SMCV Integrated Management System

Hazard Identification, Risk Assessment and Control Procedure

SSOpr0001

H A Z A R D I D E N T I F I C A T I O N , R I S K

A S S E S S M E N T A N D C O N T R O L P R O C E D U R E

Changes made to this Document

The following procedures, preparation of critical tasks inventory procedure and risk identification,
assessment and control procedure, were merged into one single procedure: hazard identification and risk
assessment and control.
The definition of hazard is included in the procedure and a column to record hazards is included in the
form Hazard Identification, Risk Assessment and Control.
Table N 03: Information to assess health risks, is included as well as: Attachment N 01: Processes
Mapping form, Attachment N 02: Standardized Hazards and Risks List and Substandard Acts and
Conditions, Attachment N 03: unified matrix Hazard Identification, Risk Assessment and Control.
In item 5.3.2, Risk Classification, the type of control for risks of criticality A, B and C is clarified.
In item 5.3.2 it is specified that the consolidated list of hazards and risks should be prepared (see
Attachment N 05). The Safety and Health Supervisor for the Area is included as responsible for the final
review of HIRAC (8 June 2009).
From Attachment N 4 of version 02 of this procedure the Note is removed and is added as Note 8 in item
5.4.2; at the same time Attachment N 04 is eliminated. Also, note N 6 of v02 of HIRAC is eliminated (8
June 2009).
Note 1 is added clarifying the utilization of standardized hazards and risks (8 June 2009).

VERSIN: 06 COPY N:
Prepared by: OHSAS 18001 Coordinator Date: 06-Feb-08
Modified by: Reviewed by: Approved by:

HAZARD
IDENTIFICATION,
Signature: Signature: Signature:
RISK ASSESSMENT
AND CONTROL
PROCEDURE

Health and Safety Health and Safety

SMCV President
Superintendent Manager

Date: Date: Date:

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In items 5.2 and 5.5 it is included that for the identification of hazards and risks, new hazards resulting
from proposed corrective/preventive actions should be taken into account (8 June 2009).
In item 5.3, in table N 2 the value of X is replaced by 85dB (A) where X can be values from table N3
(Noise Level column), depending on exposure time. (8 June 2009).
It is explained that E represents the probability of the causal event. It is explained that C is the probable
severity of the consequence associated to the exposure to a hazard. (8 June 2009).
In Attachment N 03 the note referring to basic PPE is updated, specifying which elements constitute the
latter. Also, columns document and administrative are updated. (8 June 2009).
In item 5.4.1 the following are removed from the type of administrative control: work area monitoring and
worker monitoring through occupational tests and from others incident trends statistical analysis. (8
June 2009).
In item 5.3.1, note 4 which refers to the topic of ionizing radiation exposure is replaced. (8 June 2009).
In item 3, the Responsible for Industrial Hygiene and the Health and Safety Supervisor are included as
part of the parties responsible for this procedure and excludes the General Chiefs. (15 Oct 2009).
In item 5.3.2 it is made clear that the final document will be reviewed by the Area Superintendent/Chief
who could request, for this matter, advice from the Health and Safety Supervisor where appropriate. (15
Oct 2009).
Item 5.4.1 Control Measures is updated. (15 Oct 2009)
In item 7, it is stated that the minimum preservation time for the records pertaining to this procedure is
permanent. (15 Oct 2009)
In item 5.4.1, substitution of materials, processes or equipment is removed as examples of engineering
control measures and is included under others; also, procedures, ATS and standards are included as
examples of administrative control measures. (May 2010)
In item 5.4.2 the reference to Attachment N 05 ORA in included in note 8.(May 2010)
In item 7 the Operational Risk Analysis record is included; also, the corresponding form is included as
Attachment N 05 in item 8. (May 2010)
In item 2 the scope is clarified indicating that it applies to every task performed by SMCV staff or through
Contractors (January 2012).
In item 3 Responsible for Industrial Hygiene is replaced by SMCV Industrial Hygiene Supervisor. (January
2012)
In item 4.1 definitions of Process, Stage, Activity, Task and Acceptable Risk are modified and definitions
of Risk Assessment, Pure Risk, Residual Risk, Significant Risk, Exposure, Consequence, Expected Loss
Value and Residual Risk Valuation are included. (January 2012).
In item 4.2 ATS is removed. (January 2012)
In item 5.1, it is included In the case of services or project execution, the process will be the service or
project proper and the stages, steps and tasks will correspond to the logical execution sequence of the
same Also, the term own or third party is clarified. (January 2012)
In item 5.2, instructions are set for the identification of hazards and risks. (January 2012)
In item 5.2, Identify with a cross X if the task is performed by our own staff of contractor is removed.
(January 2012)
Throughout the document, all Notes are renumbered consecutively, including besides Notes 7 and 8.
(January 2012)
In item 5.3 an explanation of its development is included. (January 2012)
In item 5.3 the following items are included (January 2012):
5.3.3 Pure risk valuation
5.3.4 Pure risk classification; also, risk levels are classified as Significant (A), Moderate (B) and
Acceptable (C).
In item 5.3.1 the criteria for Referential Values of (E) in Table N 01 are modified. (January 2012)
In item 5.3.2, Table N 02: Assigned Value Levels and referential values of (C) for Injuries and Property
Damage are modified. (January 2012)
In item 5.4, the name and content is changed to Implementation of Controls and Residual Risk
Assessment. (January 2012)
Item 5.4.1 Implementation of Controls, in which the criteria for establishing controls for each level of risk
are described, is included. Also, the hierarchy of controls to be implemented (Elimination, Substitution,
Engineering Controls, Administrative Controls, Signaling/Warning, Personal Protection Equipment) is
described and Notes 4 and 5 are included. (January 2012)

