BMC - Business Excellence Management Systems Manual Finalised

Document Status: Draft
Initial Issue Date : 01/04/2018 HOW MINE
Revision Date : 31/05/2020 Business Excellence Management System Manual
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BMC – HOW MINE BUSINESS EXCELLENCE MANAGEMENT

SYSTEM MANUAL
Issuer: Approver: Authorizer
SHEQ Officer SHEQ Manager Managing Director
“This Manual contains proprietary information belonging to BMC - How Mine (Pvt) Ltd which may neither be wholly nor partially used, disclosed, reproduced, removed nor
transmitted, in any form or by any means to any unauthorized party without the written permission of the Managing Director”
DATE PRINTED: 17-Jun-2021

WARNING: Always refer to Network File Sharing to confirm that this print is the latest version before use.
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CONTENTS
1.0 DEFINITIONS ..................................................................................................... 3
2.0 Introduction to Bulawayo Mining Company – How Mine .............................. 6
3.0 REFERENCES ................................................................................................... 8
Business Excellence Management System Elements ............................................. 8
4.0 CONTEXT OF THE ORGANIZATION ................................................................ 8
4.1 Understanding the Context of the Organization ............................................ 8

4.2 Interested Parties Requirements .................................................................. 9
4.3 Scope of the Business Excellence Management System ........................... 10
4.4 Business Excellence Management System and its Processes ................... 13
5.0 LEADERSHIP................................................................................................... 15
5.1 Leadership and Commitment ..................................................................... 15

5.2 Business Excellence Policy Statement ....................................................... 18
5.3 Roles, Responsibilities, Authorities and Accountabilities ............................ 18
5.4 Consultation and Participation .................................................................... 20
6.0 PLANNING ....................................................................................................... 21
6.1 Actions To Address Risks And Opportunities ............................................. 21

6.2 Business Objectives and Planning To Achieve Them ................................ 28
6.3 Business Changes Management ................................................................ 30
7.0 SUPPORT ........................................................................................................ 31
7.1 Resources .................................................................................................. 31

7.2 Competence ............................................................................................... 35

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7.3 Awareness .................................................................................................. 36

7.4 Communication........................................................................................... 37
7.5 Documented Information ............................................................................ 38
8.0 OPERATION .................................................................................................... 43
8.1 Operational Planning and Control............................................................... 43

8.2 Requirements for Products and Services ................................................... 44
8.3 Process or Facility Design and Development ............................................. 45
8.4 Control of Externally Provided Processes, Products and Services ............. 46
8.5 Production and Service Provision ............................................................... 49
8.6 Controlled Release of Products and Services ............................................ 53
8.7 Control of Non-Conforming Outputs (Products/Services) ........................... 54
8.8 Emergency Preparedness and Response .................................................. 55
9.0 PERFORMANCE EVALUATION ..................................................................... 57
9.1 Monitoring, Measurement, Analysis and Evaluation ................................... 57

9.2 Internal Auditing.......................................................................................... 62
9.3 Business Excellence Review (Management Review) ................................. 62
10.0 Improvement ................................................................................................... 63
10.1 Management of Non-Conformances........................................................... 63

10.2 Incident Management and Investigation ..................................................... 64
10.3 Correction and Corrective Action ................................................................ 65
10.4 Continual Improvement .............................................................................. 65
1.0 DEFINITIONS
The following terms and abbreviations have been used in this manual:

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- BMC - Bulawayo Mining Company
- ISO - International Organisation of Standardization
- Standards - ISO 9001:2015 Quality Management Systems, ISO 14001:2015

Environmental Management Systems and ISO 45001:2018 Occupational
Health and Safety Management Systems
- BEMS - Business Excellence Management Systems – a management system for

ensuring excellence in the business in terms of safety, health,
environment and quality performance
- BE Policy - Business Excellence Policy
- Business Excellency - An integrated system of proven practices for operating a business to become the
best it can be. It involves developing and strengthening management systems, processes, activities and
facilities of an organisation to improve its performance and create value for stakeholders.
- Risk - Anything that may prevent or delay the mine or its functions from achieving set or
defined safety, health, environment and quality objectives and/or outcomes
- HLR - High Level Risks – risks occurring at business level or affecting the whole business as
opposed to risks at process or activity level
- HLO - High Level Opportunities – opportunities occurring at business level positively affecting
the business as a whole
- Opportunity - A chance for a positive change and/or improvement
- Top Management - These are senior managers in the organization who make business decisions, provide
resources and drive the required implementation activities to achieve the intended outputs. i.e. Managing
Director, Finance Director, Company Secretary and HODs
- HODs - Heads of Department: Technical Services , Mining, Metallurgy, Engineering, SHEQ, Finance,

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Human Resources and Security.
- Interested Parties - organizations, group of individual, individuals or communities that are affected or
perceive to be affected by the mine’s activities and/or decisions. The organization’s main
interested party groups include the following:
• Shareholders
• Customers (internal and external)
• Regulatory Authorities
• Suppliers of goods and services
• Employees
• Local/ Neighboring Communities
• Media
• Trade Unions
• Industry bodies
• Emergency response services providers
• Professional bodies
• Partners
Hierarchy of controls:
The ideal order of controls for addressing risks with the most effective at the top.
• Elimination-Total removal of the hazard or source of risk
• Substitution- Replacing the element/component of the process/activity presenting the hazard and risk
source
• Engineering - use of engineering technics and or systems to avoid or reduce people exposure, errors ,
subjectivity and or inconsistencies
• Administrative - Provision of information through training, signage or procedures to create or improve
awareness or support other controls in place. It also includes any non-engineering controls to reduce
exposure levels.
• Containment - use of PPE to reduce occupational exposure and risk levels.
- confining a pollutant to prevent its escape to the environment e.g. bunding hazardous liquid
storage tanks.
- QA/QC to prevent process and/or product non-conformances

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2.0 Introduction to Bulawayo Mining Company – How Mine

Bulawayo Mining Company – How Mine is a subsidiary of the London based Metallon Corporation Ltd, Zimbabwe’s
single largest producer of gold. The mine is located 30km South East of the city of Bulawayo in Matabeleland South
Province, in the Bulawayo Mining District of Zimbabwe. How Mine is linked to the City of Bulawayo by a narrow
tarred road that branches off the Old Esigodini Road. The area bordering the mine is occupied by small holder plot
owners, communal areas, small scale and some informal mining activities.
Jul. 1941: J. Howe pegged the How Mine claims as a virgin discovery around July 1941.
1941 Aug.: The claims were transferred to the Halo Mining Syndicate
1943 Oct.: Halo Mining Syndicate changed the name to Halo Co. Ltd
1944 Jul.: Two quarries were established with the Southern quarry down to a depth of 30m.
1950-51: Mine put on option to Goldfields Development Co. Ltd. Frobisher Ltd had an option
Diamond-drilling program totaling 2,020m was undertaken. This indicated potential for
large tonnage operation with an average gold grade of 4.9 g/t.
1953: The option was abandoned effectively ceasing all the milling operations.
1954 Jun.: Ballarat Mines (Pvt) Ltd took over the mine and sank the main shaft between the two
open pits.
1973: Mine taken over by Lonrho, first under the name of Rhodesian Gemstones (Pvt) Ltd,
then Attica Mines (Pvt) Ltd, and eventually Independence Mining (Pvt) Ltd, in 1986.
2002 Oct.: Lonmin (Lonrho) relinquished ownership of Independence Mining (Pvt) Ltd to Metallon
Corporation, a South African based mining company.
Since 1970, the mine has operated continuously and is currently among the top gold producers in Zimbabwe. The
mine falls in the large-scale mining operations. There are eight departments at the mine divided into a functional
structure.
2.1 BMC – How Mine Vision, Mission and Core Values
• Vision
To be a world class precious metal mining company with a footprint across Africa.

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• Mission
To create value for stakeholders through sustainable exploration, mining, acquisition and embracing
technological advancement.
• Our Core Values

Teamwork | Leadership | Excellence | Empowerment | Effective Communication | Integrity | Sustainability |
Sustainable Development
2.2 Introduction to BMC – How Mine Business Excellence Management Systems
BMC – How Mine has developed and implemented formal management systems based on the requirements of the
ISO Standards, referred to as the Business Excellence Management System, as a vehicle for pursuing and
achieving:
• Exceptional management of risk and opportunities
• Compliance with obligations
• Operational efficiency and effectiveness
• Cost containment and profitability
• Meeting the needs and expectations of interested parties
• Continual improvement of organizational capabilities and performance
The BMC – How Mine BEMS is documented in a multi-layered BEMS manual which is in line with the
requirements of the three standards. The manual is divided into seven sections that are aligned to the clauses
of the management system standards. The manual describes, in broad terms, how the standard requirements
are met and gives direction to other related documents. The manual contains policy or compliance positions
describing what it has implemented to meet the requirements of each standard clause.
Internally, the BEMS Manual serves the following purposes:
• Defining elements of the management systems

• Describing the organization’s processes and activities
• Developing management systems awareness

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• Induction and other trainings for employees and visitors

• Auditing
Externally the manual is used to communicate the mine’s BEMS to its interested parties whilst demonstrating
the organization’s focus on responsible and sustainable business management and continual improvement.
3.0 REFERENCES
i. ISO 9001:2015 – Quality Management Systems
ii. ISO 14001:2015 – Environmental Management System Standard Edition 3
iii. ISO 45001:2018 – Occupational Health and Safety Management Systems
iv. ISO 14004:2016 – Environmental Management System – General Guidelines on Principles, Systems and
Support Techniques
v. ISO 14006:2011 – Environmental Management Systems – Guidelines for Incorporating Eco-design
vi. ISO 14015:2001 – Environmental Assessment of Sites and Organizations
vii. ISO 14050:2009 – Environmental Management – Vocabulary
viii. ISO 19011:2011 – Guidelines for Auditing Management Systems
Business Excellence Management Systems Elements

4.0 CONTEXT OF THE ORGANIZATION
4.1 Understanding the Context of the Organization

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The organization fulfils its intended outcomes for business excellence, by developing effective strategic business
plans on a three-year cycle. Amongst others, the strategic planning process takes into consideration the internal
and external factors that may affect the mine’s:
• Compliance with applicable obligations
• performance
• Viability and continuity
• achievement of its intended outcomes for excellence
An effective strategy is based on a good understanding of the internal and external factors impacting on the business
and the needs and expectations of interested parties.
Prior to the strategic business planning process, an assessment to identify the relevant internal and external factors
impacting on the business and determining the needs and expectations of interested parties, is conducted as
defined in the procedure for determining the context of the organization. The PESTLE analysis tool is used to
determine external factors that may affect the mine and the SWOT analysis tool is used to determine internal factors
which are then documented on the High-Level Risk and Opportunities Matrix.
Information on the High Level Risk and Opportunities Matrix is used in:
• Setting business priorities / focus areas and objectives
• Identifying required management actions (projects)
• Other business planning activities
• Developing business awareness amongst employees
Related Documents
• Determining the Context of the Organization Procedure
• High Level Risk and Opportunities Matrix
• Management of Interested Parties Procedure
• Compliance Obligations Management Procedure
4.2 Interested Parties Requirements

Interested Parties are organizations, groups of individuals, individuals or communities that are affected or perceive
themselves to be affected by the mine’s activities and/or decisions. The organization has identified groups of
internal and external interested parties. The specific requirements and expectations of each interested party group
have also been determined together with the means of meeting those requirements that the mine has an obligation

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to/or voluntarily accepts.

