critical control management (ccm) · critical control management is an integral part of risk...
TRANSCRIPT
Critical control management (CCM)
Mark Holmes, Manager
GOSHnet
22 April 2016
Genk, Belgium
Presentation overview
• ICMM introduction
• Safety performance
• Critical control management & implementation
www.icmm.com
ICMM at a glance
www.icmm.com
Over 950 sites
in 58 countries
CEO led
23
Company
members
35
Association
members
www.icmm.com
Leading to unprecedented industry collaboration across
five continents accounting for 30% of global production
Canada
Barrick
Goldcorp
Teck
USA
Freeport – McMoRan
Newmont
Chile
Antofagasta Minerals
Codelco
South Africa
African Rainbow Minerals
AngloGold Ashanti
Gold Fields
Australia
BHP Billiton
South32
Japan
JX Nippon
Mining and Metals
Mitsubishi Materials
Sumitomo
Metal Mining
China
MMG
UKAnglo American
Lonmin
Rio Tinto
FranceAreva
SwitzerlandGlencore
Norway
Hydro
RussiaPolyus
Member admission, commitments and
reporting
www.icmm.comwww.icmm.com
Robust entry
criteria and
process
Clear
performance
expectations
Enhanced
reporting
commitments
Sustainable
Development
reports assured
independently
10 principles
6 position statements
Member commitments
progressively
strengthened through
position statements
Safety performance
ICMM total fatalities 2012 - 2015
0.00
0.01
0.02
0.03
0.04
0.05
0
10
20
30
40
50
60
70
80
90
100
2012 2013 2014 2015
Fata
ility
fre
quency r
ate
(per
1 m
illio
n h
ours
work
ed)
Fata
litie
s
Year
Fatalities Fatality frequency rate
ICMM TRI 2012 - 2015
3.00
3.50
4.00
4.50
5.00
5.50
6.00
0
2000
4000
6000
8000
10000
12000
14000
16000
2012 2013 2014 2015
TR
I F
req
uen
cy r
ate
(p
er
1 m
illi
on
h
ou
rs w
ork
ed
)
To
tal re
co
rdab
le in
juri
es (
TR
I)
Year
TRI TRIFR
2015 member company fatality frequency rate
0.00
0.01
0.02
0.03
0.04
0.05
0.06
0.07
0.08
0.09
Fa
tala
ity f
req
ue
nc
y r
ate
(p
er
1 m
illi
on
ho
urs
w
ork
ed
)
Company
2015 member company TRIFR
0.00
2.00
4.00
6.00
8.00
10.00
12.00
14.00
To
tal re
co
rad
ab
le in
jury
fre
qu
en
cy r
ate
(pe
r 1
mil
lio
n h
ou
rs w
ork
ed
)
Company
Where were the fatalities in 2015?
www.icmm.com
0
5
10
15
20
25
66% underground
What hazards are linked to the fatalities in 2015?
www.icmm.com
0
2
4
6
8
10
12
14
16
18
20
Critical control management &
implementation
Limited correlation between
reduction in LTI and fatality rate
2012: Collective realisation
2013: Shift focus on learning from HPI given
the correlation between fatal and HPI incidents
65
53
3027
23 2218 17 15 14
116 4 4 3 2 1 1 1
0
10
20
30
40
50
60
70
UG
Gro
und c
ontr
ol
HM
E
Fir
es
Lig
ht
Ve
hic
le
Ra
ilbo
und
Tra
nsp
ort
Ele
ctr
icity
Oth
er
Inru
sh /
In
und
atio
n
Eq
uip
men
t…
Exp
losiv
es
Liftin
g &
Rig
gin
g
Ve
rtic
al T
ran
spo
rt
Slip
pin
g a
nd
Fa
lling
Hig
h W
all
Fa
ilure
Avia
tio
n
Ch
em
icals
En
erg
y I
sola
tio
n
Pre
ssuri
sed
Syste
ms
Work
at
He
ights
HPI's by agency '13 YTD (Count)
IMMEDIATE
ACTIONS
PRELIM
INVESTIGATIONANALYSIS
Incident investigations of HPI’s highlighted
control adequacy and control performance
weaknesses
wo
rkp
lace
pers
on
org
an
isa
tio
na
l
CAUSAL ANALYSIS
exte
rna
l
en
viro
nm
en
t
Contr
ol A
naly
sis
Performance
Adequacy
16
2014 – 2015: Publish a good practice guide
www.icmm.com
Critical control management is an
integral part of risk management with
a focus on the critical few risks and
associated critical few controls
The process requires the active
participation across organisational
levels in the establishment of
adequate controls given the
materiality of the risk, allocation of
accountability for implementation,
maintenance and performance
monitoring of critical controls, to
prevent the realisation of material
risk
http://www.icmm.com/publications/health-and-safety-critical-control-management-
good-practice-guide
2015: implementation guidance
www.icmm.com
1. A brief overview on the critical
control management approach,
history, common pitfalls etc
2. A step-by-step guide that uses
health and safety case studies to
demonstrate the approach. The
document provides actions to
achieve the target outcomes within
each step.
