Growing a Saudi Global

Mining Giant

MSHEM- Specific Awareness

07 June 2021
MSHEM-10.00 / Incident Reporting,
Classification, Investigation, and Record
Keeping

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Expected Result:

 Accurate and consistent reporting, classification, investigation and record keeping of

EHSS incidents, including process safety events across MWSPC
 Compliance with local and regulatory requirements.
 EHSS performance is tracked and continuously improved.
 Recommendations from investigations are tracked for completion as planned.

 MWSPC EHSS department is responsible to support the implementation of this procedure shall be
clearly identified, documented, and communicated.

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Reporting of EHSS incidents:

 Reporting of EHSS incidents:

All personnel, including employee, contractor and visitors, have a duty to report incidents, near-
misses, unsafe acts and unsafe conditions they have either been involved in or witnessed without fear
of retribution.

Why we want to report incidents and investigate them…..?

To create IIF workplace by eliminating all related causes as well as sharing

lesson learned with others.

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Incident Classification:
 Incident Classification:
o The incidents shall be categorized as Environment, Health, Safety, Security
o Below snapshot is an examples of incident classifications and can be find more details in the
procedure

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Incident Notification
 Incident Notification:
o EHSS Incidents shall be immediately notified
o EHSS Incidents notification flow as below

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Hemaya Reporting

o All incidents, near misses, unsafe acts and unsafe conditions shall be recorded in MWSPC incident
recording and reporting system Hemaya.

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Incident Notification From (English or Arabic)
o EHSS Incidents shall be immediately notified to the concerned area Supervisor and EHSS Incident Notification
form [EHS-MS-010-F01] or [EHS-MS-010-F02] shall be filled and issued as soon as possible to initiate
recording of the incident.

[EHS-MS-010-F01] [EHS-MS-010-F02]
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EHSS Alert
 EHSS Alert : An EHSS Alert as per the Sub-element EHSS Awareness & Communications MSHEM- [EHS-
MS-001-P04], shall be issued

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Appointing Authority and Time Frame for the Investigations
 Appointing Authority and Time Frame for the Investigations

o Corporate EHSS involvement is mandatory in all class 1 incidents and optional in Class 2
investigations.

o Documentation regarding any Class 1 and Class 2 incident shall be made available to PHA (Process
Hazard Analysis) teams during any PHA revalidation studies.

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Appointing Authority and Time Frame for the Investigations

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Incident Investigation:

 Incident Investigation:

o All EHSS incidents shall be investigated; the levels of investigation shall align with the classification
and/or the complexity of the incident.

o The MWSPC entity (Site/Department) shall be responsible for investigating EHSS incidents that
occur at their premises.

o The investigation shall be initiated as soon as possible and maximum within 48 hours after the
emergency is declared over.

o The level of investigation shall be based on the highest credible potential outcome, and not just
the actual outcome of the incident.

o Immediate Action for Team Investigation.

• All class 1 and Class 2 incidents shall be investigated by a team. For class 3 and class 4 incidents,
team investigation is optional.

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Investigation Team
 Investigation Team

o The Investigation Team Leader shall be trained and competent on the incident investigation
procedure and techniques for incident investigation and analysis.

o The Investigation Team size shall be decided by the Investigation Team leader in consultation with the Appointing
Authority and should recognize the skills that may be required.

o Large teams (>8 members) should be avoided and where specific skills are required for a small part of the investigation,
consideration should be given to bringing in such expertise for that part of the investigation only.

o The Investigation Team shall be formed based on the classification of the incident. The team may be changed, if during
the investigation the initial classification is changed. This shall be the responsibility of the Appointing Authority relevant
to the updated classification of the incident.

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Preliminary Investigation Report
 Preliminary Investigation Report:
o The Investigation Team Leader shall issue a written preliminary Investigation Report for the
incident, to the Appointing Authority, with a copy to MWSPC EHSS Department within the first 48
hours after the Investigation Team is formed.

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Incident Investigation Summary/Analysis Report
o For incident investigations which are not conducted by a team, the [EHS-MS-010-F05] Incident
Investigation Summary/Analysis Report alone may be used as the investigation report.

[EHS-MS-010-F05]
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Root Cause Analysis Final Report
o For team investigations, the Final Team Investigation Report [EHS-MS-010-F06] shall follow a format that includes:

[EHS-MS-010-F06]
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 Investigation Report

 Investigation Report

o Draft Investigation Report:

 The investigation report shall be considered “Confidential” and all pages should state “Draft
& Confidential”.
 Draft of Team Investigation report should be discussed between the Investigation Team
Leader, Concerned Area Manager/Section Head or Equivalent position before discussing
with the Appointing Authority
 Draft investigation report shall be discussed with the Appointing Authority and the
Appointing Authority shall consider whether the report needs to be reviewed by the legal
department.