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In item 5.5.2, Significant Risks Audit is included. (January 2012)

In item 6, SSOst0025 PPE Selection, Distribution and Use Safety Standard is included. (January 2012)
In item 7, the record Significant Risks Audit is included. (January 2012)
In item 8, the Guide for determining Consequences of Health Risks is included. (January 2012)
Attachment N 01 Process Mapping Matrix is modified, removing the level Step. (January 2012)
In Attachment N 03 the form Hazard Identification, Risk Assessment and Control is modified with the
following changes (January 2012):
- Stage is included.
- Control Measures is modified, now considering Elimination, Substitution, Engineering Controls,
Administrative Controls, Signaling / Warning, Personal Protection Equipment. .
- The column Incidence is removed and the item Contract N is included (contractors only)
- In the first risk assessment, Pure Risk is explained.
- The item Version is included.
- The item Activity is included.

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CONTENTS

1. OBJECTIVE(S) ..................................................................................................................... 5
2. SCOPE ................................................................................................................................. 5
3. RESPONSIBLES PARTIES .................................................................................................. 5
4. DEFINITIONS AND ABBREVIATIONS ................................................................................. 5
4.1 Definitions ...................................................................................................................... 5
4.2 Abbreviations................................................................................................................. 6
5. DESCRIPTION ...................................................................................................................... 7
5.1. Task identification ........................................................................................................ 7
5.2. Hazards and risks identification.................................................................................. 7
5.3. Risk assessment and classification............................................................................ 8
5.3.1 Exposure (E) valuation .......................................................................................... 8
5.3.2 Consequence (C) valuation ................................................................................... 9
5.3.3 Pure Risk valuation................................................................................................ 9
5.3.4 Pure Risk classification ....................................................................................... 10
5.4. Implementation of Controls and Residual Risk Assessment .................................. 10
5.4.1 Implementation of Controls................................................................................. 10
5.4.2 Residual Risk assessment .................................................................................. 11
5.5. Risks Control .............................................................................................................. 11
5.5.1 Control Verification.............................................................................................. 11
5.5.2 Significant Risks audit......................................................................................... 12
5.6. Hazards and Risks updates ....................................................................................... 12
5.7. Results approval ........................................................................................................ 13
5.8. Hazard and risk communication................................................................................ 13
6. REFERENCE DOCUMENTS .............................................................................................. 13
7. RECORDS .......................................................................................................................... 13
8. ATTACHMENTS ................................................................................................................. 14

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1. OBJECTIVE(S)

Establish and maintain a methodology for a permanent:

Hazard identification and risk assessment.
Implementation of control measures to prevent injuries, diseases and property damage.

2. SCOPE

This procedure applies to every process developed in SMCV, that is to every task carried out
with operational, maintenance, administrative objectives or tasks related to service execution,
whether performed by SMCV staff or through Contractors.

In this procedure it is also set the criterion to identify hazards and risks concerning visitors who
have access to SMCV facilities.

3. RESPONSIBLE PARTIES

Area Managers
Area Superintendents
Area chiefs and supervisors
Industrial Hygiene Supervisor at SMCV
Health and Safety Supervisor
SMCV staff
Contractors

4. DEFINITIONS AND ABBREVIATIONS

4.1 Definitions

Process: Set of activities (operational, services or administrative) interrelated or that

interact, which transform input elements into results. A process, to be completed, should
cover a series of stages.
Stage: A group of activities that have something in common. A set of stages make a
Process.
Activity: Basic unit of interaction between the component elements of a process, where the
transformation of the input elements take place. An activity can be operational, a service or
administrative, as a function of the objective to be achieved.
Task: a logical sequence of steps followed to carry out an activity. It is the most basic part of
the system, where risks are identified and assessed. The more specific a task is, the easier
the process of recognizing the associated risks will be.
Work team: Team appointed by the Manager, Superintendent and/or Chief for hazard
identification and risk assessment and control. This team is made up of multidisciplinary staff
and with experience in the job.
Hazard: Source, situation or act with the potential for damage in terms of injuries to people
or disease or property damage or a combination of these.
Hazard identification: Process to recognize if a hazard exists and define its characteristics.

