[OFFICIAL]

SISHEN MINE

REV 10 IMPLEMENTATION DATE 2019-04-01

OPERATIONAL RISK MANAGEMENT PROGRAMME (ORMP) PROCEDURE REFRESH
2024-04-20 DOC NO: SHEQ-SISHEN-PRO-015

OPERATIONAL RISK MANAGEMENT

PROGRAMME (ORMP) PROCEDURE
SISHEN MINE

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CONTENTS Page

1 PURPOSE 2
2 SCOPE 2
3 DEFINITIONS 3
4 ABBREVIATIONS 5
5 IMPLEMENTATION RESPONSIBILITY OF ORMP 5
6 EXECUTION OF PROCESS 6
7 FOUR LAYER APPROACH 11
8 PROCEDURE 14
8.1 BASELINE RISK MANAGEMENT PROCESS 14
8.2 ISSUE-BASED RISK MANAGEMENT PROCESS 14
8.3 CRITICAL CONTROL MANAGEMENT 14
8.4 TARP 17
8.5 TASK BASED RISK MANAGEMENT PROCESS 17
8.6 PLANNED TASK OBSERVATIONS 20
8.7 SLAM RISK MANAGEMENT PROCESS 22
9. COMPETENCIES 22
10. REVIEW CRITERIA 23
11. GENERAL AND OTHER 23
12 REVISION HISTORY 23

1 PURPOSE
The purpose of this procedure is to support decision-making by embedding risk management into all business
processes within Sishen Mine.

This procedure aims to ensure that operational risks are identified, assessed, analysed and managed in an
integrated and coordinated manner to support the delivery of operations objectives and targets.

The purpose of this procedure is to ensure that Sishen Mine risks are managed uniformly at Sishen Mine in
accordance with the requirements of the Anglo-American Operational Risk Management Process.

2 SCOPE
This document is applicable to the full life cycle of the operation: routine, non-routine, and emergency
situations; all products and services; all planned or unplanned changes; all personnel, contractors, business
partners, suppliers, and visitors; and all equipment and facilities and significant business decisions.

The following must be considered when determining the hazards:

• Normal and abnormal operating conditions;
• Incidents and potential emergencies;
• Post current and planned activities;
• Influence of human behavior, capabilities, and other human factors;
• Hazards originating externally, which impact work-related activities or people under the control of
the mine;
• Modifying the SHEQ Management system, including temporary changes and their impacts on
operations, processes, and activities.

This procedure is applied to all functions across Sishen Mine and includes but is not limited to engineering,
finance, safety and sustainable development, exploration, geology, mining, processing, supply chain, and
outbound logistics as applicable.

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3 DEFINITIONS
All terms used in this Procedure, and which might create confusion, are defined in this column.

Term Definition
Activity Measurable action or operation to convert inputs into outputs in given time frame.
ALARP As Low As Reasonably Practicable. It is the concept of weighing the risk against the sacrifice
needed to implement the measures necessary to avoid the risk. In health and safety it is
assumed that the measures should be implemented unless it can be shown that the sacrifice
is grossly disproportionate to the benefit.
Aspect Aspect is the term used in Environmental Management that is the same as the term hazard
in the ORMP language
Baseline Risk This is an overarching risk assessment that establishes a mine wide foundation for
Assessment operational risk management. It is used to identify and prioritise relevant risks, hazards and
associated unwanted events at a site/operation or project and document high level
applicable controls
Consequence The outcome of an event or situation expressed qualitatively or quantitatively, whether a
loss, injury, health or environmental impact resulting in either a disadvantage, or a benefit,
gain or advantage.
Control Means to reduce the likelihood of a risk occurring and\or minimise the consequences should
such an event occur.
Critical Control A small number of controls that significantly influence the likelihood of an event occurring
and or consequence of such an event (if removed, the risk rating will increase significantly)
Event An incident or situation which occurs in a particular place during a particular interval of time.
Events involve releases or manifestations of, or exposures to the hazard. Events can be
wanted (opportunity) or unwanted (threat).
Hazard A source of potential harm to people, assets, the environment, communities, reputation or
business processes.
The environmental term, “aspect” is synonymous with hazard.
A hazard must be recognised and understood in order to manage the related risk.
Hierarchy of risk A series of controls to mitigate the hazards, which should be considered and applied in the
control following order: (a number of these options may be considered and applied individually or in
combination).
1. Elimination – The complete elimination the hazard.
2. Substitution – Replacing the material or process with a less hazardous one.
3. Redesign/Engineering – Redesigning the equipment or work processes.
4. Separation – Isolating the hazard by guarding/enclosing it into separate people,
equipment and the environment from the hazard.
5. Administration - Providing controls such as training, procedures, signage, standards,
authorizations, and inspections and monitoring which are dependent on human
decision and action.
6. Personal Protective Equipment (PPE) – Using properly fitted PPE where other controls
are not practicable.
High Risk Tasks Tasks where a priority unwanted event could potentially occur, whilst performing the task
Impact Impact is the term used in Environmental Management that is the same as the term risk in
the ORMP language
Incident An event that could or does result in harm to people, property, the environment, the
community, reputation or business process.
Issue-based risk Sishen currently uses the WRAC and bowtie risk assessment methodology for conducting
assessments issue-based risk assessments.
JRA/PTO Job Risk Analysis (JRA) risk assessment methodology is used to conduct task-based risk
assessments. Planned Task Observations (PTO) are done for high risk tasks to ensure that
employees are working according to the procedure/s associated with the task. The JRA and
PTO are combined on the JRA template to allow for observation of the task, not only looking
at performance of the task according to procedure, but also to allow the observer to verify
with the employee/s observed, their understanding of hazards and controls associated with
the task.

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Likelihood The probability or chance that an event will occur.

Loss Any negative consequence, financial, injury or otherwise.

Major Hazard Major hazards are hazards involving a consequence of multiple fatalities and a significant
element of hazard uncertainty based on the hazard inventory information OR one of the
relevant hazards from the Anglo American major risk standards.
Usually unplanned work. Task not carried out in the normal course of work. This includes,
Non-routine tasks for example, maintenance and activities that have not been carried out for some time at that
site
Operating Model Process used in Anglo at Sishen for improving production and quality of delivery.
Specific, measurable variable selected to provide a quantifiable measurement of the results
Performance
of the SHEQ management system, related to the organization’s control of operational risks,
Indicator
based on its policy and objectives.
Priority Unwanted A PUE is any event with a maximum consequence rating of either 4 or 5 (high and major)
Event (PUE) on the Anglo American Operational Risk Management risk matrix. In the safety context this
is a potential single or multiple fatality events.
Process A structured, measured set of tasks or activities designed to produce a specific output
(service or product).
Risk A combination of the likelihood of an occurrence of a hazardous event or exposure and the
severity of the impact (e.g. injury, illness, environmental impact) that may be caused by the
event or exposure.
Risk analysis A systematic process to understand the nature of and deduce the level of risk.