The organization’s main interested party groups include the following:
• Shareholders
• Customers (internal and external)
• Employees
• Local/ Neighbouring Communities
• Media
• Trade Unions
• Industry bodies
• Business Partners
The systems and processes used to engage, understand and monitor the requirements of each interested party
group are defined in the Interested Parties Requirements Procedure and Matrix.
Related Documents
• Interested Parties Requirements Matrix
• Interested Parties Satisfaction Measurement and Monitoring Procedure
• Employee Perception Surveys
4.3 Scope of the Business Excellence Management System

The Business Excellence Management System described in this manual covers the following:
• All the internal processes, activities, products, facilities and services that the mine has control over.
• Any external processes, activities, facilities and services that the mine may have or is expected to have
control or influence over e.g. off-mine residential facilities, mine access road, driver behaviour and condition
of branded company vehicles.
• All internal or external processes, activities or services for achieving compliance with applicable legal and
other obligations including interested parties needs and expectations voluntarily accepted by the
organisation.

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From its location, about 30km South East of the City of Bulawayo on 20° 18' 17'' South , 28° 46' 32'' East in the
Bulawayo Mining District, Matabeleland South Province Zimbabwe, the mine carries out exploration, mining,
processing and related activities for gold.
Fig 1: Map showing How Mine Claim
The Business Excellence Management Systems meet all the requirements of the ISO 9001:2015 Quality
Management Systems, ISO 14001:2015 Environmental Management Systems and ISO 45001:2018 Occupational,
Health and Safety Management Systems standard.
BMC – How Mine offers products and services to internal and external customers, which are defined in the various
departmental Process Matrices.

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BMC – How Mine’s main inputs consists of:

• Energy (electricity, diesel, petrol, gas)
• Water and water facilities (utility authority, underground and reservoir)
• Mining consumables (explosives, tools etc.)
• Machinery and Equipment (head gear, mobile equipment, pumps and motors)
• Engineering Spares (welding material, construction steel, mobile equipment spares)
• Chemicals (oils and lubricants, hazardous substances)
• Financial, material and human resources
Outputs of BMC – How Mine processes and activities, amongst others, include:
• Gold
• Effluent (tail-water, domestic sewage ponds and mobile equipment washing activities)
• Emissions (assay, underground exhaust gases)
• Dust (Earth movers, Slimes dam, Met. Processes, roads)
• General and Hazardous Waste (empty chemical containers, used oils, contaminated materials, old
batteries)
• Livelihoods
The mine’s operations are made up of the following processes and activities, which are managed from within:
• General Management – Business Planning, Resourcing, Coordination, Measurement and Evaluation,
Reporting
• Technical Services – Mine Planning, Geology, Survey and Assay
• Mining – Capital, Development and Production
• Engineering – Electrical, Mechanical, Civil and Projects
• Metallurgy – Crushing, Milling, Leaching, Elution, Smelting and Tailings
• Human Resources – Industrial Relations, Training, HR Administration, Clinic and Community
• Security – Crime investigations, Surveillance, Guarding, Bullion Transportation
• Finance – Administration, Accounts, Procurement, Stores, IT Services
• SHEQ – Safety, Health, Environment and Quality
Some of the following activities are outsourced:

• Exploration drilling
• Transport

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• Plant and Equipment Installation, Repairs and Maintenance

• Soil and Water Testing
• Audits
• Infrastructure Development
• Medical services
• Training and Advisory Services
• Various Monitoring and Measurement Activities
• Tailings Management
• Security
Management of the above functions are responsible for the effective control of the internally conducted processes
and activities and influencing those externally conducted.
BMC – How Mine also interacts with:
• Parties outside its Operations (Neighbors/community, Suppliers, Contractors, Regulatory Authorities ,
Industry bodies, Metallon corporation, other Mines)
4.4 Business Excellence Management System and its Processes

The organisation has identified and analysed the processes making-up the business. The Key Resources, Inputs,
outputs, Risks, Mitigatory Measures, Opportunities, Enhancements, Responsibilities and Accountabilities for each
process have been determined and defined in the respective Departmental Process Matrices. The overall
relationships and interactions of the organisation’s processes are shown in the process model below.
BMC – How Mine Business Process Model

General Management Processes
 Strategic Planning
 Resourcing
 Coordination and Control
 Performance Measurement
 Corporate Image/Social Responsibility


Support Services Support Services
 Human Core processes  Engineering
Resources  Mine Planning
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General Management – Office of the Managing Director provides leadership to the organization by:
• Facilitating the realization of the organisation’s Vision, Mission, Core values and Strategies
• Establishing policies and controls in line with organizational values
• Resourcing and enabling the coordinated implementation of the organization’s strategies
• Developing strategic partnerships with external parties
• Business performance monitoring, evaluation and reporting
Core Functions of the organisation consist of:

• Technical Services – Mine Planning, Geology, Survey and Assay
• Mining – Development (capital, primary and secondary) and Production
• Metallurgy – Crushing, Milling, CIP, Elution, Smelting and Tailings
Support Functions which are focused on enabling and providing services to the core functions:
• Engineering – Electrical, Mechanical, Civil and Projects

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• Human Resources – Industrial Relations, Training, HR Administration, Clinic and Community

• Security – Crime investigations, Surveillance, Guarding, Bullion Transportation
• Finance – Administration, Accounts, Procurement, Stores, IT Services
• SHEQ – Safety, Health, Environment and Quality
Related Documents
• Departmental Process Matrices
• Organogram
5.0 LEADERSHIP
5.1 Leadership and Commitment
The organisation’s top management consists of:
• Managing Director
• Finance Director
• Company Secretary
• Mine Manager
• Heads of Departments: Technical Services, Engineering, Mining, Metallurgy, Human Resources, Security,
SHEQ, Finance and Procurement

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To demonstrate their commitment to Business Excellence, top management: -

• Defined and communicated enabling vision, mission and values
• Defined the Business Excellence Policy and objectives, that are aligned to the strategic direction of the
business and communicated them throughout the organisation
• Ensure that risks and opportunities are identified and adequately addressed
• Review and define clear roles, responsibilities and accountabilities for processes, teams and individuals
• Identify and provide suitable and adequate resources to enable the required performances
• Encourage and enable active worker participation in the operation and improvement of BEMS
• Establish clear and open consultation and communication channels with employees and other interested
parties
• Ensuring timely institution of the required change corrective and/or improvement actions
• Regularly update their competencies to ensure availability of the most current leadership skills, techniques
and practices
• Supporting other business functions to contribute to the effectiveness of the BEMS
Top management leads by example, take full accountability for all process performance and motivate their
subordinates for alignment to desired organizational objectives.
Related Documents
• Vision, Mission and Values
• BEMS Policy Statement
• BEMS Strategy - Strategic Focus Areas, Strategic Objectives, Actions, Plans and Budgets
• BMC – How Organogram
• Business Process Matrices
• Appointments
• Job Descriptions
• Business Meetings Procedure
• Business (High) Level Risks and Opportunities Matrix
• Operational Risk Registers
5.1.2 Focus on Interested Parties (IP)

The organisation’s Interested Parties fall into the following groups:

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• Shareholders
• Customers – internal and external
• Employees – management and workers
• Local communities – internal and external
• Media
Interested Parties are identified on an ongoing basis and their requirements determined as defined in the
Management of Interested Parties Procedure.
The organisation achieves focus on customers and other IPs by ensuring that functions within the business focus
on:
• Both the internal and external IPs
• Understanding the stated or implied needs and requirements of the IPs, determining those that the
organisation has an obligation to meet and the means for meeting them
• Aligning processes to consistently meet and deliver to agreed IPs’ requirements
• The risks and opportunities associated with the processes, needs and requirements of the IPs and the means
of addressing them.
• The compliance obligations associated with the IPs’ needs and expectations
• The appropriate handling/management of any IPs property
• Defining and communicating any specific organisational requirements related to the IPs’ processes, activities,
products, facilities or services
• Documenting and communicating any agreements with internal or external IPs.
Internal and External IPs perceptions and relations are measured and monitored as follows:
• Workers and Management – Employee Perception Surveys
• Internal Suppliers and Customers – Service Level Scoring and Interested Parties Feedback
• External Customer – Customer Product Analysis Feedback and Interested Parties Feedback
• Suppliers and Contractors – Interested Parties Feedback, Contract and Service Level Agreements
• Regulatory Authorities – Interested Parties Feedback, Directives, Evaluation of compliance with obligations,
compliance failures and penalties
• Local communities – Interested Parties Feedback, External consultation and communication process

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Related Documents
• Supplier and Contractor Identification, Evaluation Procedure
• Internal Consultation, Participation and Communication Procedure
• External Consultation, Participation and Communication Procedure
• Determining the Context of the Organisation Procedure
• Employee Perceptions Surveys
• Interested Parties Satisfaction Measurement and Monitoring Procedure (Interested Parties Perception
Surveys)
5.2 Business Excellence Policy Statement

The BMC – How Mine Business Excellence Policy Statement communicates the broad commitments and intentions
of the organisation to achieve excellence in relation to its process quality, environmental stewardship and
occupational safety and health risk management. The BE Policy, which satisfies the requirements of the three
international standards, has been developed by top management with the consultation and participation of
employees at all levels.
To ensure the policy is understood, accepted and complied with, it has been availed in appropriate languages and
communicated to all employees.
The policy is also available, on a need and request basis, to external interested parties.
The policy is reviewed, to check and confirm its continued suitability and adequacy, at Excellence Review Meetings.
Related Documents
• BE Policy Statement
• Business Excellence Review Meetings Procedure (Management Review)
5.3 Roles, Responsibilities, Authorities and Accountabilities

An organizational structure, which supports the strategy and reflects the functions necessary to execute and support
the processes and activities of the business, is in place. The structure also shows general authority levels,

