1
Qualify and scope
Confirm the engagement is appropriate, define what will be assessed and agree how evidence and independence will be handled.
1. Qualification2. Scoping3. Confidentiality and contracting
Methodology
A controlled 15-stage engagement workflow
The workflow separates evidence collection, validation, scoring, moderation, quality assurance, improvement and reassessment - grouped into five phases, each closing with a decision gate.
Overview
Five phases from qualification to reassessment
Evidence is gathered and validated before any view is formed. Scores are moderated independently. Findings are tested for accuracy without bargaining, then converted into an accountable plan and, later, reassessed for durability.
2
Build the evidence base
Request, gather and review documented evidence and management perspectives before forming any view.
4. Data request5. Desktop review6. Management interviews
3
Validate and assess
Observe controls in the field, authenticate evidence, then score against the framework with independent moderation.
7. Site assessment8. Evidence validation9. Scoring10. Technical moderation
4
Decide and plan
Test factual accuracy with management, issue controlled findings and build a prioritised improvement plan.
11. Management workshop12. Final report13. Improvement planning
5
Implement and reassess
Support implementation where independence allows, then verify closure and sustained effectiveness against a frozen baseline.
14. Implementation support15. Reassessment
Stage by stage
What happens in each phase
Each phase below sets out its purpose, the stages within it, who participates, the key outputs, the decision gate and the safeguards that apply.
Qualify and scope
Establish a well-bounded, independent engagement with a clear intended use before any assessment begins.
1
Qualification
Confirm client, site, motive, buyer, independence, risk and intended use.
2
Scoping
Define assets, period, dimensions, exclusions, sampling, disciplines and logistics.
3
Confidentiality and contracting
Agree confidentiality, data handling, access, reliance, safety and score independence.
Build the evidence base
Assemble a controlled, indexed evidence base and understand how management believes controls operate.
4
Data request
Issue an indexed request with owners, dates and a missing-data log.
5
Desktop review
Review plans, permits, risk controls, performance, incidents, complaints and prior reviews.
6
Management interviews
Test accountabilities, risk decisions, control design, resourcing and improvement.
Validate and assess
Test evidence in the field, triangulate it and translate validated findings into scores and confidence ratings.
7
Site assessment
Observe representative areas and controls; include workforce engagement and urgent escalation.
8
Evidence validation
Authenticate, date, reconcile and triangulate evidence; classify confidence and gaps.
9
Scoring
Apply question and dimension scoring, N/A, missing-data, coverage and critical gates.
10
Technical moderation
Independently challenge critical controls, confidence, N/A and material disagreements.
Decide and plan
Confirm the findings are factually accurate and practical, then convert them into an accountable improvement plan.
11
Management workshop
Test factual accuracy and practicality without bargaining over scores.
12
Final report
Issue controlled findings, limitations, confidence, gates and recommendations.
13
Improvement planning
Prioritise actions, dependencies, owners, dates and verification evidence.
Implement and reassess
Confirm that improvements are implemented and that controls are demonstrably effective, not merely documented.
14
Implementation support
Optional coaching and effectiveness testing while preserving independence.
15
Reassessment
Verify closure and sustained effectiveness against a frozen baseline.
Illustrative timeline
A six-to-eight-week baseline
A typical maturity baseline runs over six to eight weeks. The schedule below is indicative - actual timing depends on mine scale, access, evidence readiness and specialist requirements.
1
Week 1 — Qualify and scope
Scoping, contracting and the controlled evidence request.
2
Week 2 — Build the evidence base
Evidence intake, desktop review and initial interviews.
3
Weeks 3–4 — Validate and assess
Site assessment, evidence validation and scoring.
4
Week 5 — Validate and assess
Independent technical moderation of scores and gates.
5
Week 6 — Decide and plan
Management workshop and controlled final report.
6
Weeks 7–8 — Decide and plan
Improvement planning and handover; reassessment scheduled separately.
Indicative only. Actual timing depends on mine scale, access, evidence readiness and specialist requirements. It is not a guaranteed schedule.
Independence by design
Why the sequence matters
Evidence before opinion
No scoring occurs until evidence is validated. The missing-data log is maintained throughout so gaps are visible, not hidden.
Independent moderation
A separate moderator challenges critical-control decisions, confidence ratings and material disagreements before any finding is issued.
Reassessment, not paperwork
Reassessment is measured against a frozen baseline. Completing documents alone does not demonstrate that a control is effective.