Changes in the June 2022 Version of the Tailings

Management Protocol

The revisions in this version of the Tailings Management Protocol (the Protocol)
do not make any substantive changes to the performance Indicators or criteria
described in the previous version of the Protocol, dated February 2019.

The most significant revision is the mandatory application of the Protocol to

inactive tailings facilities (closed facilities and those on long-term care and
maintenance). The Table of Conformance has been updated accordingly to
reflect this change, by adding an additional column to identify items that may
potentially be non-applicable to inactive tailings facilities.

Other revisions to the Protocol include:

• Aligning the objective statement with A Guide to the Management of Tailings

Facilities.
• Re-ordering the Indicators so that they follow a more logical flow.
• Placing stronger emphasis on the mandatory use of the Table of
Conformance for performance measurement.
• Deleting the self-assessment checklist in Appendix 3, as this is redundant
given the role of the Table of Conformance.
• Providing more description of the linkages with other TSM protocols relevant
to tailings management.
• Adding to the FAQs to reflect questions that have come up in implementation.

TSM Canada, Tailings Management Protocol, June 2022 1

Table of Contents
Changes in the June 2022 Version of the Tailings Management Protocol ........... 1
Introduction ......................................................................................................... 3
Objective...................................................................................................... 3
Application ................................................................................................... 4
Performance Indicators ................................................................................ 4
Structure and Use of the Protocol ................................................................ 4
Action Plans................................................................................................. 6
Organization of Relevant Documentation ..................................................... 6
Linkages with Other TSM Protocols ............................................................. 7
Indicator 1: Tailings Management Policy and Commitment ............................... 10
Indicator 2: Tailings Management System and Emergency Preparedness ........ 14
Indicator 3: Assigned Accountability and Responsibility for
Tailings Management ........................................................................................ 12
Indicator 4: Annual Tailings Management Review ............................................. 17
Indicator 5: OMS Manual .................................................................................. 16
Glossary............................................................................................................ 18
Appendix 1: Frequently Asked Questions.......................................................... 23

TSM Canada, Tailings Management Protocol, June 2022 2

Introduction

Towards Sustainable Mining® (TSM), launched in 2004, is an initiative designed

to enable mining companies to meet society’s needs for minerals, metals and
energy products in the most socially, economically and environmentally
responsible way. TSM includes performance Protocols and specific, measurable
performance Indicators for:

• Tailings management
• Water stewardship
• Biodiversity conservation management
• Climate change
• Indigenous and community relationships
• Safety and health
• Crisis management and communications planning
• Preventing child and forced labour

The Tailings Management Protocol (the Protocol) is supported by the Table of

Conformance and provides five Indicators to measure the quality and
comprehensiveness of systems for tailings management.

Implementation of the Protocol and performance measurement are supported by

two guidance documents prepared by the Mining Association of Canada (MAC):

• A Guide to the Management of Tailings Facilities (the Tailings Guide)

o Introduced in 1998 and revised in 2011, 2017, 2019, and 2021
• Developing an Operation, Maintenance, and Surveillance Manual for Tailings
and Water Management Facilities (the OMS Guide)
o Introduced in 2003 and revised in 2019 and 2021

It is important to emphasize that the Protocol provides a measure of the level of

implementation of tailings management practices as part of the TSM initiative. It
is not, in itself, a guarantee of the effectiveness of tailings management activities.

Objective

The objective of implementing this Protocol, in accordance with the Tailings

Guide and the OMS Guide, is to continually work towards minimizing harm which
encompasses both the physical and chemical risks associated with tailings,
including:

• zero catastrophic failures of tailings facilities; and

• no significant adverse effects on the environment or human health.

TSM Canada, Tailings Management Protocol, June 2022 3

Application

Consistent with other TSM protocols, the Tailings Management Protocol is to be

applied during commercial production. This corresponds with the Operations and
Ongoing Construction Phase of the tailings life cycle, when tailings are
transported to and placed in, the tailings facility. However, unlike other TSM
protocols, the Tailings Management Protocol is also to be applied to inactive
tailings facilities 1, which are inclusive of:

• tailings facilities in the Closure and Post-Closure Phases of the life cycle; and
• tailings facilities on long-term care and maintenance due to suspension of
commercial production.

Companies may voluntarily apply other TSM protocols to inactive tailings

facilities. This is encouraged for other protocols with links to tailings management
(see below) but is not mandatory.