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communication channels, inter and intra-departmental interfaces. The structure is reviewed and adjusted as
necessary in response to new strategic initiatives.
The Managing Director (MD) is ultimately accountable for the effective implementation and operation of the BEMS
and its performance. He ensures that the required resources are timely provided, safeguarded and fully utilised in
a coordinated manner to meet business objectives and IPs expectations. The MD is supported by the Finance
Director, Company Secretary, Mine Manager and HODs who are in turn accountable for the effective planning,
operation and control of processes and activities within their specific areas of control to ensure the delivery of
intended outcomes.
Each HOD takes accountability for the effective development, implementation and improvement of the management
systems elements that pertain to their area of control. HODs are responsible for monitoring and reporting, to other
top managers, the performance of the Business Excellence Management Systems in their areas of control. They
are also responsible for identifying their internal and external IPs, understanding their requirements/expectations
and ensuring that they are met.
The SHEQ Function provides an internal coordination and advisory role on Business Excellence. They also liaise
with external parties (regulatory authorities, certification bodies, benchmarking partners, etc.) on business
excellence issues.
Special teams with specific BE responsibilities are in place to deal with issues such as emergency response
activities, SHE representation, First Aid, specific projects and others. Their roles, responsibilities and authorities are
clearly defined in the individual team members’ appointments. The teams are capacitated through the appropriate
trainings and resourcing.
Roles, responsibilities and accountabilities for non-routine or once-off works {strategic actions (projects)} are defined
in the specific project documents and supported by specific Performance Contracts and Key Performance
Indicators, as appropriate.
Routine roles, responsibilities, authorities and accountabilities for the individuals are defined and communicated
through job descriptions and appointments.
Other routine BEMS roles and responsibilities are defined and communicated through procedures, work instructions
and other system documents

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The individuals’ performance is assessed based on routine and non- routine roles and responsibilities.
Individual or group roles and responsibilities are timely reviewed and where necessary changed in line with any
changes in the BEMS.
Related Documents
• BMC – How Mine Organogram/organisational structure
• Job descriptions
• Appointments
• People Performance Management Procedure
• Performance Contracts
• Management of Business Changes Procedure
• Management of Operational Changes Procedure
5.4 Consultation and Participation

5.4.1 Internal Consultation and Participation
Various BE internal consultations, participation and reporting activities are undertaken regularly.
Internally, management and employees consult and participate through defined structures and processes on issues
relating to the business, including:
• Business strategy – Employee perception surveys, management and employees’ meetings, workers
representations
• Operational risk assessments/management – Baseline Risk Assessment, Issue Based Risk Assessment
(Pre- task and pre-change, Pre-procurement, Pre-improvement, Post-incident risk assessments)
• Occ. Health and Hygiene Factors – Employee Perceptions Surveys, SHEQ Meetings, Works Council
meetings.
• Internal Customer and Supplier requirements and expectations – Service Level Agreements

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An Internal Communication, Consultation, Participation Procedure supported by appropriate Consultation and

Participation Matrices has been developed and implemented.
Related documents
5.4.2 External Consultation and Participation

External Consultations are held to promote co-operation, ownership and engagement with external IPs. Participation
in external activities is amongst others, based on or driven by the need to:
• Learn new trends and developments in business excellence
• Identify with or relate to industry peers
• Benchmark against relevant partners
• Show support or commitment to a relevant cause
• Comply with obligations
• Demonstrate corporate social responsibility
External parties are free to request the organisation’s participation in their activities or their participation in the
organisation’s activities.
The most relevant Manager represents the business at the various external consultation and participation activities.
All external consultation and participation activities are conducted under the authority of senior management.
External consultation and participation activities are recorded, reviewed and timely actioned, if necessary. Details
of all such activities are generated and maintained.
Related documents
6.0 PLANNING
6.1 Actions to Address Risks and Opportunities
Business risks and opportunities are identified during the following risk assessment processes:
1) High Level –: identifies risks and opportunities that affect the whole or a significant part of the business.
Most high level or strategic risks arise or are identified from the following:

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• High level internal and external issues that may significantly and negatively impact on the organization’s
viability and continuity e.g., fall in the international gold price, depletion of the mineral resources and others
• Major OHS incidents e.g., ground or infrastructural failures, major disease outbreak (cholera)
• Environmental aspects with significant impacts e.g., shortage of water for operational activities
• Needs and expectations of interested parties
• Significant compliance gaps
2) Baseline –: initial comprehensive hazard identification and risk assessment for all operational activities
3) Issue based (New issue, Pre-procurement, Pre-change/improvement, Pre-project and Post incident)-: issue-
specific risk assessments applied to different situations and/or processes
4) Pre-task-: risk assessment conducted prior to the performance of a task so as to identify any situational risks
or what might have changed from previously known situations.
The Baseline, Issue Based and Pre-task risk assessments are conducted at operational level, whereas High level
risk assessment is conducted at Business/Strategic level. Risks are mitigated and Opportunities enhanced through
formal actions collectively referred to as Management Actions (projects).
Opportunities are the advantages presented by certain situations, conditions or even some business risks. Actions
to address or take advantage of opportunities can be referred to as Enhancements e.g. adoption of renewable
energy technologies (solar power, biogas, etc.), mining decommissioned slimes dams, increase in international gold
prices.
Actions to address both the business risks and opportunities are structured and implemented in the form of
Management Actions (projects).
This results in Management Actions (projects to mitigate business risks and/or enhance opportunities.
Related Documents
• Operational Hazards and Risks Identification and Assessment Procedure
• Business Planning Procedure
• Management Actions (Projects) Procedure

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6.1.2 Identification and Assessment of Hazards and Risks at Operational Level

Hazards occurring at operational level consist of:
• Environmental hazards (negative environmental aspect) an operational element that may have a negative
impact on any part of the environment
• OHS hazard an operational element that may cause harm to the health and safety of people and property.
• Quality hazard an operational element that can compromise compliance to process or activity specifications
and/or achievement/delivery of its intended outcome/deliverables
Hazards at operational level may arise from any of the following:
• Materials
• Input information
• Work methods applied
• Work environmental factors
• Machinery and equipment
• Human factors (Behavior, attitude, habit, condition, competence, control)
Hazards at operational level and their related risks are identified through a systematic hazard and risk identification
process. The techniques/ tools applied are defined in the Operational Level Hazards and Risks Identification
Procedure. A register of the Hazards and Risks at operational level was established initially, reviewed every three
years, updated as necessary and/or when new hazards and risks are identified.
The identification process of hazards and risks at operational level considers the existing and potential hazards and
the related risks to the organization’s internal and external process, activities, facilities, products, or services, over
which the organization has control and those it can or is expected to influence.
On an ongoing basis, operational hazards and risks may be identified from or at any of the following:
• At the beginning of a project (IBRA Pre-project risk assessment)
• On introduction of a new product or input material or facility (IBRA New Issue)
• On changing an existing process/activity, method, material, machinery, etc. (IBRA Pre-change risk
assessment)
• At the beginning of a high-risk routine or non-routine activity carried out under normal, different or abnormal
conditions (IBRA Pre-task risk assessment, High risk work permit)
• At the beginning of a low/normal risk routine or non-routine activity carried out under different or abnormal
conditions or at excessively spaced intervals (IBRA Pre-task risk assessment)
• During site, facility, process, material or other inspections or audits

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• During or after the occurrence of an incident or emergency, including near-misses (IBRA Post incident risks
assessment)
Different hazards and risks at operational level can be identified for the same work activities, facilities, practices,
materials or services under Normal and Abnormal or different operating conditions. Some emergencies may also
introduce new hazards and risks depending on the location of occurrence and prevailing conditions.
Identification and assessment of hazards and risks at operational level for the organization’s, facilities, materials, or
products is performed on the part of its lifecycle that the organization is in control of or can influence. Identification
and control of some hazards and risks associated with input materials/equipment may benefit from the information
provided by the manufacturer or supplier in manuals and material safety data sheets.
All the identified hazards and risks at operational level are assessed and ranked using a defined criterion for each
hazard and risk category (quality, environment, safety and health). A full review of the hazards and risks at
operational level is carried out once every three years, however, ad-hoc reviews may also be conducted or carried
out as and when necessary e.g. after an incident and/or emergency situation.
The criteria for evaluating and ranking hazards and risks at operational level is reviewed and, if necessary, adjusted
as appropriate every three years. Information on hazards and risks at operational level is documented, maintained
and communicated within the organization and externally to interested or affected parties, as necessary.
Related Documents
• Operational Level Hazards and Risks Identification Procedure
• Risks Assessment, Ranking and Determination of Controls Procedure
• Management Actions (Project) Procedure
6.1.3 Compliance Obligations

The organization’s compliance obligations consist of any or all of the following applicable requirements:
• Statutory and Regulatory requirements
• Corporate requirements (e.g. Policies, Guidelines, Rules, etc.)
• Relevant International Treaties and or Protocols ratified by the Government of Zimbabwe
• Accepted IPs requirements and expectations
• Relevant International and national standards, guidelines and related requirements
• Adopted Best Practices and/or Codes of Practice – Industry, National, Regional, International
• Relevant requirements from professional, institutional or industrial bodies which BMC – How Mine is a
member
Documentation or information related to the compliance obligations is obtained from relevant sources and compiled

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into a Compliance Obligations (Legal and other Requirements) Register.

Communication of Compliance Obligations, internal and external, is done through various means as appropriate
e.g. through:
• Operational procedures or other control documents
• IPs engagements
• Service providers contracts and inductions
• Obtaining and availing compliance obligation information to relevant IPs
Amongst others, compliance obligations are considered when setting:
• Objectives
• Establishing business plans
• Determining training needs
• Establishing Management Actions (Projects) for improvement or managing risks and opportunities
• Reviewing or evaluating the organisations performance
A system for tracking changes to existing compliance obligations or the introduction of new compliance obligations
is in place and defined in the Compliance Obligations Identification Procedure. On a regular basis, the extent of
compliance with the relevant compliance obligations is evaluated through a Compliance Obligations Evaluation
Process.
Related Documents
• Compliance Obligations Evaluation Procedure
6.1.4 Planning Action

Planning to achieve business excellence is done at two levels: Strategic and Operational. Strategic Planning is done
at the organization (mine) level on a five-year cycle covering the high level non-routine issues or activities.
Operational Planning is done at functional (department) level on an annual basis and covers a part of the strategic
plan to be implemented in that current year and the routine/ operational activities for that year.
Inputs to the strategic planning process include the following:
• Organisational vision mission and core values
• Business aspirations
• High level risks and opportunities obtained from the business environment scanning process (Determining
the Context of the Organization)

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• Significant hazards and risks at operational level obtained from the hazards and risks identification and
assessment process
• Requirements and expectations of Interested Parties obtained from IPs identification, engagement and
management process
• Compliance obligations obtained from compliance obligation identification and analysis process
• Previous performance results
The above inputs may be prioritized to determine those that can be applied in the planning process based on:
• Their contribution/impact to the intended outcome
• Ease of application/implementation
• Cost of implementation/application process
The outputs of the Strategic Planning process include the following:
• Strategic Focus Areas
• BE Policy Commitments
• Strategic Objectives
• Strategic Actions (Management Actions (Projects)
• Strategic Plans (Management Plans)
Inputs to the Operational Planning process include:

• An appropriate component of the strategic plan for implementation during the year under planning
• Routine works /activities for the year (e.g. mining, maintenance, waste management and other activities,
audits/assessments, trainings, emergency preparedness and response testing, internal and external
communication, monitoring, measurements and reporting activities etc.)
• Any carryover work from the previous year
The strategic and operational planning activities ensure closer alignment and integration of business activities.
Criteria for monitoring progress and evaluating effectiveness of the Strategic and Operational plans are developed,
defined and made part of the strategic and operational planning.

