on environmental objectives maintained? 5 0 ###
Section Scores 30 0 N
###
/
A
Compliance /
Maximum Non-
6.2.2 PLANNING ACTIONS TO ACHIEVE ENVIRONMENTAL OBJECTIVES T
Score compliance /
o
or N/A
t
6.2.2.1 Has the operation determined how to achieve its objectives? 5 0 ###
a
Have the necessary resources (financial, equipment and labour) been allocated for the required
6.2.2.2 5 0 ###
l
objectives?
6.2.2.3 Have persons been appointed as responsible for completion of each objective? 5 0 ###
6.2.2.4 Have due dates been set for the completion of each objective? 5 0 ###
Have methods for the evaluation of results and for monitoring of progress towards completion been
6.2.2.5 5 0 ###
identified for each objective been determined?
Have indicators been determined so as to enable monitoring, evaluation and tracking of preformance for
6.2.2.6 5 0 ###
each objective?
41
ASPASA About Face 2017_x000D_Planning Environmental Objectives
6.2.2.7 Has the operation considered how to integrate its environmental objectives into its business processes? 5 0 ###
Does the operation utilise its (SH)EHIRA in order to plan its actions to achieve its environmental
6.2.2.8 5 0 ###
objectives and their priority?
Does the operation time the planning and review of objectives so as to include objectives in the budgeting
6.2.2.9 5 0 ###
process?
Section Scores 45 0 ###
Total Score 75 0 ###

End of Section 6.2
42
ASPASA About Face 2017_x000D_Support
Planning Phase
7 - Support
Requirement
Resources required for the EMS must be available. Required competence and awareness must be identified and
acquired and/or developed for person's working under the operations control. Internal and external
communication procedures must be developed and implemented. Documented information must be developed,
maintained and retained as required.
Compliance /
Maximum Non-
7.1 RESOURCES
Score compliance /
or N/A
Has the operation determined the resources needed for the establishment, maintenance and continual
7.1.1 5 0
improvement of its EMS?
7.1.2 Have these resources been provided? 5 0
Section Scores 10 0
Compliance /
Maximum Non-
7.2 COMPETENCE
Score compliance /
Has an assessment been conducted to identify the necessary competence of person(s) doing work under or 0N/A
7.2.1.1 5
the operations control? (Including employees, contractors and other on-site personnel)
Has the operation ensured that these persons are competent through appropriate education, training
7.2.1.2 5 0
and/or experience?
Has the operation determined the training needs associated with its EMS, including the operations
7.2.2 5 0
environmental aspects and environmental policy goals?
Are the training needs documented in a formal system that covers all persons working under the
7.2.3.1 5 0
operations control and includes a training and competency matrix?
7.2.3.2 Is this document revised annually or following changes to or within the operation? 3 0
7.2.4 Is environmental induction conducted with the following persons?
7.2.4.1 All employees are Inducted on an annual basis? 3 0
7.2.4.2 New employees when they commence work at the operation? 3 0
7.2.4.3 All contractors, casuals and temporary workers? 3 0
7.2.4.4 All visitors including Auditors? 3 0
7.2.5 Have employees received appropriate training in the following:
7.2.5.1 Dust, risks associated with dust and how to reduce dust? 3 0
43
7.2.5.2 Noise, risks associated with noise and how to reduce noise? 3 0
7.2.5.3 Soil contamination, its prevention and mitigation? 3 0
7.2.5.4 The operation’s compliance obligations and their legal responsibilities? 3 0
7.2.5.5 Water contamination - surface and ground and its mitigation? 3 0
7.2.5.6 Waste management, the waste hierarchy and recycling? 3 0
7.2.5.7 Alien vegetation identification and its control? 3 0
7.2.5.8 Energy conservation? 3 0
7.2.6 Have employees with specific environmentally-related responsibility received appropriate training for the required work?
7.2.6.1 Training related to the handling and disposal of hazardous substance, including waste? 3 0
7.2.6.2 Training related to used oil handling and disposal? 3 0
7.2.6.3 Training related to the approved EMP and its conditions? 3 0
Where Procedures and/or Works Instructions relating to environmental tasks exist, have employees
7.2.7 3 0
received appropriate training on their requirements?
Have employees received appropriate training to enable them to respond to electrical, chemical and/or
7.2.8 3 0
grass fires threatening the operation?
7.2.9 Where the risk presents have employees been trained for possible flood events? 3 0
7.2.10 Is training in languages that are well understood by the candidates? 3 0
7.2.11 Is periodic refresher training conducted for employees? 3 0
7.2.12 Are there training modules available for the different environmental aspects? 3 0
Where necessary, have actions been taken to evaluate the effectiveness of actions taken to acquire
7.2.13 3 0
necessary competence?
7.2.14 Is there an appropriate record of attendance for the training signed off by attendees? 3 0
Are these attendance records and records of actions taken to evaluate competence retained to provide
7.2.15 3 0
evidence of competence?
Section Scores 95 0
Compliance /
Maximum Non-
7.3 AWARENESS
Score compliance /
or N/A
7.3.1 Have all person’s doing work under the operations control undergone awareness training on:
7.3.1.1 The environmental policy and its objectives/goals? 3 0
The significant environmental aspects and related or actual potential environmental impacts associated
7.3.1.2 3 0
with their work?
Their contribution to the effectiveness of the EMS, including benefits of enhance environmental
7.3.1.3 3 0
performance?
7.3.1.4 The implications of not conforming with the EMS requirements? 3 0
7.3.1.5 The implications of non-fulfilment of compliance obligations? 3 0
44
7.3.1.6 Training on general environmental awareness? 3 0

7.3.2 Has this awareness training been conducted within the past 12 months? 3 0
Are records of this awareness training retained, including attendance registers and details of topics
7.3.3 3 0
covered?
Section Scores 24 0
7.4 COMMUNICATION
Compliance /
Maximum Non-
7.4.1 GENERAL
Score compliance /
or N/A
7.4.1.1 Is there a formal documented communication system on site, such as a procedure? 5 0
7.4.1.2 Does this document describe
7.4.1.2.1 What the operation will communicate? 2 0
7.4.1.2.2 When the operation will communicate? 2 0
7.4.1.2.3 With whom the operation will communicate? 2 0
7.4.1.2.4 How the operation will communicate? 2 0
7.4.1.3 When establishing this procedure(s) were compliance obligations taken into account? 2 0
Has the operation taken steps to ensure that the environmental information it communicates is consistent
7.4.1.4 2 0
with information generated within the EMS and is reliable?
7.4.1.5 Is documented information retained as evidence of the operations communications? 3 0
Section Scores 20 0
Compliance /
Maximum Non-
7.4.2 INTERNAL COMMUNICATION
Score compliance /
or N/A
Are all levels and functions of person’s working under the control of the operation included in the the
7.4.2.1 3 0
communication process at the operation?
Are person’s working under the control of the operation communicated to about changes the operations
7.4.2.2 3 0
EMS that may affect them?
Do the communication processes enable person’s doing work under the organisation’s control to
7.4.2.3 3 0
contribute to continual improvement of the operations EMS and its environmental performance?
7.4.2.4 Do employees participate in decisions that involve or affect the workplace EMS? 3 0
When compiling Procedures or Work Instructions, are employees that may be affected or required to
7.4.2.5 3 0
execute them involved in their formulation?
7.4.2.6 Which of the following methods are used to communicate EMS matters back to person’s working under the operation’s control?
45
7.4.2.6.1 Feed-back meetings with employees including "Green Area Meetings" and/or "Tool Box Talks"? 2 0
7.4.2.6.2 Issuing of News Letters, Employee Briefs, Memorandums or Minutes of Meetings? 2 0
7.4.2.6.3 Posting of information on Noticeboards? 2 0
7.4.2.6.4 Other innovative methods? 2 0
7.4.2.7.1 Are there workplace noticeboards located at on-site meeting / gathering places? 2 0
7.4.2.7.2 Is there a section on these noticeboards that is dedicated to EMS communications / notices / briefs? 2 0
7.4.2.7.3 Is there a procedure controlling the placement of documentation on these noticeboards? 2 0
7.4.2.8 Are environmental awareness programs run at least annually at the operation? 2 0
Are there any environmental incentive programmes run at the operation to encourage environmental
7.4.2.9 2 0
awareness or stewardship in the workplace and / or at employee homes?
7.4.2.10.1 Is there a published set of "General Environmental Rules" available on-site? 2 0
7.4.2.10.2 Is there a copy of the general environmental rules posted up on noticeboards? 2 0
Have the operations Environmental Rules been discussed with all employees and is there documented
7.4.2.10.3 4 0
proof thereof? Discussed with employees = 2, Discussed with documented proof = 4
Section Scores 37 0
Compliance /
Maximum Non-
7.4.3 EXTERNAL COMMUNICATION
Score compliance /
or N/A
7.4.3.1 Is the operation’s established communication process followed for external communication on the EMS? 3 0
7.4.3.2.1 Are the operation’s compliance obligations regarding external communication identified? 3 0
7.4.3.2.2 Are these compliance obligations met? 3 0
Where listed on the Stock Exchange is a copy of the Company's Annual Report made available to the
7.4.3.2.3 2 0
employees and IPs?
7.4.3.3.1 Is there a facility layout plan at the entrance to direct visitors? 2 0
7.4.3.3.2 Is there a list available at the entrance gate that lists emergency contact numbers? 2 0
7.4.3.4 Is there a formal structure for handling communications raised by the operation’s Interested Parties? 5 0
Section Scores 20 0
7.5 DOCUMENTED INFORMATION
Compliance /
Maximum Non-
7.5.1 GENERAL
Score compliance /
or N/A
7.5.1.1 Have steps been taken to identify and generate the documented information that is required by:
46
7.5.1.1.1 ISO 14001:2015? 3 0