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Risk Residual Assessment: Process of valuation and classification of risks arising from
hazards, having in mind the suitability of existing controls to decide whether a risk is
acceptable. Risk assessment can be made in a planned and formal manner, applying the
HIRAC matrix, or as a complement to controls established in an informal manner utilizing the
Operational Risk Analysis (ORA).
Risk: A combination of the probability of occurrence of a hazardous event(s) or exposure(s)
and the severity of the injury or disease or property damage that the event(s) or exposure(s)
may cause.
Pure risk: Any identified and quantifiable risk maintained in its normal state, namely, that
has not been mitigated by any control.
Residual risk: Any identified and quantifiable risk that has been mitigated by the
implementation of controls. This risk may be acceptable when supported by the
assessment of controls or the implementation of additional controls may be necessary.
Significant risk: High and critical risks which, if not controlled efficiently and over time, could
cause fatalities or losses that could affect the normal course of operations.
Acceptable risk: Any identified and quantifiable risk whose level is such that the
Organization can tolerate it, taking into consideration its legal obligations, accepted rules,
standards and its OHS policy. An acceptable risk can be pure or a result of a handling and
control process, in which case it will be an Acceptable Residual Risk.
Exposure (E): Represents the probability of one hazard or risk in particular occurring and
causing an unwanted incident. The value depends on the frequency of exposure to the
different elements that interact in a task.
Consequence (C): Probable severity of the unwanted event associated with the exposure to
a hazard or risk. Value should be analyzed coonsidering the impact on people (injuries),
property damage, industrial hygiene risks or a combination of these.
Expected Loss Value (ELV): Mathematical calculation utilized to quantify the level of risk of
a specific task as a function of exposure and its consequence. Its method of calculation
allows for finding three valuation ranks and gives the consequence a greater relative weight
in the final value. The formula is: ELV = E * (2.718)c
Residual risk valuation: Process of assessing risk(s) arising from hazard(s), taking into
account the sufficiency of existing controls and of deciding if the risk(s) is (are) acceptable or
not.
Incident: Events related to the job, in which injuries or disease (regardless of severity) or
property damage or fatalities occurred or could have occurred.
NOTE 1: An accident is an incident which leads to injury, disease or fatality.
NOTE 2: An incident in which there is no injury, disease or fatality can be also called a near-
accident or near-loss (situation in which an accident almost occurred).
NOTE 3: An emergency situation is a particular type of incident.
Disease: Identifiable adverse physical or mental condition which arises, worsens or both due
to work activity, a situation related to work or both.

4.2 Abbreviations

SMCV : Sociedad Minera Cerro Verde S.A.A.

IMS : Integrated Management System.
SSO : Safety and Occupational Health

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SOP : Standard Operation Procedure.

ELV : Expected Loss Value
ORA : Operational Risk Analysis

5. DESCRIPTION

The hazard identification, risk assessment and control process constitutes the basis of the OHS
Management System.
Before starting the process proper, a work team is put together which identifies all the tasks for
the area and puts them in order according to criteria mentioned in this procedure by utilizing the
form Hazard Identification, Risk Assessment and Control Matrix (see Attachment N 04). The
final document is reviewed by the Area Superintendent/Chief, who could request for this advice
from the area Health and Safety Supervisor, when applicable.

5.1. Task identification

Identification of tasks is done by means of process mapping following the steps below, which
are recorded in the form Process Mapping Matrix (see Attachment N 01):

Identify the process belonging to SMCV that is being analyzed using SMCV Process
Interrelations (see Attachment N 2). In the case of services or project execution, the
process is the service or project proper and the stages, steps and tasks correspond to the
logical execution sequence of the same. The work plan or the construction program will be
the best reference for this detail.
Identify the stages that make up said process.
Identify the activities in each stage.
Identify all operational, administrative or service tasks carried out in each activity, whether
our own or of third parties (contractors/subcontractors).

It should be taken into account during this identification jobs, equipment, materials and facilities
related to each of the processes to be assessed.

5.2. Hazards and risks identification

For this analysis stage the form Hazard Identification, Risk Assessment and Control Matrix
(see Attachment N 04) should be utilized, following the instructions below:

Complete the heading with Management, Superintendence/Head, Date, Process/ Contract

No. (Contractors only) and Stage, all previously identified in the process mapping.
In the body of the form, identify the Activity to be analyzed.
Identify and record in the corresponding column, in the logical occurring order, the tasks that
make up the activity to be analyzed.
Identify the hazards and risks related to each task, utilizing as a reference the Hazards and
Standardized Risks List (see Attachment N 03).

Note 4: when utilizing this hazards and standardized risks list, the complete text should be kept,
clarifying or selecting only the parts of the hazard(s) or risk(s) we are referring to, which should
be related with the subsequent valuation.