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BUSINESS PLANNING & OPERATIONAL MODEL

PLANNING (Strategic Level) IMPLEMENTATION (Operational Level)
INPUTS
INPUTS
- Vision and Mission/Aspirations
- Strategic Objectives & Actions
- Risks & Opportunities
- Operational/Departmental Objectives
- Interested Parties Requirements
- Routine Activities
- Operational Hazards and Risks
- Operational Actions & Plans
- Compliance Obligations
- Systems & Operational Procedures,
- Continual Improvement Outcomes
Standards, Instructions
- Previous Performance Results
- Implementation Resources
OUTPUTS
OUTPUTS
- Focus Areas
- Implementation Plans/Schedule
- BE Policy commitments
- Implementation Results
- Strategic Objectives
- Strategic Actions
LEADERSHIP
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CONTINUAL IMPROVEMENT MEASUREMENT & MONITORING (MM)

(Strategic & Operational Levels) (Operational Level)
Related Documents
Related Documents
6.2 Business Objectives and Planning to Achieve Them

6.2.1 Business Objectives
Business objectives are established at two levels: Strategic and Operational (Functional) levels.
Strategic Objectives are established by Top Management on a five-year cycle and are derived from commitments
made in the BE Policy statement and Strategic Focus Areas.
To operationalize them, the Strategic Objectives are broken down into annual Operational Objectives and cascaded
down to the relevant operational functions (departments), where:
• They are owned at the appropriate level

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• Specific Management Actions (Projects) are determined and defined (planned) for the achievement of the
objectives
• They are communicated to the relevant parties.
Whenever practicable, objectives (Strategic and Operational) are made to be SMART (Specific, Measurable,
Achievable, Realistic and Timely).
The progress made towards achieving objectives is reviewed quarterly during Business Excellence Review
Meetings and at the end of the five-year Strategic Planning Cycle.
Related Documents
• Strategic Focus Areas and Objectives Matrix
• BEMS Policy
• Strategic Focus Areas and Objectives Procedure
• Management Actions Procedure
• Management Actions (Projects) Register
6.2.2 Planning Actions to Achieve Business Objectives

Business objectives are achieved through formal and planned actions referred to as Management Actions (Projects).
Management Actions (Projects) are also used to address opportunities and risks, significant hazards and risks at
operational level, compliance gaps, and other actions that require formal and structured implementation framework.
Each Management Action (project) is formally established and documented to show the following:
• Management Action (Project) Title/Name
• Purpose/objectives
• Management Action (Project) Scope
• Timeframes (overall targets)
• Management Action (Project) Ownership (Department and Responsibility)
• Relevant Compliance Obligations
• Management Action (Project) Risks and Controls
• Key Action (Project) Resources (skills, material, financial)
• Management Action (Project) Activities
- Detailed activities listed sequentially
- Target completion dates for each activity

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- Responsibility for each activity

• End of Management Action (Project) Evaluation Plan
• Management Action (Project) Sign-off/Closure
Wherever practicable, the implementation of specific Management Actions is aligned and integrated with the
relevant departmental operational plans and activities.
Management Actions (Projects) that relate to new developments may be subjected through an appropriate Risk
Assessment (EIA, Issue Based). Management Actions relating to changes or modifications in activities, facilities,
products or services, are reviewed through pre-change risk assessment and managed through the change
management process.
Related Documents
• Strategic Focus Areas and Objectives Procedure
• Management Actions (Projects) Procedure
6.3 Business Changes Management

Any significant changes to; existing business systems, any component of the business strategy, organizational
structures, Plans etc. are planned for, justified, evaluated, reviewed and approved by top management.
The feasibility study is conducted and resource requirements for the implementation of such changes are allocated
and where appropriate, responsibilities and authorities defined or assigned. All such changes require a pre- change
issue-based risk assessment before they are implemented. Outputs of the risk assessments are used to improve
the change plan, as necessary.
The changes are implemented/ managed in line with the change plan and whenever possible, changes should be
implemented on a “make-before-break” approach to ensure a smooth change over and minimum disruptions.
Change effectiveness is reviewed at appropriate stages after the implementation and completion of the change
process. The change effectiveness evaluation method would have been defined at the change planning stage.
Information describing the change process, risk assessment methods and change effectiveness evaluation results
is generated, communicated, as necessary, and maintained.
Where major business changes, which may require significant structural, behavioral and or organizational cultural
changes, are carried out, specific change management effort/ Actions covering the ‘people issues’ may be instituted

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by management to create an environment where the business changes will be accepted and sustained.
Related Documents
• Management of Business Changes Procedure
7.0 SUPPORT
7.1 Resources
7.1.1 General
Resource requirements are determined from the nature of the business and the strategic activities being pursued
at a particular time. The nature of business determines the general resources required for the general routine
activities of the business e.g. infrastructural, human, plant and equipment, buildings and associated utilities,
transportation, accommodation, communication.
Strategic activities may make use of some of the existing general resources but would require some additional and
specific resources. These are determined and defined at the time the strategic plan is being crafted.
7.1.2 People
The organization establishes the manpower and skills requirements based on:
• Strategic direction of the organization
• Nature and extent of the business processes
• Internal and external IPs requirements
• Compliance obligations

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• Operational hazards and risks

• Business risks and opportunities
These manpower and skills requirements are reviewed and adjusted regularly to support specific strategies that will
be pursued at a particular time or period and to align with specific requirements or changes obtained in the business
environment.
On an annual basis, manpower and skills audits are conducted at all levels and the results are compared with
approved establishments to determine any gaps or excesses.
Transfers and/or re-assignments maybe implemented to address any identified excesses and training of existing
personnel and or acquisition from external sources may be carried out to address any manpower/skills shortages.
To ensure continuity of the business processes and activities and focus skills development, a succession planning
process is in place.
The management teams and workers are regularly trained and drilled to fully appreciate and utilize the various
management systems and practices in use within the organization. Management has an obligation to employ
effective management styles that ensure personnel are adequately involved, guided, motivated, focused, fully
utilized and retained.
To ensure competitive remuneration packages, surveys and benchmarking exercises on industry and national
remuneration patterns are conducted regularly and the organization’s remuneration packages may be adjusted or
aligned accordingly. Remuneration packages are also linked to individual and team performance levels in relation
to strategic and operational objectives and performance expectations as agreed in performance contracts and key
performance indicators. Employee perceptions on the organization, management styles, organizational culture and
other relevant functions are established through relevant tools and appropriate actions taken.
Related Documents
• Management of Trainings Procedure
• Training and Competence Development Procedure
• Recruitment and Selection Procedure
• Succession Planning Procedure
• Performance Contracts
• People Performance Management Procedure

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7.1.3 Infrastructural Resources

The organisation has developed, acquired and installed infrastructural resources (Buildings, plant and machinery,
transport, ICT and others) required for the operation of the business processes and activities and the preservation
of the integrity of the business products, services and assets. Processes and procedures are in place to ensure the
effective security, maintenance and renewal of these infrastructural resources.
Related Documents
• Assets Register
• Planned Maintenance Procedures
• Vehicles Management Procedures
• ICT Utilities Maintenance and Testing Procedure
• Procurement of Goods and Services Procedure
• Asset Valuation Procedure
7.1.4 Environment for the Operation of Processes

Work environmental factors that may have an impact on the performance of the business processes, industrial
relations, organizational culture, occupational health and safety, organizational image and others, are identified and
regularly monitored and controlled. Standards for quality, environmental and occupational health factors for the
work environment are determined from compliance obligations and best practices. On an on-going basis, quality,
environmental and occupational hygiene surveys are conducted in various workplaces and where results are not
complying with the standards, appropriate action is taken.
Employees are an integral component of the business processes. Their physical, emotional and psychological
wellness is an important component and enabling input to the business processes performance.
The organization is committed to ensuring employee wellness. In line with this commitment, systems have been
established to ensure employee wellness starting at the recruitment stage, during the employee’s working life and
where necessary, after retirement.
Related Documents
• Industrial Hygiene Surveys Procedure
• Employee Perception Surveys

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• Employee Wellness Management Programme

• Pre-Employment Wellness Examination
• Post–Employment Wellness Examination
7.1.5 Monitoring and Measuring Resources

Critical process parameters, inputs and outputs that require strict control have been identified and appropriate plans
for their proper monitoring put in place. Appropriate measuring equipment/devices have been provided to ensure
that the critical process parameters are effectively monitored to enable achievement of the required reliability and
accuracy levels.
Where necessary and at defined intervals, measuring equipment/devices are sent out to approved laboratories for
servicing and calibration. The calibration and functional status of the monitoring and measuring devices is readily
identified. During handling, storage and use of the devices, precautions are taken to prevent their damage and or
deterioration.
Any software and other tooling equipment used in the various processes to impart dimensional or other
characteristics on the process or activity output are also periodically checked for validity, accuracy and consistency.
Where possible, appropriate corrections and corrective actions are taken on any equipment that is found to be out
of its original measurement tolerances otherwise the instrument is decommissioned or used and the error
compensated for.
Records of monitoring and measurement equipment, devices and software control activities are generated and
maintained.
Related Documents
• Relevant guidelines/standards
7.1.6 Organizational Knowledge

Information unique to the organization’s product, processes, activities, facilities, services and/or interested parties,
which is useful or helpful in enhancing the organization’s current and future capabilities or performances,
obtained/derived through:
• Observations
• Research

