Critical Risk Management Assessment Tool

3 - Process

Category
ID Objective
Element

San Marcos Gaps,Opportunities, and Actions

System
1.01 Risks identification All CRM critical risks and controls are identified and current. Palmani:1

Intent is that the critical risks and controls at sites are Review RR now that drilling has begun. From the Risk section of the IPMP, it appears these are missing: Vehicle
continuously reviewed to ensure that we cover them all and impact on person, Explosives?, Slope failure/Fall from height (platform D)? (PP)
that the portal includes all applicable critical risks.
Update risk map with correct icon to manage vehicle risk (Remote location transport). NS

Translate JHA, Permit to work. - in progress. BT

Clarify Permit to work requirement - daily for legal compliance (RI)

Ensure team is reviewing PFIs and Incident notifications with Critical risks during meetings (and post on CRM board) -
apply learnings to SM.

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 3 - Process

Category
ID Objective
Element

San Marcos Gaps,Opportunities, and Actions

1.02 Signage - In field visual Signage is installed, clearly visible and well maintained in all Palmani: 1
management areas where a critical risk exists.
Currently there is not a full set of icons on site in the needed sizes. PRIORITY: Get several copies of full sets made up
(signage / symbols) Intent is that all must be aware of the critical risks before in two sizes - 1 for planning (~6 x 8 cm), 1 for communicating site critical risks to workers and visitors (~ 15 x 20 cm).
getting to their work area, plus the use of visual reminders just These MUST be the current icons (from Rio Tinto Brand bank) and suggest using the ones with text to help with
before starting a critical job. understanding (if translations can be found, or done). Suggest thicker magnets (eg. 5 mil?) than the current set on site,
as they don't stick to boards. Action, order new icons - BT?
Short-term fix: laminate signs on site and use tape. - Action - NS

Be careful to use the correct icon, and don't use non-CRM icons. Eg. Vehicle Collision/Rollover is only to be used
for Heavy equipment interactions. Remote location transport and Vehicle impac on person are the appropriate
CRMs for most of our vehicle operations. Once new icons are available, communicate the correct icons to use to
everyone on site. RI

There are yellow triangle stickers on the drill rigs that are non-CRM. The Drill Supervisor (Jorge) has already approved
this: Change the signs on the generators to CRM electrical and remove the yellow triangle on the corte coriente box ...
NS.

Need a separate board with larger icons at the drill site (Bigger icons of consistent size to show "Site Critical Risks").
See photo example. They need a complete set of icons to use as activities change.

In camp: Good signage where hazard exists. Suggest Board to show Current critical risks on site (planning board) - in
progress.

Consider mobile signs for vehicle impact on person (only put up when core is delivered), Heavy equipment operation
(use Vehicle collision/rollover for this only), lifting equipment/falling objects for lifting operations. In progress.

1.03 Integration of CRM in CRM is part of regular business for the site, integrated in Palmani: 1
infocenter / lean other site systems, processes and activities.
meetings/ team boards See above. Update board with larger signs to show current critical risks on site (planning board - use this each morning
Intent is that CRM is being actively managed every day at all to review what was found the day before. (in progress)
levels of the organization.
Change focus from long term verification planning matrix to simple, flexible daily plan; incorporating daily activities (on
board) - in progress.

Give more focus to identifying reds and actions, by revising the CRM infocentre (in progress)

Introduce use of Feedback wheel (Rueda). (red/green, planned and unplanned - record on rueda). Suggest
supervisors update the wheel before the morning 5 minutos meeting, so that it is current and ready to review before
the meeting starts.

5 minutos meetings must START with CRM. Quick planning session, then on to everything else. Use the board and
icons to update CURRENT Critical risks. Follow the meeting template. In progress.

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 3 - Process

Category
ID Objective
Element

San Marcos Gaps,Opportunities, and Actions

1.04 Technology Personnel have the ability to utilize the available technology Palmani: 3
to support the program. Site provided technology and CRM
Portal are well supported at site.

Intent is that site selects the appropriate technology to

support implementation and ensure that it will always be
available with all involved capable of taking advantage of that
technology.

People
2.01 Engagement & Action Leadership engagement is paramount to CRM's expansion Palmani: 1
and success in the business. Leaders are engaged in their
communication, verifications, actions and support. Leaders - Get Jason C to do some CCVS. (RI to do this when Jason is on site, suggest focussing on entanglement
and crushing). Candice verified that JC is set up for SAR in the Portal, but he has not yet accessed the Portal.
Intent is to ensure that site leaders communicate and
demonstrated, by their actions and support, the importance of Pedro to do more CCVS.
CRM through all phases.
Ricardo to review this document and conduct CRM quality coaching with Daniel C. RI

Continue to work on meeting participation targets and focus on those who are behind in CRM metrics at SM to be
PRIMARY verifiers (Daniel C., Manuel C., Marcelo C., Steven R.

Focus verifications on unplanned, non-routine work.

Ensure daily meetings (5 minutos) lead by managers, START with CRM.

2.02 Structure Leaders are setting up to ensure CRM is a success and are Palmani: 2
supporting their teams in all phases of CRM. It is build into
the performance assessments and inductions. Covered by RTX deployment plan. (managed by Andrew E.)

Intent is that from the start and though all phases leaders Pedro to copy CRM roles from Governance model document into the IPMP. PP
ensure that proper support and conditions are deployed at
site to make CRM a success owned by operations.

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 3 - Process

Category
ID Objective
Element

San Marcos Gaps,Opportunities, and Actions

2.03 Training and
communication
CRM and critical risks and controls are well understood by all, Palmani: 2
including new employees and contractors. CRM is part or
regular communication at site. Included in camp visitor induction. Ensure that we use the CRM board to point out the site critical risks when inducting
new personnel NS - on-going.
Intent is that all, including new employees coming later in the
deployment are habilitated to conduct CRM verifications as
per requirements. While both are present in all phases, we
will move from more training at first to more communication as
we progress.