7.5.1.1.2 ASPASA About Face? 3 0
7.5.1.1.3 Relevant compliance obligations? 3 0
Have steps been taken to identify and generate documented information that the operation has
7.5.1.2 3 0
determined is necessary for the effectiveness of its EMS?
Section Scores 12 0
Compliance /
Maximum Non-
7.5.2.CREATING AND UPDATING
Score compliance /
or N/A
Is there a formal documented procedure in place to manage the identification and description, format,
7.5.2.1 5 0
control, revision and filing/storage of the EMS documented information?
Is the EMS documented information organised and readily available either electronically, in 'hard-copy' or
7.5.2.2 3 0
as described in the procedure?
Is documented information adequately and appropriately identified and described (including the title, date,
7.5.2.3 3 0
author etc.)?
Is there a standard format used when creating documented information, including Procedures and/or
7.5.2.4 3 0
Works Instructions?
7.5.2.5 Is the media used for documented information appropriate? 3 0
Is all documented information subject to review and approval, as appropriate, prior to publication or
7.5.2.6 3 0
circulation?
7.5.2.7 Is all documented information version controlled, as appropriate? 3 0
7.5.2.8 Are obsolete documents removed from circulation? 3 0
7.5.2.9 Are all documents that are required to be kept for legal purposes suitably stored and retrievable? 3 0
Are documents reviewed and updated on a regular basis or in accordance with the stated review
7.5.2.10 3 0
requirement?
Is the documentation cross-referenced to the ISO 14 001 or 'About Face' document reference
7.5.2.11 3 0
numbering?
Section Scores 35 0
Compliance /
Maximum Non-
7.5.3 CONTROL OF DOCUMENTED INFORMATION
Score compliance /
or N/A
Are the procedures for retaining documented information adequately described in the procedure
7.5.3.1.1 5 0
described in 7.5.2 Creating and updating?
Does the Procedure described in 7.5.2 Creating and updating include a list of all the system records
7.5.3.1.2 5 0
available with time spans for how long they must be kept?
7.5.3.2 When documented information is required, is it:
47
7.5.3.2.1 Available/Accessible? 2 0
7.5.3.2.2 Suitable? 2 0
7.5.3.3 Is documented information available where it is needed? (e.g. procedures available where implemented) 2 0
7.5.3.4 Is documented information clearly legible and identifiable? 2 0
7.5.3.5 Is the storage of documented information adequate? 2 0
7.5.3.6 Is documented information adequately protected? (e.g. from loss of confidentiality or improper use) 2 0
7.5.3.7 Has all out of date documented information been removed from circulation? 3 0
Do person’s working under control of the operation have copies of the relevant permits, procedures and
7.5.3.8 2 0
instructions applicable to their areas of responsibility, as required?
Section Scores 27 0
Total Score 280 0

End of Section 7
48
g Phase
7 - SUPPORT
Requirement
Resources required for the EMS must be available. Required competence and awareness must
be identified and acquired and/or developed for person's working under the operations control.
Internal and external communication procedures must be developed and implemented.
Documented information must be developed, maintained and retained as required.
Key Observations
Key Observations
49
Key Observations
50
Key Observations
Key Observations
51
Key Observations
Key Observations
52
Key Observations
Key Observations
53
Section 7
54
ASPASA About Face 2017_x000D_Operation
Do / Implementation Phase
8 - OPERATION
Requirement
The implementation and management of control measures identified in Section 6.1 Actions and Risks and
Section 6.2 Objectives.
Compliance /
Maximum Non-
8.1 OPERATIONAL PLANNING AND CONTROL
Score compliance /
or N/A
8.1 Air quality - Operational Controls
8.1.1 Dust
8.1.1.1 Which of the following dust suppression measures have been implemented at the operation to mitigate ambient dust?
8.1.1.2 Dust suppression on haul roads. 2 0
8.1.1.3 Dust suppression on the processing plant. 2 0
8.1.1.4 Dust suppression around stockpile areas. 2 0
8.1.1.5 Dust suppression of blast muckpile. 2 0
8.1.1.6 Other innovative methods. 2 0
8.1.1.7 Are satellite industry dust emissions managed so as not to compromise operational standards? 2 0
8.1.2 Fumes and Odours
8.1.2.1 Are on-site mobile equipment regularly serviced so as to ensure emissions are managed? 2 0
8.1.2.2 Are on-site fixed equipment regularly serviced so as to ensure emissions are managed? 2 0
Are satellite industry point source emissions managed so as not to compromise operational standards
8.1.2.3 2 0
(odours and smoke)?
Noise
8.1.3 Where required, which of the following measures have been introduced to reduce noise, originating from the operation, on sensitive
receptors:
8.1.3.1 Plant screening with trees or berms. 1 0
8.1.3.2 Plant cladding or enclosure. 1 0
8.1.3.3 Relocation of plant to, for example, the quarry pit. 1 0
8.1.3.4 Restricting operational hours or working areas during sensitive times. 1 0
8.1.3.5 Other innovative methods. 1 0
8.1.3.6 Where Blasting Operations are conducted at the operation:
8.1.3.6.1 Does the operation blast at scheduled times or within time bands? 3 0
55
Have any Noise or Blasting Complaints relating to the operation been received from surrounding land
8.1.3.6.2 5 0
users in the past year?
8.1.4 Water management
8.1.4.1 Does the operation have a Water Balance Diagram that:
8.1.4.1.1 Indicates sources, discharges and volumes of respective water flows at the operation? 5 0
8.1.4.1.2 That is less than 2 years old? 3 0
Have any of the following measures been considered and/or introduced at the operation to reduce the consumption of water from the
8.1.4.2
resource?
8.1.4.2.1 Use of mist sprays for dust suppression 2 0
8.1.4.2.2 Recovery, reuse and recycling of water where possible 2 0
8.1.4.2.3 Rain water harvesting from roofs 2 0
8.1.4.2.4 Other innovative measures 2 0
8.1.4.3 How does the operation manage ablution and sewage water on site?
8.1.4.3.1 Sewage and ablution water are removed to a municipal treatment plant (3)
8.1.4.3.2 Sewage and ablution water are separated and fed to a septic tank and soak pit respectively (3) 3 0
8.1.4.3.3 Sewage and ablution water are combined and fed to a septic tank and soak pit (2)
8.1.4.4 Does the operation have a settlement handling facility on site that includes:
8.1.4.4.1 Adequate containment to prevent sediment and/or effluent from entering the natural environment? 3 0
8.1.4.4.2 A minimum freeboard in excess of 0.8 of a metre, i.e. > 80cm? (GN R704 Sub-regulation 6e)? 3 0
8.1.4.4.3 A penstock, overflow or recovery pipe that flows into a suitably contained area? 3 0
8.1.4.4.4 A water recovery system that allows for the reuse of recovered water? 3 0
In AMD and contaminated rock areas: a suitable lining so as to prevent soil and ground-water
8.1.4.4.5 2 0
contamination?
8.1.4.5 Is stormwater separated into "Clean" and "Dirty" streams that are handled separately? (GN R704 Sub-regulation 6)
8.1.4.5.1 "Clean" water streams are diverted away from potential polluting areas? 5 0
8.1.4.5.2 "Dirty" or polluted water streams are diverted to separators and/or settlement dams prior to discharge? 3 0
Are all oils, hazardous waste storage facilities, sanitation facilities, waste sites and other sources of
8.1.4.5.3 potential water pollution located outside the 1:50 potential flood zone? (GN R704 Sub-regulations 4, 6, 7 3 0
and 8)
Where applicable, does the operation have a site plan indicating the NWA Regulation 704 sub-regulation
8.1.4.5.4 3 0
4c floodline limits?
Are all residue deposits, dams, reservoir, and any associated structure or facility located outside of the
8.1.4.5.5 3 0
1:100 year or 100 m horisontal distance from a watercourse, borehole or well?
Are all … opencast mining activities located outside of the 1:50 floodline or outside of a horisontal
8.1.4.5.6 3 0
distance of 100m from any water course?
Are all Sanitary facilities, fuel depots or depots for any substances that are possible water resource
8.1.4.5.7 3 0
pollutants located outside the 1:50 floodline of any water course?
8.1.3 Waste Management
8.1.3.1 Does the operation avoid, where possible, and minimise the generation of waste? 3 0
Is all waste generated re-used, recycled, recovered, treated or disposed of within 18 months of
8.1.3.2 3 0
generation?
56
8.1.3.3 Does the operation recycle the following waste streams:

8.1.3.3.1 Used lubricants? 2 0
8.1.3.3.2 Scrap metals? 2 0
8.1.3.3.3 Office paper and printing cartridges? 2 0
8.1.3.3.4 Used batteries? 2 0
8.1.3.3.5 Scrap tyres and rubber products? 2 0
Where Medical Waste is generated on the site is it disposed of through a licenced hazardous waste
8.1.3.3.6 2 0
contractor or removed from site by a registered Medical Practitioner?
Are mercury vapour lamps, fluorescent tubes and other CFL's disposed of legally to licenced facilities through any one of the following
8.1.4
means:
8.1.4.1 Crushed on site in a sealed container and disposed of legally to an approved recycler? (2)
3 0
8.1.4.2 Collected whole and disposed of legally to an approved recycler? (3)
Are "Safe Disposal Certificates" or "Waste Manifests" available for the following waste streams that include the classification of the
waste, the quantity of each waste generated (in tonnes or m3), and the quantities that have been re-used, recycled, recovered treated
8.1.5
or disposed of and by whom the waste was managed (excluding general waste such as domestic waste that is collected by a
municipality, business waste not containing hazardous waste or hazardous chemicals, garden waste and waste packaging):
8.1.5.1 Scrap metals? 2 0
8.1.5.2 Printing cartridges? 2 0
8.1.5.3 Scrap tyres and rubber products? 2 0
8.1.5.4 Sewage effluent? 2 0
Are "Safe Disposal Certificates" or "Waste Manifests" available for the following waste streams that include the consignment
identification number, the SAWIS registration number, where applicable the generator’s contact details; the physical address where it
8.1.6
was generated, an after-hours contact number, the origin or source of the waste, the classification of the waste and SDS, the quantity
of waste by volume or weight, the date of collection or dispatch, the intended receiver and a declaration):
8.1.6.1 Used lubricants? 3 0
8.1.6.2 Used batteries? 3 0
8.1.6.3 Mercury containing waste? 3 0
8.1.6.4 Asbestos containing waste? 3 0
8.1.6.5 Oil separator effluents? 5 0
8.1.6.6 PCB waste or PCB-containing waste? 5 0
8.1.6.7 Expired, spilt or unusable hazardous products? 3 0
8.1.6.8 Does the operation supply sufficient containers to contain litter that is discarded on site? 3 0
Is this litter disposed of before it becomes a nuisance, a ground for complaint or causes a negative impact
8.1.6.9 3 0
on the environment?
8.1.6.10 Is all electronic waste disposed of correctly (i.e. recycled or removed to appropriate landfills)? 5 0
8.1.6.11 Are oils, grease and hydraulic fluids disposed of:
8.1.6.11.1 In a waste disposal receptacle for collection or treatment? 3 0
8.1.6.11.2 At an appropriate licenced facility? 3 0
57
8.1.6.11.3 In accordance with an approved method in the EMP? 3 0

Are all oils, grease and hydraulic fluid spills cleaned by removing all the contaminated soil and
8.1.6.11.4 3 0
appropriate disposal or treatment?
8.1.7 Hazardous substances
Have employees working with hazardous substances received appropriate training to ensure safe
8.1.7.1 2 0
handling?
Have employees working with hazardous substances been issued with appropriate PPE to ensure their
8.1.7.2 2 0
safety?
Does the Purchasing Procedure require the supplier of Chemical Substances to supply a 16-point Safety
8.1.7.3 2 0
Data Sheet with the consignment?
Does the operation have an up to date Register identifying all Hazardous Chemical Substances used and
8.1.7.4 2 0
stored on the site?
8.1.7.5 Is all Electrical Equipment labelled as to their PCB status? 2 0
8.1.8 Rehabilitation, Biodiversity and Site Management
Has a Botanical field survey / study been completed for the operation? Including identification of
8.1.8.1 Protected plants and Red Data species (An 'inhouse' field survey has been completed. A 'Specialist' study 5 0
has been conducted on the site)
Has a Faunalogical field survey / study been completed for the operation? Including identification of
8.1.8.2 Protected fauna and Red Data species (An 'inhouse' field survey has been completed. A 'Specialist' study 5 0
has been conducted on the site)
Has a Cultural and / or Heritage field survey / study been completed for the operation? Including
identification of protected species including graves, structures older than 60 years, monuments and
8.1.8.3 5 0
structures of cultural or archaeological significance. (An 'inhouse' field survey has been completed. A
'Specialist' study has been conducted on the site)
Where these species or structures have been identified, have steps been introduced at the site to ensure
8.1.8.4 5 0
their protection in accordance with the legal requirements?
8.1.8.5 Is concurrent rehabilitation at the operation is up to date with the approved EMP / mine plan requirement? 5 0
8.1.8.6 Have only non-alien and non-invasive trees and plants been used for rehabilitation and screening? 5 0
8.1.8.7 Has an active alien vegetation removal programme been introduced at the operation?
8.1.8.7.1 Programme started but not ahead of invasion (1)
8.1.8.7.2 Programme introduced and containing invasion (3) 5 0
8.1.8.7.3 Operation has been cleared of alien vegetation (5)
8.1.8.8 Fire Breaks
8.1.8.8.1 Are fire breaks prepared around the operation in accordance with the Legal requirements? 5 0
8.1.9 Energy reduction and carbon
8.1.9.1 Has the operation developed and implemented an energy reduction programme? 3 0
8.1.9.2 Have any of the following steps been introduced to reduce electrical power utilised per tonne of product?
8.1.9.2.1 Installed 'Variable Speed Drive' (VSD/VFD) motors at the operation? 2 0
8.1.9.2.2 Fitted night-time lighting with 'day-night' switches or other energy saving devices? 2 0
58
8.1.9.2.3 Introduced a programme to retrofit or replace incandescent lighting with energy efficient lighting? 2 0
8.1.9.2.4 Any other innovative measures? 2 0
8.1.9.2.5 Is power factor correction equipment employed at the operation? 2 0
8.1.9.3 Have any of the following steps been taken to reduce the amount of diesel oil utilised per tonne of product?
8.1.9.3.1 Programmes to reduce idling of vehicles when not in use? 2 0
8.1.9.3.2 Optimisation of operational design to reduce operational vehicle distance travelled? 2 0
8.1.9.3.3 Regular servicing and maintenance of vehicles to optimise fuel consumption? 2 0
8.1.9.3.4 Other innovative measures? 2 0
8.1.10 Housekeeping
Are delivery trucks leaving the operation cleared of loose material that could fall off and cause nuisance
8.1.10.1 2 0
to the public on public roads?
Has sufficient documented information been supplied on the day of the audit for the auditors to have
8.1.10.2 3 0
confidence that the processes have been carried out as planned?
Compliance /
Maximum Non-
8.2 EMERGENCY PREPAREDNESS AND RESPONSE
Score compliance /
or N/A
Does the operation have a written Emergency Procedure for handling all types of environmental
8.2.1 5 0
emergencies?
Does the Emergency Procedure include reference to the following, regarding reporting of emergencies that may result in pollution of
8.2.2 the environment or water resource, significant pollution and/or degradation of the environment or significant contamination of the
environment?
8.2.2.1 Section 20 of the National Water Act? 2 0
8.2.2.2 Section 30 of the National Environmental Management Act? 2 0
8.2.2.3 GN R704 - the use of water for mining? 2 0
8.2.2.4 Section 36 of the National Environmental Management: Waste Act? 2 0
8.2.3 Does the Emergency Procedure include:
A list of 'emergency' contact numbers that includes Medical, Fire, Police, Hazmat Teams and responsible
8.2.3.1 2 0
management?
8.2.3.2 A list of available equipment for possible use in different types of emergencies? 2 0
8.2.4 Has/Is the operation prepared to respond to emergency situations? 3 0
Has/Is the operation prepared to prevent or mitigate adverse environmental impacts resulting from these
8.2.5 2 0
emergency situations, such as through an environmental risk assessment?
Have environmental emergency drills been conducted at the operation in the past year, that test the
8.2.6 3 0
operations preparedness to respond to these potential emergency situations?
8.2.7 Are reports available detailing the environmental emergency drills including a concluding section? 3 0
8.2.8 Have these reports been signed off by management? 2 0
59
Does the operation periodically review and revise the Emergency Procedure and planned responses, in
8.2.9 2 0
particular following the occurrence of an emergency situation or drill?
Has the operation provided relevant information and training related to emergency preparedness and
8.2.10 2 0
response to relevant IPs including persons working under the operations control, where necessary?
8.2.11 Where applicable, is the operation a member of the local Fire Protection Association? 1 0
When introducing planned changes, new equipment, procedures or when implementing corrective actions
8.2.12 5 0
are Risk Assessments conducted to identify and eliminate any unintended consequences?
Do outsourced processes and/or services Scoping / Contract Documantation include requirements so as
8.2.13 to ensure that appointed service providers fulfil the operations operating requirements (policies and 5 0
legal)?
Section Scores 35 0
Total Score 275 0