Risk and Critical The Risk and Critical Control Register is a record of the identified priority unwanted events,
Control Register as well as the critical controls for those events. It generates automatically once the baseline,
bowtie risk assessments and recommended actions from Bowties are captured in Enablon.
Risk assessment The process of evaluating the risks arising from hazards, considering the adequacy of any
existing controls (“risk analysis”) and deciding whether or not the risks are acceptable when
compared to the acceptable risk criteria or goals.
Risk management The systematic approach to establishing the context of situation hazard identification, risk
evaluation, determining whether the risks are acceptable, and the ongoing treatment of risks
through the application of policies, processes and procedures.
Risk rating Determination of the risk level associated with unwanted events by rating likelihood of
occurrence and consequence in accordance with the Anglo American 5x5 risk matrix.
Routine tasks Planned work. Task carried out in the normal course of work.
Safe Operating Procedure explaining to employees how to perform the task safely.
Procedure (SOP)
Task Piece of work to be done, an activity or set of activities that might be defined as part of a
process.
Top Event The point where you lose control over the hazard
Trigger Action A plan that describes the normal operating condition(s) for a key factor(s) associated with a
Response Plan critical control or activity and a series of escalating variances from this/these normal
(TARP) operating condition(s). For each variance, a trigger for action and responsibilities for key
personnel are defined.
Work Execution Document derived from a JRA approved by the SHE Risk Advisor by loading
it on Enablon. The WED application is linked to Enablon and will update the WED on the
WED WED application when it is updated in Enablon. The WED is used by employees in the work
management phase of the Anglo Operating Model process whilst performing their tasks and
can be seen as a summarised version of the JRA used as a checklist during the task.
Workplace Risk Assessment and Control (WRAC) method. This method allows for functional
WRAC as well as geographical assessments, taking into account the energy sources involved. The
Anglo American Risk Matrix and related definitions are used for the risk analysis.

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4 ABBREVIATIONS

Abbreviation Description
ALARP As Low As Reasonably Practicable

BRA Baseline Risk Assessment

JRA Job Risk Assessment
BTA Bow Tie Analysis
LFI Learning from Incidents process
ORMP Operational Risk Management Programme
MHSA Mine Health and Safety Act
OM Operating Model
PUE Priority Unwanted Event
RCCR Risk and Critical Control Register
SOP Safe Operating Procedure
TARP Trigger Action Response Plan
WED Work Execution Document
WRAC Workplace Risk Assessment and Control (WRAC) method.

5 IMPLEMENTATION RESPONSIBILITY OF ORMP

The legal appointee is the person who must ensure that this Procedure is implemented in his\her area of
responsibility.

General Manager:
• Manage the overall risk management process at Sishen Mine.
• Ensure that the Anglo-American Operational Risk Management Programme and this procedure are
implemented effectively across the mine.
• Ensure that sufficient resources are available to deliver the ORMP effectively.
• Nominate a suitable employee and assign the responsibilities of the site Operational Risk Manager
to him\her.
• Ensures a risk management plan is developed and actioned to ensure execution of the ORMP.
• Ensure that a Baseline or Full Site Risk Assessment is completed and remains current.
• Ensure an up-to-date Risk and Critical Control Register is maintained.
• Review the performance of critical controls using defined performance indicators.
• Review priority unwanted events for the operation with the Operational Risk Assessment (ORA)
Audit
The General Manager is the ultimate owner of the Baseline Risk Assessment.

Heads of Department:
• Manage the risk management process within their respective departments.
• Ensure that risk is effectively managed in their departments in line with the operational risk management
programme.
• Participate in the baseline risk assessment process.
• Lead relevant issue-based risk assessments, when required or delegates it to a responsible Section
Manager.
• Monitor and follow up on performance indicators required to assess the effectiveness of controls (critical
control monitoring).
• Manage risk control programmes to improve the effectiveness of current controls to further reduce risk
(improvement actions identified during bowtie risk assessment compilation/review).

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• Ensure appropriate resources are provided to manage risk effectively in the department and delegate
responsibility to suitably competent persons.
The HODs are the owners of the relevant issue-based risk assessments.

First Line Managers/Supervisors

• Facilitate Job Risk Analysis (JRA) (task-based risk assessment) for identified high risk tasks (JRA)
• Sign off the Job Risk Analyses (JRAs) completed.
• Communicate details of the resultant hazards and required controls to work team members.
• Ensure that identified control measures are implemented to effectively manage the level of risk.
• Communicate identified control improvements or new controls to the correct authority level for action.
• Provide the necessary resources and facilities to identify, evaluate, communicate and manage task
related risks.
• Participate in relevant Issue based risk assessments as and when required
The line manager/supervisor is the ultimate owner of the relevant Task-Based risk assessments.

Employees:
• Identify, understand and report potential hazards and associated risks in the workplace
• Implement risk controls documented in procedures and controls determined in JRAs and SLAM risk
assessment
• Comply with all policies, procedures and JRAs to effectively manage the risks in their workplace
• Carry out, individually or in work teams, SLAM risk assessments before starting any task, when any
change in risk status is observed or before change is implemented
• Sign off SLAM risk assessments to indicate their participation
• Exercise their legal right to withdraw from dangerous working places should they identify hazards that
are not adequately controlled and report this to their SHE Representative
Every employee is the owner of the SLAM risk assessments done by them.

Operational Risk Manager:

These responsibilities are currently carried out by the Section Manager SHE Risk of Sishen Mine.
• Oversee the day-to-day implementation of the Sishen ORMP implementation plan.
• Maintain the integrated operational baseline risk assessment.
• Assist managers at all levels to keep their risk assessments up to date and live and manage the
risks identified effectively.
• Maintain the RCCR information by updating Enablon with revised/new bowtie risk assessments to
enable a risk and critical control register to be automatically generated on Enablon, covering all
priority unwanted events as per schedule.
• Assist management in communicating priority unwanted events and critical controls to all relevant
employees so that they understand them.
• Produce required reports for the Sishen Leadership Team (SLT).
• Implement a records management system for all documentation relating to the ORMP.
• Ensure that effective training in risk management (A1-A3) and facilitation of risk assessments is
provided as required by competent trainers and achieves the objective of competent personnel.
• Keep this procedure up to date and communicate changes to affected parties

SHEQ professionals:
• Monitor their areas of responsibility to ensure that risk controls are in place and effective.
• Support and advise line personnel on matters relating to risk management.
• The Environmental Section Manager keeps updated registers for environmental risks, opportunities,
and needs and expectations.