Performance Indicators

The Protocol describes five performance Indicators:

1) Tailings management policy and commitment

2) Assigned accountability for tailings management
3) Tailings management system and emergency preparedness
4) Operation, maintenance, and surveillance (OMS) manual
5) Annual tailings management review

Structure and Use of the Protocol

The main body of the Protocol describes the purpose of each of the Indicators
and the criteria for the performance rating levels used in TSM: Levels C, B, A,
AA, and AAA.

To obtain a Level A or higher, criteria for Indicators 1, 2, 3, and 5 refer to

elements that must be “in conformance with the Tailings Guide”, and criteria for
Indicator 4 refer to the OMS Guide. A Table of Conformance has been developed
and is available for download in Microsoft Excel. This table identifies aspects of
the Tailings Guide and the OMS Guide to be implemented to be “in conformance”
with the Guides.

1
Note that before this version of the protocol takes effect, a definition/threshold will be added
to exempt low-risk tailings facilities from this requirement.
TSM Canada, Tailings Management Protocol, June 2022 4
 Please note:
• Use of the Table of Conformance is mandatory to assess performance
against the five Indicators, for self-assessments as well as internal and
external audits.
• For measurement of performance against this version of the Protocol, the
2022 version of the Table of Conformance must be used, together with
Version 3.2 of the Tailings Guide and Version 2.1 of the OMS Guide, both
released in 2021.

A company would not be in conformance with the Guides if there is:

• an absence of a complete program area (e.g., risk assessment, training

processes, independent review); or
• a chronic deficiency of a single program area (e.g., incomplete
documentation, such as construction documentation, surveillance
requirements frequently missed).

Non-conformances that represent an administrative issue or a non-repetitive

finding that does not directly affect safety, environment or quality (e.g., minor gap
in training records, irregularity in inspection records, etc.) should not prevent a
company from achieving a Level A for a tailings facility for the relevant indicator.
Professional judgment must be applied in assessing the significance of identified
non-conformances.

While the Table of Conformance provides the key tool for performance
measurement, auditors, verifiers, and others involved in performance
measurement should refer to relevant sections in the Tailings Guide and the
OMS Guide for further information and context regarding items in the Table of
Conformance. In addition, in applying professional judgement, those measuring
performance may also refer to relevant guidance from other sources.

TSM is applied on a facility-specific basis, meaning it is applied to a mine site as

a whole. For mines sites with more than one tailings facility, the performance of
those tailings facilities is assessed collectively against the Indicators and criteria
described in the Protocol. For a mine site as a whole to obtain a specific TSM
performance rating level for tailings management (e.g., Level A for Indicator 3),
performance of all individual tailings facilities within the mine site must meet that
level or higher.

The Protocol includes a glossary of terms used in the Protocol and one appendix
that provides frequently asked questions. Users should refer to this appendix as
a first step in addressing questions they may have about the Indicators and use
of the Protocol.

TSM Canada, Tailings Management Protocol, June 2022 5

Action Plans

Companies that have not achieved a minimum of a Level A for all five Indicators
are required to describe in their company profile section of MAC’s annual TSM
Progress Report actions that the company intends to take to achieve a Level A
for all five Indicators.

These action plans should address at a minimum:

• identified gaps in Indicators where the company has not achieved a Level A;
• specific actions the company will take to reach a Level A; and
• timeline for implementing actions (note: actions must be implemented within
three years).

Organization of Relevant Documentation

The Protocol and Guides refer to a range of documentation that a company must
develop and implement to obtain a Level A or higher for each Indicator. However,
the structure of the Protocol and Guides should not be interpreted as a
prescription of how this documentation must be organized. How these
documents are organized is at the discretion of the company, taking into account
the site-specific circumstances, including the characteristics and life cycle phase
of each of tailings facility.

For Indicator 1: A company does not need to develop a stand-alone policy or

commitment specific to tailings management. The requirement for a tailings
management policy and/or commitments can be met within an overarching
company operations or environmental policy, provided that:

• the policy contains specific references to tailings management policies and/or

commitments as described in the Tailings Guide; and
• the company can demonstrate that it is adhering to the policy and/or
commitments.

