Report: APP CMHS Project 4

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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

Stage 1

Stage 2

Stage 3

Stage 4

Stage 5

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

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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