MNO-PR-HSE 0004 Hazard Identification and Risk Assessment

Document of HSEMS Approved date : Feb 1st 2016
MNO – PR – HSE 03 Revision#02 Page 1 of 15
HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL
“MINING NATIONAL OPERATOR” LLC
HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK

CONTROL
CODE: MNO - PR - HSE – 0003
(ELEMENTS OHSAS 18001:2012 4.3.1, ISO14001:2015 4.3.1)
ULAANBAATAR CITY
Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

Position: HSE Director
© “MNO” LLC – 2016 all rights reserved
2016
1.0 PURPOSE
This procedure describes how health and safety hazards related to Mining National Operator
Company Ltd. (MNO) operations are identified and their significance and controllability are
assessed and to determine those which may have significant impacts on safety, health and
the environment in order to implement controls, where required.
2.0 SCOPE
The procedures outlined in this document cover routine and non-routine activities of all
personnel having access to the workplace (including contractors and visitors); facilities at
the workplace, whether provided by MNO or others. Significant safety and health hazards
identified under the procedures outlined in this document are considered in the
determination of facility requirements, training needs, development of operational controls
and setting of safety and health objectives and targets.
3.0 DEFINITIONS
accident: undesired event giving rise to death, ill health, injury, damage or
other loss
design (engineering)
control: a form of hazard control that relies on safeguards provided by
machinery or equipment design and operation
hazard: source or situation with a potential for harm in terms of
injury or ill health, damage to property, damage to the

workplace environment, or a combination of these
hazard control: a measure that decreases the risk posed by a hazard
hazard identification: process of recognizing that a hazard exists and defining its
characteristics”
human factor
control: a form of hazard control that relies on safeguards based on
human behaviour
incident: event that gave rise to an accident or had the potential to lead
to an accident. The term incident includes near-misses.

interested parties: individual or group concerned with or affected by the OH&S

performance of an organization
near-miss: an incident where no ill health, injury, damage, or other loss

occurs
practicable: given currently knowledge, technology and invention
reasonably
practicable: practicable unless the person on whom a duty is placed can show
that there is a gross disproportion between the benefit of the duty
and the cost, in time, trouble and money, and measures to secure the
duty
risk: combination of the likelihood and consequence(s) of a specified

hazardous event occurring
risk assessment: overall process of estimating the magnitude of risk and deciding
whether the risk is tolerable or acceptable
safety: freedom from unacceptable risk of harm
stakeholder: a person, group or organization that has an expressed interest or can

potentially have an interest related to MNO identified health and
safety hazards
task: a segment of work, a specific work assignment, or a set of actions

(steps) required to complete a specific work objective
tolerable/acceptable
risk: risk that has been reduced to a level that can be endured by the
organization having regard to its legal obligations and its own
SHMS policy
4.0 RESPONSIBILITIES
4.1 The Foreman, general foreman and maintenance engineers are responsible for
ensuring that health and safety hazards and risks associated with MNO Company
(MNO) activities are identified, assessed and managed in an appropriate manner by:
 identifying areas in which hazard identification, risk assessment and risk control are
required;
 coordinating teams carrying out hazard identification, risk assessment and risk
control;
 documenting information from the hazard identification, risk assessment and control
process; and
 ensuring that appropriate controls are in place in areas of significant hazard.

4.2 Workers are responsible for:

 Notifying to the foreman if there is any unidentified hazard which is harmful to the
health, safety, environment and property during the work under the risk assessment
stopping the work and reassessing the risk.
4.3 HSE officers are responsible for:
 Assisting the foreman, general foreman, and maintenance engineers with identifying
and managing hazards, risks and controls in their work area.
 ensuring that health and safety hazards and risks associated with MNO Company
(MNO) activities are identified, assessed and managed
5.0 PROCEDURE
5.1 Hazard Management
5.1.1 Hazard Management involves the following steps:

HAZARD IDENTIFICATION
STEP 1
RISK ASSESSMENT
STEP 2
HAZARD CONTROL
STEP 3
HAZARD MANAGEMENT
STEP 4
5.1.2 Where possible, hazard recognition should involve the work of a team, as a
group, such as the Joint Health Safety Committee (JHSC), that generally

provides a wider basis of experience and knowledge than does an individual.