For Indicator 3: A tailings management system does not require stand-alone

documentation. A tailings management system will likely prove most effective
and resilient if incorporated into broader site-wide environmental management
systems (EMS). In such cases, the company would need to be able to
demonstrate that the tailings management component of the EMS is in
conformance with the tailings management framework described in the Tailings
Guide, as per Indicator 3. There is no requirement that the EMS as a whole be in
conformance with the Tailings Guide or be considered in assessing performance
against the criteria for this Indicator.

TSM Canada, Tailings Management Protocol, June 2022 6

Similarly, stand-alone ERP and EPP documents specific to a tailings facility are
not required. An ERP and an EPP may be separate, or they may be combined.
There may be a separate ERP and EPP for tailings management, or these may
be included in a site-wide ERP and EPP that covers all aspects of the mine site.

For Indicator 5: In cases where the tailings management system is incorporated

into a site-wide EMS, there is no requirement that the scope of the annual tailings
management review address the full scope of the EMS. For the purpose of this
Protocol, only the tailings management component of the EMS needs to be
addressed.

For all Indicators: Some mine sites (a facility as defined for TSM reporting) have
more than one tailings facility. In such cases, there is no need for separate
documentation for each tailings facility. Regardless of how the company
organizes necessary documentation, it is necessary that the tailings
management system, ERP, EPP, and OMS manual specifically address the
performance objectives, risk profile, and risk management plan of each tailings
facility. The company needs to be able to demonstrate that it has measures in
place that are appropriate to the management of each distinct tailings facility, and
in conformance with the Tailings Guide and OMS Guide as per the Indicators in
the Protocol.

Linkages with Other TSM Protocols

While the Tailings Management Protocol focuses on the management of tailings

facilities and internal accountability and review mechanisms, there are important
components of good practice in tailings management that are addressed in other
TSM protocols.

Indigenous and Community Relationships Protocol

The TSM Indigenous and Community Relationships protocol is used to measure
performance related to engagement with Communities of Interest (COI). It was
introduced in 2019 and replaced the Aboriginal and Community Outreach
Protocol, introduced with the launch of TSM in 2004. This protocol has five
performance indicators:

• Community of Interest (COI) identification

• Effective COI engagement and dialogue
• Effective Indigenous engagement and dialogue
• Community impact and benefit management
• COI response mechanism

COI engagement should address risks associated with tailings management, and
how those risks are managed. It should also include mechanisms to seek input

TSM Canada, Tailings Management Protocol, June 2022 7

from communities to inform the Project Conception and Planning and Design
Phases of the life cycle, and assessment of risks. Specific topics for engagement
should be determined through dialogue with COI.

Climate Change Protocol

The TSM Climate Change Protocol was introduced in 2021 to facilitate continual
performance improvement related to the management of climate-related risks
and opportunities, including climate change adaptation. One of the performance
indicators is focused on facility-level climate change management, and
performance criteria include establishing a process for the management of the
physical climate impacts and adaptation.

Consideration of potential impacts of climate change as part of risk assessments

for tailings facilities is also identified in the Table of Conformance for Indicator 3
of the Tailings Management Protocol. MAC’s 2021 Guide on Climate Change
Adaptation for the Mining Sector can be used to consider climate related risks
and opportunities and incorporate climate change adaptation into decision-
making, including tailings management.

Water Stewardship Protocol

This protocol was introduced in 2019 with the goal of driving continual
improvement in performance related to water management, and has four
performance indicators:

• Water governance
• Operational water management, including establishing and updating a site-
wide water balance, and establishing a water monitoring program
• Watershed-scale planning
• Water performance and reporting

Given the close links between tailings management and water management, it is
essential that tailings management be considered in the implementation of this
protocol.

Crisis Management and Communications Planning Protocol

A crisis is a sudden event or set of circumstances that could significantly affect a
company’s ability to carry out its business. It could represent a threat to the
environment or to the health and safety of employees, neighbouring
communities, or the public at large. The protocol describes criteria for companies
to:

• Plan to manage a crisis and to communicate effectively with employees,

authorities, and the community during crisis response.
• Review the plan on a regular basis to make sure that it responds to company
needs, properly reflects risks, and incorporates best practices.

TSM Canada, Tailings Management Protocol, June 2022 8

• Train employees to manage a crisis through annual crisis simulation
exercises.

Since an emergency related to a tailings facility could present a crisis, this

protocol is linked to emergency response planning (Indicator 3 of the Tailings
Management Protocol).

