Appendix 3 - Method Elements Maturity

Checklist
PNR-000054 - Assessment of Management System and Results
Rev.: 08 - Sep/08/2022
VPS Method

13. Strategy Deployment

14. Routine Management

15. Process and Standardization

16. Problem Solving and Continuous Improvement

17. Assessment of Management System and Results

 13. Strategy Deployment
1 - Gap 2 - Instability 4 - Excellence
0 - Nonexistence 3 - Stability
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process incorporated into routine,
Practice not implemented Process fully implemented
only a few examples. some improvements still needed leader-proof
13.1.0 Vale’s Purpose and Values 13.1.1 Vale’s Purpose and Values 13.1.2 Vale’s Purpose and Values 13.1.3 Vale’s Purpose and Values 13.1.4 Vale’s Purpose and Values
are not visible. are visible. are known to employees. are understood and employees are used by employees to guide
13.1 Employees understand their role in are able to correlate them with their actions and decisions.
achieving Vale's purpose. their activities.
Vale’s Purpose
and Values
• PNR-000046 –Strategy and Goals
Deployment

13.2.0 Vale's strategic goals are 13.2.1 Vale's strategic goals are 13.2.2 Vale's strategic goals are 13.2.4 Vale’s strategic goals are 13.2.8 Vale's Strategic Goals are
not defined. defined. known down to management deployed through Hoshin. reviewed in an agile way in the
level. face of external events and
13.2.5 Vale's Strategic goals have changing scenarios.
13.2 Vale's strategic goals are defined, 13.2.3 Indicators are associated a multi-annual vision.
communicated and broken down into with Vale’s strategic goals. 13.2.9 Multiannual indicators and
indicators that ensure that the entire 13.2.6 Vale's strategic goals are targets associated with Vale's
organization works in unison. Strategic Goals communicated down to strategic goals.
employees level.
• PNR-000046 –Strategy and Goals
Deployment 13.2.7 Indicators and targets are
associated with Vale's strategic
goals.

13.3 The target deployment process is 13.3.0 Goals Deployment is not 13.3.1 Goals are deployed for 13.3.4 Goals are deployed 13.3.7 Goals are deployed down 13.3.10 Goals are deployed
result-focused, process-oriented and aligned accomplished. purposes of variable according to the challenges of the to the lowest level of leadership considering the value tree and
across interfaces (horizontally and remuneration (AIP). areas. with horizontal and vertical supporting strategic objectives.
vertically). The deployed targets are valued alignment.
in order to directly impact the expected 13.3.2 Goals are valued for 13.3.5 Targets defined.
results. The targets for variable purposes of variable 13.3.8 Targets are valued based
compensation purposes are established and Goals remuneration (AIP). 13.3.6. Goals are known by the on gap analysis in order to directly
managed according to the guidelines of the Deployment leaders. impact the expected results.
Goals Manual - AIP. 13.3.3 Goals are known for the
purpose of variable 13.3.9 Goals are known to
• PNR-000046 - Strategy and Goals remuneration (AIP). employees.
Deployment
• PNR-0000072 – Management by
Objectives (MBO)
 13. Strategy Deployment
1 - Gap 2 - Instability 4 - Excellence
0 - Nonexistence 3 - Stability
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process incorporated into routine,
Practice not implemented Process fully implemented
only a few examples. some improvements still needed leader-proof
13.4.0 Strategic initiatives are 13.4.1 Strategic initiatives are 13.4.2 Strategic initiatives are 13.4.3 Strategic initiatives are 13.4.6 Strategic initiatives are
13.4 All initiatives are identified and not defined. defined. defined from Vale’s strategic selected according to defined defined with a multiannual vision.
prioritized in accordance with Vale’s goals. priorities.
Strategy and resources availability. 13.4.7 Existence of a systematic
Strategic 13.4.4 Strategic initiatives are follow-up and review of the
• PNR-000046 - Strategy and Goals initiatives prioritized considering resources pipeline of strategic initiatives, in
Deployment availability. the face of external events and
• PNR-0000072 – Management by changes in scenarios.
Objectives (MBO) 13.4.5 Strategic initiatives are
aligned across interfaces.
13.5.0 Plans to achieve goals are 13.5.1 Actions defined to achieve 13.5.2 Structured plans to achieve 13.5.3 Plans to achieve goals are 13.5.5 Plans to achieve goals are
not defined. goals. goals defined. followed up on the routine. defined with a multiannual vision.
13.5 Plans to achieve goals are defined and Plans to achieve
followed up on a daily basis. goals 13.5.4 Plans to achieve goals are
revised whenever necessary.
 VPS Method

