Rio Tinto Projects

Appendix C-3: Critical Risk Management Programme

Requirements

October 2022

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1 Critical Risk Management (CRM) overview
a) CRM is a fatality elimination programme. CRM supplies a means to verify that critical controls
are well designed, understood, in place and working at the front line, where the Risk exists.

b) Each time a task involving one of the critical Risks (associated with the Project Risk profile) is
planned, the critical controls are checked through the completion of a checklist. The aim of
this process is to help identify and control critical Risks and eliminate fatality exposures.

c) CRM uses a layered approach with everyone completing verifications to check that critical
controls are in place and working.

d) The Company will implement a Project specific CRM programme, utilising the framework
developed by the Company, which involves all levels of Contractor Personnel and Project
team.
e) The objectives of the CRM programme are as follows:

i. to define the critical Risk exposures and embed the key principles of the CRM
programme;

ii. to provide the necessary training to Personnel for the correct application of the CRM
programme on the Project;

iii. for each project leadership team is to establish a CRM deployment team for their
project;

iv. to establish the roles and responsibilities relative to use and evaluation of the critical
control verification tools;

v. to ensure CRM is integrated into the daily pre-starts and Project rituals in alignment
with SMM (outlined in Appendix C-7);

vi. to establish the mechanisms and reporting systems for the verification of critical
controls and the monitoring and closure of performance gaps; and

vii. to manage action plans for Non-conformances identified through the verification
process.
1.1 Critical Risk examples

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2. CRM Risk Identification and Risk Management
2.1 CRM Risk Profile
a) The Contractor must monitor and adjust as required, the Site Risk profile and ensure the
relevant CRM tools are available to Project Personnel via the Forwood portal.

b) The established CRM Risk profile must form an integral part of the Risk Assessment reviews.
The CRM Risk profile must be reviewed regularly and also when any activities change within
the various project areas. or the duration of the Works the Contractor must ensure that:

i. permanent and temporary/dynamic risks are monitored, and Forwood portal is

updated as required due to the dynamic nature of the projects and Risks exposures
changing over time;

ii. inclusion of "focused" CRM programmes based on Leadership field engagement

process;

iii. the Site must review findings from PFI and Incidents, analysing possible impacts on
CRM risk profile and actions them when appropriate; and

iv. for identified CRM Risks, an appropriate level of CCVS, CCFV and CCC coverage
must be built into the execution plan for the Works.

3. CRM Training
3.1 CCC Training

Contractor Personnel must complete Company supplied CRM training prior to mobilisation to Site.
Follow-up training and knowledge verification must take place in the Workplace as soon as practicable
with workgroups.
3.2 CCFV Training

Contractor Personnel must complete Company provided CCFV training, with the target audience being
supervisors and middle management. More Site-specific training must be provided to supervisors and
middle management within two weeks of mobilisation to the Project. Training must consist of theory and
practical completion of a CCFV for a simulated job in the first session.
3.3 CCVS Training

Contractor Personnel must complete Company provided CCVS training with the target audience being
managers and above. Site specific training must be provided within two weeks of mobilisation to Site
Training must consist of theory and practical completion of a CCVS for a simulated job in the first
session.

4. CRM Champions
a) The Company and Contractor must identify suitable individuals within their organisations as
CRM Champions to support the implementation and sustainability of CRM.
b) These CRM Champions must participate and provide the Site with the subject matter expert
knowledge and support to embed the aspect of why critical controls are in place and how/why
they can help to save lives. The CRM Champions must demonstrate a commitment towards
CRM and be experienced in the critical Risk area they are championing. The CRM champions
are instrumental in standardising the application of CRM across Site whenever new Risks

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 present and/or the Risk profile changes by providing coaching to individuals or groups
involved.

5. CRM Coaching
5.1 CRM Coaching Strategy

a) CCC coaching is intended to follow up on the introductory training to ensure that the
information presented at the initial training session is applied in the field, to provide guidance
to workgroups in the field, and clarify any issues or misunderstandings with the workforce.

b) CCFV and CCVS coaching targets the quality of the verifications undertaken by the line
leaders. This includes individual coaching in the field or at the recipient’s workstation and may
also involve small groups in the field.

c) The Contractor must ensure coaches are nominated for the Project and that coaches cover
the critical CRM aspects as required, to achieve continuous improvement in the quality of
CRM verifications completed.

