Incident Management Procedure

Incident Management Procedure

Table of Contents 1 Intent... 3 2 Scope... 3 3 Responsibility... 3 4 Incident Management... 4 4.1 Incident Response And Investigation Flowchart... 4 4.2 Invoke Emergency Response... 4 4.3 Preserve The Scene... 5 4.4 Preliminary Incident Report... 5 4.4.1 Internal Notification... 5 4.4.2 External Notification... 5 4.5 Classify Incident... 6 4.6 Check Incident Classification... 6 5 Incident Investigation... 7 5.1 Level Of Investigation To Be Undertaken... 7 5.1.1 Class 1 Incidents... 7 5.1.2 Class 2 Incidents... 7 5.1.3 Class 3 Incidents... 7 5.2 Planning The Investigation... 7 5.3 Conduct The Investigation... 7 5.3.1 Gather Evidence... 7 5.3.2 Inspect The Site... 8 5.3.3 Gather Physical Evidence... 8 5.3.4 Review Documentation... 8 5.3.5 Reconstruct The Sequence Of Events... 8 5.3.6 Identify The Causal Factors... 8 5.3.7 Corrective/Preventative Actions... 9 5.4 Write And Communicate Report... 9 5.4.1 Communicate Report And Retain Records... 9 5.4.2 Hse Alert... 9 5.4.3 Follow Up And Sign Off Report... 9 6 Training And Competency... 9 DVGMS-HSE-PRO-5 Version: 01 Page 2 of 9

ROLES Managing Director Safety Advisor Site Superiors Employees, Contractors & Visitors DVG Mining Services Incident Management Procedure 1 INTENT The intent of this procedure is to ensure a safe workplace for workers through effective and systematic incident reporting and investigation mechanisms. This will assist in eliminating or reducing risks associated with workplace incidents. The incident management process outlined in this document is to identify what went wrong and what can be done to prevent it from recurring. Effective incident management can provide benefits to the organisation, including: Identifying outdated operational methods and additional training needs; Initiating improvements in the workplace; Encouraging timely reporting and corrective actions; Reducing the number of incidents; Facilitating corrective actions to address the causes of the incidents; Protecting the environment; Increasing productivity due to modification(s) to equipment or machinery; and Improving operational and related health, safety and environment procedures. 2 SCOPE This procedure applies to DVG Mining Services employees, contractors and visitors. It also applies to DVG Mining Services personnel travelling to and from work side. Note that DVG Mining Services personnel on a client site are also to follow client incident reporting processes. 3 RESPONSIBILITY Legend: R (Responsible): Those who do work to achieve the task A (Accountable): Ultimately answerable for the correct and thorough completion of the task C (Contributes) Those whose opinions are sought I (Informed) Kept up to date on progress RESPONSIBILITIES Preliminary Incident Report AI AC RA R Incident Investigation AI AC RC C Corrective and Preventive Actions AIC AIC RC CI DVGMS-HSE-PRO-5 Version: 01 Page 3 of 9

4 INCIDENT MANAGEMENT 4.1 Incident Response and Investigation Flowchart Manage the incident Invoke emergency response Preserve the scene Preliminary incident report Plan the investigation Check classification Select team Determine resources/time Conduct the investigation Gather evidence Take witness statements Review evidence Reconstruct sequence Review evidence Analyse event Identify causal factors (eg, how & why) Identify controls Identify corrective/ preventative action Identify Corrective / Preventative actions Prioritise and implement Corrective / Preventative actions Write and communicate report Report facts only Communicate report Follow Up Check actions are completed Check actions are working Review and improve actions Communicate findings 4.2 Invoke Emergency Response In the event of an incident the Site Manager or Supervisor shall ensure: Persons and/or environment are immediately protected from further injury or damage. Appropriate emergency response and control are initiated. Note: The project Emergency Response Plan shall include details and instructions to deal with credible emergency scenarios. DVGMS-HSE-PRO-5 Version: 01 Page 4 of 9