Record these hazards and risks in the corresponding columns in the form.

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For the identification of hazards and risks, it should be taken into account:

Routine and non-routine activities;

Activities of all people who have access to the work site including contractors and visitors ;
Behavior, aptitudes and other human factors;
Identified hazards which originate out of the work place with the capability of affecting
adversely the health and safety of the people under control of the Organization in the work
place;
Hazards generated in the vicinity of the work place by activities related with work, controlled
by the Organization;
Infrastructure, equipment and materials in the work place, whether supplied by the
Organization or by others;
Changes made or proposed in the Organization, its activities or materials;
Modifications to the OHS management system, including temporary changes and their
impact on operations, processes and activities;
Any applicable legal obligation related to risk valuation and the implementation of necessary
controls;
The design of work areas, processes, facilities, machinery/ equipment, operation procedures
and work organization, including their adaptation to human aptitudes.
OHS policy;
Recording of OHS incidents;
Non-conformities in OHS matters;
OHS management audit results;
New hazards resulting from corrective/ preventive actions proposed;
Communication from employees and other interested parties (see SGIpr0007);
Information on OHS consultations to employees, reviews and improvement activities in the
work place (see SGIpr0007);
Planned inspections.

5.3. Pure risks assessment and classification

In this part of the process, risks identified in the prior item as pure risks will be assessed and to
this effect the ELV formula will be applied. With this result, the criticality of the risk can be
classified immediately so that, on that basis, adequate control measures can be established.

5.3.1 Exposure (E) valuation

For each risk identified Exposure (E) to it should be valued. To determine the value utilizing
historical, predictive data and the teams own experience should be considered, which will allow
making an analysis of the present and the past. The valuation of exposure should be carried out
not considering existing control measures.

For rating the probability of Exposure (E) consider table No. 01.

Table N 01: Reference values of (E)

Assigned E
value
1 It is Improbable that the event occurs
2 It is Possible that the event occurs
3 It is Probable that the event occurs
4 It is Almost certain that the event occurs

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The identified values should be added to the Exposure column in the form HIRAC Matrix.

5.3.2 Consequence (C) valuation:

For each risk identified, the Consequence (C) of it materializing should be valued. To determine
the value, the worst case scenario of three possible should be considered: 1) injuries, 2)
property damage and 3) damage to health, simulating the occurrence of the unwanted event.
The valuation of the consequence should be carried out not considering existing control
measures.

As an aid to making Consequence (C) valuation criteria uniform, Table N 02 has been
prepared.

Table N 02: Reference values of (C)

C
Assigned Health Risks
Property Damage
Value Injuries
(US$) Hearing Disease Respiratory Disease

Minor
No time lost, First Aid < 10K Leq < 70 dB (A) Co < 0.25 (TLV-TWA)
(1)

Moderate Injury with no days lost, 0.25 (TLV-TWA) Co < 0.50

Between 10K - 250K 70 dB[A] Leq < X dB[A]
(2) medical treatment (TLV-TWA)

Significant Injury with time lost, 0.50 (TLV-TWA) Co < 1.00

250 K 5 000K Leq = X dB[A]
(3) disabling (TLV-TWA)
Multiple time lost,
Major
permanent disabling or > 5 000K X dB[A] Leq < 140 dB[A] 1.00 (TLV-TWA) Co
(4)
fatality

For the correct valuation of health risks review the Guide for Determining the Consequence of a
Health Risk (see Attachment No. 05).

The values identified should be placed in the Consequence column of the form Hazard
Identification, Risk Assessment and Control Matrix.
Note 5: If the severity of the associated consequence has a different valuation for each criterion,
the value of higher rating should be utilized.
Note 6: For other chemical, physical or biological agents not mentioned in this procedure, the
work team should contact SMCV Industrial Hygiene supervision in order to receive adequate
information to proceed with the risk assessment.

5.3.3 Pure Risk Valuation

With the value of Exposure (E) and the largest of three possible for Consequence (C), the
Expected Loss Value (ELV) formula will be applied, which will indicate the level of Pure Risk of
the task under assessment.

ELV = E * (2.718)c

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5.3.4 Pure Risk Classification

With the valuation obtained by the calculation of ELV, risks will be classified according to their
criticality as per the following table:

Table N 03 Risk Classifications

Expected Loss Value (ELV)

Risk Level
Lower limit Upper limit
54.6 218.4 A - Significant
20.1 40.2 B - Moderate
2.7 14.8 C - Acceptable

Record this value in the corresponding column of the form Hazards Identification, Risks
Assessment and Control (see Attachment N 04).

5.4. Implementation of Controls and Residual Risk Assessment

5.4.1 Implementation of Controls

According to the level of risk identified in the previous item, the following criteria should be taken
into account to set up controls:

Significant Risk (A): Controls should be implemented to reduce the consequence and/or
exposure with the objective of minimizing it. Without these controls implemented, the task
CANNOT be executed. For handling these risks, one must make sure that controls implemented
are effective and are maintained over time. Auditing and continuous improvement programs
should be kept focused on reducing the dependency on human conduct for controlling these
significant risks.