6 EXECUTION OF PROCESS
At Sishen Mine, risk assessments will be undertaken per the Anglo-American Operational Risk
Management Programme. This process is summarised in the flow chart below:

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Establish context
and scope

Understand
the hazards

Communicate Identify the Monitor & review

and consult unwanted events Look for changes

Analyse and
evaluate risks

Consider the
controls / barriers

Treat the risks

using hierarchy of
controls

Integrated Risk Management:

6.1.1 Establish the context

A risk assessment shall be performed in a well-defined context, referring to the internal and external
dependencies and environments, as well as to the risk management process itself.

6.1.2 Risk Identification

Risk identification refers to the process of identifying risks against a pre-defined set of business objectives.
Input into the risk identification process shall take into consideration the context, previous risk
assessments, incidents and the findings of audits performed on the respective operations/sites.

6.1.3 Risk Analysis

Risk analysis shall be performed to consider the root causes and contributing factors to the risk, as well
as all possible potential consequences of the risk. A risk event can have multiple consequences which can
affect multiple business objectives.
The level of detail with which risk is analysed may vary depending on the objective of the risk assessment,
nature of the risks identified, and the materiality of the risk and whether more detailed risk analysis is
required. Examples of such techniques include, but are not limited to, Fault tree Analysis, Bow tie or
Quantitative Risk Assessment techniques.

6.1.4 Risk Evaluation

Risk evaluation shall be based upon a combination of the consequence and the likelihood of it occurring.
Risks may have multiple consequences of differing types. For risk evaluation purposes, where a risk has
more than one consequence type then each type shall be shown in the register.
Current controls shall be identified, and their effectiveness considered when evaluating risk. Risk treatment
actions, which by their nature can only be effective in the future, shall not be taken into consideration when
assigning current risk ratings.

6.1.5 Risk Treatment

Risk treatment shall be taken to reduce risk factors to a level as low as is reasonably achievable or as
accepted by management. In determining controls consideration shall be given to reducing the risk
according to the following hierarchy, elimination, substitution, engineering, separation, administrative, and
personal protective equipment.

6.1.6 Monitoring and Review

The primary use of the Risk and Control register shall be to monitor the management of risk. Risks and
Control Registers shall be updated on the completion of risk treatment actions. The status of risk treatment
actions should be tracked and reported on to reflect progress and decisions made.
Risk and Control Registers shall provide input into assurance planning for risk-based audits across the
group by either internal and specialist audits and/or external auditors.
The person accountable for risk management shall demonstrate that intervention has been taken to ensure
that risks and associated controls are effectively managed on an ongoing basis.

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6.1.7 Communicate and consult

The results of risk assessment processes shall be fully communicated to all relevant personnel and
considered when establishing training, awareness and competency requirements.

6.2 Identification of Hazards

An energy approach is used to identify hazards. The purpose of the checklist is to aid the identification
of all hazards associated with the site’s activities

GENERIC ENERGY HAZARDS

Hazard / Aspect Definition
Biological Potential for positive or negative impacts resulting from interaction of activities w ith biological agents. This could be harm by exposure to biological hazards, flora and fauna including insect
stings, bites, bacteria and other disease agents, viruses and natural poisons or environmental harm to biodiversity.
Chemical Potential for harm by chemicals. Includes acids, alkalis, organic substances (eg. gases, fuels, lubes, degreasers, solvents, paints), ozone depleting substances etc.
Climatic/ Natural Events Potential for harm by exposure to extreme natural , environmental or climatic sources and events (incl. lightening, high w inds, flooding)
Confined Spaces Potential for harm resulting from suffication due to w orking in/being trapped in a confined space.
Dust / Inhalable particulates Potential for harm by exposure to fine dry particles of matter in the air. Dusts, mists, vapours and aerosols (coal dust, silica dust or environmental nuisance/community complaints)
Electrical Potential for harm to people, equipment/assets or the environment by exposure to electrical sources
Ergonomics Potential for exposure to physical actions or forces, including poor design, thus presenting the potential for harm associated w ith exertion, excessive, unnatural or repetitive movement, poor
posture or other undesired physical stress on the human body
Explosives Potential for harm by exposure to explosive materials (e.g. unexploded detonators, tie dow n lines etc.)
External Threats Potential for harm resulting from an external event outside of the operations direct control (e.g. legislation, government actions, community lobby groups, etc.)
Fire Potential for harm by exposure to a burning mass of material (e.g. building fires, spontaneous combustion)
Gravitational (Objects) Potential for harm by exposure to falling objects, unexpected movement (ground, slope, structures) due to uncontrolled gravitational forces
Gravitational (People) Potential for harm to people caused by their being subject to falling, unexpected movement or in any other w ay resulting from their being exposed to uncontrolled gravitational forces (incl. slips,
trips, falls)
Land Potential harm on the naturally occurring environment due to the use or management of land resulting from pollution, clearance or any other degradation
Lighting Potential for harm resulting from excess light or inadequate lighting in the w orkplace
Mechanical (Fixed) Potential for harm by exposure to interaction w ith sources of fixed mechanical energy (including those pow ered be electrical, hydraulic, pneumatic, combustion etc)
Mechanical (Mobile) Potential for harm by exposure to interaction w ith sources of mobile (self propelled) mechanical energy (including those pow ered be electrical, hydraulic, pneumatic, combustion etc)
Magnetic Potential for harm to people, equipment/assets or the environment by exposure to magnetic sources (incl. handling metal objects in strong magnetic fields)
Noise Potential for harm by exposure to sudden or prolonged exposure to excessive noise or community complaints
Personal / Behaviour Potential for harm associated w ith intentional undesired behavioural actions, stresses or stressors
Pressure / Explosions Potential for harm by exposure to sudden release of pressure from a specific source (incl. pressure w aves from explosions, pressurised systems, cylinders, springs, chains, flying bits, or
community complaints associated w ith air blast overpressure etc)
Psychological Potential for harm associated w ith stressors from situations, conditions or events that could create negative emotional, cognitive or behavioural outcomes
Radiation Potential for harm by exposure to radiation w aves w hether natural or manufactured sources (characterised as either ionising or non-ionising sources)
Social/ Cultural Potential for positive or negative impacts resulting from interaction of business' activities w ith social or cultural expectations includes social license to operate
Thermal Potential for harm by exposure to or variations in temperature (hot or cold) but excludes anything that is on fire w hich has a separate category
Vibration Potential for harm resulting from prolonged exposures to excessive vibration or blast vibration
Waste Potential for harm caused by the inappropriate use of resources, inadequate management or disposal of w aste material (includes pollution and Green House Gases)
Water Potential for harm caused by the inappropriate use of w ater resources or inappropriate management or disposal of w ater
Other Potential for harm by exposure to other hazard/aspects e.g. friction, bio-chemical

6.3 Hierarchy of Controls

The review of risk assessments should ensure that all hazards associated with all business processes
defined across the site have been included and that the current controls measures remain effective to
reduce the associated risk to ALARP.

