MODULE 3

Incident Management Process

ADI or LFI standard

Our vision of Zero Damage is supported by 3 principles: Zero mindset, Without
repetitions and simple, non-negotiable standards.

Our LFI process supports the principle No repetitions: all activities are carried out.
necessary to learn from incidents and thus prevent them from happening again.
Learning from incidents or LFI is vital to achieving our goals: zero harm and zero
fatal victims. That is why we must report and investigate all incidents to find out
What happened?, How did it happen? and Why?, in this way we ensure to identify all
the factors that influenced, verify how effective the controls were, identify
formas de mejorarlos y recomendar medidas para evitar que el incidente vuelva a ocurrir.

But research is just the beginning, sharing what we learn is the only way.
to prevent the same thing from happening again, that is what makes the difference and is the right thing to do
from a moral standpoint and to achieve our ambition. But knowing what, how, and for
What happened in an incident is still not enough, what matters is what you do with that.
information, the measures you take and the changes you make help us operate
always in a safe, responsible, and productive manner.

That's why we ask you to actively support 'Learning From Incidents / LFI', report
quickly and faithfully all dangerous situations and incidents, concrete and potential.
Share the incident reports with the entire organization, discuss and analyze it
team learning, implement the recommended improvements, attend the training sessions
by learning from incidents, subscribe to the biweekly HPI report which means
High Potential Incidents and take the time to review it and take action.
With these actions, you will help us achieve our goals:
ZERO DAMAGE and
 ZERO FATAL VICTIMS
SHE Alerts
Our SHE Alerts are issued after the preliminary results of an investigation.
of the incident, after a fatality or High Potential Incident (HPI). The incident still
it may be under investigation and further communications or actions may follow regarding it
due time.

The SHE alert contains immediate actions for implementation across all
Anglo American facilities.

Example of She Alert:

An incident occurred at a discharge point of one of our operations, where a

The CAEX truck lost traction and slid while leaving after its task.
backward impacting the support team.

Then, a SHE Alert from this incident was to establish that the support team
It should start its work at the dumping point, only once the CAEX has been removed.
50 meters. This SHE Alert should be disseminated to all operators and supervisors of the Mine.
and give a new instruction to the CAEX operator and service team regarding the
work procedure. This is one of the examples of SHE Alerts.

Don't forget that reporting incidents is very important and how you should do it.
It will depend on the operation you are in.
In the modules associated with each operation, we will see which channels you should use.
use.
Risk
It is the effect of uncertainty on expected goals:
An effect is a deviation from what is expected, either positive or negative.
 b) Risk refers to future events or circumstances that have not yet occurred.
c) Risk is characterized by reference to potential events or consequences and
How you are can affect the achievement of the expected goals.
These objectives can be related to different aspects such as:
Seguridad, Salud, Medio Ambiente, Financieros, Legal, Reputación, Comunidades
Operational.
e) The risk is often expressed in terms of a combination of consequences
of an event, and the associated probability that it will occur

Risk Management
As the leader of the operation, I manage risks daily; it is a fundamental part.
of work regardless of the function. In the operation, there is an overwhelming amount of things.
What you can fail, things that no one wants to happen: Equipment that doesn't work, People.
that they do not come to work, natural disasters and in the worst cases injured people or
who lose their lives, that is, unwanted events, those that don't let us sleep in the
night.

Honestly, it is because when we face risk reactively or in

in an isolated form, this dominates us, we respond to unwanted events once they happen
instead of getting ahead of them. We spend time putting out fires, we are almost
experts in that, but it also has its costs on human life, on productivity
and the tranquility.

We need to control the risk, we need to establish priorities, to anticipate in order to

to anticipate what will likely hinder what we want to achieve; our
Objectives. Achieve a structured way to analyze risk, prevent unforeseen events.
desired and minimize the consequences when these occur.

The good news is that we have the way to do it 'Operational Risk Management'
(ORM) is the integrated risk management that we carry out at the operational level in reality.
It is not completely new; operational risk management is complemented by others.
risk management activities and adds to the security risk management work,
health and the environment, which we have been working on in recent years.

Operational risk management is a framework for reflecting on the situation, when

the management of operational risks is applied correctly, different habits are developed
one formulates the type of questions that help to make the best decisions, this is
applies to all activities of the operation. Instead of managing each risk individually
Isolated, operational risk management ensures that it is carried out from all angles.
uniformly possible, from human resources, legal affairs, and security to
engineering and maintenance.
Remember that we are all risk managers, and it is our responsibility to be
assets in their management.
Risk management is divided into 4 layers:
CAPA 1: Risk Management of the operation, where the responsible parties are the Teams of
Senior leadership.
CAPA 2: Risk Management Derived from Problems, where the responsible parties are
Operations Managers.
CAPA 3: Work Risk Analysis, where the responsible parties are the Leaders of each one
from the teams.
CAPA 4: Continuous Individual Risk Assessment, where we are all responsible.
We will focus on this last layer that involves us all equally and is what we must
permanently implement in the workplaces.

Responsible

CAPA 1 Senior Leadership Teams

CAPA 2 Gerentes de las Operaciones

CAPA 3 Líderes de Equipos

CAPA 4 Todos

Our goal is for everyone to stop and think before carrying out a task, in order to
execute it efficiently and without causing damage, doing the right job, in the
opportune moment and in the right way.
We will achieve this by planning our tasks. This means knowing what they are.
specifications on how we should carry out the work correctly, identifying its
hazards and associated control measures.
Added to this, we must follow a clear schedule of our tasks, which means
know where and when we must carry them out.
This way we will become a competent team, with a clear understanding of the risks and their
controls, counting on planned working methods and appropriate equipment for the
tasks, in a safe and productive work environment.
Each one of us can stop a job if it represents an uncontrolled risk.
We are all leaders in safety.
In addition, you must know and deeply understand all the risks associated with the
activities you are going to carry out, this is very important.

In Chilean law, there is Supreme Decree No. 40 which establishes that the employer
must inform its workers at the time of their hiring, or in
in case of starting activities that involve risks, about the risks involved in their work,
preventive measures and the correct working methods.
In case the activity to be performed involves specific risks, these will be communicated in
set with its preventive measures, and the correct working methods by area
responsible prior to the start of the activity.
It is very important that you are aware of all the risks associated with your tasks beforehand.
to start carrying them out, we call this DAS which stands for Right to Know and it is not only
a legal compliance, but rather a fundamental step that aligns with our
zero harm mentality.

Don't forget that there are risks associated with each of our operations, areas, and tasks.
No matter the pressure you have, your safety is the most important.

Everything we have seen in this module is directly related to the three principles of
our security, health and environment policy, SHE WAY. Its purpose is to
let's learn from the incidents, aiming to prevent them and ensure they never happen again.