Moderate Risk (B): Controls should be implemented to reduce the consequence or the
exposure with the objective of minimizing it. Without these controls implemented, the task
CANNOT be executed. For handling these risks, one must make sure that controls implemented
are effective and are maintained over time.

Acceptable Risk (C): Controls should be considered with the objective of maintaining the
condition of acceptability over time and preventing these risks from turning into Moderate (B) or
Significant (A).

To determine controls, it must be taken into account that these will serve to mitigate the different
levels of risk; therefore, the most effective (elimination) to the least effective (use of PPE) should
be considered. The hierarchy below describes in detail each of the control groups:
Elimination: that is, modify or change the machinery, equipment, tools or even the work
methodology to eliminate a hazard.
Substitution: which may be a change in materials for others less hazardous, energy
reduction in the work systems (mechanical, electrical, potential, etc.)
Engineering Controls: consider insulation of the source, machine protection, guards,
soundproofing, ventilation, without affecting the original design.

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Administrative Controls: which include Policies, Regulations, Operational Procedures

(SOP), Standards, LOTOTO, Work Permits, Inspections, education, training, sensitizing,
maintenance programs, among others.
Signposting / Warnings: signals, alarms, sirens, lights or any other element which warns of
or indicates the presence of hazards and risks.
Personal Protection Equipment (PPE): which could be basic or specific, depending on the
type of task to be performed (See SSOst0025: Personal Protection Equipment Standard)

Note 7: The hierarchy of the controls mentioned means that their application in that order should
be assessed. If the task only considers as control the use of PPE, it means that the assessing
team agrees that all previous controls are not necessary after their review process.
Note 8: It should always be considered that the best results regarding risk management and
reduction in the expected loss value will be obtained applying a combination of the above
mentioned possibilities.
For hazard and risk identification in new designs or modifications of the facilities, processes or
inputs, there is SSOot0004: Design Application and Facilities Modification Policy, which allows
identifying hazards and assessing risks that these new projects or modifications may
incorporate.

All controls identified are recorded in the form Hazard Identification, Risk Assessment and
Control Matrix in the corresponding columns.

5.4.2 Residual Risk Assessment

To assess the Residual Risk of the task, the Expected Loss Value (ELV) formula should be
applied again but considering the new values that Exposure (E) and Consequence will take after
the implementation of controls defined in item 5.4.1. Finally, the Residual Risk should be
classified according to the criteria in Table N 03.

Only if the Residual Risk is Acceptable, the task can be executed; otherwise, controls proposed
(implemented) should assessed until achieving the levels of exposure and/or consequence
desired for this purpose.

5.5. Risks Control

5.5.1 Controls Verification

The condition of Acceptable Residual Risk is maintained over time only if the controls identified
and implemented in the initial formal assessment process are also maintained. In this sense,
specific and informal assessments should be maintained, which will be carried out by the person
or group of people in charge of a task:

a) When some risk has not been considered in the HIRAC matrix or in the associated
procedures, in which case it should be assessed and mitigated immediately before
starting the task.
b) To ensure that the controls identified in the HIRAC matrix are maintained over time. If a
deviation was found, the task could not be started until securing its correct
implementation.

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To this effect, the person or group of people should utilize the form Operational Risk Analysis
(ORA) found in Attachment No. 06 of this document.

5.5.2 Significant Risk Audit

Each Management should identify in its HIRAC matrix those tasks whose pure risk is Significant
with the objective of developing audit programs to verify, on the field, that controls defined for
handling these significant risks are implemented and are effective.

The frequency of these audits will be set by Area Management, according to its operational
needs, its management strategy or the complexity of the task. Those tasks whose controls are
based on behaviors (follow a procedure, respect signs, use of PPE, etc.) are less dependable
and should be audited with more frequency than those tasks whose controls fall on engineering
improvements.

The check list included in form Significant Risks Audit (Item II) (See Attachment N 07) should
be populated taking into account factors that are critical to the execution of the task which should
be ordered considering, al least, the following criteria:
General conditions; which include occupational and environmental factors. The correct
control assessment utilizing the control hierarchy.
Planning and supervision; which includes commitment with its responsibilities
(accountability), resource allocation, leadership, direction and area control.
Behaviors; to assess general knowledge, understanding of SOP, specific skills related to the
task, ability to understand incident alerts (red flags), experience on the task, the correct
decision making, possible transgressions, etc.
Procedure follow-up; which implies the clarity and simplicity of SOP as well as the steps
identified with its corresponding control measures.

Form Significant Risk Audit can be found in Attachment N 07, in which the Check List will be
included, whose contents will be developed for each task to be audited.