End of Section 8
60
ntation Phase
8 - OPERATION
Requirement
The implementation and management of control measures identified in Section 6.1 Actions and
Risks and Section 6.2 Objectives.
Key Observations
61
62
63
64
Key Observations
65
Section 8
66
ASPASA About Face 2017_x000D_Performance Evaluation
Check / Monitoring
9 - PERFORMANCE EVALUATION
9.1 MONITORING, MEASUREMENT, ANALYSIS AND EVALUATION
Requirement
Compliance /
Maximum Non-
9.1.1 GENERAL
Score compliance /
or N/A
9.1.1.1 Has the operation determined:
9.1.1.1.1 What operational controls needs to be monitored and / or measured? 3 0
9.1.1.1.2 The methods for monitoring, measurement, analysis and evaluation to ensure valid results? 3 0
9.1.1.1.3 The criteria against which the operation will evaluate its environmental performance? 3 0
9.1.1.1.4 The appropriate indicators? 3 0
9.1.1.1.5 When the monitoring and measuring will be performed/conducted? 3 0
When the results from monitoring and measuring will be analysed and evaluated so as to provide
9.1.1.1.6 5 0
necessary data for Management reviews and Budgeting purposes?
9.1.1.2 Air Quality Monitoring & Reporting - Dust, Smoke and Odour & Noise
9.1.1.2.1 Has the operation implemented an Air Quality Monitoring programme for Ambient Air? 5 0
9.1.1.2.2 Is Ambient Air Quality being monitored in accordance with SANS 1929:2005? 5 0
Is Ambient Air Quality being Monitored at the property boundaries and/or appropriate positions relative to
9.1.1.2.3 3 0
receptors and prevailing wind directions?
9.1.1.2.4 Has the operation appointed an accredited Test House to conduct the Ambient Air Quality monitoring? 3 0
9.1.1.2.5 Is Ambient Air Quality Monitoring being conducted on a regular basis, for example on a monthly basis? 3 0
Are Ambient Air Quality Monitoring Reports submitted to the manager within two weeks of the end of the
9.1.1.2.6 3 0
sample period?
Are Ambient Air Quality Monitoring Reports and the Sampling results discussed with, and understood by
9.1.1.2.7 3 0
management?
Does the operation have clearly defined indicators that confirm the maximum prescribed Fall-out dust
9.1.1.2.8 3 0
limits as specified in SANS1929:2005?
Is effective corrective action taken to minimise Ambient Dust to within the prescribed limits applicable to
9.1.1.2.9 5 0
the operation?
67
In terms of GN R283, has the operation submitted the required information to NAEIS in the specified
9.1.1.2.10 5 0
period?
9.1.1.2.11 Has the operation implemented a perimeter noise monitoring programme for the operation? 5 0
Are noise surveys conducted at least every two years or when operational changes or external changes
9.1.1.2.12 3 0
that may impact the operation occur?
9.1.1.2.13 Are noise surveys conducted by a specialist? 3 0
Do noise survey reports record the GPS position of the respective sampling points as well as weather
9.1.1.2.14 3 0
conditions?
9.1.1.2.15 Do noise survey reports record ambient noise as well as operational noise? 3 0
Where the operation works at night, does the noise survey include both Day and Night noise
9.1.1.2.16 3 0
measurements?
Where Blasting Operations are conducted at the operation:
9.1.1.2.17 Does the operation measure and record ground vibrations? 5 0
9.1.1.2.18 Does the operation measure and record 'Air Blast'? 3 0
9.1.1.3
Water Monitoring & Reporting - Volumes and Quality
Does the operation measure and record its use of water from the respective water resources ?
9.1.1.3.1 Water pumped from the quarry for use at the operation? 3 0
9.1.1.3.2 Water pumped from the quarry and discharged to the environment? 3 0
9.1.1.3.3 Water pumped from rivers, streams, dams or springs? 3 0
9.1.1.3.4 Water pumped from boreholes? 3 0
9.1.1.3.5 Water or effluent discharged to the settlement dams? 3 0
9.1.1.3.6 Water or effluent discharged to the environment? 3 0
9.1.1.3.7 Water volumes utilised for dust suppression? 3 0
9.1.1.3.8 Water volume estimates for water harvested from roofs? 3 0
Does the operation compare recorded volumes utilised with Water Use Licence or General Authorisation
9.1.1.3.9 5 0
allocations?
Does the operation monitor water quality on and immediately off the site at the following sources?
9.1.1.3.10 Borehole water sources 3 0
9.1.1.3.11 Quarry water 3 0
9.1.1.3.12 Stream or River sources within the site 3 0
9.1.1.3.13 Stream or River sources immediately adjacent to the site or affected by the site 3 0
9.1.1.3.14 Ground water 3 0
9.1.1.3.15 Effluent discharged from the site 3 0
Does the operation compare recorded quality results with Water Use Licence or General Authorisation
9.1.1.3.16 5 0
allocations?
9.1.1.4 Waste Monitoring & Reporting - Volumes and Quality
Does the operation have a Waste Inventory detailing the types, characteristics and volumes of all wastes
9.1.1.4.1 5 0
generated on site?
9.1.1.5 Monitoring Other Resource Consumption
9.1.1.5.1 Does the operation monitor and report on the consumption of electrical power? 3 0
9.1.1.5.2 Does the operation monitor and report on the consumption of diesel oil? 3 0
68
9.1.1.6 Monitoring Performance Against EMP Requirements

9.1.1.6.1 Has the operation completed a mining EMP Performance Assessment? 10 0
9.1.1.6.2 Has the operation submitted the EMP Performance Assessment to the DMR within the prescribed period? 5 0
Did the latest EMP Performance Assessment indicate Fair (50%-65%), Good (66%-80%) or Excellent
9.1.1.6.3 5 0
(+80%) performance against the approved EMP requirements? Fair = 1; Good = 3; Excellent = 5.
9.1.1.7 Other Monitoring
9.1.1.7.1 On and off-site own-vehicle behaviour? 3 0
Is all equipment used for monitoring and measurement at the operation:
9.1.1.7.2 Used and maintained as appropriate? 3 0
9.1.1.7.3 Calibrated and verified? 3 0
Are copies of sampling equipment specifications and calibration and consultant certifications included in
9.1.1.7.4 3 0
monitoring and/ or measurement reports?
Has the operation used the results of it’s monitoring, measurement, analysis and evaluation to evaluate
9.1.1.7.5 5 0
its environmental performance and the effectiveness of its EMS?
Has the operation communicated its relevant environmental performance information both internally and
9.1.1.7.6 3 0
externally as identified in its communication procedure and as required by its compliance obligations?
Has the operation retained appropriate documented information as evidence of the results of its
9.1.1.7.7 3 0
monitoring, measurement, analysis and evaluation?
9.1.2 EVALUATION OF COMPLIANCE
Has the operation determined the frequency that compliance with the operations compliance obligations
9.1.2.1 3 0
will be evaluated?
Has the operation evaluated its compliance within the required time-frame, as determined by the
9.1.2.2 5 0
frequency?
9.1.2.3 Has a Legal Compliance Audit been conducted for the operation by a competent person? 5 0
Are all conditions or requirements contained in all environmental authorisations, such as Letters of
9.1.2.4 Approval or RoDs, in directives, required by industry associations or accepted requirements of IPs 5 0
included in the Compliance Audit?
9.1.2.5 Have all non-conformances been actioned, with responsibility for completion and due dates? 5 0
9.1.2.6 Is the operation maintaining its knowledge and understanding of its compliance status? 5 0
Has the operation retained documented information, including of legal compliance audits, as evidence of
9.1.2.7 5 0
the results of its compliance evaluations?
9.2 INTERNAL AUDIT

