​A Richflood Minerals compliance audit gauges how well an organization adheres to rules and regulations, standards, including internal bylaws and codes of conduct. Part of this audit may also review the effectiveness of an organization's internal controls.

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The compliance audit undertaken by Richflood Minerals for interested miners looking to work with us and investors we are connected to is to allow for checks and balances regarding compliance with local laws, international laws and general best guidelines and standards for the mining and metals sector to ensure sustainable and responsible development of minerals and sites we work with.

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Generally, Richflood seeks to review both social and environmental guidelines adhered to or otherwise. This may include inspection of documents such as Company registration documents,  Licenses,  Employee records,  Explosives handling,  Production records,  Remuneration records,   Training records,  Environmental Impact Assessment (EIA), Environmental and Social Management Plan (ESMP) and Environmental Commitment Declarations, Environmental Protection and Rehabilitation Plan (EPRP), Supply chain documents including Subcontractors agreements,  Subcontractor production/delivery records,  Explosives records,  Consumables stock records,  Policies and procedures, e.g. health and safety, environment, hiring, security, gender, corporate social responsibility policies and guidelines, Company financial and management accounts,  Contractor worker records,  Processing plant records and other documents as may be found necessary for such mines. 

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Review of existing documents will also include but is not limited to Environmental Impact Assessment, Environmental Evaluation Studies, Environmental Due Diligence, Biodiversity Studies and Conservation Programme, Energy Management Related Studies, Hydrogeology Studies, Hydrology and Flooding Studies, Socioeconomic and Health Survey and Impact Assessment, Environmental Baseline Studies, Environment Impact Assessment, Post Impact Assessment, Environmental Screen Exercise, Environmental and Socioeconomic Scoping Exercise, Preliminary Impact Assessment, and Tailings Management Plan and Implementation records etc

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Biodiversity;

Identify different species (including endangered species) as well as the richness of the natural environment and assess the sensitivity of the different species and Ecotypes. Biodiversity and Ecosystem Services Assessment, Biodiversity and Ecosystem Services Field Survey, Biodiversity Action Plan Development and Implementation, and Biodiversity Offset Management/Net Gain.

 

All biological analyses shall be statistically interpreted (also graphically) in order to give a global image of the studied ecosystems - abundance, specific resources, diversity and equitability indices.

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Bibliographical Reviews; 

The bibliographical review shall be done from existing and credible databases, university libraries, research centres, national and international authorities and from previously approved studies.

 

The bibliographical review will be organized in order to allow a comparison with the field survey results. The review shall focus on the following key aspects:

• Historical study of site activity: pre-existing installations (including underground or adjacent), identification of any existing contamination of the site related to past or present industrial, or urban activity (mainly hydrocarbons and heavy metals);

• Sensitive zones and protected areas: any particularly sensitive zones shall be identified and located, and their vulnerability to pollutants shall be documented;

• Climatology: temperature, rainfall, frost and snow cover periods, winds;

• Physical and geographical context, access: landscapes, topography, roads, access to sensitive areas, etc;

• Geology, pedologic, geomorphology: soil and rock types, structural context, neotectonics indices, mineral resources.

• Hydrology, Hydrogeology: hydrographic network, surface water (flow rates, river quality and objectives, existing contamination etc.), catchment areas, water resources and vulnerability, water use (food, agriculture, washing, etc.);

• Natural hazards: seismicity, lack of ground stability, erosion, flooding, etc.;

• Biological environment: ecosystems, fauna, flora, biodiversity.

• Socio economical general context: health, population, density, economic activities, soil occupation, etc.;

• Archaeological general context.

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Socioeconomic Analysis; 

Identification of stakeholder communities in the project area:

» Human geography and spatial distribution – kind of habitation, settlements, housing structure, household sizes, population density, size and distribution, demography, displacement, migration. Way of life, Livelihood and Life Pattern: information and data on the following: -

» Means of subsistence, occupation, employment opportunities, literacy level, skill levels, income distribution, direct and indirect employment, markets, food and nutrition

» Economic resources, land and land use, landscape patterns

» Ethnography, cultures, mood/atmosphere, language, belief and values, religion, social structure, social interactions, governance, social hierarchy, and any existing special intra/inter community relationship

» Agricultural activities: horticulture, market gardening, fruit farming, breeding livestock, fish farming, fishing, hunting Inventory of available social facilities and services:

» Social infrastructure, communication and transportation, water and sanitation

» Industrial activities – types of industries, factories, projects

» Others – tourism, recreation and leisure sites/centres Archaeological and Historical information: including – » Existing historical/scientific packages (architecture and styles, events, ecological sites, native land, villages, fishing camps, hunting reserves, areas of archaeological or paleontological significance, areas of religious significance)

» Photos and field measurements as may be available Communities’ concerns and feelings regarding a project: » Communities’ views, attitudes, concerns, expectations with respect to the project

» Any existing constraints to the communities (such as military bases, administrative constraints, urbanization constraints, pipelines, electric lines, buried water pipes etc.)