Finally, corrective actions should be implemented as part of the continuous improvement

process and the Area Management should ensure its compliance

5.6. Hazards and Risks Updates

The area Superintendent/Chief is responsible to ensure the reviewing and/or updating of the
record Hazard Identification, Risk Assessment and Control Matrix. This review and update
takes place in any of the following circumstances:

Initial identification of safety and occupational health hazards and risks.

When new hazards and risks are identified.
When new projects, expansions, contractions, restructurings, etc. are developed.
When changes to processes, work methodologies or equipment or behavior patterns exist;
changes in inputs or raw materials.
When a legal requirement or another requirement changes or a new one applies.
When facing changes due to revisions to the hazards and risks matrix.
When new hazards and risks are identified, which are the results of proposed
corrective/preventive actions.

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Upon the occurrence of an incident, if the need for reviewing and updating the Hazard
Identification, Risk Assessment and Control Matrix is decided as the action plan.

5.7. Results approval

The Area Manager is responsible for approving the record Hazard Identification, Risk
Assessment and Control Matrix.

SMCV President or the General Manager is responsible for approving this procedure.

5.8. Hazard and risk communication

Each area Manager is responsible for ensuring the communication of hazards, risks and control
measures adopted to minimize them to all staff and interested parties through:

Training on the procedures (SOP) before executing the task,

Induction/orientation or sensitizing talks,
Group meetings,
Personal contacts (face to face) or
Other activities considered by the Area.

Note 09: For visitors, a communication video is available in which they are informed of hazards
and risks to which they could be exposed during their stay in SMCV facilities; they are informed
as well of the control measures established.

6. REFERENCE DOCUMENTS

SSOot0004: Design Application and Facilities Modification Policy.

SGIpr0001: Document Control Procedure.
SGIot0003: SOP Preparation Guide
SGIpr0007: Internal and External Communication Procedures.
OHSAS 18001:2007 Regulation
SGIm0001: IMS Manual
SSOst0025 PPE Selection, Distribution and Use Safety Standard

7. RECORDS

Minimum Preservation
Name of Record Responsible for Control
Time

Process Mapping Matrix Superintendent for each area Permanent

Hazard Identification, Risk

Superintendent for each area Permanent
Assessment and Control Matrix
Operational Risk Analysis Responsible for User Area /
(ORA) 01 month
Contractor

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Significant Risk Audit Superintendent for each area Permanent

8. ATTACHMENTS

Attachment 01: Form Process Mapping Matrix

Attachment 02: SMCV Process Interrelation
Attachment 03: Hazards and Standardized Risks List
Attachment 04: Form Hazard Identification, Risk Assessment and Control Matrix
Attachment 05: Guide for Determining Consequences of Health Risks.
Attachment 06: Form ORA
Attachment 07: Form Significant Risks Audit

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Attachment N 01 Form Process Mapping Matrix

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Attachment N 02
SMCV Process Interrelations
INTERRELACION DE PROCESOS DE SMCV
A Po lticas d e Salud y Seg uridad,
XV. Proceso de Anlisis y Manejo de No Procesos de Gestin
c Medio Ambiente y Calidad
Co n fo rmidades , Acciones P
t I. Pro ceso d e IPECR
Preventivas y Correctivas l
u II. Pro ceso d e Id entificacin d e AA
XVI. Pro ceso d e Revisin p or la a
a III. Pro ceso d e Id entificacin d e Req uisitos d e Cliente
r Direccin n IV. Pro ceso d e Id entificacin d e Req uisitos Leg ales
e V. Proceso de Establecimiento de Objetivos y Metas
a VI. Pro ceso d e Prep aracin y Respuesta an te Emergencias
r
Requerimientos del Cliente y Otras Partes Interesadas

Procesos de Apoyo

Satisfaccin del Cliente y Otras Partes Interesadas

Procesos Estratgicos
2.Gesti n d e RRHH 5.So p o rte Leg al 9.Gestin de 13.Abastecimiento
Pro yecto s d e d e Ag ua Clara
Construccin e
1.Gestin Estratgica 6.Gestin In g en iera
3.Gestin Ambiental
Co n table 14.Man ten imiento d e
Presidencia 10.Procesos Eq uip o s y
Gerencia General Administrativa 7.Gesti n d e Geo l g icos Maq uin arias
4.Gesti n S&SO
Vicepresidencia Legal y Relacionas Excedentes
Gubernamentales 11.Pro teccin 15.So p o rte al Co n trol
Direccin de Finanzas 32. Servicio s d e 8.Soporte In d ustrial d e Pro ceso s
Calidad de Procesos In fo rmtico
Op eraciones
Co n centradora 16. Gestin con Grupos
12.Metalurg ia
d e In ters

17.Planificacin de la
Cto d o Pro d uccin
20.Chancado de Cu
19.Extraccin Procesos 21.Lixiviacin 22.SX 23.EW
Hidrometalurgicos 18.Abastecimiento