4.3 Preserve the Scene In the event of an incident the Site Manager or Supervisor shall ensure: The scene of the event is not disturbed other than to make the area safe from causing further harm to persons or property and until such time as an investigation has taken place. If the incident is notifiable to a Statutory Authority, the scene is not disturbed until approval has been given by that Authority to enter and alter the conditions, if required; The circumstances leading to the event have been controlled prior to allowing work to proceed in the area. 4.4 Preliminary Incident Report 4.4.1 Internal Notification All incidents (e.g., injury, property damage or environmental damage) are to be reported the immediate supervisor. This includes near misses as this type of incident is a warning that equipment, systems, procedures, etc. may not be adequate and harm to people, environment and/or property could occur at any time. Incidents not resulting in personal injury but which involve substantial damage to plant, property or equipment should be investigated to determine if measures need to be put in place to avoid a potential safety incident re-occurring in the future. All incidents shall be reported to the relevant Supervisor immediately (within 15 minutes). All internal and external notification timeframes and the method by which the report is to be lodged are outlined in Table 1 of this document. Any injury sustained as a result of a workplace incident shall be recorded on an Incident Report Form. Site Supervisors are responsible for notifying DVG Mining Services management of any incident in their workplace. The Site Manager or Supervisor shall ensure that all incidents which have resulted in or have the potential to affect the public and/or cause adverse publicity to the Company, are reported to the Managing Director within one hour of the incident occurring. Any client notifications are to be retained in the site files in either electronic or hard copy. 4.4.2 External Notification Where applicable, incidents shall be reported to the relevant statutory authority and/or client in accordance with the relevant State or Territory Authority s legislation and/or client s requirements. Notification to Statutory Authorities shall be completed by the HSE Manager or a person authorised by them. The Managing Director shall ensure that a copy of the Statutory Authorities notification is retained on file in the head office. Client and Statutory Authority notification requirements and responsibilities shall be detailed in the Project Safety Management Plan (PSMP). Table 1: Incident reporting and investigation timeframes DVGMS-HSE-PRO-5 Version: 01 Page 5 of 9

Incident Category Class 3 Incident Shall be Reported To Site Manager, Site Supervisor, Safety Advisor Incident Notification Timeframe and Report Type (15 minutes) Verbal Investigation Report Timeframe Not Required Class 2 Managing Director Site Manager, Site Supervisor, Safety Advisor Managing Director Within 24 hours (15 minutes) Verbal Within 24 hours Interim report within 24 hours (if not practicable to provide completed final report) Class 1 Site Manager, Site Supervisor, Safety Advisor Managing Director Statutory Authority (15 minutes) Verbal (15minutes) Phone Final report within 48 hours Interim report by end of shift and every 24 hours (if not practicable to provide completed final report) Final report within 72 hours 4.5 Classify Incident The Site Supervisor or Safety Advisor shall classify the incident as per the following table: Table 2: Incident class definitions IMPACT AREA CLASS 1 CLASS 2 CLASS 3 People Damage which permanently alters the future of the individual (fatality, quadriplegia, amputee, disabled back or psychological disturbance). An injury or disease resulting in temporary disability or time lost from work of one or more complete days or shifts. An injury which inconveniences the individual such as minor cuts or sprains, but allows the person to continue to carry out normal duties. Environment. Causes damage to the environment which can be rectified and results in remediation costs of >$50,000. Causes damage to the environment which can be rectified and results in remediation costs of >$10,000 <$50,000. Causes damage to the environment which can be rectified and results in remediation costs of <$10,000. Plant/ Equipment/ Property Damage to plant/equipment and/or property >$50,000 Damage to plant/equipment and/or property >$10,000 <$50,000 Damage to plant/equipment and/or property <$10,000 4.6 Check Incident Classification Incident classification shall be reviewed by the Safety Advisor to ensure the classification is consistent with maximum credible potential. DVGMS-HSE-PRO-5 Version: 01 Page 6 of 9

The HSE Advisor shall ensure the scope and detail of the investigation is in line with the incident classification. 5 INCIDENT INVESTIGATION The investigation process shall begin, as soon as possible, after the incident occurs. This is to ensure that the investigation team will be most likely to see the conditions as they were at the time of the incident and will be able to locate witnesses. All significant incidents classified as 1 or 2 shall be subject to an ICAM Investigation to determine the root cause of the event. A Five Whys investigation shall be applied for incidents classified as 3. All incidents shall be investigated by suitably qualified and experienced Incident Management personnel. Other people will be involved as required, e.g. with particular knowledge or expertise, management, worker representatives and/or those involved in who witnessed the incident. Where an incident occurs at a client site involving DVG Mining Services personnel, the investigation team will include client representatives, as appropriate. DVG Mining Services personnel are also expected to cooperate and assist with incident investigations to the best of their ability. Details of the investigation are to be recorded electronically for future access. For incidents occurring at client sites involving DVG Mining Services personnel, details may have to be recorded in client systems as well as in DVG Mining Services systems. In this case, records are to be appropriately cross-referenced to ensure efficient investigation and resolution. 5.1 Level of Investigation to be undertaken 5.1.1 Class 1 Incidents For all Class 1 incidents, the Managing Director shall attend the workplace where the incident occurred as soon as possible and take an active role in the investigation. An interim report of the incident shall be provided to the Managing Director at the end of the shift the incident occurred in and every 24 hours until otherwise notified or the final report is submitted. 5.1.2 Class 2 Incidents All Class 2 incidents shall be investigated by site management. An investigation team comprising a maximum of two senior site management personnel, the site Safety Representative, or another workers representative (where practicable), shall undertake the investigation. An interim report of the incident shall be provided to the Managing Director within 24 hours of the incident. 5.1.3 Class 3 Incidents Class 3 incidents shall be investigated by site supervisors. It is also required that Corrective and Follow-Up Actions are identified and implemented as minor injuries can also be prevented. Investigation requirements and timeframes are listed in Table 1 of this procedure. 5.2 Planning the Investigation Investigation plans should be developed that outline as a minimum: Actions required; Agreed timelines; Responsibilities of team members; Resources required; and Materials to be collected. 5.3 Conduct the Investigation 5.3.1 Gather Evidence The objective of gathering evidence is to establish the facts regarding the incident. DVGMS-HSE-PRO-5 Version: 01 Page 7 of 9