13. Strategy Deployment

14. Routine Management

15. Process and Standardization

16. Problem Solving and Continuous Improvement

17. Assessment of Management System and Results

5
 14. Routine Management
1 - Gap 2 - Instability 3 - Stability 4 - Excellence
0 - Nonexistent
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process fully implemented and Process incorporated into routine
Practice not implemented
only a few examples. still not comprehensive. achieving expected results and continuously improved
14.1 Result and process KPIs are 14.1.0 Indicators are not 14.1.1 Indicators established. 14.1.2 Result indicators 14.1.3 Process (means) and 14.1.4 Few and good indicators
established aligned to the strategy established. established. result (end) indicators established, enabling preventive
deployment and business needs. established for all applicable management.
KPIs Definition dimensions, reflecting the
Indicators should include HSEC, Risks, performance of the area.
People, Quality, Productivity and Costs
dimensions.
14.2 KPIs have a single accountable 14.2.0 Indicators not 14.2.1 Indicators have a 14.2.2 Standardized indicators 14.2.3 Indicators calculated 14.2.4 Indicators calculated
person defined in accordance with the standardized. technical responsible defined. according to the established according to Vale's Indicators automatically and integrated
responsibilities of the processes and are guidelines defined by Vale's Manual. with the database.
KPIs
measured following the established Indicators Manual.
Standardization
standards.

• PNR-000012 - Vale's Indicators Manual

14.3.0 Performance meetings 14.3.1 Monthly performance 14.3.2 Monthly, weekly and daily 14.3.3 Performance routines 14.3.4 Performance routine
are not held. Meeting is held. performance routine, if established focusing on problem incorporated in the culture of
14.3 A routine is in place to measure
applicable, established to report, prioritization, exposure the area with a focus on
and report performance, analyze KPIs
measure and analyse indicators and solving to preventing problems and
and ensure that problems are
(according to meetings hierarchy improve results according to supported by an agile
prioritized, exposed and solved. Performance
in PNR-000032). PNR-000032, PNR-000001 and information flow.
Routine
PNR-000028.
• PNR-000001 - Performance Meetings
• PNR-000032 - Routine Management
• PNR-000028 - Problem Solving

14.4.0 There is no visual 14.4.1 There is visual 14.4.2 Visual management 14.4.3 Visual management 14.4.4 Visual management
management. management. allows to track the results of the promotes exposure and supports action prioritization and
14.4 The area uses visual management area. discussion of problems at all leadership decision making.
Visual
to monitor results and identify levels.
Management
problems.
 14. Routine Management
1 - Gap 2 - Instability 3 - Stability 4 - Excellence
0 - Nonexistent
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process fully implemented and Process incorporated into routine
Practice not implemented
only a few examples. still not comprehensive. achieving expected results and continuously improved
14.5 Leaders have a structured routine 14.5.0 Gemba walk not 14.5.1 Gemba walk is structured. 14.5.2 Gemba walk is fulfilled. 14.5.3 Demands of training and 14.5.4 Leader develops the team
to verify the execution of standards established. review of standards as an output during Gemba walks.
through direct observation (going to the of standard deviations within the
gemba). For areas covered by the Basic Standards execution of activities, identified
Guidelines, it is mandatory. Verification during the Gemba Walk. It must
be connected to the Basic
Guidelines, if applicable.