9.2.1 GENERAL
Are Environmental Inspections regularly conducted at the operation that cover liquid chemical storage,
9.2.1.1 waste handling and disposal, oil separators, stormwater drainage systems and other facilities as 3 0
necessary?
9.2.1.2 Are checklists utilised in these inspections? 3 0
9.2.1.3 Are these completed checklists signed off by management or the environmental responsible? 3 0
69
Are on-site contractors included in Environmental Inspections, such as security points, drilling contractor
9.2.1.4 3 0
sites?
Do these checklists, the environmental inspections and the internal audits include items that will help the
9.2.1.5 3 0
operation to ascertain that it conforms to its own EMS requirements and the requirements of ISO?
9.2.1.6 Are Inspections conducted by responsible presons on their areas of responsibility on a weekly basis? 3 0
9.2.1.7 Are Inspections conducted by the environmental responsible on the entire operation on a quarterly basis? 5 0
9.2.2 INTERNAL AUDIT PROGRAMME
9.2.2.1 Does the operation have a procedure to conduct and guide its internal audit programme? 5 0
9.2.2.2 Does this procedure describe the:
9.2.2.2.1 Frequency that internal audits must be undertaken? 3 0
9.2.2.2.2 Methods that will be utilised in internal audits? 3 0
9.2.2.2.3 Persons responsible for conducting and attending internal audits? 3 0
9.2.2.2.4 Planning requirements for the internal audits and the internal audit programme? 3 0
9.2.2.2.5 Requirements and method for reporting internal audits? 3 0
9.2.2.3 When establishing the internal audit programme, did the operation consider:
9.2.2.3.1 Environmental importance (aspects/impacts?) of the processes concerned? 3 0
9.2.2.3.2 Changes affecting the organisation? 3 0
9.2.2.3.3 Results of previous audits? 3 0
9.2.2.4 Has the operation:
9.2.2.4.1 Defined the audit criteria and scope for each audit? 3 0
Selected the auditors and conducted the audits in such a way that objectivity and impartiality in the audit
9.2.2.4.2 3 0
process are ensured?
9.2.2.4.3 Ensured, through the procedure, that audit results are reported to relevant management? 3 0
9.2.2.5 Are on-site contractors included in these Audits? 3 0
Are all other industries located within the Approved EMP Authorisation area subjected to environmental
9.2.2.6 3 0
inspections / audits conducted by the operation?
Has the operation been subjected to a management-level environmental audits that include both a
9.2.2.7 physical audit and a review of monitoring results, performance assessments and environmental 3 0
inspection findings within the time-frame and at the frequency specified in the procedure?
9.2.2.8 Were the audit criteria objective and impartial? 3 0
9.2.2.10 Has the operation reported the results of the audit to the relevant management? 3 0
9.2.2.11 Has the operation communicated results of the audit to persons working under its control, as appropriate? 3 0
Has the operation retained documented information that demonstrates that the audits were implement in
9.2.2.12 3 0
accordance with the procedure as well as the audit results?
Section Scores 82 0
9.3 MANAGEMENT REVIEW

Does the operation have a written procedure for the conducting of Environmental Management System
9.3.1 5 0
Management Reviews?
70
Does the operation have a written procedure for the conducting of Environmental Management System
9.3.1 5 0
Management Reviews?
9.3.2 Does the procedure describe the topics that are to be covered in the management reviews including:
9.3.2.1 The Status of actions from previous management reviews? 3 0
9.3.2.2 Changes in external and internal issues that are relevant to the operation’s EMS? 3 0
9.3.2.3 Changes in the needs and expectations of IPs? 3 0
9.3.2.4 Changes in compliance obligations? 3 0
9.3.2.5 Changes in the operations significant environmental aspects? 3 0
9.3.2.6 Changes in the operation’s risks and opportunities? 3 0
9.3.2.7 The extent to which environmental objectives have been achieved? 3 0
9.3.2.8 Does the procedure describe the operation’s environmental performance over the period of review, including trends in its:
9.3.2.8.1 Non-conformities and corrective actions? 3 0
9.3.2.8.2 Monitoring and measurement results? 3 0
9.3.2.8.3 Fulfilment of its compliance obligations? 3 0
9.3.2.8.4 Audit results? 3 0
9.3.2.9 The adequacy of resources? 3 0
9.3.2.10 Relevant communications from IPs, including complaints? 3 0
9.3.2.11 Opportunities for continual improvement? 3 0
9.3.3 Does the procedure describe the outputs that are expected from the management reviews including:
9.3.3.1 Conclusions on the continuing suitability, adequacy and effectiveness of the EMS? 3 0
9.3.3.2 Decisions related to opportunities for continual improvement? 3 0
Decisions related to any changes to the EMS that are needed, including resources and/or changes to the
9.3.3.3 3 0
Environmental Policy?
9.3.3.4 Actions that may be needed if environmental objectives have not been achieved? 3 0
9.3.3.5 Opportunities to improve the integration of the EMS with other business processes, if needed? 3 0
9.3.3.6 Any implications for the strategic direction of the organisation? 3 0
9.3.4 Does the procedure describe the frequency of which management review meeting will be held? 3 0
Does the procedure describe the documented information that must be retained as evidence of the EMS
9.3.5 3 0
Management Reviews and their results?
9.3.6 Have EMS Management Reviews been held within the prescribed periods set out in the Procedure? 3 0
9.3.7 Are the EMS Management Reviews attended by the following persons, as applicable to the operation:
9.3.7.1 The Operation/Quarry Manager? 3 0
9.3.7.2 An Area Manager or Operations Manager where more than one operation falls in the region? 3 0
9.3.7.3 The General Manager? 3 0
9.3.7.4 A Director, Exco Member, Board member and/or Owner of the Company? 3 0
9.3.8 Can the operation present a set Agenda for the EMS Management Review? 3 0
9.3.9 Are all the items that are described in the procedure, listed in the agenda/were they discussed? 3 0
Were all the outputs from the Management Review that are described in the procedure generated during
9.3.10 3 0
the most recent Management Review, as applicable?
71
9.3.10 3 0
the most recent Management Review, as applicable?
Are Minutes of Environmental Management Reviews, or other appropriate documented information,
9.3.11 3 0
available for inspection?
Section Scores 98 0
Total Score 405 0

End of Section 4.4.2
72
Monitoring
9 - PERFORMANCE EVALUATION
9.1 MONITORING, MEASUREMENT, ANALYSIS AND EVALUATION
Requirement
Key Observations
73
74
9.2 INTERNAL AUDIT

Key Observations
75
9.3 MANAGEMENT REVIEW
76
77
ction 4.4.2
78
ASPASA About Face 2017_x000D_Improvement
Act / Adapt Phase

10 - IMPROVEMENT
Requirement
Compliance /
Maximum Non-
10.1 GENERAL
Score compliance /
or N/A
Has the operation considered the findings from the internal audits and management reviews and the
10.1.1 5 0
identified opportunities for improvement?
10.1.2 Has the operation identified the necessary actions arising from these findings and opportunities? 5 0
10.1.3 Has the operation implemented, or planned to implement, these necessary actions? 5 0
10.2 NONCONFORMITY AND CORRECTIVE ACTION
Does the operation have a written Environmental Nonconformity or Incident Procedure for handling all
10.2.1 3 0
types of environmental nonconformities and/or incidents?
Are all nonconformities/incidents identified in any environmental inspection, internal or external audit,
10.2.2 management review or applicable comment or complaints recorded as an environmental nonconformity or 3 0
incident and treated in accordance with the procedure?
10.2.3 Are standard incident forms utilised for the reporting of environmental nonconformities and/or incidents? 3 0
10.2.4 How many environmental nonconformities or incidents have been recorded over the past year? 3 0
10.2.5 Is a competent person designated to conduct the nonconformity/incident investigation? 3 0
10.2.6 Does the investigation and report detail:
10.2.6.1 The actions taken to control and/or correct the nonconformity/incident? 3 0
How the operation dealt with the consequences of the nonconformity/incident, including how it mitigated
10.2.6.2 3 0
adverse environmental impacts?
10.2.7 Does the investigation identify the cause of the nonconformity/incident? 3 0
Does the investigation include the formulation of positive recommendations so as to learn from the
10.2.8 3 0
nonconformity/incident and to prevent its recurrence?
Does the investigation include a review and possible amendment to EMS, including, aspect/impact
10.2.9 3 0
register related to the Incident?
On finalisation of the nonconformity/incident investigation and report, is the report signed off by the
10.2.10 3 0
manager or SHE Committee Chairperson?
79
Where actions are required following a nonconformity/incident and/or the associated investigation and
10.2.11 3 0
report, is there evidence, as documented information, that these have been implemented?
10.2.12 Are all actions taken reviewed for their effectiveness? 3 0
Are records of environmental nonconformities/incidents and their associated reports available for
10.2.13 3 0
inspection?
Are all environmental nonconformities/incidents communicated and discussed with persons working
10.2.14 3 0
under the operations control?
10.2.15 Are all environmental nonconformities/incidents analysed to identify possible common causes or trends? 3 0
Are environmental nonconformities/incidents that occurred at other operations considered and discussed
10.2.16 2 0
by the SHE Committee and with persons working under the operations control, as appropriate?
Is disciplinary action taken against employees/contractors who do not conform to rules, environmental
10.2.17 5 0
procedures, the requirements of the EMS or approved EMP?
Are there any environmental nonconformities or incidents that have been outstanding for more than one
10.2.18 5 0
year?
10.3 CONTINUAL IMPROVEMENT
10.3.1 Where the operation has identified opportunities to improve its EMS and or its environmental performance, has the operation:
10.3.1.1 Planned for these opportunities? 2 0
10.3.1.2 Implemented the opportunities? 2 0
10.3.1.3 Reviewed the impacts and/or consequences of these actions? 2 0
10.3.2.1 Has the operation calculated its CO2 Footprint/Inventory? 2 0
10.3.2.2 Was the CO2 Footprint/Inventory calculated using a recognised, Industry-approved method? 2 0
10.3.2.3 Is the information available to IPs, as appropriate? 2 0
10.3.3 Have steps been introduced to reduce the CO2 Footprint of the operation, including:
10.3.3.1 Reducing electrical energy consumption per tonne of product sold? 1 0
10.3.3.2 Reducing fuel consumption per tonne of product sold? 1 0
10.3.3.3 Reducing company vehicle distance travelled? 1 0
10.3.3.4 Reducing Air travel by the operation personnel? 1 0
10.3.3.5 Reducing paper and printing consumption? 1 0
10.3.3.6 Other innovative methods? 1 0
Section Scores 93 0