TSM Canada, Tailings Management Protocol, June 2022 9

Indicator 1: Tailings Management Policy and Commitment

Purpose
To confirm that companies have established and effectively communicated a
policy and/or commitments that express intention, commitments and principles in
relation to tailings management.

Tailings Management Policy and Commitment: Assessment Criteria

Level Criteria

C The company has not met all Level B criteria.

The company has developed a policy and/or commitments that specifically

address tailings management, but has not met all requirements for a Level A.
B
The company has developed an action plan to meet all requirements for a
Level A.

Using the Table of Conformance (2022 version), an internal audit has been
conducted and determined that:
• The policy and/or commitments are:
o in conformance with Version 3.2 of the Tailings Guide;
o approved by senior management; and
o endorsed at the governance level.
A • The company has a process in place to ensure that the policy and/or
commitments are:
o communicated to employees;
o understood to a degree appropriate to their roles and responsibilities
by employees, contractors, and consultants whose activities may
affect tailings management either directly or indirectly; and
o implemented with budget allocation.

Using the Table of Conformance (2022 version), an external audit has been
AA
conducted and determined that all requirements for a Level A have been met.

The external audit for Level AA included an evaluation of the effectiveness of

AAA
the policy and/or commitments and their implementation.

TSM Canada, Tailings Management Protocol, June 2022 10

Tailings Management Policy and Commitment: Frequently Asked
Questions (Appendix 1)

# FAQ

Can a company effectively implement a tailings management system without

1
having a tailings management policy in place?

How can governance level endorsement of the tailings management policy or

2
commitment be demonstrated?

What are some examples of employees or contractors whose activities may

3
affect tailings management either directly or indirectly?

4 Can external contractors be used to conduct an internal audit?

Can a company skip an internal audit and go straight to an external audit for
5
Level AA?

6 How long are audits valid?

TSM Canada, Tailings Management Protocol, June 2022 11

Indicator 2: Assigned Accountability and Responsibility for
Tailings Management

Purpose
To confirm that accountability for tailings management is assigned to an
Accountable Executive Officer (e.g., CEO, COO, or Vice President), and that an
appropriate management structure and resources are in place to provide
assurance to the company that tailings are managed responsibly.

Assigned Accountability and Responsibility for Tailings

Management: Assessment Criteria

Level Criteria

C The company has not met all Level B criteria.

The company has defined and documented accountability and responsibility

for tailings management, but all requirements for a Level A have not been
met.
B
The company has developed an action plan to meet all requirements for a
Level A.

Using the Table of Conformance (2022 version), an internal audit has been
conducted and determined that:
• accountability for tailings management has been assigned by the Board
or Governance Level to an Accountable Executive Officer;
• the Accountable Executive Officer has a direct reporting relationship to
A
the Board, a Board committee, or the Governance Level;
• responsibility and authority for tailings management have been delegated
in writing to qualified personnel; and
• delegation of responsibility and authority for tailings management is in
conformance with Version 3.2 of the Tailings Guide.

Using the Table of Conformance (2022 version), an external audit has been
AA
conducted and determined that all requirements for a Level A have been met.

The external audit for Level AA included an evaluation of the effectiveness of

the:
AAA • assignment of accountability for tailings management to the Accountable
Executive Officer; and
• delegation of responsibility and authority for tailings management.

TSM Canada, Tailings Management Protocol, June 2022 12

Assigned Accountability and Responsibility for Tailings
Management: Frequently Asked Questions (Appendix 1)

# FAQ

4 Can external contractors be used to conduct an internal audit?

Can a company skip an internal audit and go straight to an external audit for
5
Level AA?

6 How long are audits valid?

7 How can a company demonstrate whether personnel are qualified?

What are examples of actions that should be the responsibility of the

8 Accountable Executive Officer to demonstrate accountability for tailings
management?

TSM Canada, Tailings Management Protocol, June 2022 13

Indicator 3: Tailings Management System and Emergency
Preparedness

Purpose
To confirm that companies have:
• developed and implemented a tailings management system in conformance
with the tailings management framework described in the Tailings Guide; and
• developed and tested emergency response plans (ERPs) and emergency
preparedness plans (EPPs) in conformance with the Tailings Guide.

Tailings Management System and Emergency Preparedness:

Assessment Criteria

Level Criteria

C The company has not met all Level B criteria.