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• Experiments
• Benchmarking activities
• Individual and/or organizational experiences on risks, opportunities, failures and successes
• Participation and consultation activities
• Information from suppliers
Systems and mechanisms for identifying, collating, preserving and sharing organizational knowledge are in place.
As new organizational knowledge is gathered, the existing database is updated and appropriate personnel informed.
Information on organizational knowledge is used to adapt and customize existing processes, practices and facilities
for improved and or reliable performance. It is also used in evaluating the feasibility of any proposed process or
other changes.
Related Documents
• Organizational Knowledge Management Procedure
• Organizational Knowledge Database
7.1.7 Financial and Other Resources

The organization’s financial requirements are determined on the basis of the business strategic and operational
processes/activities. A budget is established, reviewed and approved within the business and at board level.
Financial management procedures for the effective control, utilization, accounting and reporting of financial
resources are in place and are subject to BEMS audits as well as financial audits as required.
To enable easy access to funding, good relationships with bankers and other financiers are maintained. The
organization’s financial books, reputation and credit worthiness is also monitored to ensure ease of accessing
funding.
Related Documents
• Business Strategy
• Strategic and Operational Plans
• Budgets
• Financial Reports
• Financial Management Procedure
7.2 Competence

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To ensure that personnel are adequately prepared to effectively execute or discharge their roles and responsibilities,
the recruitment and selection process ensures that minimum competence requirements are defined and met for
new employees and various training interventions are utilized for existing employees.
Skills and competence requirements for routine and strategic activities are determined from operational hazards
and risks in the organization, performance measurements, personal requests, skills gap audits and other factors.
Various approaches or techniques are used to develop or acquire the required skills and competence levels,
including:
• On the job training – targeting individuals or groups internally
• Off the job training – external, targeting individuals or groups
• Apprenticeship Training
• Internship /Graduate Traineeship
• Mentoring and coaching on the job
• Recruitment and utilization of the required skill
• Skills hiring or contracting
For each structured training provided, and after an appropriate period of time, an evaluation of the effectiveness of
the training is carried out and any required actions are taken to meet the original training objectives.
Records of all training activities are generated and maintained.
Related Documents
• Apprenticeship Training Programme
• Mentorship Programme
• Graduate Traineeship Programme
• Cadetship Programmes
7.3 Awareness
All new employees, on- and off- site contractors and existing employees in new positions are inducted or introduced
to the business and their specific work activities, before they start work through structured induction training.
The company induction training includes the following:
• Mission/vision
• Values – organizational history
• Business Process Models, Structures

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• Policies – Business Excellence, SHE, PPE, Procurement and others

• Objectives
• Risks and Precautions/Controls
• Human resources procedures
Induction training prepares the new employee to understand and fit into the organization. Visitors are given a basic
induction to make them aware of the risks, exposures and the relevant response procedures.
To ensure a common and correct understanding of the business objectives, strategies, policies, processes,
activities, stakeholders’ requirements, challenges, opportunities, risks and the necessary individual responsibilities,
detailed business awareness training is planned for and provided to all employees through various training channels
at least once a year.
Related Documents
7.4 Communication
7.4.1 General
7.4.2 Internal Communication
The SHEQ Manager and/or Officers are responsible for ensuring the identification of the relevant Business
Excellence information to be communicated internally to management and employees on a regular or ad-hoc basis.
Various internal communication and reporting tools are utilized to ensure effective internal communication.
An Internal Consultation, Participation and Communication Procedure and Communication Matrix are in place to
provide guidance on the Business Excellence information that is communicated internally and how such
communications are done.
Heads of Departments/Sections are responsible for ensuring the timely and correct communication of Business
Excellence information related to their processes and activities, as defined in the Internal Consultation, Participation
and Communication Matrix.
All information that is communicated internally is recorded and maintained.
Related Documents
• Emergency Preparedness and Response Procedure

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7.4.3 External Communication

BMC – How Mine has identified various Interested Parties that are external to its operations which it has to
communicate with. These include:
• Statutory and Regulatory authorities
• Suppliers and contractors
• Customers
• Neighbours/affected communities
• Trade Unions
• Industry bodies
• Partners
The most relevant Manager represents the business at the various external communication activities. All official
communications from the business to external parties are conducted under the authority of the Managing Director.
External parties are free to communicate with the organization through any media. To ensure that all received
external communications are recorded, reviewed and timely responded to, a log or register of all such
communications is centrally maintained by the SHEQ department. Some BEMS related communications may come
directly through emails to the concerned individuals who may trigger the necessary internal communications and or
escalations.
Some communications can be received or picked from public media like newspapers and handled in the same way
as the direct communications. All logged communications are then directed to the most appropriate business
manager to respond to or address. Some communications, e.g. those related to incidents/emergencies, may be
directed to the SHEQ Manager in addition to the responsible department.
Related Documents
7.5 Documented Information

7.5.1 General
The organisation’s documented information is divided into two:

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i. Document – documented input information (hard copy or electronic) referred to and used to operate the
system for example policies, procedures, work instructions, plans and other control documents
ii. Records – documented output information (hard copy or electronic) generated during the operation of the
business management system e.g. reports, completed checklists, process logs and others.
7.5.2 Creating and Updating Documented Information

Documents needed to achieve effective control of the various business processes; activities and tasks are identified,
developed or acquired, controlled and maintained in hard or electronic copy.
Documents are established to:
• Meet standard or legal requirements
• Achieve control by standardizing the process, activity or task.
• Preserve and ensure continuity of the correct and effective methods
• Establish a basis for reference and/or training
Types and levels of documentation in use in the BEMS are shown below:
DOCUMENTED INFORMATION STRUCTURE /LEVELS
• Policy – position or compliance statements on issues of interest/concern to the business given by

management and applicable requirements.
• Guideline – a generalized and less prescriptive description of different but related activities or processes
whose sequence may not flow smoothly to make-up a procedure or work instruction.

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• Procedure – a sequential step-by-step description of carrying out a process. It includes the tasks,
responsibilities, sequence, and any relevant specifications and the records generated. Two types of
procedures: System and operational. System procedures address specific Business Excellence System
Management issues or a common standard requirement. Operational procedures apply to a specific
operational process or activity and one department.
• Work instructions – a detailed, sequential step by step description of how to carry out a specific activity or
task. It includes the steps, responsibilities, sequence, and any relevant specifications and the records
generated.
• Flow charts and maps – diagrammatic illustration of a process, activity or task. It can be used to support
or summarize a procedure or work instruction.
• Matrices – a tabular presentation of related sets of information.
• Checklists – a list summarizing the things to be done/checked
• Drawings – diagrammatic illustration of specifications.
• Forms – blank formatted documents on which data is entered to form records.
All the information above can be in hardcopy or electronic form. Information in electronic format is kept in any of
the following media: -
• Compact disks
• Flash disks (temporary storage only)
• PC hard disc drive
• Network server
• Digital video disk
• Video compact disk
All internally generated documents are originated by a competent person familiar to the process activities to be
documented, reviewed for correctness, adequacy and suitability by relevant competent people before they are put
to use.
Details of the originator, the reviewer and authorizer of the document are indicated on the document control panel.
The naming, numbering and other control information applied to documents is defined in the document control
procedure. Documents can be established internally or acquired from external sources. Documents of external
origin include:
• Legal documents
• Standards
• Codes of practices

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• Material safety data sheets

• Machine/equipment manuals
Where documents are internally generated, cross-referencing between related documents is established and
maintained.
7.5.3 Document Control

Procedures are in place to effectively control the receipt, generation, distribution, usage, changes retrieval and
storage of documents. A register of documents of external origin in use is maintained.
Documents are:
• Required by the standard or requested by the relevant users
• Developed by competent and familiar personnel
• Reviewed and controlled for uniformity with other documents by the Document Controller
• Reviewed and approved for correctness, adequacy and issued by the relevant HOD
• Approved or Authorized by the Managing Director
Documents are distributed to or accessed by all who need them and distribution records/access records maintained.
Any documents issued to external parties are decontrolled before issue and details of the recipient maintained.
Internal users of documents are responsible for identifying and communicating the need for any documentation
changes.
Obsolete documents are removed from the point of use on a positive recall basis. A full documentation review and
overhaul is done once in three years. Documents are protected against loss, damage and misuse.
Electronic documents are controlled in terms of:

• Access
• Change or amendment
• Copying and printing
• Electronic viruses

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• Backup against loss
Related Documents
• Documentation Procedure
• Documents of External Origin Register
• Master Document Register
• Internal and External Document Distribution Register
7.5.4 Records Control

Records are the output information from a process, activity or task which is evidence of what has happened or has
been achieved, to demonstrate conformity to the requirements of the BEMS. Records can be in hard copy and or
electronic format.
The organization has established and maintained a procedure for the generation, identification, storage,
protection/preservation, retention, retrieval and disposal of records. All records generated and maintained are
identified and traceable to the process, activity, product or service from where they are generated, and kept legible
and identifiable.
Records are reviewed and signed, for correctness, adequacy and suitability by the relevant process or activity
Supervisor or Manager. Each procedure or work instruction that generates a record indicates the record, title,
storage place, minimum retention period and disposal method.
Related Documents
• Records Register

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8.0 OPERATION
8.1 Operational Planning and Control
To ensure effective control and compliance of processes, activities, facilities, services and products that are
associated with significant hazards and risks which have not yet been eliminated, appropriate operational controls
are developed and implemented on them following the hierarchy of controls (Elimination, Substitution, Engineering,
Administrative and or PPE). The administrative controls may also be used to support the other controls.
In the context of the hierarchy of controls, the following factors are also considered in determining the controls to
be applied:
feasibility, operability, cost, disposition of the intended user and others;
To achieve effective control, compliance and intended outcomes focus is put on:
• Input information and material – process/material specifications, internal customer requirements, MSDS,
material application or usage rates and any other applicable requirements etc.
• Operational methods and practices – guidelines, procedures, work instructions, checklists, plans, drawings,
matrices, flow charts, pictures and any other operational controls.
• Work environmental factors to be controlled – operational parameters, industrial relations, ergonomics,
environmental, occupational health and safety factors.
• People controls– Roles, responsibilities, supervision, competence, numbers, motivation, awareness and
communication channels
• In-process control parameters – Process specifications, process interfaces monitoring and control cycles,
inspections/verifications and output records, ergonomics, environmental, occupational health and safety
factors
• Machinery and equipment – Application of suitable and appropriate processing machinery and monitoring
equipment e.g., monitoring and measurement devices, PPE/C, tools and others
All operational processes or activities require some form of planning and control. Plans and controls for operational