Trfico y
24.Ch an cado 26.Flo tacin 27.Flo tacin 28.Esp esamiento
25.Mo lienda Aduanas
Concentradora Cu-Mo Mo y Filtracin (Cliente)
Co n cen trado
Ag ua Relave Cobre
Agua Concentrado
29.Espesamiento de Mo d e Cu
Ag ua Relave 30.Filtrado y
Ag ua Secad o d e Mo Co n centrado
d e Mo
31.Man ejo d e Relave y
Ag ua Recup erad a

Procesos de Produccin
V
e
r XI. Proceso de Seguimiento y Medicin H
i VII. Pro ceso d e Imp lementacin d e Recursos,
XII. Pro ceso d e Pro ducto n o Co nforme a
f Funciones y Capacitacin
XIII. Proceso de Auditorias Internas c
i VIII. Pro ceso d e Co ntrol Operacional
c XIV. Pro ceso d e In vestigacin d e In cidentes e
IX. Proceso de Control de la Documentacin
a r X. Pro ceso d e Co municaciones
r

Page 16 of 26
 SMCV Integrated Management System
Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

Attachment N 03
Hazards and Standardized Risks List

N HAZARD RISK

Injuries to different parts of the body / death / property

1 Substandard Acts:
damage
Injuries to different parts of the body / death /
2 Threat of fire/fire/explosion/implosion
equipment damage
Imprisonment or entrapment by or between
3 Injuries to different parts of the body
objects, materials and tools.

4 Exposure to asbestos / glass wool Occupational disease

5 Fall into the sea / water / raff Drowning / death

Injuries to different parts of the body / death /

6 Falling objects / rocks / materials
equipment damage

7 People falling to a different level Injuries to different parts of the body / death

8 People falling in the same level (slips, trips) Injuries to different parts of the body

Injuries to different parts of the body / death /

9 Suspended loads
equipment damage

10 Collisions against moving / stationary objects Injuries to different parts of the body

11 Substandard condition: Injuries to different parts of the body /death

12 Contact with hot or incandescent materials Burns

13 Contact with sharp object Cuts to different parts of the body

14 Contact with piercing object Injuries to different parts of the body

15 Contact with chemical products Burn / Injuries to different parts of the body

16 Remaining power Electric shock / burn.

17 Powered equipment Electric shock / burn / death.

18 Confined space Asphyxia / suffocation /fainting / death

19 Excavations Asphyxia / suffocation / death

20 Exposure to ionizing radiation Health conditions

21 Exposure to non-ionizing radiation Health conditions

22 Exposure to fluids at high/low pressure Injuries to different parts of the body

23 Exposure to fluids at high/low temperature Burns

24 Exposure to direct fire Burns

25 Exposure to vapors/ gases/fumes Respiratory system conditions

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 SMCV Integrated Management System
Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

26 Exposure to humidity Health conditions

27 Exposure to luminosity Eye injury

Respiratory system conditions / occupational disease

28 Exposure to particulate material (dust)
(pneumoconiosis) / skin irritation

29 Exposure to acid mist Respiratory system condition

30 Exposure to noise Hearing injury / occupational disease

31 Exposure to chemical substances Health conditions

32 Exposure to heat / cold Burns / suffocation/respiratory system conditions

33 Exposure to the sun Burns / heat illness

34 Hit by or against materials, equipment or tools Contusion, cuts / injuries to different parts of the body

Injuries to different parts of the body / occupational

35 Repetitive motion
disease
Rollovers, equipment crashes, collisions, damage to
36 Heavy and/or light equipment operation other equipment , facilities / Injuries to different parts of
the body