The company has:

• developed and implemented a tailings management system, but that
system is not in conformance with Version 3.2 of the Tailings Guide; or
• conducted a gap analysis comparing existing tailings management
practices against the Tailings Guide and determined that existing practices
for the tailings facility are not in conformance with Version 3.2 of the
Tailings Guide.

B And the company has:

• developed an ERP and an EPP for the tailings facility but both are not in
conformance with Version 3.2 of the Tailings Guide; or
• developed an ERP and an EPP for the tailings facility which are in
conformance with Version 3.2 of the Tailings Guide, but both have not
been tested.

The company has developed an action plan to meet all requirements for a
Level A.

Using the Table of Conformance (2022 version), an internal audit has been
conducted and determined that the company has:
• developed and implemented a tailings management system that is in
A conformance with Version 3.2 of the Tailings Guide;
• developed an ERP and an EPP for the tailings facility that are both in
conformance with the Version 3.2 of Tailings Guide; and
• tested both the ERP and the EPP.
Using the Table of Conformance (2022 version), an external audit has been
AA
conducted and determined that all requirements for a Level A have been met.

TSM Canada, Tailings Management Protocol, June 2022 14

 The external audit for Level AA included an evaluation of the effectiveness of
the:
AAA
• development and implementation of the tailings management system; and
• development and testing of the ERP and the EPP.

Tailings Management System and Emergency Preparedness:

Frequently Asked Questions (Appendix 1)

# FAQ

Can a company effectively implement a tailings management system without

1
having a tailings management policy and/or commitments in place?

4 Can external contractors be used to conduct an internal audit?

Can a company skip an internal audit and go straight to an external audit for
5
Level AA?

6 How long are audits valid?

TSM Canada, Tailings Management Protocol, June 2022 15

Indicator 4: OMS Manual

Purpose
To confirm that the company has developed and implemented a tailings facility-
specific OMS manual in conformance with the OMS Guide to facilitate
implementation of the tailings management system (Indicator 3).

OMS Manual: Assessment Criteria

Level Criteria

C The company has not met all Level B criteria.

An OMS manual has been developed for the tailings facility but it is not in
conformance with Version 2.1 of the OMS Guide.
B
The company has developed an action plan to meet all requirements for a
Level A.

Using the Table of Conformance (2022 version), an internal audit has been
conducted and determined that an OMS manual has been developed and
A
implemented for the tailings facility that is in conformance with Version 2.1 of
the OMS Guide.

Using the Table of Conformance (2022 version), an external audit has been
conducted and determined that an OMS manual has been developed and
AA
implemented for the tailings facility that is in conformance with Version 2.1 of
the OMS Guide.

The external audit for Level AA included an evaluation of the effectiveness of

AAA
the development and implementation of the OMS manual.

OMS Manual: Frequently Asked Questions (Appendix 1)

# FAQ

4 Can external contractors be used to conduct an internal audit?

Can a company skip an internal audit and go straight to an external audit for
5
Level AA?

6 How long are audits valid?

9 Does an OMS manual need to be a single document?

TSM Canada, Tailings Management Protocol, June 2022 16

Indicator 5: Annual Tailings Management Review

Purpose
To confirm that there is an annual review of tailings management that is reported
to the Accountable Executive Officer to ensure corporate governance over
tailings management and to ensure that the company is satisfied that the tailings
management organizational structures and systems are effective and continue to
meet the needs of the organization.

Annual Tailings Management Review: Assessment Criteria

Level Criteria

C The company has not met all Level B criteria.

The company has conducted periodic, documented reviews of tailings

management for the tailings facility, but all requirements for a Level A have
not been met.
B
The company has developed an action plan to meet all requirements for a
Level A.

Using the Table of Conformance (2022 version), an internal audit has been
conducted and determined that the company conducts reviews of tailings
A management for the tailings facility:
• on an annual basis; and
• in conformance with Version 3.2 of the Tailings Guide.

Using the Table of Conformance (2022 version), an external audit has been
AA
conducted and determined that all requirements for a Level A have been met.

The external audit for Level AA included an evaluation of the effectiveness of

AAA
the annual tailings management reviews.

Annual Tailings Management Review: Frequently Asked Questions

(Appendix 1)

# FAQ

4 Can external contractors be used to conduct an internal audit?

Can a company skip an internal audit and go straight to an external audit for
5
Level AA?