Contractor training general guidance :

Contractors engaged for work for more than one month :
- RT training.
Contractors engaged for work for less than one month :
- If less then 1 week and/or confined to specific area and/or
accompanied by RT employee all the time : part of site access /
induction presentation.
- If more than 1 week / not accompanied by RT employee :
Awareness training.

2.04 In field training /
Coaching
There is an established coaching and support process at site. Palmani: 2
Coaching is actively managed.
Candice to coach on quality and value, and seeking reds during visit and track on attendance sheet. Develop a 1 page
Intent is that all involved will be coached to ensure CRM CRM coaching guide to be used for other CRM quality coaches. CW
process is properly applied and drives culture change.
Although both could be present in all phases, we will be Suggest train quality coaches in every role level at San Marcos (PP, IR, DC, SR, Manuel, Miguel, Marcelo, Exequiel).
moving from CRM deployment team coaching to leaders
coaching their team members. Pedro to include coaching strategy in IPMP. PP

Coach drill crew to include in their site inductions (not just risks, but controls!)

2.05 Culture : Red is Good,
Stop and Seek help
The environment and coaching is fostering the culture change Palmani:1
- Red is good, and empowering workers to STOP and SEEK
Help. Numbers are improving for reds at SM. Use coaching (see above) to improve further. Ensure everyone knows that
fixed in field is still red. Revise action tracking system (changing red dots to green once action is complete), and use
Intent is that our leaders will actively seek red as it is an the rueda instead, so that we keep a visible record of red/green on site (in progress). Weekly reports to include red %.
opportunity to save a life while our workers will feel
empowered to delay the start of a job until they are
comfortable that all controls are in place and effective (or
containment ensuring their safety).

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 3 - Process

Category
ID Objective
Element

San Marcos Gaps,Opportunities, and Actions

2.06 Level of penetration All people at site are involved in CRM, especially CCC at Palmani: 1
employee level.
Drill crew to use Drilling CCC every shift and MC to include photo in Canvas report.
Intent is that our front line workers use CCC to confirm critical
controls are in place and efficient in preventing a fatality. Print (and consider laminating) Rio Tinto Standard CCC for use by workers/contractors - VCM, AK, etc. NS

Implement TBCCC for all drivers (RTX and contractors). Communicate new requirement and laminate and put TBCCC
in every vehicle. RI

Translate JHA, Permit to work. - BT, in progress.

3 - Process
3.01 Quality The verifications conducted are effective in assessing whether Palmani: 1
non-compliant controls are identified and addressed.
% red : 10% to 50%. - on track.
Intent is to capture all non compliance on all critical risks and
critical controls when critical jobs are verified and correct the Photos and comments in verifications (required for reds). Coaching on VALUE.
issues. Too few red may indicate that we are not identifying
and/or recording all non compliance, while too many may
indicate that we are not focusing on the critical risks and
controls. Additional information supplied with non-compliance
is important for future analysis of data.

3.02 Actions Actions are raised for non-compliant verifications and Palmani: 2
managed to closure.
Rueda and action board need to be kept up daily so that they are current with previous day's verifications and actions.
Intent is to ensure that non compliance are corrected in a Actions to be discussed during meetings and board maintained (WHO WILL CHAMPION THIS) ?
timely manner.
Any CCFV actions > 1 week must be put into a system (RTBS) - Bernardo? and keep on board?

Project actions (from CCFV and CCVS) to be included in a weekly report (photo of end of week rueda and action
board), and discussed in a weekly meeting. RI. The focus should be on action closure.

Forward email re: CCVS action closure rates to project personnel and remind everyone to check their portal home
page and progress their actions. RI

Coaching to include development of value-add actions (minimize # of actions) CW.

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 3 - Process

Category
ID Objective
Element

San Marcos Gaps,Opportunities, and Actions

3.03 Reports and Data Reports are used to drive improvement. Above and beyond Palmani: 2
analysis standard reports, portal data can reveal important information Suggest using a photo of la Rueda and action tracking for a weekly Project CRM report. Continue to use and review
with analysis. reports from Exequiel and others (Bernardo?) for participation and other statistics.

Intent is to make effective use of the data points and portal Candice and Ricardo to draft a weekly meeting template, including CRM CW, RI.
reports to drive proper critical risks coverage at site.
Begin a weekly project meeting including CRM. RI

3.04 Planning Plans are created and followed through all phases of CRM Palmani: 2

Intent is to use planning to drive implementation and overall Updated CRM verification planning board with a daily planning strategy, so that it is more fluid and flexible and
coverage of all critical risks and controls at site. We will be adjusted to daily changes in camp.
moving from an implementation plan to planning verifications.
Weekly review of rueda and compare to project critical risk profile. Plan CCVS for the next week using rueda; fill any
gaps or areas with lots of reds. RI

We need to plan as many CCVS as we can. Pedro's CRM Portal settings were changed to allow him to plan his own.

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 3 - Process

Category
ID Objective
Element

San Marcos Gaps,Opportunities, and Actions

3.05 Integration CRM is well integrated in business processes. Palmani: 1

Intent is to ensure that different tool integration is captured
and actioned so the use of CRM and other tools is most
efficient.
Translate and roll out new RTX documents with CRM: JHA, Permit to work. Bernardo and Fernando are working on
translation. As soon as these are finished. NS to implement on project.
Consider update of 2 Work Instructions to include CRM (not a priority; Candice has communicated with Bernardo and
Fernando).

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