14.6 The Management Routine Agenda 14.6.0 There is no Management 14.6.1 There is Management 14.6.2 The existing Management 14.6.3 Effectiveness in the use of 14.6.4 The Management Routine
reflects the minimal routines necessary Routine Agenda. Routine Agenda. Routine Agenda reflects the the Management Routine Agenda helps to optimize the
for exercising and performing the minimal routines necessary for Agenda, with adherence to routine of the entire area.
function, being fulfilled and monitored Management exercising and performing the activities planned vs. executed
by the leader. Routine Agenda function. and adherence of the use of the
routine follow up, according to
• PNR-000032 - Routine Management established goals.
 VPS Method

13. Strategy Deployment

14. Routine Management

15. Process and Standardization

16. Problem Solving and Continuous Improvement

17. Assessment of Management System and Results

8
 15. Process and Standardization
1 - Gap 2 - Instability 3 - Stability 4 - Excellence
0 - Nonexistent
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process fully implemented and Process incorporated into routine
Practice not implemented
only a few examples. still not comprehensive. achieving expected results. and continuously improved.
15.1.0 The area's role is unclear. 15.1.1 The area understands its 15.1.2 The activities, inputs, 15.1.3 Customers' needs are 15.1.5 Customers' needs serve as
role. outputs, suppliers and customers known and considered when input for improving processes in
15.1 The area understands its role and
are defined. defining the process. the area.
identifies the main activities, customers Process
and their needs, inputs and suppliers for understanding
15.1.4 Customers' needs are
the processes under its responsibility.
met.

15.2.0 The processes are not 15.2.1 Processes are structured 15.2.2 Processes are structured 15.2.3 Structured processes 15.2.4 Processes are structured
15.2 The processes are structured
structured. considering the requirements of and aligned with the interfaces. achieving expected results. incorporating innovative
considering the requirements of the
Value Chain the area. solutions with focus on efficiency
value chain from end to end, in order to
and productivity gains.
optimize the flow and maximize results.

15.3.0 Roles and responsibilities 15.3.1 Roles and responsibilities 15.3.2 Roles and responsibilities 15.3.3 Roles and responsibilities 15.3.4 Roles and responsibilities
are not defined. are defined. are known and understood by are aligned with the interface revised according to
15.3 Roles and responsibilities are clearly the area. areas. improvements made, with focus
Roles and on efficiency and productivity
defined and communicated, considering
Responsibilities gains.
process and decision-making activities.

15.4.0 No activity is 15.4.1 Priority tasks are 15.4.2 Priority tasks with 15.4.3 Priority tasks are 15.4.4 Standardized priority
15.4 Priority tasks are standardized. standardized. identified. associated standards. standardized with risk's tasks reflecting best practices.
identification, points of attention
Standardization related to quality, and the
• PNR-000039 - Process and
of Priority Tasks necessary steps for their
Standardization
execution, when applicable.

15.5.0 Best practices are not 15.5.1 Best practices shared only 15.5.2 Best practices shared with 15.5.3 Best practices related to 15.5.4 There is a workflow of
shared. in the area. other areas. replicated when applicable. approval and sharing of best
Best Practices practices are systematized,
15.5 Best practices are replicated and
Replicated and managed by the regulatory
implemented.
implemented areas, ensuring replication of
good practices in the applicable
areas and processes.
 15. Process and Standardization
1 - Gap 2 - Instability 3 - Stability 4 - Excellence
0 - Nonexistent
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process fully implemented and Process incorporated into routine
Practice not implemented
only a few examples. still not comprehensive. achieving expected results. and continuously improved.
15.6.0 Policies and procedures 15.6.1 Policies and procedures 15.6.2 Policies and procedures 15.6.4 Policies and procedures 15.6.7 Policies and procedures
are not established. are established. are easily accessible. are controlled at SISPAV. review based on the processes
review.
15.6 Policies and procedures are
15.6.3 Policies and procedures 15.6.5 Policies and procedures
accessible and properly controlled in Policies and
with controlled reviews. are known by the employees. 15.6.8 Revised policies and
order to prevent the use of misleading Procedures
procedures following the change
information.
15.6.6 Implemented systemic management flow.
review of policies and
procedures.
15.7 Records* related to process 15.7.0 There is no identification 15.7.1 Records retained and 15.7.2 Records retained and 15.7.3 Records retained and 15.7.4 Records automatically
execution are properly retained and and control of the records. labeled. stored to meet legal stored to meet Vale's rules and retained and stored.
stored in accordance with business requirements. legal requirements.
needs and legal requirements.