The Safety Officer/Department, or his designate, will assist this process.
5.1.3 Hazard identification and assessment shall be completed when new activities
or products are introduced and when risks and hazards are reviewed.
5.2 Hazard Identification
5.2.1 Health and safety hazards at MNO are identified and assessed at three levels:
 Site wide (initial screening)
 Safe Work Analysis (detailed)
5.2.2 Site Wide Screening Hazard Identification:
5.2.2.1 Site Wide Screening Hazard Identification serves to develop an initial site-
wide inventory of Health and Safety Hazards.
5.2.2.2 The following steps describe the screening hazard identification process:
Step 1 - Identify Operational Areas
MNO operations are divided into operational areas that group common activities,
processes or management structures.
Teams (JHSC) may be formed or individuals from different areas may assist in
identifying risks in each operational area. Persons involved in risk identification
are as follows:
 worker(s) familiar with activities in the area being analyzed;

 supervisor(s) and management;
 safety department personnel
 personnel familiar with risk assessment.
 Joint Health and Safety Committee (JHSC)
Assessment by different members should be coordinated by themselves the HSE

Department to ensure that commonalities between areas are recognized, intra-
area issues are considered, and all groups use a consistent risk assessment
approach.
Step 2 - Review previous information
The members identify and review previous information on hazards in the area
being considered so this information can be considered in their hazard
identification and assessment.
Previous information can include:

 records of workplace inspections;

 health and safety audits reports;
 incident and accident investigations reports;
 risk items identified and reported by employees not previously
identified in any of the above.
Step 3 - Identify Activities and Processes
The members identify activities and processes in the area being considered.
Activities and processes should be identified in sufficient detail to facilitate
initial hazard identification, but should not be so detailed that the process
becomes burdensome.
Step 4 - Identify Hazards
The members identify hazards associated with the activities and processes they
have outlined.
A generic list of hazards has been initiated and should be used as a possible
guide to prompt or as a jogger for possible hazards that may be encountered in
the different operational areas.
During the hazard identification, the controllability of the hazard should also be
considered. Only hazards that can be controlled should be considered for
assessment.
Information from the hazard identification can be then entered into the file of
Risk Assessment Binder.
Step 5 – Risk Assessment
The team assesses the hazards identified using criteria outlined in Appendix A.
Assessed Risks are logged in the Risk Assessment and Risk Control Register.
5.2.3 Job Hazard Analysis (JHA)

5.2.3.1 A Safe Work Analysis is carried out on a selective basis with higher
risk jobs being assessed first.
5.2.3.2 JHA is reviewed:
 At least annually
 When the dynamics or mechanic of a job or task are changed for
any reason
 If equipment is changed or altered in any way
 Following an incident regardless of severity or magnitude

 If a flaw is identified in the original analysis

 If training methods change
5.2.3.3 The following steps should be followed when carrying out an analysis.
Information from the analysis is recorded onto a Standard Work
Procedure (SWP) Record:
Step 1 - Identify job tasks
All of the tasks associated with a job should be identified. Job tasks should be
identified for both normal operating conditions and abnormal operating
conditions.
Tasks may be identified initially by:
 reviewing the applicable job description. (It should be noted that job
descriptions may not include all tasks involved in a job);
 observing employees carrying out the job (and recording related
tasks as you see them being carried out); and
 interviewing employees about the tasks they carry out for the job
It may be necessary to observe several different employees carrying out a job as

individuals may not carry out the same work in exactly the same manner.
Step 2 - Analyze each task to determine hazards
Tasks are critically examined with the view of identifying what hazardous
conditions or unsafe work practices exist, or might occur, during normal and
other conditions. (These hazards are recorded on the Standard Work Procedure
(SWP)). This step may require a second observation of the job being performed,
with attention in this additional observation focussing on hazards.
If they are available, manufacturer’s equipment operating instructions, operating

procedures and instructions, and Material Safety Data Sheets (MSDS) associated
with the task are reviewed to identify hazards that may be indicated in these
documents.
Step 3 – Risk Identification

Refer to Risk Assessment and Risk Control Register for hazards that have been
identified.
Step 4 – Risk Assessment
After hazards have been identified, risks that are (or potentially) associated with
the hazard are assessed.