» Evidence of public consultations to date. Summary of issues raised during the consultation process

» Relevant community development plan in the project area

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Health Status

Information on the community health records and/or statistics including an inventory of health services/facilities

» Baseline health survey and current health status (disease prevalence, disease trends etc), immunization, traditional birth attendants and village health workers per population, child mortality rate

» Health practice of the communities including current socio-economic and bio-physical health determinants » Community health needs, concerns and expectations

» Health vulnerability linkage (matrix); health sensitivities (disease vectors, water potability, waste disposal etc.), inventory of hazardous agent and evaluation agents and evaluation risk to health associated with exposure

» Project activities that may have implications for public health, discuss the measures to be taken to prevent or minimise the potential for adverse health effects

 

A review of stakeholders' engagement records and plans including discussions with regulatory authorities to confirm the regulatory right standard of the mines sites is a critical aspect of compliance audits we undertake. Richflood social impact assessors will typically have meeting sessions with the Management of the mining companies,  Workers of mining companies, such as mine site supervisor,  security personnel, managers, engineers and technicians onsite, equipment operators etc. 

 

 

Impacts and Mitigation;

Identification of potential environmental impacts associated with every activity phase of the project including socio-economic and health impacts » Assessment of environmental sensitivities and risk factors » Classification and quantification of potential impacts and evaluation of their significance using appropriate techniques » Identifying effective mitigation measures for the significant potential impacts » Risk analysis covering the operational activities and facilities.

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For environmental studies other than Baseline Surveys, findings during the data gathering and analysis will enable Richflood to identify the issues which may have positive and negative impacts on the natural and socio-economic environment. To assess the impacts, a systematic approach based on that developed by the World Bank and ISO (14001 Standard) is usually adopted.  The impact assessment shall comprise of:

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Impact assessment shall discuss reasonable alternatives to the project. All environmental impacts that have been identified and which can be eliminated or minimized to an acceptable level shall be presented with alternative measures to avoid, minimize or mitigate such effects. The impact assessment shall also identify the types and magnitudes of adverse impacts which cannot be avoided and the immitigable impacts/residual impacts.

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Mitigation shall address, but not be limited to the following:

Location changes, design changes, changes in scheduling and timing, rehabilitation, training and education, enhancement of beneficial impacts, spill prevention and surveillance, monitoring and management programmes. » Suggest means by which all risk associated with the project could be minimized. Evaluate the effectiveness of any mitigation measure identified. » Provide comprehensive and detailed plan covering mitigation of impacts. Project options should also be considered and discussed.

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The socio-economic and health impact will be evaluated in simple terms. This shall include the impact of the project activities on the various socio-economic and health aspects. The impact evaluation approach (during the Environmental Evaluation study) much establish by empirical means, and the magnitude and significance of changes being evaluated before impact levels can be established.

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ENVIRONMENTAL MANAGEMENT PLAN (EMP)

The EMP should specify recommendations for future plans to manage, monitor and audit environmental affairs.

 

These should be based on current regulations and guidelines.

 

Richflood shall outline the environmental variables which are locally the most representative of the natural conditions of the environment and most likely to be affected by any project activities. These will be used for defining and introducing a simple surveillance and monitoring programme indicating the locations, sampling times and frequencies.

The EMP shall address all the EIA requirements, for all project phases and shall cover the following aspects:

• Waste management (Effluent, Tailings management etc)

• Chemical management

• Oil Spill Contingency Plan

• Training program

• Environmental monitoring

• Environmental auditing

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Companies participating in the mineral trading chain with Richflood Minerals will need to provide shreds of evidence of engagements and community development agreements executed with host communities,   Government authorities and/or agencies as the case may be.  Impacted, affected and interested community members and leaders including the local government authorities will participate in the compliance audit procedures.

 

Investors may specify guidelines or standards for these audits in order to meet the requirements for accountability and transparency in line with the UK's Critical Minerals Strategy or any other standard.

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Get in touch and request the comprehensive Checklist for Environmental Social and Governance compliance audits.

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