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6.4 Effectiveness of Controls

The following should be considered in determining if a control is effective:

The above considerations should be used in conjunction with the control effectiveness matrix below, when
determining the effectiveness of controls during a Bow Tie Analysis (BTA) risk assessment:

If any of the criteria in the table above is not met, the percentage effectiveness decreases with 30%

>90% 60 - 90% 30 - 60% < 30%

PPE 3 3 3 3

Administrate 2 2 3 3

Separate 1 2 3 3

Engineer 1 2 3 3

Substitute 1 2 3 3

Eliminate 1 2 3 3

1 - Green Good Effectiveness

2 - Yellow Satisfactory, but can improve
3 - Red Inadequate, requires improvement

Example: Safe braking systems on haul trucks = 90%

Type of control - It is an Engineering control

Reliability - It is reliable, as we had no service brake failures over the last 10-15 years and we use only OEM
brakes and brake parts.
Availability - It is available, as it has a robust maintenance programme, which ranges from annual tests to
daily checks by operators and service interval checks.
Survivability - It is survivable, as there has been no incident where service brakes failed over the last 10-15
years and there is warning lights giving indications if brakes are deteriorating.

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6.5 Risk Categories

When deciding on the risk rating during baseline and issue-based risk assessments, the rating must be
considered for all 7 risk categories within the ORMP:

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7 FOUR LAYER APPROACH

7.1 Risk Management Structure:
The risk management process is structured into four interrelated layers which build an approach to
managing risk across all activities that affect the site and to support all “on site” personnel to ensure that
the management of unwanted events is planned, understood and that controls are implemented and
executed to minimise the likelihood of negative consequences and enhance the probability of positive
outcomes.

7.1.1 Layer One – Baseline Risk Management

The objective of the first layer of the Anglo-American Risk Management process is to look across an entire
operation systematically, identify the hazards, find potential unwanted events, analyse them and identify
controls and the relevant responsibilities. This information is recorded in the form of a Baseline Risk
Assessment.
Baseline Risk Assessments must be developed and applied to all existing managed operations, as well as
capital projects over the full life cycle of the project from pre-feasibility study to handover. For existing
operations, this application also includes regular review and ongoing review of the document.
In addition to the Baseline Risk Assessment, it is also necessary to produce and maintain a prioritised
profile of the organisation’s potential unwanted events. This is incorporated within the first section of the
Risk and Control Register.

7.1.2 Layer Two – Issue Based Risk Management

The objective of Layer Two of the Anglo-American Risk Management process is to address priority
unwanted events requiring detailed evaluation. This layer requires the application of risk assessment
techniques (WRACs and Bowties) that are best suited to the nature of the issue to be investigated in detail.
The Risk and Control Register includes all the information that is required to be documented under Layer
Two.

7.1.3 Layer Three – Task-Based Risk Management

The objective of Layer Three of the Anglo-American Risk Management process is to minimise the risk that
work is undertaken without adequate understanding of hazards, significant potential unwanted events and
controls that are required for employees to perform a task.
Every routine and non-routine task or deviations from tasks must be subject to appropriate risk assessment
prior to the commencement of the task.
Procedures must be in use and applied for all priority tasks. If no procedure exists, or if the procedure is
not adequate for the task at hand, the work team must use the outcome of the Job Risk Assessment (JRA)
process to develop the procedure or review the current procedure. The process entails identifying the
steps in the tasks, potential unwanted events and required controls.

7.1.4 Layer Four – Continuous Risk Management

The objective of Layer Four is to have everyone ‘stop and think’ and then proceed with a task or activity
only if safe to do so. Continuous risk assessment (e.g. SLAM) shall be used by everyone to reduce the
related risk to ALARP as well as to identify, correct and report workplace issues, including those created
by at-risk behaviour and/or unsafe conditions.
Everyone must be provided with a continuous hazard identification/risk assessment tool and be
encouraged to use the tool:
• Before they perform the task;
• During the performance of the task when a change or unexpected condition is recognised;
• At the end of the task so that the work area is safe to hand over to others.
This is based on the principle that regardless of all the design and engineering controls that may be in
place, personal hazard management starts with the individual on the job, with every task and activity that
every member of the workforce performs.
If the individual cannot establish ALARP after completing, or reviewing, a SLAM, then the task cannot be
undertaken until a layer three Risk Assessment method has been completed using a team of relevant
personnel.

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Objectives, outputs and risk methodologies:

Risk
Objective Output
Methodology
A broad, mine-wide risk • Process map Baseline Modified
LAYER 1 assessment to understand the • Hazard inventory WRAC Risk Assessment
BASELINE RISK risk profile of the mine by • Baseline Risk Assessment
MANAGEMENT looking at hazards and • PUEs (consequence level 4 & 5 on
associated risks that impacts risk matrix)
the workplace and the • Risk and Critical Control Register
community in which we mine. (Section 1- PUE info)
And to establish their priorities.

To conduct detailed analysis of • Detailed issue-based risk • Bowtie Analysis

LAYER 2 PUEs, establish the assessments Risk Assessment
ISSUE-BASED RISK effectiveness of the controls, • Critical Controls • WRAC Risk
MANAGEMENT identify the critical controls and • Risk and Critical Control Register: Assessment
define detailed control regimes ▪ (Section 2-Current Controls)
to manage the high and major ▪ (Section 3-Critical Controls)
risks identified in the Baseline. ▪ (Section 4 Improvement
Actions)

To ensure the hazards and • Job Risk Analysis (JRAs) Job Risk Analysis (JRA)
LAYER 3 controls of tasks being • Procedures for high risk tasks Risk Assessment
TASK-BASED RISK conducted are understood by • Planned Task Observations (PTOs)
MANAGEMENT employees and procedures • Training material aligned to risk
developed for it or reviewed if assessments and procedures
required

To have everyone ‘stop, think & Task completion through effective control SLAM (Stop, Look,
proceed with a task only if it is execution by competent and fit workforce, Assess, Manage) Risk
‘safe’ to do so. Key focus is on using fit for purpose equipment and Assessment
LAYER 4 control execution and to identify managing the day to cay changes in the
CONTINUOUS RISK the changes in the working work environment
MANAGEMENT environment.