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processes and activities associated with significant operational hazards and risks should seek to adequately control
the risk sources and/or drivers.
The standard requires the organization to identify, amongst others, the following operational processes/activities as
requiring control procedures to ensure that they are carried out under controlled conditions:
• Process, facility or service design and development
• Outsourcing and contractor management
• Operational changes
• Transportation, Handling, Storage of Input Materials
• Delivery of Finished Product
• Procurement of goods and services
• All types of risk assessment
• Management of high risk works i.e. use of permit to work systems
Operational controls are availed and communicated to the relevant process or activity operators for their
understanding and correct implementation.
Evidence of operational processes/activities controls applied should be generated and maintained.
Related Documents
• Supplier and Contractor Identification, Evaluation and Approval Procedure
• Management of Change to Operational Processes and Facilities Procedure
• Transportation Handling, Storage of Input and Material Procedure
• Delivery of Finished Product Procedure (Bullion Shipment)
• Process or Facility Design and Development Procedure
• All operational controls (operational procedures, work instructions, checklists, plans, matrices and others)
for operational processes /activities associated with significant operational hazards and risks
8.2 Requirements for Products and Services

(8.2.1-8.2.4)
The organisation determines the IPs’ requirements for products and services by ensuring that each function within
the business:
• Determines its specific internal (Supplier and customer) and external IPs

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• Understands the delivery and post-delivery needs and requirements of these IPs (stated or implied) and the
means for meeting them. The interface between the function and its IPs is constantly monitored to identify
any changes.
• Determines its capacity to understand and consistently meet or deliver the IPs’ current or changed
requirements before promising or entering into an agreement with the IPs
• Identifies the applicable compliance obligations associated with the IPs’ products and services
• Determines the risks and opportunities associated with the requirements and expectations of their IPs and
the means of addressing the identified risks and meeting the requirements and expectations. Establishes
the appropriate arrangements for handling/management of any IPs’ property (materials,
machinery/equipment, information or any other inputs from the IPs)
• Determines any specific organisational requirements related to the IPs’ processes, activities, products or
services
• Documents any reviews, agreements or changes to products and or services Amends or updates relevant
documentation and communicates with affected parties when the requirements for products or services are
changed
Each function establishes appropriate consultation and communication arrangements with its internal or external
IPs on their requirements and expectations on any or all the issues above.
Related Documents
• Interested Parties Feedback Procedure
8.3 Process or Facility Design and Development

BMC – How Mine has processes, facilities and services that may require design and development activities.
All process, facility and services design and development activities are triggered by a specific need or justification
which is reviewed and approved by management. All design and development activities are conducted on the basis
of an approved plan(s). The design and development planning process starts with a preliminary plan which is

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validated through a pre-design and development risk assessment.
For projects with the potential to present significant hazards and risks, a pre-design and development risk
assessment covering quality, environmental, safety and health, social, legal, economic and any other relevant
issues pertaining to the planned design and development, is conducted on the basis of the preliminary plan.
The design and development plan covers amongst others: -

• Design and development stages and control measures as appropriate
• Design and development responsibilities and authority at each stage – for the actual design, review,
verification, validation and approval activities.
• Design and development inputs – information on relevant compliance obligations, risk assessment results,
functional specifications or requirements, resources (skills, technical, materials, etc.), Interested parties who
may be affected during the process, any historical performance and research data on similar or related
products or processes.
• Design and developments outputs – format of information describing the output of the last stage of design
and development e.g. drawings, models/prototype/sample, patterns, process flows and maps.
• Design and development review, verification, validation and approval for each design and development
stage
• Design and development incorporates monitoring and measurement specifications as appropriate
Any changes to existing or current designs are reviewed and agreed to by representatives of the affected parties,
risk assessments conducted and managed in accordance to the change management process.
Information related to all design and development activities, including changes, is generated, communicated to the
relevant parties and maintained.
Related Documents
• Process, Facility or Service Design and Development Procedure
8.4 Control of Externally Provided Processes, Products and Services

The procurement of goods and services is carried out in a way that minimizes hazards and risks and ensures
attainment of the BEMS objectives.
Goods and services are procured from suppliers/contractors who demonstrate an understanding, ability and

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capacity to meet the organization’s requirements competitively.
All BEMS, social and economic expectations and requirements for specified goods and services are defined in detail
and communicated to prospective suppliers/contractors to ensure a common understanding and response that
enables comparative analysis at the selection stage.
Procurement activities tied to empowerment and social responsibility initiatives that management may define from
time to time, may permit the procurement of goods and services from certain specific groups of suppliers/contractors
upon their demonstration of compliance with specifically defined requirements.
In cases of disadvantaged groups of suppliers/contractors the organization may assist them meet its requirements.
The procurement process is managed and controlled through the Procurement of Goods and Services Procedure.
Supplier/contractor performance are evaluated and monitored in order to identify those who are professionally
competent and can be partnered with in the medium - long term.
Procured goods (machinery and equipment, hazardous chemical substances, some PPE) and services can be
evaluated for suitability and conformance before procurement, before delivery or on receipt. In the case of services,
the supplier/ contractor selection is meant to give confidence of capability whilst service conformance and
effectiveness can be evaluated during and after service delivery.
The suitability and appropriateness of the goods or services to be procured may also be verified before the
procurement process, through risk and/or product performance assessments, as part of the selection process. The
risk and or product performance assessment will be conducted based on a criteria developed, reviewed and
approved by competent personnel.
Related Documents
• Supplier and Contractor Identification and Evaluation Procedure
• Determining the Context of the Organisation Procedure
8.4.1 Supplier/Contractor Management

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Suppliers/contractors of goods and services are identified and selected on the basis of their ability to meet the
specified business requirements. Suppliers/contractors of critical goods and services (machinery and equipment;
materials and chemical substances; PPE/C; mining consumables like explosives; food substances; tailings dam
design and maintenance; medical services; EIAs; Consultancy and trainings services) undergo an evaluation and
selection process based on a defined criteria. This may include subjecting the potential supplier/contractor and
goods or services through an audit and or appropriate risk assessment processes.
A supplier/contractor identification, and evaluation procedure is in place to control and guide this process.
Amongst others, the criteria for evaluating and selecting suppliers/contractors includes:
• Legal and relevant professional registrations and or permits
• Availability of suitable and adequate skills
• Availability of suitable and adequate equipment and machinery including transportation and communication
resources where necessary
• References for similar works successfully completed
• Relevant insurances to cater for any failures, accidents and other possible risk/loss situations
A contract of agreement with details of the scope of work, method statement (quality plan), deliverables, acceptance
and rejection criteria, responsibilities for contractor workers welfare and any specific applicable SHEQ requirements,
is established and accepted by both parties before the commencement of work.
For long term contracts, contractors may be subjected to regular appraisals to ensure their adherence to contractual
terms.
Related Documents 1
• Supplier and Contractor Identification, Evaluation and Procedure

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8.5 Production and Service Provision

8.5.1 Control of Production and Service Provision
Each Department or Function identifies the outputs (products or services) that their IPs require or expect from them
and the criteria which the outputs have to comply with. For internal suppliers and customers this may well be defined
in Service Level or other Agreements.
It is incumbent on the relevant function or department to ensure an appropriate product or service delivery/provision
plan is in place for the consistent delivery of acceptable outputs that meet customer requirements. Amongst others,
planning for the provision of the required outputs includes ensuring that:
• The characteristics (specification) of the outputs are determined and defined
• the production or service provision processes and activities are determined, aligned, optimized and defined
to form an effective operational system
• Input material and information is defined in terms of type, quantity, quality and any other requirements
• any equipment to be used in the production and service provision process and in the monitoring and
measurement activities is functional, appropriate, suitable, accurate and safe
• adequate worker numbers, skills and supervisory requirements are determined and maintained to
continually enable production and service provision
• the required infrastructural resources and work environmental factors (general environmental factors,
ergonomics and applicable occupational health, industrial relations, motivation) that may affect the quality
of the production and service delivery process and outputs are controlled
• the in-process and final measurement and monitoring activities required to check the parameters of the
production and service provision process and the characteristics of the outputs (product and service) are
determined and implemented
• any process/activity whose output cannot be objectively or conclusively verified for compliance with the
requirements is adequately validated
The consistent delivery of product and services that meet the stated and implied requirements requires total
understanding and effective implementation of the above plan together with timely identification of any
deviations/failures and institution of the appropriate actions (corrections, corrective and/or improvement actions).

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Related Documents
• Production/Service Delivery Procedures - process specifications, inputs details, relevant steps,
machinery or equipment requirements, manpower and skills requirements, infrastructure and other resource
requirements, ideal work environment, monitoring and measurement activities and equipment/devices and
output product or service specifications.
8.5.2 Identification and Traceability
Identification and traceability is applied to the business processes and indicated in the process matrices (inputs,
outputs, risks, opportunities and controls). The need to establish identification and, in some cases, traceability
mechanisms have been identified in the following areas: -
• Geological Samples – Identification and traceability is applied to samples sent for assaying, to identify and
trace them to their sources.
• Assets – Identification and tracking is applied to organizational assets in terms of allocation-cost center,
condition, value – Asset Register Number etc.
• Procured Goods – Identified and traceable to the supplier, through batch/ code numbers and or supplier
purchasing and delivery documents
• Stored Goods – Identified through type, storage location and stores codes
• Information – Documented information is identified and traceable through source, issue and review
authority, storage area, revision and issue status, approval date, purpose and scope
• Management Actions (projects) – Identification and traceability is applied to management actions through
the use of names/titles, objectives, targets, scope, status, responsibility, schedule, cost – Management
Action Files and Information Sheets
• Interested Parties – IPs identification and traceability is according to their names, location, requirements
and expectations – Interested Parties Requirements Register
• Operational Level Hazards and Risks – these are identified through their type and traceable to their
location (process, activity, facility or task).
• High level risks and opportunities – these are identified through their type and traceable to the
part/function of business that they may affect.
Related Documents
• Sample management procedures

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• Assets management procedure

• Interested Parties Management Procedure
• Stores Procedures
8.5.3 Interested Parties Property

The mine is required to explore, quantify and report to the government, on a regular basis, the types of minerals
within the mining claim. BMC – How Mine is responsible for securing mining claims, protecting the mineral resource
and accounting for the mined product.
Property, including information and intellectual material, belonging to and provided by any IPs for use or
incorporation into the organization’s products or services (e.g. contractor equipment, methods and materials,
suppliers material or equipment on trial, hired equipment or facilities) is verified for suitability and appropriateness
before its acceptance or application.
Any IPs property or information under the organization’s custody is kept in a manner that preserves its integrity and
security and is only applied to its intended purpose. Everything possible is done to ensure the security and integrity
of IPs property, under the organization’s control.
The following stakeholder property, or information, among others, is held, handled or exposed to the business’
activities:
• Suppliers of goods, services and materials – vehicles, returnable packaging material, information –
addresses, phone numbers, bank details, drawings, specifications and others
• Contractors – equipment, vehicles, IT hardware/software, personal information, materials or substances,
PPE/C, work methods,
• Statutory/Regulatory authorities – vehicles, information
• Visitors to site or offices – vehicles, personal belongings
Where appropriate, a contract of agreement may be generated between the Mine and the Interested Party providing
property condition and other details.
Related Documents
• Supplier and Contractor Identification and Evaluation Procedure