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Investigation Report

o Final Investigation Report:

 The final report for the incident requiring team investigations shall be issued as soon as
possible and within a maximum 30 calendar days unless an extension has been justified
and approved by the appointing authority. For incident investigations which do not require
team investigations, the report shall be issued within 10 calendar days.

 The investigation team shall review their findings (conclusions, Direct Causes, Root causes
and Contributory Causes etc.) with the Appointing Authority and, for Class “1”, Class “2”
and HPI’s, the VP Corporate EHSS/ or equivalent, to verify that the investigation has been
thorough and complete.

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Investigation Report Content
o The following should be considered as part of Appendices of the report depending upon the nature of
incident:

 Duly filled Initial Incident Notification Reports as given in [EHS-MS-010-F01] or [EHS-MS-010-F02]

 Schematics.
 Timelines or Sequence of Events.
 Evidence Sorting.
 Photographs.
 Copies of log sheets and logbooks.
 Incident Witness Statements [EHS-MS-010-F03]
 Incident Interview notes/Checklists
 Incident Investigation Summary/Analysis Report. [EHS-MS-010-F05]
 Preliminary Incidents Investigation report. [EHS-MS-010-F04]
 Root Cause Analysis Chart for the incident.
 Others.
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Distribution of Final Investigation Report:

o Distribution of Final Investigation Report:

• The final investigation report shall not be shared with any outside agency, person or
company without prior review and approval by the MWSPC Legal Advisor.

• The results of the investigation of each EHSS incident shall be reviewed pro-actively with
the affected personnel.

• A copy of the Final Team Investigation Report [EHS-MS-010-F06] of all Class “1” and Class
“2” incidents with all the appendices shall be issued to the corporate EHSS department.

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Lessons Learned
 Lessons Learned: On completion of the investigation a “Lesson Learned” as per the Sub-element EHSS
Awareness & Communications MSHEM- [EHS-MS-001-P04], shall be written by the investigation team leader
in conjunction with his team. It shall be provided to Corporate EHSS who shall circulate the document based
on a prescribed list.

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Action Item Tracking and Closeout

o Area/Asset owner need to ensure all action item to be close within time frame

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Documentation and Records:
 Record of Monitoring & Assessments required by this Element shall be retained for a period of at least 3
years.

 EHSS Incidents / injuries / investigation Records shall be kept for the life of the MWSPC EHSS department
or equivalent department.

 The following are the minimum records which shall be retained for at-least five years.
o EHSS incident statistics, data and records.
o Weekly and Monthly EHSS reports.

 The original copy of the Initial Incident Notification form [EHS-MS-010-F01] and Final Investigation
reports [EHS-MS-010-F06] of all Class “1” EHSS incidents with all the appendices shall be kept by MWSPC
EHSS department for at least 5 years. This file shall include notes, drawings, photographs, testimony, and
other data or information that was generated during the investigation. This may be maintained in
electronic form.

 The Initial Incident Notification form and investigation reports of Class “2”, “3”, “4” and HPIs EHSS
Incidents shall be kept by the MWSPC EHSS department for at least 3 years. This may be maintained in
electronic form.
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Performance Monitoring:
 Performance Monitoring:

Target for the following KPIs shall be identified every year and results shall be tracked and evaluated:

 Number of Recommendations; Closed, Open, Overdue

 Annual Compliance rating for this Element

 Number of Incidents with root causes related to Non-Compliance of this Element

 % closure of recommendations of the Compliance Audits of this Element
 Number of Fatalities, Recordable & Non-Recordable, (MWSPC Employees, Contractor
Employees, Combined)
 Number of Incident Investigations: Completed, In progress, Overdue
 Number of EHSS Alerts and lesson learned reports issued against findings from and Incidents
during this reporting period.

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Reference Documents and Training Material

MWSPC MSHEM Standards - MSHEM Training Material - All Documents (sharepoint.com)

Please click on the above link for MSHEM-10.00 / Incident

Reporting, Classification, Investigation, and Record Keeping

If you have any doubt on this procedure, please feel free to contract -Youssef B. Al
Harbi on HarbiYB@maaden.com.sa or EHS Department

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 Growing a Saudi Global
Mining Giant

Thank You