Ownership, facilitation and team member composition:

Accountable Facilitator of Risk Team members required for

person/s Assessment risk assessment

Sishen Leadership team External Facilitator or • Section Managers - Engineering

LAYER 1 (SLT\HODs) person/s experienced in • Section Managers - Production
BASELINE RISK MANAGEMENT facilitation of Baseline • Risk Specialist
WRAC • SHE Specialists

Section Managers External Facilitator or • Section Managers - Engineering

LAYER 2 person/s experienced • Section Managers - Production
ISSUE-BASED RISK internally on facilitation • Mine, Production & Engineering
MANAGEMENT of WRAC and Bow Ties Overseers
• Risk Specialist
• SHE Specialists

Supervisor Supervisor/Foreman • Work Teams

LAYER 3 (operators/artisan &
TASK-BASED RISK MANAGEMENT others)
• Sectional SHE Reps

LAYER 4
CONTINUOUS RISK MANAGEMENT All employees Team Leader Individual or team

Triggers and frequency for conducting and reviewing risk assessments:

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Risk Triggers to conduct Triggers for Review Review

Assessment risk assessment frequency
Type

LAYER 1 • Baseline Risk • Absence of BRA as • Incorporation of significant changes to processes • Reviewed
BASELINE RISK Assessment required by MHSA and • Introduction of new mining methods every 3
MANAGEMENT Anglo ORMP. • Outcomes of learning from incidents investigation years
• Changes that will affect the current risk profile • Reviewed as
• Introduction of a new PUE’s or hazards. required by
• Upon realization that the risk profile was under- triggers
estimated as identified by lower levels of operation.

• Issue-Based • Conducted following Bow Tie Analysis • Reviewed

Risk completion of baseline; • When new PUEs have been identified every 3
Assessment • To be done for PUE’s • When significant changes is identified in Layer 1 & years
(Bow-Tie, identified in baseline. 3. • Reviewed as
LAYER 2 WRAC) • When changes occur in effectiveness rating of required by
ISSUE-BASED controls. triggers
RISK • When introducing a new control.
MANAGEMENT • If outcomes of learning from incidents investigation
requires a review
WRAC
• Uncertainty with magnitude of hazard or controls.
• Significant changes to a process
• Incorporation of significant changes to processes
• Introduction of new mining methods
• Outcomes of learning from incidents investigation
• Changes that will affect the current risk profile
• Introduction of a new PUE’s or hazards.
• Upon realization that the risk profile was under-
estimated as identified by lower levels of operation

LAYER 3 • JRA • JRAs must be done on • If outcomes of learning from incidents investigation • Reviewed
TASK-BASED all identified high-risk requires a review every 3
RISK tasks and can be done • Introduction of a new PUE’s or hazards related to years
MANAGEMENT on tasks that are not tasks being performed. • As required
high risk • When procedures are reviewed by triggers to
• However, high risk review
tasks must be prioritized SOP’s
with the compilation
and/or review of JRAs
(JRAs to be completed
on these ones first)
• Also, to be done on task
required for the
management of critical
controls e.g. Brake
Maintenance
• To be done for all new
LAYER 4 tasks
CONTINUOUS
RISK • SLAM • For all tasks, excluding • When changes in the work place / equipment / • Done before,
MANAGEMENT admin tasks in an office people process occur during task execution. during and
environment. after each
task

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8. PROCEDURE

8.1 BASELINE RISK MANAGEMENT PROCESS

Preparation
In preparation for the baseline risk assessment, senior technical personnel, assisted by the SHE
department, should compile useful hazard, unwanted event, and control information from other sources of
information, including, where relevant:
• Hazards identified/referenced in legislation
• Anglo Group of Companies incident history
• Supplier or OEM risk assessments
• Industry and local area information from industry and regulatory authorities
Baseline risk assessment must be conducted by an External Facilitator or person/s experienced and
trained in the facilitation of Baseline WRAC as per the Anglo-American Risk Management Process, with
guidance provided on the Ownership, facilitation, and team member composition table in the procedure.
The correct templates must be used to conduct a Baseline WRAC and can be obtained from the Section
Manager SHE Risk.

8.2 ISSUE-BASED RISK MANAGEMENT PROCESS

8.2.1 Conducting A Bow Tie Analysis Risk Assessment

Bow Tie Analysis risk assessments must be conducted on the Bow Tie XP programme with the
Anglo template. Only persons who are approved by Anglo to facilitate BTAs or persons who have
undergone the Bow Tie Analysis risk assessment training may conduct a Bow Tie Analysis Risk
Assessment, with guidance provided on the Ownership, facilitation, and team member
composition table in the procedure. Changes to a Bow Tie Analysis must be done through the
Sishen Mine Section Manager SHE Risk.

8.2.2 Conducting a Process/Activity or Life Cycle WRAC

A Process/Activity or Life Cycle WRAC risk assessment must be conducted on the Issue-based
WRAC template. Only persons who are External Facilitators or experienced in facilitating
Process/Activity or Life Cycle WRACs or persons who have undergone the Life Cycle WRAC risk
assessment training may conduct a Process/Activity or Life Cycle Risk Assessment, with guidance
provided on the Ownership, facilitation, and team member composition table in the procedure.

8.3 CRITICAL CONTROL MANAGEMENT

The aim of critical control management is to ensure the integrity of the critical controls identified in Bow
Tie Analysis risk assessments are intact and that the critical control is performing at a high level of
effectiveness, as failure in these critical controls can directly lead to the PUEs identified in the Baseline.