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8.5.4 Preservation of Product, Services and Information

The mine identifies and handles important information related to production and service provision. Controls are
identified and communicated as appropriate to ensure preservation of the final product. Preserved information
includes, amongst others:
• Human resources
• Organizational Strategy
• Statutory and regulatory compliance status
• Assets and finances
• Contracts of agreement
• Final product information
To safeguard the integrity of products and services, regular audits, inspections and assessments are conducted to
identify opportunities for change and improvement. Preserved information which may be in hardcopy or electronic
format needs to be properly handled and controlled to prevent its deterioration, loss or misuse.
Procedures for the management of hardcopy documents, records, electronic data including the hardware and
databases are in place to safeguard the integrity and security of information.
Related Documents
• ICT Hardware and Software Management Procedure
8.5.5 Post Delivery Activities

The mine has IPs with specific BE requirements/expectations as defined in the IPs Requirements Matrix. Not all
IPs requirements need post-delivery activities, but those IPs requirements that need post-delivery activities are
defined in the relevant Service Level Agreement (SLA) and/or contract. Adherence to the SLAs/contract terms is
monitored by the IPs (customer) who is expected to provide immediate feedback to the IPs (supplier) in the event
of non-conformances.
Related Documents
• Relevant Internal Service Level Agreements

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• Interested Parties Requirements Matrix

• Management of Interested Parties
8.5.6 Control of Operational Changes

Any significant changes to existing operational processes, infrastructure, equipment, materials, Actions (projects),
work methods, organizational work structures & authority limits, designs & developments, suppliers, contractors,
products or services are planned for, consulted on, justified, evaluated, reviewed and approved by management.
Pre-change hazards identification and risks assessments, commensurate with the magnitude of change, are
conducted prior to implementing the operational changes.
To achieve specified operational changes:

• Resources required for the implementation of change are identified, allocated and where necessary,
responsibilities and authorities are reviewed
• Appropriate pre-change risk assessment is conducted before implementation of the change
• Output of the risk assessments is used to come up with any necessary adjustments to the preliminary
change plan, as applicable, which is then communicated to all IPs
• Implementation of the change is conducted in line with the plan and whenever possible, all changes should
be implemented on a “make-before-break” approach.
Change activities are reviewed/ verified for effectiveness, at appropriate stages of the change implementation
process, and appropriate action taken. The change effectiveness evaluation method is established at the change
planning stage.
Information describing the change process, risk assessment and change effectiveness evaluation results is
generated, communicated, as necessary, and maintained.
Related Documents
8.6 Controlled Release of Products and Services

Product and services delivered by IPs are based on specific agreements or generic agreements. Prior to and during
the delivery of the product and services, the internal/external supplier has an obligation to ensure that all
requirements, explicit and implied, are met and where necessary demonstrated.

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All product and service deliveries to customers are reviewed and authorised by the relevant parties on the Supplier’s
side. Where necessary, acceptance of the delivered product or service is confirmed by customer
management/representative, as appropriate (e.g. handover-takeover after commissioning, repairs and
maintenance, goods/service receipts, Store receipts/ withdrawals).
Related Documents
• Internal Product or Service Delivery Records
• Interested Parties satisfaction, measurement and monitoring procedure

• Engineering Maintenance Procedures
• Goods Receiving Procedure
8.7 Control of Non-Conforming Outputs (Products/Services)

A non-conforming product/service is one that does not meet requirements of its specifications. Non-conforming
products/services are identified during:
• In process product/ service delivery checks
• Internal finished product or service checks prior to release to customers
• Inspection/testing of inputs fed straight into the process from external providers
• Inspection/ testing of products or services provided by internal supplier
• Monitoring and measurement activities (Audits, inspections, data and trend analysis)
Non -conforming products or services may be:
• Segregated and adequately identified, if awaiting decision
• Rejected completely and prevented from any further work or use
• Rejected, re-worked, re-inspected and then accepted under the authority of a relevant manager
• Accepted as is, by the relevant customer manager under written concession
When non-conforming products/services are identified when their use has already started, appropriate action
following the consequences of the non-conformity is determined and taken.
Significant product/service failure (beyond specification tolerances) is addressed through the corrective action
processes. Product/service failures within tolerance are addressed through the correction process. Recurring

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product/service failures within tolerance are subjected to the corrective action process. Records of the above
situations are maintained.
Correction and Corrective Action procedure, amongst others, define the responsibility and authority for identifying,
analyzing and deciding on the action to be taken in addressing non-conforming products/services.
On an on-going basis, information on non-conforming products and services and the actions taken, is collated,
reviewed and analysed to determine the trends in product or service failures and appropriate action is then taken.
Related Documents
• Management of Non-Conformities Procedure
• Correction and Corrective Action Procedure
8.8 Emergency Preparedness and Response

An emergency is an undesired and sudden occurrence arising from the mine’s internal or external hazards and risks
that may result in multiple fatalities, serious injuries and/or ill health, widespread environmental and property
destruction. The Mine has processes, activities and hazards with the potential to cause emergencies that can
present significant risks. These have been identified and appropriate Emergency Preparedness and Response
Procedures and/or plans have been established covering the following:
• Measures to prevent occurrences of emergencies
• Measures to respond to emergencies triggered naturally e.g. Storms, flooding, disease outbreaks requiring
response preparedness (evacuation plans, containment facilities, first aid)
• Response preparedness activities
• Actual emergency response activities
• Mitigation against operational hazards and risks arising from the emergency
• Investigation of causes, preparedness and response effectiveness
• Institution of correction and corrective actions.
Emergency preparedness and response procedures and/ or plans are regularly communicated to all employees,
contractors and affected interested parties through induction, trainings, awareness programmes and interested
parties’ engagements.

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Where possible, periodic drills to check the Mine’s state of preparedness to respond to such emergencies, are
conducted and any required improvements are noted and addressed.
After the occurrence of an emergency, a thorough investigation and evaluation of the causes, state of preparedness,
response effectiveness and extent of loss and harm to the business is carried out and appropriate actions are taken
to mitigate any risks caused and to prevent recurrence.
Related Document
• Specific Emergency Preparedness and Response Plans
• Corrections and Corrective Action Procedure
• Incident Reporting, Investigation and Management Procedure

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9.0 PERFORMANCE EVALUATION

9.1 Measurement, Monitoring, Analysis and Evaluation
9.1.1 General
To determine the performance and effectiveness of the Business Excellence Management System, various
elements of the business are measured and monitored at defined intervals.
Measurement and monitoring activities are conducted internally and externally by competent internal and/or external
personnel. Internal measurement and monitoring activities are conducted more frequently to control operational
performance at shorter intervals. External measurement and monitoring activities are conducted at spaced intervals
by mostly external parties to confirm outputs of the internal controls and in some cases to meet compliance
obligations.
Controls are in place to ensure that internal equipment used in measurement and monitoring is safe, calibrated and
accurate. Appropriate measures are also taken to ensure that external measurement and monitoring equipment is
serviceable and accurate. A Measurement and Monitoring Plan is in place to ensure a systematic approach and
consistency. Appropriate corrections or corrective actions or management actions are taken to address any
situations wherein measurement results are found out of specifications and records maintained.
Where there are no specific legal limits for particular process parameters, regional or international good/best
practices may be identified and adopted as internal standards.
Appropriate action(s) are then taken to ensure compliance, improvement and effectiveness of activity, process and
the Business.
Amongst others, the following business elements/factors are measured, monitored and analysed on a regular basis:
• Interested Parties Feedback
• Process performance – efficiencies, costs, recoveries, output quality
• Plant and Equipment Condition, compliance and performance
• Occupational health – dust, ventilation, lighting, noise, ergonomics, pneumoconiosis, hearing, sight
• Environmental factors – effluent quality, dust emissions, energy/resource usage, waste volumes
• People performance – competence, achievement of KPIs or deliverables
• Compliance Obligations

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The information (results) obtained from these measurement and monitoring activities is analysed to determine its
compliance status, establish any trends and indications of any underlying problems or challenges related to the
monitored or measured business elements.
A criteria, based on key selected indicators is also in place for evaluating the performance and effectiveness of
BEMS at pre-determined intervals. The criteria also makes use of the monitoring and measurement results and/or
trends.
Records of measurement and monitoring activities are generated and maintained.
Related Documents
• Interested Parties Feedback Procedure
• Measurement, monitoring and Analysis Procedure
• BEMS Performance Evaluation Procedure
• Data and Trend Analysis Procedure
9.1.2 Interested Parties Perceptions

Structures and systems are in place to receive or determine interested parties’ perceptions and attitudes towards
the organization (including internal customers towards their internal suppliers as well as employee perceptions and
attitudes towards management and the organization)
Internal suppliers (Department/Function) are able to determine the attitudes and perceptions of their internal
customers (Department receiving product) from:
• The extent to which the internal supplier has met the internal customer’s requirements as given in the
Service Level Agreements (Proactive Approach).
• Internal customer feedback given directly to the internal supplier (Reactive Approach)
• The internal customer and employees feedback received on an ongoing basis
• Employee feedback gathered through perceptions and attitudes surveys, or received through meetings
External Interested Parties’ perceptions and attitudes towards the organization can be determined from:
• The extent to which the organization has met the IPs’ requirements as defined in the Interested Parties
Requirements Matrix or register
• IPs feedback received by the organization on an ongoing basis
• IPs (e.g. Statutory and regulatory authorities, community, suppliers) feedback gathered through IPs

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Perception Surveys
All the above information on IPs feedback is collated and analyzed to determine the level of IPs satisfaction at
defined intervals.
Related Documents
• Employee Perceptions Surveys Procedure
9.1.3 Process Performance

To ensure continual improvement of processes, each department carries out and reports on measurement and
monitoring activities on its key processes as defined in the relevant departmental performance monitoring and
measurement plan and objectives. Process performance-related elements that may be measured and monitored
include the process inputs, in-process quality control activities, risks controls, opportunities and outputs, efficiencies,
defect rates, costs, incidents, safety, health and environmental performance, as applicable.
During the implementation of each process, critical parameters are measured, monitored and controlled, at
appropriate stages and intervals of the process implementation, to ensure the desired outcomes.
Where necessary/possible, specific process measurement, monitoring and analysis requirements are incorporated
in the relevant process/activity control documents.
Related Documents
• Departmental Measurement and Monitoring Plans
• Departmental Operational Control Procedures (Various)
• Departmental Objectives and Targets

