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5.6. Stage 5
At Stage 5, risk management is almost transparent in the defined management and engineering processes for the site. For example, mine planning includes steps related to risk assessment as a part of the defined mine planning process. Purchasing requires risk assessment as a step, based on defined risk criteria, within the purchasing process. The location of risk assessment applied with the appropriate methods and resources within key business processes achieves the objective of integration.
Unlike risk assessment, investigation remains a separate activity though investigation will involve highly participative systems that are focussed on and review any deviation that could cause or has caused significant losses to the business. Investigation becomes a learning mechanism connected to communication, competency and leadership.
At Stage 5 checking would be focussed on priorities that were evident to all concerned. Checking and auditing would be integrated into the same processes where risk assessment might be considered such as mine planning, purchasing, maintenance planning, procedure development and application, competency development etc. Third party external review of systems would assist in continual improve and provide benchmarks against other systems. The implementation process of hazard identification and risk management system is illustrated in Table 15.
Table 15 Risk Management Implementation Process
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Stage 1 |
Stage 2 |
Stage 3 |
Stage 4 |
Stage 5 |
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No risk assessment Poor investigations No auditing |
Reactive risk assessments but limited risk management Limited investigation Ad hoc auditing |
Regular risk assessments and introduction of risk management processes Causal Investigation Regular Auditing |
Proactive risk assessments and understanding of risk management Open causal investigations Targeted auditing |
Integrated risk management at all levels Proactive investigation External auditing |
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Steps to move forward |
Beginning to think about training and competency for risk management Starting to do risk assessments Starting to consider legal compliance Introducing basic accident investigation Introducing basic inspection, monitoring and auditing |
Setting effective competency and training systems for risk management Doing risk assessments more systematically and considering acceptability of risk Meeting legal compliance Defining improved accident investigation and analysis Doing planned monitoring and auditing |
Proactive competency and training approaches for risk management Proactive, systematic risk assessments considering adequacy of controls Being beyond legal compliance Openly shared outcomes of accident investigation and analysis Integrated monitoring and auditing |
Integrated training for risk management at all levels Fully integrated risk management systems Risk assessment integrated into key systems Total focus on eliminating problems before they occur Third party auditing |
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