6 How long are audits valid?

TSM Canada, Tailings Management Protocol, June 2022 17

Glossary

Accountability: The answerability of an individual for their own performance and

that of any personnel they direct, and for the completion of specified deliverables
or tasks in accordance with defined expectations. An accountable person may
delegate responsibility for completion of the deliverable or task, but not the
accountability.

Accountable Executive Officer: An executive-level person (e.g., CEO, COO,

Vice President) designated by the Board of Directors or Governance Level, who
is accountable for tailings management, and the development and
implementation of the systems needed for responsible tailings management. This
accountability cannot be delegated. This Officer has a direct reporting
relationship to the Board, a Board committee, or the Governance level and:
• needs to be aware of key outcomes of tailings facility risk assessments and
how these risks are being managed;
• has accountability and responsibility for putting in place an appropriate
management structure;
• delegates responsibility and authority for tailings management and defines
the personnel responsibilities, authority, and reporting relationships to
implement the systems needed for responsible tailings management through
all phases in the tailings facility life cycle; and
• demonstrates to the Board of Directors/Governance level whether tailings are
managed responsibly.

Audit: An audit is a formal, systematic and documented examination of a tailings

facility’s conformance with explicit, agreed, prescribed criteria, often
requirements stipulated in law or in the company’s tailings management system.
Audits evaluate and report on the degree of conformance with stipulated criteria,
based on the systematic collection and documentation of relevant evidence.
Audits involve some degree of judgment but are not designed to determine root
cause of deficiencies, or to evaluate management system effectiveness.

Internal audits are conducted by employees of the company with appropriate

knowledge and competencies who are independent, impartial, and objective with
respect to the management of the tailings facility being audited. For example,
they could work at other tailings facilities in the corporate portfolio or that could
work at the corporate level.

External audits are conducted by auditors who are external to the company being
audited. Auditors maintain an objective viewpoint throughout the audit process to
ensure that findings and conclusions are based only on the evidence. (Adapted
from ISO 19011).

TSM Canada, Tailings Management Protocol, June 2022 18

Authority: The power to make decisions, assign responsibilities, or delegate
some or all authority, as appropriate. The ability to act on behalf of the Owner.

Closure Phase: Life cycle phase that begins when placement of tailings into the
tailings facility ceases permanently. The facility and associated infrastructure are
decommissioned, and the closure plan is implemented, including:

• transitioning for operations to permanent closure;

• removal of infrastructure such as pipelines;
• changes to water management or treatment; and
• recontouring or revegetation of tailings and any containment structures or
other structural elements.

Communities of Interest (COI): COI include all individuals and groups who
have an interest in, or believe they may be affected by, decisions respecting the
management of operations. Facility COI may include, but are not restricted to:
• Indigenous peoples
• Community members
• Under-represented groups
• Employees
• Contractors/suppliers
• Neighbours
• Local environmental organizations and other non-governmental organizations
(NGO)
• Local governments and institutions

Other COI may include:

• Suppliers
• Customers
• Regional or national environmental organizations and other non-
governmental organizations (NGO)
• Governments
• The financial community
• Shareholders

Company: The Tailings Guide uses the term “Owner” rather than “company.”
The definition of “company” for the purpose of this Protocol is the same as
“Owner” as defined in the Tailings Guide: Owner is the company, partnership, or
individual who has legal possession or is the legal holder of a tailings facility
under law in the applicable jurisdiction where the facility is located. For example,
the company, partnership or individual that owns the mine or ore processing
facility from which tailings and water are generated is the owner of those tailings
and can be considered the Owner of the tailings facility.

TSM Canada, Tailings Management Protocol, June 2022 19

In the case of joint ventures or similar projects, they may be more than one
company involved in Ownership. In such cases, the Owner would comprise all
companies that are represented on the Board of Directors and are involved in
decision-making.

Continual improvement: The process of implementing incremental

improvements and standardization to achieve better environmental and
management system performance.

Emergency: A situation that poses an impending or immediate risk to health, life,

property, the environment and which requires urgent intervention to prevent or
limit the expected adverse outcomes.

Evaluation of effectiveness: An evaluation of effectiveness goes beyond

determining whether a condition has been met and includes an assessment of
whether tailings management is achieving the intended results. It considers both
the extent to which planned activities have been realized, and the extent to which
performance objectives and indicators have been achieved.