End of Section 10
80
Adapt Phase
10 - IMPROVEMENT
Requirement
Key Observations
81
82
ASPASA About Face 2017_x000D_Physical Audit
Do / Implement
11 - SITE VISIT
Requirement
Compliance /
Maximum Non-
AIR QUALITY (Section 8.1.1) N/A Total
Score compliance /
or N/A
11.1.1 On the day of the Audit was dust generation noted or was dust well managed at the operation in the following areas?
11.1.1.1 Plant 3 0 ###
11.1.1.2 Quarry 3 0 ###
11.1.1.3 Product Stockpile Areas 3 0 ###
11.1.1.4 Haul Roads 3 0 ###
11.1.1.5 Dispatch 3 0 ###
11.1.1.6 Overburden and Top Soil stockpile areas 3 0 ###
11.1.1.7 Approach Roads 3 0 ###
11.1.2 Dust Monitoring:
11.1.2.1 Are dust buckets located at appropriate positions relative to sensitive receptors and/or prevailing winds? 3 0 ###
11.1.2.2 Do dust buckets conform to SANS1929:2005 or SANS 1929:2011(ASTM) Standards? 3 0 ###
11.1.2.3 Were visible exhaust fumes noted from operational vehicles on the site (including contractor vehicles)? 3 0 ###
11.1.2.4 Were any odours or fumes noted to be originating from the site? 3 0 ###
11.1.2.5 Are regular 'Fall-out Dust Monitorng Reports' available for inspection? 3 0 ###
Are Management able to discuss the contents and findings of the Fall-out Dust Monitoring Reports with
11.1.2.6 5 0 ###
the Auditors? ###
11.1.3 Were visible dust or smoke emissions noted from satellite industries:
11.1.3.1 Cement utilising industries, e.g. Readymix and /or Block plants? 5 0 ###
11.1.3.2 Asphalt operations? 5 0 ###
11.1.4 Dust control / abatement on site:
11.1.4.1 A water-cart is utilised for dust suppression on haul roads. 3 0 ###
11.1.4.2 Facilities exist for dampening the blast muckpile prior to loading and hauling. 3 0 ###
11.1.4.3 Facilities exist for dampening primary blast rock prior to tipping at the primary crusher. 3 0 ###
11.1.4.4 Water sprays are installed along main haul roads and in stockpile areas. 3 0 ###
11.1.4.5 Haul roads are treated with dust retarders. 3 0 ###
83
11.1.4.6 Water sprays are installed at strategic points on the crushing and screening plant. 3 0 ###
11.1.4.7 Screens are covered or housed in claded buildings. 3 0 ###
Stockpile conveyors are equipped with dust reducing structures such as conveyor belting or perforated-
11.1.4.8 3 0 ###
chutes.
11.1.5 Compliants regarding dust
11.1.5.1 Have any external complaints relating to ambient dust been received by the operation? 5 0 ###
11.1.5.2 Have any internal complaints relating to ambient dust been received by the operation? 3 0 ###
11.1.5.3 Have these complaints been treated as non-compliances and resolved to the best ability of management? 3 0 ###
WATER MANAGEMENT
11.2.1 Were obvious water leaks noted during the audit? 5 0 ###
11.2.2 Does the operation have an equipment wash-bay that includes:
11.2.2.1 Suitable containment of wash-water so as to prevent it entering the natural environment? 3 0 ###
An oil and sediment trap to separate sediment and oil derived from equipment washing from the wash-
11.2.2.2 3 0 ###
water?
11.2.2.3 A wash-water recovery system to enable the reuse of wash-water? 3 0 ###
11.2.3 Are the second and third cells of the separator free of oil? 3 0 ###
11.2.4 Is stormwater either collected in tanks or diverted away from contaminated areas and oil separators? 3 0 ###
Are vehicle and equipment servicing areas paved with containment for spillages of oils and other
11.2.5 3 0 ###
chemicals?
11.2.6 Are vehicle and equipment servicing areas equipped with and oil and sediment trap? 3 0 ###
11.2.7 Is there evidence of soil erosion on the site? 3 0 ###
11.2.8 Is there evidence of stockpile erosion on the site? 3 0 ###
Is the site equipped with a stormwater handling facility that allows for the settling of coarse fractions of
11.2.9 5 0 ###
sediment prior to decanting off the defined mining area?
11.2.10 Are water run off areas well managed and is erosion minimised:
11.2.10.1 On-site? 3 0 ###
11.2.10.2 At the property boundary? 3 0 ###
11.2.10.3 Is stormwater on residue stockpiles/ deposits well managed with no water ponding? 3 0 ###
Is stormwater on residue stockpiles/ deposits well managed with no evidence of flow or erosion over the
11.2.10.4 3 0 ###
dump face?
Is there evidence of pollution, sedimentation, erosion on adjacent lands that may be attributable to the
11.2.10.5 5 0 ###
operation?
11.2.11 Water Quality Sampling Points
Are the water sampling points known to management and any appointee responsible for the water
11.2.11.1 5 0 ###
monitoring programme?
11.2.11.2 Are water monitoring reports available for inspection and discussion with the Auditor? 3 0 ###
11.2.11.3 Are management able to discuss the water monitoring results with the Auditor? 5 0 ###
11.2.11.4 Have any external complaints relating to water pollution been received by the operation? 3 0 ###
11.2.11.5 Have these complaints been treated as non-compliances and resolved to the best ability of management? 3 0 ###
11.2.12 Water reuse, recycling and Rain water harvesting:
11.2.12.1 Is rain-water harvesting conducted from any of the rooves or paved surfaces? 5 0 ###
84
11.2.12.2 Is vehicle wash-water recovered from oil separators for reuse at the operation? 5 0 ###
11.2.12.3 Is contaminated storm-water diverted to settlement ponds / quarry and recovered for use on site? 5 0 ###
WASTE MANAGEMENT
11.3.1
On the day of the audit:
11.3.1.1 Wastes were noted to be well-managed? 3 0 ###
11.3.1.2 Waste storage areas clearly identified and demarcated? 3 0 ###
Different types of waste stored separated (e.g. rubber waste; metal waste; domestic waste, used oil, oily
11.3.1.3 3 0 ###
waste)?
11.3.1.3.1 Rubber Waste 3 0 ###
11.3.1.3.2 Metals 3 0 ###
11.3.1.3.3 Domestic 3 0 ###
11.3.1.3.4 Oil contaminated waste 3 0 ###
11.3.1.3.5 Used oil 3 0 ###
Is litter was well managed including paper, plastic, filters (dust and other), food etc.?
11.3.1.4 5 0 ###
No litter noted = 5; Some litter noted = 2: Litter noted = 0
11.3.1.5 No nuisances (such as malodour, spread or potential vectors - flies and rodents) were noted? 3 0 ###
11.3.1.6 Visual impacts were minimised? 3 0 ###
Waste storage containers were intact, not corroded or rendered unfit for the safe storage of waste in any
11.3.1.7 3 0 ###
other way?
11.3.1.8 Adequate measures were taken to prevent accidental spillage or leaking? 3 0 ###
11.3.1.9 Waste could not blow away? 3 0 ###
Pollution of the environment and harm to health are prevented (such as through bunding and covering of
11.3.1.10 3 0 ###
liquid wastes)?
Waste containers or storage impoundments were labelled or where labelling was not possible records
were available that reflect the date on which the waste was first placed in the container, the date on which
11.3.1.11 waste was last placed in the container, the dates when and quantities of waste added or removed from 5 0 ###
the containers or impoundments, the specific categories of waste in the container or impoundment and
the classification of this waste?
11.3.2 Salvage Yards
11.3.2.1 Is the Salvage Yard signposted and fenced/secured? 5 0 ###
11.3.2.2 Is separation of salvage practiced at the Salvage yard? 3 0 ###
11.3.2.3 Is rubber salvage stored away from potential sources of fire? 3 0 ###
11.3.2.4 Is the Salvage Yard free from oily wastes and chemicals? 3 0 ###
11.3.2.5 Are gearboxes or crusher oil tanks adequately stored so as to prevent leaking oils from causing pollution? 5 0 ###
11.3.2.6 Are any transformers and/or capacitors stored so as to prevent leaking oils from causing pollution? 5 0 ###
11.3.3 Waste management of satellite industries:
11.3.3.1 Asphalt Plants
11.3.3.1.1 Recovered Dust 3 0 ###
85
11.3.3.1.2 Residual emulsions/tars 3 0 ###

