IRMA’s independent assessment cycle occurs in 3 stages: (1) initial audit, (2) surveillance audit, and (3) reassessment audit. Described below are the steps that comprise those stages, the time allotted for those steps, and the parties responsible for advancing each step.
Information below was sourced from the IRMA Certification Body Requirements, and the Assessment Manual for Mines.
1. Self Assessment
Details: Before undergoing an independent assessment (audit), a site operator must conduct a self-assessment using the IRMA Mine Measure tool. The self-assessment of the operation against the IRMA Standard creates a body of evidence that increases the efficiency of the audit process.
Responsible: Site operator.
Timeline: None.
2. Application Submittal and Review
Details: To have its operation audited against the IRMA Standard, the operator must first submit an Mine Site Assessment Application describing the site and information necessary to assess the scope of the audit. The review includes assessment of the completeness of the application and the appropriateness of the scope of the audit proposed by the applicant.
Responsible: Site operator; IRMA.
Timeline: Within 7 days* of receipt, IRMA reviews the application.
3. Participation Agreement and Fee Payment
Details: The fee varies with based on annual mine site revenue.
Responsible party: Site operator; IRMA.
Timeline: Agreement signed and fee paid before the audit begins.
4. Audit Firm Contract Signing and IRMA Notification
Details: The operator can only contract with an audit firm approved by IRMA.
Responsible: Site operator; audit firm.
Timeline: The operator notifies IRMA within 7 days of contract signing.
5. Audit Team Proposal and Review
Details: Audit firm submits biographies of proposed team members for IRMA approval. IRMA can reject proposed team members.
Responsible: Audit firm; IRMA.
Timeline: At least 15 days prior to initiating audit activities, the audit firm submits the proposed audit team for IRMA review.
6. Third-Party Audit Announced
Details: IRMA announces the commencement via blog and newsletter and social media. The site operator may announce as well. Audit activities may commence after the announcement.
Responsible: IRMA; site operator may announce as well.
Timeline: IRMA and site operator coordinate on the date of announcement.
7. Audit Stage 1 (Desk Audit)
Details: Stage 1 includes four phases. (1) An opening meeting to discuss the audit scope and plan. (2) The site shares its self-assessment and supporting evidence (sometimes this in Mine Measure, sometimes another platform, sometimes both). (3) Audit team review of evidence, initial assessment of mine performance, and readiness for Stage 2 assessment. (4) A closing meeting where the audit team provides an overview of readiness and programmatic gaps to focus on prior to Stage 2, and to discuss Stage 2 plan and timing.
Responsible: Audit firm.
Timeline: None required; an agreement between the audit firm and mine on general time frame is suggested.
8. Stakeholder Engagement Planning
Details: The audit firm identifies stakeholders, researches the sociopolitical dynamics around the mine, the local and regional media/social media landscape, plans for the best ways to engage stakeholders given the results of their research, and begins early outreach.
Responsible: Audit firm.
Timeline:
- Prior to Stage 2. This step may be done concurrently with Onsite Audit Planning and Audit Announcement.
- 30 days prior to the site visit (see Audit Stage 2 below), the audit firm publicly announces the visit and invites feedback from all stakeholders. Associated with the announcement, the audit firm does outreach to the affected community using media appropriate to the community.
9. Audit Stage 2 (Onsite Audit)
Details: Stage 2 includes six phases: (1) an opening meeting to discuss the onsite audit scope and plan, and to discuss audit team safety; (2) site observations where the auditors gather evidence and input by touring the site and relevant off-site locations; (3) interviews with workers one-on-one and in small groups without mine management present; (4) interviews with external stakeholders without mine personnel present — including public officials, community services, NGOs, community members, and other interested parties that have requested to participate; (5) additional document review provided by the site as well as interviewed stakeholders; and (6) a closing meeting to review preliminary findings and next steps.
Responsible: Audit firm; site operator.
Timeline: Within 12 months of the Stage 1 closing meeting, Stage 2 must take place.
10. Audit Report Drafting and Review
Details: The audit firm reviews all evidence gathered and prepares a draft report. The draft includes site and regional description, audit methodology, overview of scores, and the rating and rationale for the scoring of each relevant requirement.
Responsible: Audit firm; site operator; IRMA.
Timeline:
- Within 30 days of Stage 2 closing meeting, the audit firm sends the draft audit report to the site operator and IRMA for review.
- Within 30 days of receipt of the draft audit report, the site operator and IRMA review the draft audit report for errors and send their review to the audit firm.
11. OPTIONAL Corrective Action Period
Details: A mine may postpone release of its initial audit results while it implements corrective actions. If the corrections are not verified within the allotted time, the original draft audit report advances to the next stage.
Responsible: site operator; audit firm.
Timeline:
- Within 30 days of receipt of the initial draft audit report (see Audit Report Drafting and Review), the site operator decides whether to use a corrective action period.
- Within 12 months of the audit firm’s receipt of the site operator’s review of the initial draft audit report (see Audit Report Drafting and Review), any corrective actions taken must be verified by the audit firm.
- Within 30 days of verification of corrective actions, the audit firm updates the draft audit report and submits it to the site operator and IRMA for review.
- Within 30 days of receipt of the updated draft audit report, the site operator and IRMA review the report for errors and send their review to the audit firm.