Appendix A includes the criteria used for assessing risk.
Information that is developed during this process should be entered onto the
Standard Work Procedure (SWP) spreadsheet.
 the department(s) to which the assessment pertains;

 and the Safety Manager.
5.2.4 Hazard Control and Management

5.2.4.1 A risk that is unacceptable without any controls being in place is

referred to as a “significant” risk.
5.2.4.2 A risk that is acceptable without any controls being in place is termed
“not significant”.
5.2.4.3 If the risk associated with a hazard has been found to be significant
through risk assessments described above, the hazard should be
considered significant. Hazards that have been found to be significant
must be managed. The next step in the risk assessment process is to
determine whether there are adequate controls in place to manage each
significant risk and to reduce the risk to an acceptable level.
Hierarchy of Hazard Control
Elimanation
Substitution
Engineering
Administrative
PPE
5.2.4.4 It is generally preferable to control hazards through design

(engineering). If design controls are not practicable, then “human
factor” controls may be used. Use of personal protective equipment is
considered only after no practicable design and human factor controls
have been identified.
5.2.4.5 The following process should be used to assess risk control at MNO:
Step 1 - Identify current risk controls
Identify controls that are in place to address significant risks and hazards. These
controls should be recorded in the Risk Assessment and Risk Control Register.
Step 2 – Assess the current risk controls

MNO – PR – HSE 03 Revision#02 Page 10 of
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Assess the controls that are in place to determine if they adequately address
significant risks and hazards. Estimate the likelihood of failure of the control
measures.
Step 3 – Identify needed risk controls
If a hazard poses an unacceptable risk after considering current risk controls,

further controls should be developed to reduce the risk to a tolerable level.
Controls that could be used are noted in the Risk Assessment and Risk Control
Register.
Step 4 – Implement Risk Controls
Development and implementation of needed controls can be included in HSE

MS objectives, targets and plans
Before committing any employee to conduct specific work or a task, the Safe Work
Procedure must be explained, to ensure clarity and proper understanding as to what has
to be done through a step-by-step approach.
Once the supervisor is satisfied, by asking the employee repeat in his own words, (Re-
statement) what has to be done, employees sign off on the cover sheet.
The signature(s) verify that he has been orientated to do the work assignment and that he
understands what is required in terms of working safely and other expectations.
All work orders should be accompanied by a Safe Work Procedure (SWP).
6.0 HAZARD ASSESSMENT RECORDS
6.1 Risk Assessment and Risk Control Register
6.1.1 The Safety Department is responsible for maintaining the Risk Assessment
and Risk Control Register, so that information in it is as current and complete
as possible and is appropriate to the nature and scale of the operation.
6.1.2 The register is a “living document” and should be updated as hazards and
risks continue to be identified and assessed, and when controls are introduced
or noted as being required.

15
6.1.3 Information from Risk Assessment and Risk Control Register is used to
develop appropriate health and safety objectives and targets and management
plans. (50545 HS 0004)
6.1.4 The HSE Department is responsible for ensuring that MNO health and safety
hazards and risks are reviewed on an annual basis to identify new hazards
that may have arisen and changes in the significance of previously identified
hazards. The results of the review process are documented in the Risk
Assessment and Risk Control Register, which is amended where appropriate,
and a summary of the review process is forwarded to senior management.
6.1.5 Individual hazards and risk controls may be monitored on a more frequent
basis, depending on:
 the nature of the hazard;
 the magnitude of the risk;
 changes from normal operation; and
 changes in feedstock, raw materials, chemicals, etc.
6.1.6 When a hazard is identified, the Safety Department determines how
frequently it should be monitored and are responsible for seeing that this
monitoring is carried out.
6.2 Safe Work Procedure Index
6.2.1 All documented Safe Work Procedures (SWP) are recorded on the Safe Work
Procedure Index (SWPI) which is maintained on a regular basis to reflect
accurately the Safe Work Procedures (SWP) in current use.
7.0 REFERENCES
Risk Assessment and Risk Control Register
Safe Work Procedures Index Safe Work Procedures
APPENDIX A
RISK ASSESSMENT MODEL
Severity/Consequences Table
Rating Injury Severity Collateral Damage

1 Fatality, loss of limb, blindness, > $500k damage
electrocution, permanent health effects
2 Major Injury – serious lost time $100 - $500K
injury more than 7 days damage
3 Severe Injury – fractures, short $50 - $100K damage
term lost time injury
4 Requires medical treatment $5 - $50K damage

15
5 Repeat first aid treatments < $5K
Probability Table
Probability (P) Rating Estimate of Incident Frequency
Common/Frequent A Incident likely to occur frequently (i.e. daily, weekly, monthly)
Occasional B Incident likely to occur occasionally
Remote C Incident could occur
Improbable D Incident unlikely to occur
Practically Impossible E Very unlikely to occur
Calculator
PROBABILITY
C A B C D E
O 1 25 24 22 19 15
N 2 23 21 18 14 10
S 3 20 17 13 9 6
E 4 16 12 8 5 3
Q 5 11 7 4 2 1
U
Colour Code
EXTREMELY HIGH RISK SIGNIFICANT RISK MODERATE RISK LOW RISK
Risk Evaluation
1–6 Low Risk Monitor and control when opportunity arises
7 – 15 Moderate Risk Action to reduce immediate risk, interim controls to be used
16 – 22 Significant Risk Monitor closely, stop work as needed. Interim controls to be used
23 – 25 Extreme Risk Stop work and control hazard before use. JSA required before proceeding.