*Records: Filled documents that require

Records
storage for the purpose of traceability
and compliance with Vale standards and
legal requirements. e.g.: SWP,
equipment calibration, environmental
monitoring, Medical Examination,
accountability invoice etc.
15.8.0 Basic working conditions 15.8.1 Basic working conditions 15.8.2 References (Normal x 15.8.3 Discipline in the definition 15.8.4 Use of innovative
15.8 5S is implemented and ensures safe not met in all areas. met. Abnormal) implanted. and verification of references solutions and technology to
and healthy working conditions, in (Normal x Abnormal) focusing on check abnormal conditions.
addition to visual references that expose 5S problem exposing and solving
abnormal conditions, especially hazards thus preventing and mitigating
and risks. hazards and risks.

15.9.0 Absence of standards for 15.9.1 There is standardization 15.9.2 Priority tasks executed 15.9.3 Priority tasks executed 15.9.4 Revised priority tasks
priority tasks. for priority tasks. according to established according to established standards providing the
15.9 Priority tasks executed according to
Standards standards. standards providing the improvement of results.
established standards providing the
execution achievement and stabilization of
achievement and stabilization of results.
results.
 VPS Method

13. Strategy Deployment

14. Routine Management

15. Process and Standardization

16. Problem Solving and Continuous Improvement

17. Assessment of Management System and Results

11
 16. Problem Solving and Continuous Improvement
1 - Gap 2 - Instability 3 - Stability 4 - Excellence
0 - Nonexistent
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process fully implemented and Process incorporated into routine
Practice not implemented
only a few examples. still not comprehensive. achieving expected results and continuously improved
16.1.0 Leader not present in the 16.1.1 Leader present in the field 16.1.2 Leader present in the field 16.1.3 Visible leadership in the 16.1.4 Inversion of the pyramid
field. in a sparingly and reactive way. according to the established field, helping to identify practiced by the leadership,
routine. problems on a daily basis supporting the team on problem
16.1 Visible leadership in the field, through direct observation and solving.
helping to identify problems on a Visible leadership in check of references.
daily basis through direct the field (Gemba)
observation and check of references.

16.2.0 Problems not identified. 16.2.1 Problems identified with 16.2.2 Problems identified, with 16.2.3 Identification and tackling 16.2.4 Problems are tackled in an
16.2 PDCA-based methods and tools containment actions taken. action plans considering actions, of the root causes through agile way, considering internal
are used to ensure root cause is those responsible and deadlines. methods and tools based on and external references.
identified and an action plan Problem solving PDCA.
defined. methods and tools

• PNR-000028 - Problem Solving

16.3.0 Actions plans not tracked. 16.3.1 Actions plans are tracked 16.3.2 Actions plans are tracked 16.3.3 Action plans are tracked 16.3.5 Actions are discussed and
in a sparingly way. within the routine. until their implementation, and updated within the daily routine,
16.3 Action plans are tracked until
the deviations are identified and allowing agility in identification,
their implementation, and the Action plans follow-
addressed. deviation corrections and
deviations are identified and up
implementation of the actions.
addressed.
16.3.4 Help chain is used to
address deviations.
16.4.0 No effectiveness check. 16.4.1 Execution of actions 16.4.2 Effectiveness check for 16.4.3 Effectiveness analysis 16.4.4 Effectiveness checks
discussed on meetings. the implemented actions. considering the sustainability of performed capturing lessons
16.4 The effectiveness of the the results. learned.
Effectiveness
implemented actions are performed
Analysis
with focus on results.
 16. Problem Solving and Continuous Improvement
1 - Gap 2 - Instability 3 - Stability 4 - Excellence
0 - Nonexistent
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process fully implemented and Process incorporated into routine
Practice not implemented
only a few examples. still not comprehensive. achieving expected results and continuously improved
16.5.0 Comprehensiveness 16.5.1 Comprehensiveness 16.5.2 Comprehensiveness 16.5.3 Comprehensiveness 16.5.4 Comprehensiveness
analysis not performed. analysis performed for internal analysis performed for internal analysis performed for internal analysis process systematized
best practices. and external best practices. and external best practices, and managed by the technical
16.5 Comprehensiveness analysis are
along with implemented actions. and regulatory areas.
performed for internal and external Comprehensiveness
best practices, along with analysis
implemented actions.