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Ownership at the correct level:

STEP Action and Explanatory notes

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Once the Bow Tie Analysis (BTA) risk assessment has been signed off, the Risk
Confirm the critical
1 Owner (person who signed BTA) must confirm the critical control owners of each
control owners
critical control in each BTA with the Section Manager SHE Risk

The Section Manager SHE Risk must liaise with the critical control owners to
identify the monitoring activity name per critical control and obtain description of
the monitoring activity. In the description it must be included what the purpose is
Identify the monitoring
of the critical control and how verification\monitoring needs to be conducted. For
2 activity name and
example, if “Monitor integrity of safe braking systems” is the monitoring activity
description
name and the name of the critical control is “Safe Braking System”, the
description can be as follows: The purpose of the critical control is “To ensure
brake systems are performing optimally and is available in an emergency”

The Section Manager SHE Risk must liaise with the critical control owners who
needs to decide on the frequency of the monitoring activity and who needs to
Determine frequency of
assign the person responsible to conduct the monitoring activity for each of the
monitoring and assign
3 critical controls. In the example above the Engineering Manager can be the
persons responsible for
critical control owner and the Section Engineering Manager can be the person
monitoring
responsible for doing the monitoring and typical frequency in that example can be
monthly.
The critical control owners in liaison with the Section Manager SHE Risk need to
develop the criteria against which the critical control performance needs to be
verified. It is important to ensure the sample size during verification/monitoring
and parameters which will determine when the control have failed is adequate
and clear to ensure a true reflection of the critical control’s performance.
Establish the monitoring In the example used of monitoring activity to “Monitor integrity of safe braking
activity systems”, typical monitoring criteria can for example be as follows:
criteria/Verification
4 criteria (Questions used 1) Was the efficiency of the service brake system verified by an annual
to verify the physical test?
performance of the 2) Was brake maintenance schedule complied with?
critical control) 3) Were only OEM parts or OEM approved parts used during repair brakes?
4) Was alteration to the original brake system configuration approved in
writing by the appointed Engineer?
5) Were pre-shift brakes tests conducted by operators of TMM and recorded
on pre-shift inspections?

Inform persons The critical control owner must inform the persons responsible that they have
5 responsible for been assigned to conduct the critical control monitoring activity and explain the
monitoring process and his\her responsibilities in respect thereof to him/her.
Load monitoring regime
(aforementioned The Section Manager SHE Risk must load the monitoring regime for each control
6
information) within a BTA onto Enablon
On Enablon

Once the monitoring activities have been loaded on Enablon, the persons
Notification of responsible for the monitoring will receive and e-mail notification reminding them
7
monitoring activity to complete the monitoring activity. The e-mail will contain a link that will take the
responsible person to the checklist that contains the verification criteria.

The person responsible will verify the performance of the critical control against the
critical control verification criteria. Some verification will be systems check and
may or may not include physical observation in the workplace.
Conducting monitoring
8
activity If any of the answers to the critical control monitoring criteria is “no” for more than
90% of the sample size taken, the control must be failed. Sample size is
determined by, for example, the number of equipment pieces sampled divided by
12, to ensure all equipment is covered over a period of a year.

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The person responsible will record his\her findings on the checklist in Enablon and
save it. The system will route it to the critical control owner who will validate it on
Record findings of
9 Enablon. The person/s conducting the critical control monitoring must submit proof
monitoring activity
of monitoring in accordance with questions on the critical control monitoring
checklist on Enablon
If a failed critical control was identified during the monitoring, the Enablon risk
Creating an action
management system will prompt the person responsible for the monitoring to
10 when there is a failed
initiate an action to address the failure in the critical control. That action must be
control
logged and given a completion date and a responsible person.

Once the monitoring regimes have been loaded and the responsible persons have
Tracking of
commenced monitoring activities, the Section Manager SHE Risk will communicate
11 performance of critical
the performance of the critical controls against monitoring activities to the Manager
controls
SHE & PS to share with the Sishen Leadership Team.

8.4 TRIGGER ACTION RESPONSE PLAN (TARP)

TARPS (trigger action response plans) can be drawn up for selected hazards that can be measured and
that require specific actions at certain trigger values (e.g., working relative to slopes that can collapse).

The TARP is a response plan that dictates human behavior and actions at various levels in the
organization when triggered. The plan is triggered when continuous monitoring indicates that a major
unwanted event is likely starting (e.g. radar detects movement).

The triggers and actions are determined under normal circumstances, to reduce the need for critical
decisions under stress when a major unwanted event is imminent

8.5 TASK-BASED RISK MANAGEMENT PROCESS (JOB RISK

ASSESSMENT)

Step Action and Explanatory Notes

1 Compile Task The direct line manager of the Supervisors/Foremen must coordinate the completion
list form of the Task List Form in liaison with the Supervisors/Foremen reporting to him\her of
all the tasks that are currently being performed in their area of responsibility:
Step 1 – List all the tasks
Step 2 – Identify which of the PUEs in the Baseline are associated with each task
(Filter the baseline risk assessment to see which PUEs identified in the baseline
WRAC for the business area and process applicable to the tasks being performed.
For example, if you are operating a haul truck in the pit, you will filter the baseline
WRAC according to the pit mining business area and the load and haul process map).
Step 3 – Complete the risk rating of the associated PUE in the baselines on the task
list form
Step 4 – Prioritize the tasks on which JRAs needs to be performed first by looking at
the risk severity and the frequency of the task and whether there is an existing
procedure or not. If there is no procedure, and the JRA is associated with PUEs, the
JRA also need to be prioritised.

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Step Action and Explanatory Notes

2 Determine if The direct line manager of the Supervisors/Foremen to contact the SHE Risk Advisor
Similar JRA of Sishen Mine to determine if similar JRA’s have been conducted. If so, determine if
are already it is applicable and if it can be adopted as is. If not, commence with conducting JRA.
developed
3 Preparation a) Supervisor/Foreman facilitating the JRA to go through the Baseline risk
before assessment to see which hazards and controls were identified in relation to the
conducting PUEs listed to ensure the JRA is inclusive of these. Filter the baseline under
JRA your Business Area and Process/Activity and then according to PUE column

b) The Supervisor who is going to facilitate the JRA, must prepare for the
compilation or review of the JRA by identifying the current, relevant procedures
applicable to the task, reading through the procedure and confirming the risk
assessment team member’s understanding of content of procedure, before
commencing with the JRA.
4 Develop the Follow steps listed below:
Job Risk a) Discuss the nature of the task to be undertaken so the team understands
Assessment the objective and the scope. Consider the following when defining the
(JRA) scope - First & last step of the task [e.g., if it is a task within other tasks
associated with it, which task steps are included or excluded]; objective of
the risk assessment [e.g. is the task routine or non-routine]; boundaries
[which equipment and geographical areas are covered], is it focused on a
specific steps of a specific group of employees performing the task [e.g. is it
only the task steps of the Fitter or Rigger when for example changing a belt];
which risks are looked at (e.g. only Safety, Health and Environmental and
no other risks like legal and regulatory or all 7 risk categories); etc.
b) Record the relevant procedures applicable to the task. There must be no
reference to, for example, COPs, forms, etc. Only relevant procedures.
c) List the equipment and tools that are going to be used during the task.
d) Discuss the hazards that may cause harm/ impact in the task and use the
generic hazards list referred to in this procedure as guideline.
e) Using the JRA/PTO template, define and record the first Task Step
f) Identify the unwanted events associated with that step; consider unwanted
energy releases, exposures, loss of control and potential human error; You