www.icmm.com
CCM process overview
Risk Rank Focus
CCM part of business process
Critical control performance
Control adequacy
Control Focus
Step 1: Planning - Risk Management maturity
www.icmm.com
Develop plan
• Organizational context (maturity and adoption capability)
• Sponsor support obtained and communicated
• Project objectives set
• Responsibilities allocated
• Business sections involved
• Resources required
• Skills, tools and techniques required
• Methodologies and decision trees defined
• Human resource development needs established
• Priorities set
22
Step 2: Identify Material Unwanted Events (MUE)
A
(Very Likely)
Has occurred
several times in
the past
Low Moderate High Extreme Extreme
B
(Likely)
Has occurred at
some time in
the past
Low Moderate High High Extreme
C
(Possible)
Could occur
multiple times
on this site
Low Moderate Moderate High Extreme
D
(Unlikely)
Could occur
once during the
life of the
facility
Low Low Moderate Moderate High
E
(Rare)
Unlikely during
the life of the
facility
Low Low Low Low Moderate
LOW MINOR MODERATE MAJOR CRITICAL
Consequences
Lik
elih
oo
d
MUE focus
Where the potential consequence exceeds a threshold defined by the company
warranting the highest level of attention and resources
Cause
Cause
Cause
MUE
Consequence
Consequence
Consequence
Prevention
Controls
Mitigation
Controls
Step 3 – Identify controls
Risk analysis (e.g. BOWTIE)
Controls
High RiskLow Risk
Risk is determined by the controls and their
effectiveness
Acts – a description of what a person
should do
Objects – a device that works when
needed without a persons act(s), or
Technological Systems –
combination of act(s) and object(s)
Controls are:
www.icmm.com
What are not controls?
Example of elements that are not controls:
• Training
• Permits / paper work
• Check sheets
• Maintenance plans
These are determinants of control effectiveness, or a
supporting framework in which controls need to operate.
Still important. Just not controls.
Example: A control for mitigating child
pedestrian fatalities outside schoolsThe control is drivers driving vehicles at a speed that is
specified as 40km/hr or less which is measureable via speed
cameras and pass the adequacy test.
Specified Measureable Adequate
a process for
selecting ‘critical
controls’
Step 4: Select critical controls
Step 5: Define control performance,
monitoring and information expectations
Workplace
Processes & tasks
Risk realization
pathways
MUE
Control strategy and
adequacy test
Control
performance
Accountability
• Who is the MUE owner?
• Who is the critical control owner?
• Worker knowledge requirements?
Control design
• Name of the critical control?
• What is the purpose of the control?
• What is the target performance of the control?
• What is the control performance trigger for
action?
• What can we monitor to determine if the
control meets its purpose?
Control performance parameters
Functionality specifications
Availability expectations
Reliability target
Performance dependencies
Compatibility
Survivability
Risk reduction limits
Anticipated control performance variability
Control performance monitoring information
• Performance status
• Below target performance
• Deviations from critical assumptions
Critical
Control
Critical
Control
CCMP
for
Vehicle
Collisi-
ons
MUE Owner Accountability
CC 1 Owner Accountability
CC 1 verification activity 1
CC 1 verification activity 2
CC 1 Owner Accountability
CC 2 verification activity 1
CC 2 verification activity 2
CC 2 verification activity 3
Step 6: Assign accountability
www.icmm.com
Step 7: Site specific implementation
• Assess the risk maturity and progress of the operation
• Develop and implement a change management plan and
the allocation of resources
• Review and update list of MUE’s, risk analysis, control
strategy, control performance information, verification
plans and action trigger points based on site specifics
• Identify employee knowledge requirements across the
different levels and associated capacity building needs
• Communicate key information to the various role players
• Develop and implement performance verification plans
• Entrench CCM knowledge in business processes
• Take one small bite at a time
www.icmm.com
Step 8: Performance verification, reporting
and action
• Execute verification plans (developed in step 5)
• Report results to critical control and MUE owners
• Initiate action when performance drop below trigger
points
• Review verification plans based on experience
www.icmm.com
Step 9: Response to inadequate performance
• Investigate and address sub standard control
performance
• Identify, assess and action deviations from critical
assumptions
• Investigate and action program compliance deviations
• Learn from incidents (potential and actual)
• Conduct independent program compliance and
effectiveness reviews (Step1 to 9)
Case study: Reduced fatality rate within two
years of implementation
15 15 15
18
8
6
0
5
10
15
20
2009 2010 2011 2012 2013 2014
Fatalities (Count)>65%
0.10 0.100.09
0.10
0.050.04
0.00
0.02
0.04
0.06
0.08
0.10
0.12
2009 2010 2011 2012 2013 2014
Fatal Injury Frequency Rate(per 1 MM Hours) 60%
Great response and
implementation from ICMM
member companies
80% of members in October
www.icmm.com
What’s next for CCM at ICMM
• Supporting implementation
• encouraging uptake
• workshops
• Internal - members developing generic CCM strategies
• Tailings dam failure
• Diesel particulate matter exposure
37
• Change in focus – legal compliance & compliance to Standards remains important, butoccupational hygiene programmes need to focus much more on business value, people andsustainability.
• Change in role players – In the past and current occ hygiene programmes are driven, veryoften in isolation, by the occupational health and hygiene practitioners and very often theseresponsibilities and the management of occupational hygiene are outsourced. Going forwardwe foresee more collaboration and cross-functional role-players in occupational health &hygiene
• Change in health risk management approach & focus point - it is about identifying thesources of health risks. Current occupational hygiene programmes are still focussedpredominately on personal exposure measurements. The focus need to be on understandingthe source, intervention & critical control management.
• Critical health control performance monitoring - The hygienist must monitor controlperformance (i.e. that controls work according to design specifications) and ensure controlavailability
• Sampling - must be directed to provide information about the availability and efficacy ofcontrols and enable management decisions
• The worker – must be involved in the process, he is at the centre of our control efforts, and hemust be shown how to use control measures properly, and how to check that they are workingand how to report control failures
LESSONS LEARNED