16.6.0 Wastes are not 16.6.1 Wastes are exposed. 16.6.2 Wastes are identified and 16.6.4 Wastes are identified and 16.6.4 Wastes are identified and
recognized. actions are defined for tackling tackled. systematically tackled, providing
them. feedback for process
16.6 Wastes are identified and improvement.
Wastes elimination
tackled.

16.7.0 There is no engagement 16.7.1 Employees propose 16.7.2 Employees propose 16.7.3 Employees are engaged to 16.7.4 The environment foster
of the employees in proposing improvements when directed to. improvements in their activities. propose improvements for the the proposal of improvements.
16.7 Employees are engaged to Engagement and improvements. critical problems of the area.
propose solutions to improve Continuous 16.7.5 The pursuit of Continuous
activities individually or in groups. Improvement Improvement is a part of the
culture of the area.

16.8.0 Targets do not reflect 16.8.1 Challenges are updated 16.8.2 Challenges are updated 16.8.3 Whenever the targeted 16.8.4 Challenges are aligned
16.8 New challenges are defined to challenges. only upon request. and reflected on the main area performance level is reached, with excellence levels (internal
continuously improve processes and targets. the challenges are updated. and external references).
results, aligned with the business New Challenges
and the customer needs, always
ethically and responsibly.
 VPS Method

13. Strategy Deployment

14. Routine Management

15. Process and Standardization

16. Problem Solving and Continuous Improvement

17. Assessment of Management System and

Results

14
 17. Assessment of Management System and Results
1 - Gap 2 - Instability 3 - Stability 4 - Excellence
0 - Nonexistent
VPS Requirement Criteria In early stages of implementation, Process under implementation, Process fully implemented and Process incorporated into routine
Practice not implemented
only a few examples. still not comprehensive. achieving expected results and continuously improved
17.1 Self-assessments and formal 17.1.0 Management model 17.1.1 Assessments performed 17.1.2 Assessments performed 17.1.3 VPS implementation plan 17.1.5 Assessments systemically
assessments are performed to identify assessments not performed. only when requested. with the purpose of identifying build from the GAPs identified at revised after the plan is
opportunities for improvement in the improvements opportunities in the assessments. completed to ensure that lessons
implementation and use of VPS and in the Assessments the VPS implementation and learned improves the maturity
results achieved. Implementations plans and VPS utilization. 17.1.4 VPS implementation plans levels.
are build to improve results and address Implementati followed in the routine.
opportunities. on Plans

• PNR-000054 - Assessment of
Management System and Results
17.2 Internal and external audits are 17.2.0 Audits not performed. 17.2.1 Internal and external 17.2.2 Internal and external 17.2.3 Action plans are followed 17.2.5 Applicability analysis are
performed whenever applicable, the audits performed only when audits performed to meet in the routine. performed for the solutions of
recommendations are evaluated and the requested. standards, certifications and the non-conformities and
non-conformities are registered and legal requirements. 17.2.4 Effectiveness analysis are recommendations with
followed until its resolution. carried out to avoid non- replication purpose.
conformities recurrence.
• Applicability: Audits
• Areas that are scope of ISO
certification;
• Areas that received any internal or
external audit (3rd Line of Defense
or External Agencies.) in the past 12
months.
17.3.0 Expected results not 17.3.1 Results usually below 17.3.2 Results eventually 17.3.3 Results achieved with low 17.3.4 Results achieved and
achieved. target and with high variation. achieved and instable. variation and stability. systematic improved.
17.3 Area’s main expected results are
Results
achieved.