6. Roles and Responsibilities

General manager Owns the risk and evaluates the controls

(Contractor position) via the bowties and critical control verification
standards (CCVS)

Manager / Owns and evaluates controls

superintendent via scheduled verifications (desk-top &
(Contractor position) field) using critical control verification
standard (CCVS)

Supervisor / crew leader

Verifies controls
(Contractor position)
via regular field Verification using
checklist (in their area)

Operator / maintainer / Implements controls

contractor via field Verification using checklists each
time a task involves a critical risk (on
each shift)

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7. Pre-start meetings
7.1 Pre-start Boards
a) The Contractor must provide pre-start boards with design and layout as agreed with the
Company, for use during pre-start meetings. Supervisor/crew leader must discuss and follow
the board content with their work crews each morning, ensuring CRM is integrated into the
daily pre-starts and Project rituals in alignment with SMM expectations (Outlined in Appendix
C-7).

b) The board must be used by the Supervisor to write up the daily activities which have a critical
Risk topic, the nature of the Risk and the critical controls required to be in place. All work
crews must be given an opportunity to discuss non-compliant critical controls and raise any
concerns from the previous shift.

c) Below are examples of pre-start boards:

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7.2 Red is Good: Stop and Seek Help

a) The Contractor Personnel supervisor/crew leader must highlight non-compliant verifications

and to promote a culture where red is a chance to prevent a fatality. This follows on from
earlier shift discussion of any Non-conformance found.
b) During these discussions, the Contractor must:

i. discuss the actions that were taken;

ii. recognise good behaviours in identifying and talking about Non-conformances; and

iii. feed into celebrating CRM success stories to identify success stories which will be
communicated at pre-starts to drive positive behaviours around stopping Works.

8. Completing CRM Verifications in the Portal

8.1 Mobile App entry of verifications

CRM mobile app verification entry must be the primary choice used by Contractor Personnel when
completing CRM verifications. All managerial and supervisory Personnel are encouraged to use the
mobile app for portal entry as this ensures the latest checklists are used in during the verifications and
enables immediate upload of photo evidence at the time of the verification helping improve the data
quality captured.
8.2 Quality of verifications
a) The quality of the CRM verifications is vital to the success of the CRM programme. The
Contractor must ensure that each verification undertaken on a credible fatality Risk records in
clear detail what the missing or absent controls are and what needs to be done to correct this
(ie raise an immediate action). A fundamental concept of CRM is when a work issue is found
that work must stop until an action is put in place to correct the issue.

b) The CRM data quality must be reviewed periodically by the Contractor and the Company.
8.3 Management of non-mobile App entries

The Contractor must have a process for how to capture, analyse and report on paper-based CRM
verifications (mainly the CCCs).

9. Data management and analysis

9.1 Monthly reporting

Monthly data analysis to be completed by the Contractor detailing performance over the previous
reporting month and posted to all notice boards.
9.2 Weekly reporting (Red Button Reports)

The Contractor must run a weekly report on the CRM Forwood portal, looking at performance against
non-compliance, mobile submission, coaching and completion of all fields in the verification. This data
should be used by the Contractor to target improving performance.
9.3 Target performance tracking

The Contractor must track monthly targets by reviewing the Forwood portal and sending reminder
emails to participants during defined periods within each reporting month. Action plan close-outs must

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be tracked by the Contractor on the Forwood portal to ensure that the actions are closed out in a timely
manner, prior to the end of tracking period, and encourage upload of evidence for each closed action.
9.4 Site performance reports

The Contractor must send out month-to-date reports to all Site teams for discussion and feedback
purposes. The reports must include commentary on quality of the verifications being entered.
9.5 Action Plans register

The Contractor must review the CRM action plan register for missing information. It must then be sent
out to Personnel for performance feedback in order to promote improvement of dataset quality. The
close-out dates of action plans must be monitored periodically on the Forwood portal to ensure timely
close-out.

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