Criteria to be examined will depend on the scope of the evaluation. Typical

sources of information that should be considered when evaluating tailings
management effectiveness include changes in internal or external conditions that
could affect tailings management and achievement of performance objectives.

Performance results and trends that should be evaluated to determine the

effectiveness of tailings management include:
• the extent to which performance objectives and indicators have been
achieved;
• the extent to which planned activities have been implemented as intended;
• fulfilment of conformance obligations;
• non-conformities and corrective actions;
• surveillance results;
• adequacy of resources to support achievement of performance objectives;
• feedback from practitioners and end users; and
• any additional relevant information or feedback from COI.

Governance level: The company Board of Directors (or a sub-committee of the

Board of Directors) is considered the governance level of a company, the level at
which the highest-level corporate decisions are made, particularly regarding
organizational and financial resources. For companies headquartered outside of
the country in which the tailings facility is located that do not have a Board of
Directors based in that country, the governance level would be equivalent to the
highest-level committee or board that provides oversight and review of tailings
management activities within that country.

TSM Canada, Tailings Management Protocol, June 2022 20

Long-Term Care and Maintenance: Life cycle phase during which the mine has
ceased commercial operations and the placement of tailings into the tailings
facility is not occurring. The Owner expects to resume commercial operations at
some point in the future, so surveillance and monitoring of the tailings facility
continue, but the facility and associated infrastructure are not decommissioned
and the closure plan is not implemented.

Maintenance: Includes preventative, predictive, and corrective activities carried

out to provide continued proper operation of all infrastructure (e.g., civil,
mechanical, electrical, instrumentation, etc.), or to adjust infrastructure to ensure
operation in conformance with performance objectives.

Management system: Processes and procedures that collectively provide a

systematic framework for ensuring that tasks are performed correctly,
consistently and effectively to achieve a specified outcome and to drive continual
improvement in performance. A systems approach to management requires an
assessment of what needs to be done, planning to achieve the objective,
implementation of the plan, and review of performance in meeting the set
objective. A management system also considers necessary personnel, resources
and documentation requirements. Other definitions associated with management
systems are:

Policy: The expression of management’s commitment to a particular issue

area that presents the stance of the company to interested external parties.
Practice: Documented approaches to carrying out a task.
Procedure: A documented description of how a task is to be carried out.

Operation: Includes activities related to the transport, placement, and permanent

storage of tailings and, where applicable, process water, effluents and residues,
and the recycling of process water. The term “operation” applies throughout all
phases of the life cycle of a tailings facility and is not limited to the operations and
ongoing construction phase of the life cycle when tailings are being actively
placed in the facility. As a result, operation also includes reclamation and related
activities.

Operations and Ongoing Construction: Life cycle phase during which tailings
are transported to and placed in, the tailings facility. Tailings dams may be
raised, or new tailings cells added as per the design. The operations and ongoing
construction phase of a tailings facility typically coincides with the period of
commercial operations of the mine.

Post-Closure Phase: Life cycle phase that begins when decommissioning work
is complete, the closure plan has been implemented, and the tailings facility has
transitioned to long-term maintenance and surveillance. During post-closure,

TSM Canada, Tailings Management Protocol, June 2022 21

responsibility for a tailings facility could transfer from the Owner to jurisdictional
control.

Responsibility: The duty or obligation of an individual or organization to perform

an assigned duty or task in accordance with defined expectations, and which has
a consequence if expectations are not met. An individual or organization with
responsibility is accountable to the person that delegated that responsibility to
them.

Surveillance: includes the inspection and monitoring (i.e., collection of

qualitative and quantitative observations and data) of activities and infrastructure
related to tailings management. Surveillance also includes the timely
documentation, analysis, and communication of surveillance results, to inform
decision making and verify whether performance objectives and risk
management objectives, including critical controls, are being met.

Tailings facility: The collective engineered structures, components and

equipment involved in the management of tailings solids, other mine waste
managed with tailings (e.g., waste rock, water treatment residues), and any water
managed in tailings facilities, including pore fluid, any pond(s), and surface water
and runoff. This may include structures, components and equipment for:
• classification of tailings through water content management (e.g., cyclones,
thickeners, filter presses);
• transporting tailings to the tailings facility (e.g., pipelines, flumes, conveyors,
trucks);
• containment of tailings and associated water (e.g., dams, dykes, stacks, liner
systems, cover systems);
• management of seepage (e.g., underdrains, collection ponds, pumping
wells);
• water reclaim systems (e.g., pumping to the ore processing facility);
management of surface water releases from the tailings facility (e.g.,
diversions, decant structures, spillways, outlets, flumes, water treatment);
• structures, components and equipment for the surveillance and maintenance
of tailings facilities; and
• mechanical and electrical controls, and power supply associated with the
above.