15

15
APPENDIX B
SAFE WORK PROCEDURE (Sample)
No: SURHSE1.03 Prepared By: Safety Department

Title: Housekeeping - Work Area Approved By: Safety Manager
Revision Date: Assessment Team Members: Safety Department
Review Date:
HAZARDS WITHIN THIS RISK LEVEL RESIDUAL
STEP SPECIFIC JOB STEPS STEP SCORE HAZARD CONTROL ACTIVITY REQUIRED RISK SCORE
(Safety and Environmental)
1 Identify walkways, work areas & Personal injury and or 24 Wear safety equipment, store equipment in 5
storage areas and use safety signs equipment damage. High designated areas and obey safety signs. Low
where applicable.
2 Make sure walkways and work Personal injury and or 22 Return tools to designated areas and keep walkways 2
areas are kept clear of trip equipment damage. High clear of cables, hoses etc. Low
hazards.
3 Make sure walkways and work Personal injury - slip hazard due 20 Dig drainage channels. Use pallets, walk-boards or 2
areas are kept dry. to wet areas. High gravel for safe working surface. Low
4 In underground situations check Personal injury - rock fall. 24 Scale down as per mine standard 8
for loose rock and scale down if High Moderate
necessary.
5 Clean up spillage of oils & drill Personal injury - slip hazard. 17 Use rags/truck wash to remove spillage refer 4
mud’s etc. Moderate M.S.D.S. Low
6 Clean decking and tools at end of Personal injury - slip hazard. 22 Clean tools/work platform with rags, banister brush 5
shift. Equipment damage. High and truck wash. Low
7 Place all rubbish in container/ bin Personal injury - trip hazards 20 Place rubbish in bin. 5
and remove from site at end of - manual High Follow safe manual handling procedure Low
shift. - handling. All rubbish to be secured for transport

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Document of HSEMS Approved date : Feb 1st 2016

MNO – PR – HSE 03 Revision#02 Page 1 of 15

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

“MINING NATIONAL OPERATOR” LLC

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK

CODE: MNO - PR - HSE – 0003

(ELEMENTS OHSAS 18001:2012 4.3.1, ISO14001:2015 4.3.1)

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

machinery or equipment design and operation

hazard: source or situation with a potential for harm in terms of

injury or ill health, damage to property, damage to the

hazard control: a measure that decreases the risk posed by a hazard

to an accident. The term incident includes near-misses.

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

interested parties: individual or group concerned with or affected by the OH&S

near-miss: an incident where no ill health, injury, damage, or other loss

risk: combination of the likelihood and consequence(s) of a specified

safety: freedom from unacceptable risk of harm

stakeholder: a person, group or organization that has an expressed interest or can

task: a segment of work, a specific work assignment, or a set of actions

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

4.2 Workers are responsible for:

4.3 HSE officers are responsible for:

5.1 Hazard Management

5.1.1 Hazard Management involves the following steps:

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

provides a wider basis of experience and knowledge than does an individual.

5.2 Hazard Identification

5.2.2 Site Wide Screening Hazard Identification:

Step 1 - Identify Operational Areas

 worker(s) familiar with activities in the area being analyzed;

Assessment by different members should be coordinated by themselves the HSE

Step 2 - Review previous information

Previous information can include:

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

 records of workplace inspections;

Step 3 - Identify Activities and Processes

Step 4 - Identify Hazards

Step 5 – Risk Assessment

5.2.3 Job Hazard Analysis (JHA)

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

 If a flaw is identified in the original analysis

Tasks may be identified initially by:

It may be necessary to observe several different employees carrying out a job as

Step 2 - Analyze each task to determine hazards

If they are available, manufacturer’s equipment operating instructions, operating

Step 3 – Risk Identification

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

Appendix A includes the criteria used for assessing risk.

 the department(s) to which the assessment pertains;

5.2.4 Hazard Control and Management

Done by : Doljinsuren.L, Ganzorig.Ch, Bilguun.S Reviewed by: Odbayar.G

HAZARD IDENTIFICATION, RISK ASSESSMENT AND RISK CONTROL

5.2.4.1 A risk that is unacceptable without any controls being in place is

Hierarchy of Hazard Control

5.2.4.4 It is generally preferable to control hazards through design