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can also refer to the unwanted events listed in the baseline as guidance to
ensure all unwanted events are identified.
g) The Environmental guideline for JRA (on Waypoint), must be considered to
ensure the correct identification of environmental aspects and impacts
associated with the task.
h) Establish the controls to be used (planned and possibly new additions from
the team) to prevent or mitigate the unwanted event, keeping in mind
requirements such as legislation, site standards, specifications and
procedures, Anglo American Group Technical Standards and the
Manufacturer’s controls, as prescribed in OEM manuals.
i) Also refer to the preventative controls referred in the Baseline as guidance
to ensure all preventative controls are identified; When stating controls in
JRAs make sure it gives clear simple guidance to the employee on what is
expected of him or her to execute the task step safely. For example, do not
say “Follow TMM COP” where the unwanted event is slipping from stairway
on TMM. Rather say for example “Adhere to three-point contact rule, when
ascending and descending TMM and make sure you observe the area for
slippery areas or tripping hazards.
j) Repeat steps a) to e) for each task step until the task steps have all been
discussed.
5 Test Before closing the JRA discussions, the Supervisor who facilitated the JRA must
understanding ensure that everyone understands the method, equipment and work environment
requirements.
6 Facilitator The facilitator that conducted the risk assessment signs off on the risk assessment
Sign-off JRA

7 Team signs off Record attendance of the discussion and ensure team members who participated in
JRA the compilation of the JRA, sign off on the risk assessment.

8 Obtain The Supervisor submits the JRA to his\her immediate line manager for approval and
Approval of sign off.
JRA
9 Communicate The new or revised Risk Assessment, in particular the critical controls that must be
new or revised in place to manage the risk, must be discussed with all relevant employees by their
JRA to the rest relevant supervisors/foremen and their sign off, confirming comprehension,
of the team acceptance and commitment to adhere to the controls. (Use the Sishen Mine
Declaration of Understanding Form for this purpose)
10 Filing of All Supervisors/Foremen who communicated the JRA, files the signed copy of the
original signed risk assessment, together with proof of communication (signed Declaration of
version of JRA Understanding Form) in his/her SHEQ file
11 Identify which In consultation with the relevant Section Manager, the Supervisor, SHE
procedures representative and employees in team, establish which procedures associated with
require review the task on which they reviewed the JRA, requires revision to align it to the revised
following JRA
review of the
JRA
12 Develop or If the JRA identified gaps in the current Standard or procedure, initiate a review of the
review existing Standard or procedure. Follow the document change management process to initiate
Procedures the drafting or review of the Standard or procedure.
If any information in an old Work Instruction is mentioned in the JRA, make sure it’s
captured in the Procedure/s and/or Standard/s related to that JRA/PTO. Also do a
search on old Work Instructions and complete a document change management form
to request for the Work Instruction to be archived. Outdated or archived Work
Instructions must be removed from SHEQ files.
Once the revised procedure/s or standard/s are signed off, it must be communicated
and will be available on Waypoint. Copies of the latest version on Waypoint of the

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JRA and relevant Standard/s or Procedure/s are to be kept in the section’s SHEQ
Files, and be accessible to all relevant employees where work is done.

13 Approval of The Supervisor, who facilitated the JRA, submits the signed JRA to the Sishen SHE
JRA for Risk Advisor. The SHE Risk Advisor reviews the JRA to confirm if the correct PUEs
development and critical controls are identified for the task, the scope is adequately defined, and
of WED all hazards associated with the equipment listed are addressed in the JRA. The
SHE Risk Advisor will use the current procedures referred to in the JRA to
determine if relevant task steps were listed in the JRA. Any corrections required will
be discussed by the SHE Risk Advisor with the relevant Supervisor.
14 Compiling Once the JRA has been approved by all relevant parties, the JRA is loaded on
WED Enablon and a WED created on Enablon.

15 Using WED The Planners in the sections where the Operating Model has been implemented, will
during OM pull the WED from the WED application and attach it to the Job Cards and distribute
Work it to the teams as per their normal routine. When the WED is completed and
Execution returned, the OM ORM Specialist scans it in and analyses the data from it for further
improvement of the task
Capture on The Sishen SHE Risk Advisor, registers the JRA on Waypoint (the Sishen Mine
Waypoint document management system).

8.6 PLANNED TASK OBSERVATION (PTO)

Supervisors and/or trained observers are to carry out task observations for high risk tasks to
ensure that employees are working according to the procedures and the JRA. The JRA
template allows for PTOs to be conducted using the JRA template.

Step Action and Explanatory Notes

1 Identify the High-risk tasks are those tasks that are associated with PUEs, as was identified in the
high-risk task listing that formed part of the JRA process described above. Use the JRA task list
tasks form (SHEQ-SISHEN –FORM-276.
2 Draw up a Each Supervisor must draw up a schedule for conducting PTOs with his sub-ordinate
schedule team members. Schedule must be signed off by the Supervisor and agreed to and
signed by the 2.6.1 appointee. When compiling the schedule, the following must be
indicated on the schedule:
• The names and surnames of all team members;
• All high-risk tasks applicable to the team members;
• The date on which the Supervisor plans to do the PTO and the date the PTO
was actually done. For example:
Name Task 1 Task 1
Date PTO Date PTO Date PTO Date PTO
scheduled conducted scheduled conducted
Employee1 5 Jan 2016 5 Jan 2016 20 Jan 2016 25 Jan 2016
Employee 2 7 Feb 2016 14 Feb 2016 28 Feb 2016 20 Feb 2016
Employee 3 10 Mar 2016 6 Mar 2016 31 Mar 2016 16 Mar 2016
The schedule must be displayed on the Supervisor’s notice board and kept up to date.
It is not critical to keep to the exact dates on the schedule, as long as the schedule is up
to date or ahead of schedule, but not behind schedule.
3 Determining When determining the dates for the schedule, it must be borne in mind that each
the Supervisor is required to conduct PTOs on all high-risk tasks per annum and not less
frequency of than 4 per annum per person.
the PTOs to