11.3.3.1.3 Residual / returned Asphalt 3 0 ###
11.3.3.1.4 Laboratory Chemicals 3 0 ###
11.3.3.1.5 Ablution and sewage wastes 3 0 ###
11.3.3.1.6 Mechanical derived residues (used oil, steel, rubber etc.) 3 0 ###
11.3.3.2 Block Plants
11.3.3.2.1 Bin residues (out of spec stock) 3 0 ###
11.3.3.2.2 Cement spillage 3 0 ###
11.3.3.2.3 Non-speck and damaged product 3 0 ###
11.3.3.2.4 Ad-mixtures 3 0 ###
11.3.3.3 Readymix Plants
11.3.3.3.1 Bin residues (out of spec stock) 3 0 ###
11.3.3.3.2 Cement spillage 3 0 ###
11.3.3.3.3 Ad-mixtures 3 0 ###
11.3.3.3.5 Return load concrete 3 0 ###
11.3.3.3.6 Wash-water 3 0 ###
11.3.4 Hazardous waste was:
11.3.4.1 Stored in a bunded, covered area on an impermeable floor? 5 0 ###
11.3.4.2 Clearly labled as Hazardous Waste? 5 0 ###
11.3.5 Liquid waste was stored in:
11.3.5.1 Bunded, 3 0 ###
11.3.5.2 Covered areas 3 0 ###
11.3.5.3 On an impermeable floor; where, 3 0 ###
11.3.5.4 The risk of environmental pollution was minimised? 5 0 ###
11.4 LIQUID AND HAZARDOUS SUBSTANCE STORAGE
11.4.1 Are all paints, solvents, acids, lead-acid batteries, etc. stored:
11.4.1.1 In suitably contained area/s? 5 0 ###
11.4.1.2 On impermeable surfaces or floors? 3 0 ###
11.4.1.3 In covered area/s? 3 0 ###
11.4.1.4 In ventilated area/s? 3 0 ###
11.4.2 Where potential polluting substances (such as oil) are stored at the operation are they stored:
11.4.2.1 In bunded area/s? 5 0 ###
11.4.2.2 On an impermeable floor? 3 0 ###
86
11.4.2.3 In a covered area? 3 0 ###

11.4.2.4 In a ventilated area? 3 0 ###
11.4.3 Do liquid and hazardous substance storage areas have the following close on hand:
11.4.3.1 Stocked spill kits? 5 0 ###
11.4.3.2 Suitable fire fighting equipment? 3 0 ###
11.4.3.3 Relevant Safety Data Sheets? 3 0 ###
11.4.4 Are all "above ground" fuel tanks contained in bunded areas that conform with the following:
11.4.4.1 Sturdy uncompromised walls? 5 0 ###
11.4.4.2 Containment of at least 110% of the stored fuel volume? 5 0 ###
11.4.4.3 Storage tanks and storage areas have been approved by the local authority? 5 0 ###
11.4.4.4 Has a leak test has been performed to verify the integrity of the bunded area? 5 0 ###
11.4.4.5 Is the bunded area is equipped with an effluent treatment facility to prevent pollution of the environment? 3 0 ###
11.4.4.6 On the day of the audit were all drainage valves locked shut? 5 0 ###
Is there a written procedure that deals with the opening of the drainage valves in bunded areas to prevent
11.4.4.7 5 0 ###
pollution of the environment?
Have underground storage tanks undergone integrity tests within the past two years to detect possible
11.4.4.8 5 0 ###
leaks?
11.4.4.9 Are Diesel /Fuel bowsers and their surrounds free of spillage and clean? 5 0 ###
TRANSFORMERS
11.5
Do transformer stations owned by the operation conform with the following:
11.5.1 Adequately bunded to contain 110% of the transformer oil volume? 5 0 ###
11.5.2 Are bund walls sturdy and uncompromised? 5 0 ###
11.5.3 Where they are equipped with a drainage valve, the drainage valve is locked shut? 5 0 ###
11.5.4 Are transformers housed under shelter to prevent rain water contamination? 5 0 ###
11.5.5 Are transformers adequately labeled as to their PCB content? 10 0 ###
11.5.6 Is PCB-labelling visible on both the unit as well as on the surrounding fence or enclosure? 5 0 ###
11.6 SOIL CONTAMINATION
Is there evidence on site of soil contamination resulting from oil / chemical spillage?
11.6.1 5 0 ###
None = 5; Occasional but limited = 2; Spillage relatively common = 0
11.6.2 Were all vehicles noted during the physical audit free of oil leaks? 3 0 ###
Are drip trays employed when dismantling equipment so as to prevent spills to soils and the natural
11.6.3 3 0 ###
environment?
11.6.4 Do all vehicles standing on bare ground have installed drip trays? 3 0 ###
Are workshop areas constructed so as to contain any oils or contaminated water entering the natural
11.6.5 3 0 ###
environment (may include cut-of drains, berms or spill kits)?
11.6.6 Where cut-off drains have been constructed do they drain into oil and sediment separators? 3 0 ###
11.6.7 How is oil-contaminated soil treated?
11.6.7.1 Stored on site in contained and covered area prior to removal to a Licenced Hazardous Landfill? (5) 5 0 ###
11.6.7.2 Removed to an on site Bio-cell where it is remediated and utilised for rehabilitation purposes? (5)
87
TOPSOIL STOCKPILING (Residue stockpiles and residue deposits)

11.7
Topsoil stockpiles meet with the following criteria:
11.7.1 Stockpiled separately in specially demarcated Topsoil Stockpile areas? 3 0 ###
11.7.2 Are all residue stockpiles/ deposits located in accordance with the approved EMP? 3 0 ###
11.7.3 Stockpiled in accordance with a Topsoil Stockpiling Procedure? 3 0 ###
11.7.4 Signposted as “Topsoil”? 3 0 ###
11.7.5 Protected from erosion? 3 0 ###
11.7.6 Free of alien or invasive vegetation? 3 0 ###
11.7.7 Demarcated on a site plan? 3 0 ###
11.7.8 Are the volumes of Topsoil stockpiles known? 3 0 ###
11.8 HOUSE-KEEPING
11.8.1 When approaching the operation from a distance, does it appear neat and professionally managed? 3 0 ###
11.8.2 Are approach roads to the operation free of quarry spillage and 'mud carry-over'? 3 0 ###
11.8.3 Is the entrance to the operation neat and free of litter? 3 0 ###
11.8.4 Is the entrance to the operation well sign posted? 3 0 ###
When entering the property, is the entrance Security Guard able to converse adequately and politely with
11.8.5 3 0 ###
the visitor, and able to give directions to the office?
When entering the property, is the visitor required to complete a visitors entrance form that has indemnity
11.8.6 5 0 ###
and other information on it?
11.8.7 Are all flags at the entrance clean and in a state of good repair? 3 0 ###
11.8.8 Are the Administration offices neat in appearance and clean inside? 3 0 ###
11.8.9 Are Noticeboards neat and well managed? 3 0 ###
11.8.10 Are Environmental Rules and the Environmental Policy posted up on Notice Boards? 3 0 ###
11.8.11 Were all fences observed during the physical audit in a state of good repair and protected from fire? 3 0 ###
11.8.12 Is adequate signage present along property boundaries to indicate "No Entry" and "Mining Area"? 3 0 ###
11.8.13 Were floodlights noted to be on during the daylight portion of the Audit? 3 0 ###
11.8.14 Where constructed, are berms profiled and vegetated? 3 0 ###
11.8.13 Alien vegetation:
11.8.13.1 Is there an active programme in operation to remove and/or control alien vegetation? 5 0 ###
Status of Alien Vegetation on Site: Cleared from the site? (5); Limited and controlled? (3); Unmanaged?
11.8.13.2 5 0 ###
(Zero)
11.9 EMERGENCY PREPAREDNESS
11.9.1 Is fire-fighting equipment placed in strategic locations, based on the environmental risk assessment? 3 0 ###
Were all fire-fighting appliances noted during the Physical Audit within the legal service period and
11.9.2 3 0 ###
operational?
11.9.3 Were fire breaks prepared around the operation in accordance with the Legal requirements? 3 0 ###
Section Scores 560 0 ###
88