The process of gathering evidence should normally be completed in a repeating cycle until all relevant aspects of the incident are identified. 5.3.2 Inspect the Site Where practical, site inspections shall be conducted after all incidents. It is generally not possible to gather all information unless the location of the incident is observed. In the case of notifiable incidents, physical evidence shall not be disturbed without the approval of the local statutory authority. Those involved in the incident should always participate in the inspection, if they are available to do so. 5.3.3 Gather Physical Evidence Photographs, material samples, measurements and site environmental conditions shall be taken as necessary. This material should be forwarded with the incident investigation report where it is relevant. Particular note should be taken of: The work environment (weather, area or workstation layout, dust, noise, housekeeping); Materials (safe working documents etc.), plant and equipment (hazardous substances, tools, mobile or fixed plant, personal protective equipment); Location and actions of people leading up to, at the time of, and after the incident; People involved, or witnesses to the incident shall be interviewed at the earliest opportunity. Wherever possible, witnesses and those involved in the incident should be interviewed separately. Written statements from witnesses and those involved in an incident may also be required. When gathering evidence from talking to people, facts shall be distinguished from opinion and/or hearsay. Hearsay should not be included in the investigation report. 5.3.4 Review Documentation Relevant documentation regarding systems of work and/or records relevant to the incident shall be retrieved and reviewed. Documentation reviewed should normally include as a minimum: Job Hazard Analysis and/or Permits for the task(s); Relevant training and instruction records/certificates of competency; Equipment/tool risk assessments and/or inspection/maintenance records; and Workplace inspection records. 5.3.5 Reconstruct the Sequence of Events Data gathered from site inspections, physical evidence, documentation and interviews shall be used to construct a timeline detailing the sequence of events leading up to the incident and actions immediately after the incident occurred (response and control of the scene). Events are determined from known facts from the investigation. The sequence of events shall cover all relevant events associated with the incident. This means that in some investigations, a long time scale may be covered by the sequence of events. 5.3.6 Identify the Causal Factors The Causal Factor(s) can be identified by using the 5 Why s Questioning Process. At each event in the sequence leading up to the incident, relevant questions are asked about the factors associated with that event. Events will only be included in the process if they are considered critical (relevant) to the incident. In following the Five Whys process the objective is to identify the root cause/reason for the event happening. Each successive phase asks a series of questions to determine why each event of the situation occurred. Each question should lead to a definite outcome. DVGMS-HSE-PRO-5 Version: 01 Page 8 of 9

5.3.7 Corrective/Preventative Actions Corrective/Preventative actions shall be: Specific; Measurable; Achievable; Realistic; Have specific timeframes and responsibilities assigned; Be agreed upon by all parties; and Completion and close out of actions shall be subject to internal audit. The Site Supervisor is responsible for ensuring that all identified actions from the investigation are appropriate, verified and signed off. Corrective/Preventative actions will be assigned Action Priority Levels to ensure that they are implemented in a timely manner. The following Action Priority Levels shall be applied: Level 1 = Actions shall be completed immediately; Level 2 = Short-term action, shall be completed by end of shift; Level 3 = Medium-term action, shall be completed within 7 days; and Level 4 = Long-term action, completed within 2 12 weeks. Employee s assigned responsibility to implement Corrective/Preventative Actions should be fully briefed on the requirements. 5.4 Write and Communicate Report 5.4.1 Communicate Report and Retain Records Circulation of the incident report shall be in accordance with Table 1 of this document. Incident reports shall be treated as confidential documents and as such shall only be made available to authorised persons and shall not be made available to external sources without the approval of the Managing Director. 5.4.2 HSE Alert The HSE Alert process is designed to ensure that details of incidents that occur in one workplace are communicated to other workplaces so that similar circumstances are identified and actions are taken to prevent a recurrence of a similar event across the group. HSE Alerts are based on the findings of the investigation. Other internal communications may also be developed to communicate this type of information to other organisations on site. 5.4.3 Follow Up and Sign Off Report Follow up checks that Corrective/Preventative actions have been implemented and maintained shall be conducted by Site Supervisors. 6 TRAINING AND COMPETENCY The Managing Director shall ensure that all Workplace Supervisors receive appropriate training to conduct incident investigations. DVGMS-HSE-PRO-5 Version: 01 Page 9 of 9