TSM Canada, Tailings Management Protocol, June 2022 22

Appendix 1: Frequently Asked Questions

1. Can a company effectively implement a tailings management system

without having a tailings management policy and/or commitments in
place?
No. There is a direct link between Indicators 1 and 3 of the Protocol. A
company must have a tailings management policy and/or commitments in
place in order to effectively implement a tailings management system, since
the policy is part of the management system. A company cannot achieve a
Level A for Indicator 3 (Tailings Management System) if it has not achieved
a Level A or higher for Indicator 1 (Tailings Management Policy).

2. How can governance level endorsement of the tailings management

policy or commitment be demonstrated?
Endorsement of the tailings management policy and/or commitments at the
governance level will vary from company to company. For example, a Board
resolution adopting the policy will be appropriate for some companies, while
others will fulfill this requirement through a presentation on the tailings
management policy to a sub-committee of the Board of Directors.

3. What are some examples of employees or contractors whose activities

may affect tailings management either directly or indirectly?
Examples of personnel whose activities may directly affect tailings
management include mill managers, tailings pipeline inspectors, and
employees undertaking any operation, maintenance, or surveillance
activities. An example of personnel whose activities may indirectly affect
tailings management is procurement personnel who order parts or services
related to tailings management.

4. Can external contractors be used to conduct an internal audit?

As stated in the Glossary, internal audits should be conducted by employees
with appropriate knowledge and competencies who are independent,
impartial, and objective with respect to the management of the tailings
facility being audited. For example, they could work at other tailings facilities
in the Owner’s portfolio or could work at the corporate level.

This means that the company must take a role in conducting an internal
audit, and to the extent possible, the internal audit should be conducted by
employees of the company.

Medium and large companies with the capacity to conduct an internal audit
as described above should do so.

However, small companies may not have the capacity to conduct an internal
audit as described above. In such cases, the company may hire an external
TSM Canada, Tailings Management Protocol, June 2022 23
 consultant to support the conduct of the internal audit. However, someone
from the corporate office, such as the Accountable Executive Officer, needs
to be directly involved in the conduct of the audit. In the case of small
companies with more than one tailings facility, someone involved in the
management of one of the other tailings facilities should also be involved.

5. Can a company skip an internal audit and go straight to an external

audit for Level AA?
No. Internal and external audits both have an important role to play, and
may focus on different aspects, or at different levels of detail. An internal
audit should be done first, to achieve a Level A, before conducting an
external audit with the goal of achieving a Level AA.

6. How long are audits valid?

Internal and external audits remain valid up to a maximum of three years. In
addition, detailed assessments of conformance with the Table of
Conformance remain valid until there is a material change in tailings
management.

7. How can a company demonstrate whether personnel are qualified?

Considerations for determining whether a person is qualified include, but are
not limited to:
• previous training, including as appropriate formal education
• previous experience in performing the task/activity
• degree of relevant knowledge
• regulatory, professional, or industry- definitions of “qualified”

8. What are examples of actions that should be the responsibility of the

Accountable Executive Officer to demonstrate accountability for
tailings management?
Examples of actions the Accountable Executive Officer can take to
demonstrate accountability for tailings management could include:
• ensuring that the senior management team and/or Board or governance
level are appropriately informed on tailings management issues;
• reviewing risk assessment results;
• participating in tailings reviews;
• reviewing and approving adequate resources for tailings management;
• participating in independent tailings review meetings; and
• participating in crisis management planning simulation exercises.

9. Does an OMS manual need to be a single document?

No. It is up to the company to determine how best to organize OMS
information to ensure that the documentation is complete and easy to use.
There may be a single document, or there may be multiple modules as
described in Section 2.4 of the OMS Guide. An OMS may refer to or include

TSM Canada, Tailings Management Protocol, June 2022 24

 hyperlinks (in the case of electronic documents) to other relevant documents
such as standard operating procedures developed by the company and
manuals provided by equipment manufacturers that describe specific
procedures (e.g., instrument calibration).

TSM Canada, Tailings Management Protocol, June 2022 25