End of Section 10
89
ASPASA About Face 2017_x000D_Audit Agenda
ASPASA ABOUT FACE 2017

AGENDA
1 OPENING MEETING 25 Minutes
1.1 Introductions 5 Minutes

1.2 Management overview of the operation including EMP and the SCOPE of the EMS 10 Minutes
1.3 Review of Site Plan showing Mining Authorisation boundaries and latest 10 Minutes
approved Mine Plan.
1.4 Brief Safety Induction for Audit Team. 5 Minutes
NOTE: The Audit will comprise of both a System and a Physical Audit.
The Auditors will split after the Induction with the System Audit being
conducted against ELEMENTS 4 to 10 in the Audit Room, whilst the Physical
Audit, Element 11, will be conducted on and around the operations site as
defined in the EMS Scope.
2 SYSTEM AUDIT 4 - 6 Hours
2.1 The System Audit will be conducted in a suitable office / board room. Suitable
operational personnel will need to be present to respond to Audit questions
and to present required documentation.
2.2 All system related files must be accessible and management, or a
representative of management who is familiar with all the documentation
must present requested documentation to the Auditor.
2.3 Failure to produce the required document will constitute a non-conformance.
2.4 The Audit will continue through refreshment breaks. Courtesy breaks will be
taken as and when needed.
2.5 The Auditor requests the undivided attention of the operation's management /
environmental management team for the duration of the Audit.
The Auditor will work through the ASPASA About Face Audit Protocol
2.6
sequentially.
2.7 On completion of the Audit the Auditee will be presented with an electronic
copy of the Audit - this will be a Provisional Audit Result. The Final Audit mark
achieved and Grading will be issued to the operation by the Executive
Director of ASPASA.
2.8 After the Audit is completed, the Auditor will be available for discussion on
matters general.
3 PHYSICAL AUDIT OF OPERATION 2 - 3 Hours
3.1 The Physical Audit will include the Register detailed in Section 11 of the Audit Protocol.
3.2 The Physical audit will be conducted in parallel to the System Audit and as
such will require that the Auditor be accompanied on the site inspection by
suitably competent person/s
4 FINALISATION OF THE AUDIT
4.1 On completion of the Systems and Physical Audit the Auditors will require a
15 Minutes
15 minute session to finalise the Audit documentation for presentation to
Operational Management.
4.2 The Auditor/s will present Operational Management with aCD that contains
an electronic copy of the completed Audit Protocol as well as any Audit Aid
Documentation relevant to the ASPASA Environmental Management
Programme.
90
ASPASA About Face 2017_x000D_Auditor CVs
Lead Auditor Name: Alan Cluett (LMGSSA, FIQ, Pr. Sci. Nat.)
Auditor Qualifications: B.Sc. Geology & Economics (Natal University)

B.Sc. Honours Mineral Economics (Randse Afrikaanse Universiteit)
Post Graduate: Environmental Management Systems (Potchefstroom Universiteit)

Environmental Law (Potchefstroom Universiteit)
Environmental Auditing (Potchefstroom Universiteit)
Professional Memberships: Life Member: Geological Society of South Africa

Fellow: Institute of Quarrying
Professionally Registered Natural Scientist (SACNSP)
- Environmental Scientist
- Geological Scientist
Related Work Experience: 1981 - 1984 Exploration Geologist

1984 - 1985 Mining Industrial Engineer
3 Month secondment to a Technical College as the
1985 Author, Lecturer and Examiner of the N2 Surface
Mining and Surface Mining Economics courses
1985 - 1988 Quarry Production Manager
1989 - 1992 Quarry Senior Works Manager
1992 - 2010 Group Environmental Manager
2010 - Owner/ Director Alan Cluett Consulting and Cluett Consulting
2012 - ASPASA About Face Auditor
Additional: Holder of a DMR Opencast Blasting Certificate

Audits conducted: + 400 of Quarries, Cement Plants and ReadyMix
operations, including + 280 ASPASA About Face Audits.
Current: Director - Cluett Consulting (Pty) Ltd.

Sole Proprietor - Alan Cluett Consulting
P.O Box 334
Jukskei Park, Randburg, 2153
Office: 011 462 3903
Cellular: 083 408 7724
email: alan@cluett.co.za
WebSite: www.cluett.co.za
Auditor Name: Colleen Cluett
Auditor Qualifications; B.Sc. Environmental Sciences (Univ. Witwatersrand)

B.Sc. Honours (Univ. Witwatersrand)
M.Sc. Ecology (Univ. Witwatersrand)
Post Graduate: Environmental Law for Managers (North-West University Potchefstroom)

Environmental Management Systems (North-West University Potchefstroom)
Organisation for Tropical Studies - Communications and
Employment History: 2012 - 2015 Administration Manager. (Duke University - North
Carolina)
Alan Cluett Consulting: June 2015 - Environmental Specialist - Alan Cluett Consulting
Cluett Consulting (Pty) Ltd. Nov 2015 Managing Director - Cluett Consulting (Pty) Ltd.
Auditor Name: Iain Cluett
Auditor Qualifications; B.Soc. Sci Geography, Environmental Science and Economics (Monash
University; Melbourne Au.)
91
ASPASA About Face 2017_x000D_Auditor CVs
B.A Honours (Univ. Witwatersrand)
Employment History: 2015 Volunteer: Food and Trees for Africa

July 2016 - Environmental Specialist - Climate Economics
Cluett Consulting (Pty) Ltd. July 2016 Director - Cluett Consulting (Pty) Ltd.
92

2017 About Face 2017 Audit Protocol Final

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ASPASA ABOUT FACE 2017

Continual Environmental Performance Improvement

[Based on ASPASA About Face 2017 and ISO 14 001:2015]

ASPASA AUDITOR: Cluett Consulting

% SCORE ACHIEVED: 0.00

Summary of Previous Participation

2012 2014 2015 2016 2017

Previous years Award

ASPASA About Face Performance

Audit Participants and any additional details

Alan Cluett Lead Auditor 083 408 7724 alan@cluett.co.za

ASPASA ABOUT FACE MANUAL FOR AUDITORS AND ASPASA MEMBERS

Contents Sheet Tab #

- continual environmental performance improvement;

Conversion of ASPASA About Face to ISO 14 001:2015

ASPASA About Face Audit

These objectives will be achieved through the following actions:

Overview of the Marking Schedule and Points System

The "Fish Eagle" Grading Awards

The Quarry of the Year Award

Latest Revision Date: January 2017

2.1 The normative reference is ISO 14001:2015;

3. Terms and Definitions

See ASPASA About Face 2017 Manual.

4 Context of the Organisation 79 0 0 0.00

5 Leadership 150 0 0 0.00

8 Operation 275 0 0 0.00

9 Performance Evaluation 405 0 0 0.00

11 Site Visit 560 0 0 0.00

Overall Compliance Score 2462 0 0 0.00

Percentage (%) Compliance 0.00

Total Score 150 0

Percentage (%) Compliance 0.00

6.1 ACTIONS TO ADDRESS RISKS AND OPPORTUNITIES

6.1.3.4.1 Are management informed about PCB (Poly-chlorinated biphenyls)? 3 0

6.1.4.3.1 Its technological options? 3 0

Total Score 545 0

Percentage (%) Compliance 0.00

6.1 ACTIONS TO ADDRESS RISKS AND OPPORTUNITIES

End of Section 6.1. Actions and Risks

6.2 ENVIRONMENTAL OBJECTIVES AND PLANNING TO ACHIEVE THEM

Section Scores 45 0 ###

Total Score 75 0 ###

Percentage (%) Compliance 0.00

7.3.1.6 Training on general environmental awareness? 3 0

7.5 DOCUMENTED INFORMATION

7.5.1.1.1 ISO 14001:2015? 3 0

Total Score 280 0

Percentage (%) Compliance 0.00

8.1.3.3 Does the operation recycle the following waste streams:

8.1.6.11.3 In accordance with an approved method in the EMP? 3 0

Total Score 275 0

Percentage (%) Compliance 0.00

9.1 MONITORING, MEASUREMENT, ANALYSIS AND EVALUATION

9.1.1.6 Monitoring Performance Against EMP Requirements

9.2 INTERNAL AUDIT

9.3 MANAGEMENT REVIEW

Total Score 405 0

Percentage (%) Compliance 0.00

9.1 MONITORING, MEASUREMENT, ANALYSIS AND EVALUATION

9.2 INTERNAL AUDIT

9.3 MANAGEMENT REVIEW

Act / Adapt Phase