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be For example, if a supervisor has 12 team members and 12 high-risk tasks, he should
conducted have performed 12 x 12 PTOs per annum, which equates to 144 PTOs per annum,
which is equal to 12 PTOs per month. This calculation is provided each team member
is involved in all tasks. Some team members will not be involved in all tasks of the
team.
It must also be borne in mind that all Supervisors do not have that many high-risk tasks.
Some only have, for example, 3 high-risk tasks, but 25 team members, so for that
supervisor, it will be 25 x 3 PTOs per annum, which equates to 75 PTOs per annum,
which equates to 6 PTOs per month.
Furthermore, it must be noted that tasks are often performed in teams and it is possible
for the Supervisor to observe more than 1 person on a PTO. The JRA/PTO template
allows for up to 3 persons to be observed on a task at once.
4 Conducting Print the applicable electronic JRA/PTO or make a copy of the signed JRA/PTO and
the PTO complete the PTO part of the JRA/PTO by observing the employee/s performing the
task. Engage with the employee and provide feedback to the employee on his\her
performance in respect of the execution of the task, in relation to the risks.
If you printed the electronic JRA/PTO, do not complete any fields like the sign off fields
relevant to the JRA section of the JRA/PTO. Only complete the PTO part of the
JRA/PTO.
Ask for the SLAM conducted by the employee for the task and review the SLAM to
verify if the hazards, unwanted events and controls are aligned to the JRA/PTO and if
the employee has a good appreciation of the hazards associated with the task and a
good understanding of the controls required to ensure he\she performs the task safely.
5 Deviations Where the Supervisor identifies during the PTO that the employee is not complying with
from the the procedure or performed the task unsafely, the Supervisor must record the
SOP deviations found on the PTO/JRA template in the PTO remarks/comments column and
record the appropriate corrective actions required and get sign-off on these from the
responsible person. Typical corrective actions could be coaching, changing the task,
changing the tools/equipment or retrain the employee.
The Supervisor must follow up on the action close out to ensure all actions identified
have been closed out and indicate it on the completed PTO.
6 Sign-off of Once the PTO is completed, the Supervisor conducting the PTO and the employees
the PTOs who were observed, must sign off the PTO, but not in the JRA section of the JRA/PTO,
only in the PTO section of the JRA/PTO.
7 Filing of Once the PTO has been signed off, the Supervisor needs to file the PTO in his\her
PTOs SHEQ files. PTOs conducted to conclude the training programme of an
employee shall be kept with the Training Department as part of training
documentation.
8 Record Supervisor to keep record of the current year’s PTOs as well as the preceding year’s
Keeping PTOs.

To ensure PTOs are also done on managers, managers can do peer on peer observations using the
JRA\PTO for managerial tasks. It may also include a PTO for driving an LDV. This can be done on a bi-
annual basis.

8.7 SLAM RISK MANAGEMENT PROCESS

Only the SLAM booklet available at the Sishen Stores as a stock item, may be used for conducting the
SLAM and the SLAM form on Waypoint. Pages may not be torn from the booklet.

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Step Action and Explanatory Notes

1 Follow the Follow the SLAM Process:

SLAM Stop the commencement of the task at before starting;
process
Look at the work area and activity to identify potentially unsafe acts, conditions, and
interactions;
Assess the level of risk and whether any risks have changed, have been added, or
require additional controls.
Manage - Proceed only if all risks are adequately addressed, Stop and report if risk
cannot be addressed
Identify the Establish the hazards or energies in the task or work process. Use the generic hazard
hazards list as a guideline.

Identify the Identify potential unwanted incidents considering relevant hazards. Understand the
unwanted difference between risk and unwanted events. Risks are the consequence of the
events unwanted event. For example, Collision between TMM is the unwanted event and the
potential of a fatal injury is the risk.
Identify the For priority unwanted events, consider whether the current controls are adequate
controls considering skills, knowledge, available methods, equipment and the surrounding
applicable environment. Keep the controls in mind that were identified in the JRA.
Commence task if controls are adequate. If controls cannot adequately manage the
risk, report to supervisor so that a JRA can be reviewed.
Change When the task changes whilst in the process of conducting the task, for example a
management new member is brought into the task or a change in the steps or change in equipment,
etc., then the SLAM must be reviewed and amended to incorporate the change in the
task. The entire team who formed part of the SLAM needs to be called together and
the change must be communicated by the team leader of the SLAM.
Review Supervisor is to review completed SLAMs periodically whilst conducting PTOs on
Completed tasks and during VFLs to:
SLAM 1. Check and improve the quality of SLAM
2. Identify Hazards, Risks that may need to be elevated to next level of
management

Legal right in terms of section 23 of the Mines Health and Safety Act

Every employee has the legal right in terms of section 23 of the MHSA to refuse to do work that they
believe to poses a serious threat to their health or safety.

Refer to the Sishen COP for Right to refuse dangerous work and leave an unsafe working place.

9 COMPETENCIES
All operational personnel shall have attended the appropriate level of Anglo Operational Risk Management
Process (ORMP) training.
The four levels of risk management training are:

• A1.2 – All employees and contractors on site (excluding Supervisors and Managers)
• A2 – Supervisory personnel working in operational areas.
• A3 – Section Managers and HODs.
• A4 – General Manager.
10 REVIEW CRITERIA
This document shall be reviewed as follows:
• At least every 2 years;

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• When there is a change of method and/or technology and/or legal or other requirement that may affect
the accuracy of this document;
• When operational changes occur that affects the currency of documents;
• When there has been a significant event to which this document was relevant;
• Because of relevant audit findings

Compliance with the requirements of this procedure will be verified through internal and external reviews,
including ad hoc operational systems assessments and risk audits undertaken by Anglo American S&SD
Assurance

11 GENERAL AND OTHER

All relevant management system elements should be updated whenever controls are added or changed
e.g. COPs, procedures, standards, training material, planned task observations, maintenance schedules,
pre-shift and other inspection schedules, roles and responsibilities, audit protocols, contractor
requirements, objectives, targets and management programmes and improvement plans.

Controls should be prioritized if addressing hazards that are associated with priority unwanted events, e.g.
for equipment associated with PUE such as TMM, more regular maintenance and pre-shift inspections
with critical defects defined.

After any risk assessment is completed the changes or revisions are to be communicated to the relevant
workers (contractor and employee) and relevant training personnel if revision of training material was
identified.

Significant risk information should inform the development of objectives and targets at the mine.

Potential emergency scenarios are identified from the various risk assessments, e.g. baseline, and
emergency plans are developed to manage such emergencies and controls tested through emergency
drills. (Refer to Emergency COP and associated documents)

12 REVISION HISTORY
Version No. Reason for Change Date
00
01 Revised 2004-10-22
02 Revised 2006-07-17
03 Revised 2009-01-31
04 Revised 2010-07-13
05 Revised 2012-09-01
06 Revised 2013-10-01
07 Revised 2014-03-01
08 Revised 2016-06-30
09 Revised 2019-04-01
10 Revise 2024-04-20

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