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9.1.4 Evaluation of Compliance to obligations

Evaluation of compliance with obligations is conducted by competent internal and external compliance evaluation
assessors.
Compliance evaluations are conducted against the requirements of relevant legislation and requirements of other
compliance obligations that apply to BMC – How Mine. The other compliance obligations to be evaluated against
may include:
• Relevant regional or international codes of practices
• Requirements and expectations of the Mine’s Interested Parties that it has an obligation to meet
• Relevant requirements of treaties, protocols or conventions signed by the national government
• Requirements of relevant institutional bodies that BMC – How Mine is a member of.
A procedure for the evaluation of the BMC – How Mine’s compliance with its obligations has been developed and
implemented.
Internal evaluations are conducted annually by competent internal personnel. External evaluations are conducted
once in three years by competent external personnel. The three-year external evaluation also evaluates the
effectiveness of the internal evaluations.
Results of compliance evaluations are reported on, appropriate corrections and /or corrective actions are determined
and implemented.
Records of the periodic evaluations are kept accordingly.
Related Documents
• Compliance Obligations Identification Procedure
• Compliance Obligations Evaluation Procedure
• Compliance Obligations Register

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9.1.5 Analysis and Evaluation of Monitoring and Measurement Information

Appropriate information from business processes, measurement and monitoring activities is collated, analyzed and
trended using relevant statistical techniques or tools, at relevant intervals and levels as defined in the Data and
Trend Analysis Matrix, to establish current positions, relationships and trends with respect to:
• Effectiveness of strategic and operational plans
• Effectiveness of business and process risk controls
• Effectiveness of opportunity enhancement activities – benefits realized from opportunities
• Interested Parties perceptions & attitudes – Feedback, Service Level Deliverables and Quality, participation
and consultation activities, surveys
• Process performance and compliance – Availability, throughput, efficiencies, defects/NCs, failures, costs,
progress towards achieving objectives
• Product/Service – Service level deliverables
• BEMS performance – Legal compliance status, audits results, IPs perceptions, process effectiveness,
achievement of BEMS objectives and targets
• Incidents – environmental, safety and health – occ. hygiene survey results
• Performance of external providers (suppliers and contractors) – Supplier evaluation, Contractor Service
Levels and Internal Customer Feedback on external suppliers
Amongst others, results obtained from this analysis process are used to determine where:
• Resources are inadequate or unsuitable
• Processes are ineffective
• There are ineffective hazards and risks controls
• Changes are required
• Improvement opportunities exist
Related Documents
• Measurement, Monitoring, and Analysis Procedure
• BEMS Performance Evaluation Procedure
• Auditing Procedure

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• Incidents Reporting, Investigation and Management Procedure

• Compliance Evaluation Procedure
9.2 Internal Auditing

The performance of the business processes and the compliance of the BEMS with the relevant requirements are
verified at least twice every year through Internal BEMS Audits conducted by trained Internal Auditors.
An annual internal audit schedule/plan is prepared at the beginning of each year as part of the business planning
process. A more detailed internal auditing plan, showing the processes/activities to be audited, audit scope, audit
criteria and the auditors, is prepared for each internal auditing activity.
The frequency of auditing a particular activity/process, internally, is determined on the basis of its criticality to the
performance of the business, risk level, results of any previous audits and any other relevant factors or key.
Internal Audits are conducted by trained and independent internal auditors who are required to prepare, perform
and report on the audit findings objectively and timely. A log/register of non-conformities raised is maintained and
used to track each non- conformity until closure.
Management responsible for the audited processes or activities are responsible for instituting the appropriate
corrections and/or corrective actions timely. The corrective action implementation progress is monitored and
reported on at Management meetings.
Related Documents
9.3 Business Excellence Review (Management Review)

Business Excellence Reviews are planned meetings held by top management, at regular intervals, to review the
performance of the business processes and activities against business objectives and other requirements.
This review also looks at the suitability and adequacy of the BEMS and its alignment with the business strategic
direction (vision, mission, focus areas, objectives and management actions). A standard procedure that defines the
frequency, attendees, agenda, process and outputs of such meetings is in place. Decisions and agreements made
during the review meeting are assigned to the relevant HODs for implementation with coordination and follow-up
from the SHEQ department.

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Implementation progress on issues discussed and agreed on at the management review is monitored and reported
at monthly management meetings. Minutes of Business Excellence Reviews are made available to the meeting
attendees, within one week of the review meeting and show opportunities for improvement, BEMS changes
required, resource adequacy and suitability as well as:
• Any other issues discussed and agreed
• Responsibility for implementation of the agreed actions
• Target completion dates of agreed actions
Related Documents
10.0 IMPROVEMENT
10.1 Management of Non-Conformities
The organisation denotes any failure to comply with or meet defined requirements as a non-conformity. Non-
conformities may be identified during:
• Inspections/checks on normal day to day operational activities
• Internal product or service quality control and releases to customers
• Inspection/testing of goods or services from interested parties (e.g. Suppliers, Statutory inspections)
Incident investigations
• Audits
• Evaluation of compliance with obligations
• IPs feedback
Non-conformities identified through internal audits are addressed through the relevant internal audit processes
whilst those identified through external audits are addressed though the corrective actions processes.
The procedures, amongst others, define the responsibility and authority for identifying, analyzing and resolving the
non-conformities and documentation thereof.
On an ongoing basis, information on non- conformities is collated, reviewed and analysed to determine the
effectiveness of the non-conformity resolution process and trends in product or process failures.

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Related Documents
10.2 Incident Management and Investigation

An incident is an undesired and unplanned occurrence which caused or could have caused fatality ,ill health, injury,
damage to facilities or environment and/or process disruption or failure. It includes accidents and near misses.
The level of seriousness of different incidents varies, and is classified as follows:
• Near Miss – An incident where no injury, ill health, fatality, damage to property, process disruptions
occurred.
• Accident – An undesired and unplanned occurrence which causes ill health, injury or fatality, environmental
pollution, process disruption or failure and/or damage to property.,.
Procedures are in place to ensure:
• Systematic and consistent response and determination of the need for correction and corrective action
• Investigation and determination of the underlying factors that might be causing or contributing to the
occurrence of incidents
• Reporting and internal or external communication on the incident
• Prevention of similar incidents in other areas or processes where they may occur
• Review and analysis of information on incidents to establish trends and determine any required higher-level
response strategies
Records of incidents are generated and maintained
Related Documents
• Management of Near Misses Procedure
• Incident Management and Reporting Procedure
• Correction and Corrective Actions Procedure
• Emergency Preparedness, Response and Reporting Procedure

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10.3 Correction and Corrective Action

Correction is an immediate action taken to remove a non-conformity and restore a process, facility, activity,
product/service to its normal state before identifying and eliminating the root cause (s).
Corrective action is the process /action taken after correction to eliminate the identified root cause(s) of non-
conformities to prevent their recurrence.
A procedure for the determination and identification of non-conformities that require corrective actions is in place.
All known possible causes of a non-conformity/incident are identified first, then through a systematic analysis and
elimination process, the root cause (s) is also identified.
Effective corrective action is determined, an appropriate level of risk assessment is conducted, the method and time
frame for evaluating effectiveness of the corrective action are determined and documented before implementation
of the proposed corrective action.
If on evaluation of effectiveness, the corrective action is found satisfactory it may be applied to other
areas/processes where similar non-conformities/incidents may occur. If found ineffective, the whole corrective
action process is re-visited. Where necessary, corrective actions found effective may be adapted to standard
practice.
Records of corrective actions and any actions taken thereafter are generated and maintained.
Related Documents
• Correction and Corrective Action procedure
10.4 Continual Improvement

This is a deliberate and pro-active process of identifying improvement opportunities and utilizing best technologies
and practices to significantly enhance business and process capabilities and performance.
Opportunities for innovation and improvement are identified and noted on an on-going basis. These are then fed
onto the business planning and resourcing processes where they are presented, reviewed, justified and prioritized.
During the business planning and review stage, amongst others, an analysis of:
• performance of various business processes
• suggestions from IPs and/or changes in their needs, requirements and expectations

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• changes in the business environment and the risks and opportunities they present
• Progress made towards achieving set objectives/outcomes
is done and the business improvement needs and opportunities are determined, reviewed, prioritized and their
implementation responsibilities assigned. The improvement actions are then addressed through Management
Actions (Projects).
Continual improvement initiatives are planned and implemented in accordance with the Management Actions
(Projects) Procedure.
The implementation progress of the Management Actions is monitored, reported on and any appropriate action
taken.
After completion of a specific improvement Management Action (project), an evaluation of its effectiveness is done
in line with the evaluation plan defined at the management action planning stage. Records of Management Actions
are generated and maintained.
Related Documents
• Internal and External Communication Procedures


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Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/2020 Business Excellence Management System Manual

BMC – HOW MINE BUSINESS EXCELLENCE MANAGEMENT

Issuer: Approver: Authorizer

SHEQ Officer SHEQ Manager Managing Director

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

2.0 Introduction to Bulawayo Mining Company – How Mine .............................. 6

3.0 REFERENCES ................................................................................................... 8

Business Excellence Management System Elements ............................................. 8

4.0 CONTEXT OF THE ORGANIZATION ................................................................ 8

4.1 Understanding the Context of the Organization ............................................ 8

5.1 Leadership and Commitment ..................................................................... 15

6.1 Actions To Address Risks And Opportunities ............................................. 21

7.1 Resources .................................................................................................. 31

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

7.3 Awareness .................................................................................................. 36

8.1 Operational Planning and Control............................................................... 43

9.1 Monitoring, Measurement, Analysis and Evaluation ................................... 57

10.1 Management of Non-Conformances........................................................... 63

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

- BMC - Bulawayo Mining Company

- ISO - International Organisation of Standardization

- Standards - ISO 9001:2015 Quality Management Systems, ISO 14001:2015

- BEMS - Business Excellence Management Systems – a management system for

- BE Policy - Business Excellence Policy

- Opportunity - A chance for a positive change and/or improvement

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

Human Resources and Security.

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

2.0 Introduction to Bulawayo Mining Company – How Mine

2.1 BMC – How Mine Vision, Mission and Core Values

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

• Our Core Values

2.2 Introduction to BMC – How Mine Business Excellence Management Systems

Internally, the BEMS Manual serves the following purposes:

• Defining elements of the management systems

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

• Induction and other trainings for employees and visitors

Business Excellence Management Systems Elements

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

4.2 Interested Parties Requirements

DATE PRINTED: 17-Jun-2021

Initial Issue Date : 01/04/2018 HOW MINE

Revision Date : 31/05/21 Business Excellence Management System Manual

to/or voluntarily accepts.

4.3 Scope of the Business Excellence Management System