12. Assignment of Achievement Level and Audit Finalization
Responsible: Audit firm; IRMA; site operator.
Timeline:
- Within 15 days of receipt of the error check, the audit firm makes revisions, assigns the mine an achievement level, and send the revised audit report to IRMA.
- Within 15 days of receipt of the revised audit report, the IRMA Assurance Director reviews and sends back to the audit firm.
- Within 7 days of receipt of IRMA feedback, the audit firm finalizes the audit report and sends back to IRMA and the site operator for redaction review and release.
- Within 7 days of receipt of the final audit report, the site operator makes any requests to redact confidential or proprietary information.
13. Audit Report Public Release
Details: The final audit report is translated into the local language. Supporting materials — including press releases — are created and translated. IRMA posts the report and supporting materials on its website, sends a press release and newsletter, and reaches out to stakeholders. The site operator sends a separate release.
Responsible: IRMA; site operator.
Timeline: None; IRMA and the site operator coordinate on the release date; audit translation takes approximately 15 days.
*Days = calendar days
Mines must undergo one surveillance audit during each 3 year audit cycle (initial audit, surveillance audit, reassessment audit). Surveillance audits are not full audits. A surveillance audit’s major phases and associated timing are listed below.
1. Audit Firm Contract Signing and IRMA Notification
Details: The operator can only contract with an audit firm approved by IRMA. IRMA discourages switching audit firms for the surveillance audit. The contract should include the scope of the surveillance audit including required IRMA scope items, focus areas identified in the previous audit, changes in the operation that could impact performance, and follow-up on corrective actions from the previous audit.Responsible: Site operator; audit firm.
Timeline: The operator notifies IRMA within 5 business days of contract signing.
2. Surveillance Audit Team Proposal and Review
Details: Audit firm submits biographies of proposed team members for IRMA approval. IRMA can reject proposed team members. IRMA encourages use of the same audit team that performed the previous audit.
Responsible: Audit firm; IRMA.
Timeline: At least 14 calendar days prior to initiating audit activities, the audit firm submits the proposed audit team for IRMA review.
3. Third-Party Surveillance Audit Announced
Details: IRMA announces the commencement via blog and newsletter and social media. The site operator may announce as well. Audit activities may commence after the announcement.
Responsible: IRMA; site operator may announce as well.
Timeline: IRMA and site operator coordinate on the date of announcement, which must be no sooner than 12 months after the release of the previous audit report.
4. Surveillance audit desktop review
Details: Auditors perform the desktop review on written evidence related to the surveillance scope. As part of the process the auditors develop an initial onsite audit plan
Responsible: Audit firm with operator responsible for providing written evidence upon request.
Timeline: none
5. Stakeholder Engagement Planning
Details: The audit firm reviews and updates the previous stakeholder engagement plan informed in part by the surveillance desktop audit and insights resulting from the previous audit.
Responsible: Audit firm.
Timeline:
- Prior to Onsite Audit. This step may be done concurrently with Onsite Audit Planning and Audit Announcement.
- 30 calendar days prior to the onsite visit the audit firm publicly announces the visit and invites feedback from all stakeholders. Associated with the announcement, the audit firm does outreach to the affected community using media appropriate to the community.
6. Onsite Surveillance Audit
Details: Informed by the surveillance audit scope, the onsite audit includes six phases:
- An opening meeting to discuss the onsite audit scope and plan, and to discuss audit team safety;
- Site observations where the auditors gather evidence and input by touring the site and relevant off-site locations;
- Interviews with workers one-on-one and in small groups without mine management present;
- Interviews with external stakeholders without mine personnel present — including public officials, community services, NGOs, community members, and other interested parties that have requested to participate;
- Additional document review provided by the site as well as interviewed stakeholders; and
- A closing meeting to review preliminary findings and next steps.
Responsible: Audit firm; site operator.
Timeline: None
7. Surveillance Audit Report
Details: The audit firm reviews all evidence gathered and prepares a draft report. The draft includes site and regional description, audit methodology, overview of scores, and the rating and rationale for the scoring of each relevant requirement.
Responsible: Audit firm; site operator; IRMA.
Timeline:
- Within 15 days of Onsite Audit closing meeting, the audit firm sends the draft audit report to the site operator and IRMA for review.
- Within 15 days of receipt of the draft audit report, the site operator and IRMA review the draft audit report for errors and send their review to the audit firm.
- Within 5 business days of receipt of the error check, the audit firm makes revisions, and send the revised audit report to IRMA and the site operator.
- Within 5 business days of receipt of the revised audit report, the IRMA Assurance Director reviews and sends back to the audit firm. The site operator makes any requests to redact confidential or proprietary information.
- Within 5 business days of receipt of IRMA feedback, the audit firm finalizes the audit report.
8. Audit Report Public Release
Details: The final audit report is translated into the local language. Supporting materials — including press releases — are created and translated. IRMA posts the report and supporting materials on its website, sends a press release and newsletter, and reaches out to stakeholders. The site operator sends a separate release.
Responsible: IRMA; site operator.
Timeline:
- The surveillance audit report must be published within 18 months of the release of the previous audit report.
- IRMA and the site operator coordinate on the release date.
- Audit translation takes approximately 10 business days.
The reassessment audit is the initial audit, repeated.
Timeline: A reassessment audit must be completed within 36 months of the finalization and publication of the previous audit report.