37 Stepping on piercing or sharp objects Injuries to different parts of the body / object damage

Injuries to different parts of the body / occupational

38 Bad posture during work
disease

39 Potential hydrocarbon leaks Potential fires, burns.

40 Projection of fragments or particles Injuries to different parts of the body

41 Chemical substance spills Burns / equipment damage

Injuries to different parts of the body / occupational

42 Overexertion
disease

43 Work with moving equipment Injuries to different parts of the body / death

44 Work in heights Falls from different / same level

45 Vibrations Injuries to different parts of the body

46 Exposure to moving vehicles Injuries to different parts of the body / death

47 Others Others

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 SMCV Integrated Management System
Hazard Identification, Risk Assessment and Control Procedure
Substandard Acts and Conditions List
Substandard Act
Failing to follow Procedures
1 POE and document violation
2 Failure to follow instructions
3 Operating equipment with no authorization
4 Position or posture inappropriate for the task
5 Work or motion at inappropriate speed
6 Inappropriate lifting
7 Inappropriate load
8 Taking shortcuts
9 Hurry to finish task
10 Poor task prioritization
11 Do not follow training received
12 Try to perform task with no training
13 Unnecessary action to perform task
14 Check list error
Tool and Equipment Misuse
15 Inappropriate use of equipment
16 Inappropriate use of tools / inappropriate tool
Inappropriate location of tools, equipment or
17
materials
18 Use of defective equipment (knowingly)
19 Use of defective tools (knowingly)
20 Operating equipment at inappropriate speed
21 Revising equipment while functioning
22 Incorrect tool for the job
23 Poorly maintained equipment
24 Poorly maintained tools
25 Misinterpreted / misread instrument
Misuse of Protection Methods
26 Personal protection equipment not used
27 Inappropriate use of PPE
28 Use of defective or contaminated PPE
29 Inadequate control of power (blocking / tagging)
30 Equipment or materials not secured
31 Disabled protection or safety devices
SSOpr0001
Substandard Condition
Protection System
1 Inadequate protection and guarding
2 Defective protection
3 No protection
4 Inadequate / defective warning system
5 Inadequate isolation of equipment
6 Inadequate / defective safety devices
Tools, equipment, vehicles
7 Inadequate tools available for the job
8 Ergonomic factors not taken into consideration
9 Defective/inadequate equipment/tools/materials
10 Defective vehicles
11 Deficient design of man-machine interface
12 Inadequate vehicle for the intended purpose
13 Poorly prepared / equipped vehicle
14 Poorly designed tools / equipment
15 Inadequate proximity to equipment or vehicles
Environment in the workplace
16 Inadequate design of the workplace
17 Restricted visibility in the workplace
18 Poor housekeeping
19 Work surfaces in poor condition
20 Others
Page 19 of 26
 SMCV Integrated Management System
Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

32 Removal of protection or safety devices

33 Personal protection equipment not available

34 Deficient risk assessment by individual / team

Inattention / lack of awareness

35 Inappropriate decision making

36 Delayed reaction
37 Distraction in the workplace / environment
38 Distraction by others
39 Insecure balance / 3 points of contact
40 Not keeping eyes on the road
41 Acts of violence
42 Not warned
43 Drugs and alcohol consumption
44 Mindless routine actions
45 Tricks
46 Place oneself in the line of fire
47 Precaution / warning ignored
48 Deficient coordination or reaction time
49 Exposure of part of the body to risk areas
50 Attempt to do multiple tasks at the same time
51 Synchronization error
52 Poor perception
53 Complacency
54 Operate equipment with no authorization
55 Not signaling or warning
56 Failure in adequately securing
57 Operating at an inadequate speed
58 Take safety devices out of service
59 Use defective equipment
60 Use equipment incorrectly
Utilize personal protection equipment incorrectly or
61
not at all
62 Store incorrectly
63 Lift objects incorrectly
64 Others

Page 20 of 26
 SMCV Integrated Management System
Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

Attachment N 04
Form Hazard Identification, Risk Assessment and Control

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 SMCV Integrated Management System
P Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

Attachment N 05
Guide for Determining Consequences of Health Risks

Co: is the measured concentration of the contaminant in the air.

TLV-TWA: Threshold limit value of the weighted mean over time
Leq: noise level weighted over time to which the worker is exposed.
Where (X): Depending on exposure time may the take the values of the following table::

Noise

Noise Level
Exposure time
Scale db A (X)

82 db 16 h/day

83 db 12 h/day

85 db 8 h/day

88 db 4 h/day

91 db 1 h/day

94 db 1 h/day

97 db h/day

100 db h/day

Source: D.S. N 055-2010-EM

Chemical Contaminants

Agent TLV - TWA

Inhalable dust 10 mg/m3

Breathable dust 3 mg/m3

Oxygen 19.5% minimum

9000 mg/m3 maximum or 5000
Carbon dioxide
ppm
Carbon Monoxide 29 mg/m3 maximum or 25 ppm

Hydrogen sulphide 14 mg/m3 maximum or 10 ppm

Nitrous gases (NOx) 7 mg/m3 or 5 ppm

Ozone Maximum 0.1 ppm

Sulfur dioxide (SO2) Maximum 5 ppm

Source: D.S. N 055-2010-EM

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 SMCV Integrated Management System
P Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

Agent TLV - TWA

Sulfuric acid 1 mg/m3

Inorganic lead 0.05 mg/m3

Hexavalent chromium 0.05 mg/m3

Source: D.S. N 015-2005-SA

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 SMCV Integrated Management System
P Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

Attachment N 06: Form Operational Risk Analysis

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 SMCV Integrated Management System
P Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

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 SMCV Integrated Management System
P Hazard Identification, Risk Assessment and Control Procedure
SSOpr0001

Attachment N 07

SIGNIFICANT RISK AUDIT

I. GENERAL INFORMATION
MANAGEMENT: DATE:
SUPERINTENDENCE: START TIME:
PROCESS: END TIME:
ACTIVITY: AUDIT LEADER:
TASK: POSITION:

II. CHECK LIST

1. GENERAL CONDITIONS YES NO N/A

2. PLANNING AND SUPERVISION YES NO N/A

3. CONDUCTS YES NO N/A

4. PROCEDURE FOLLOW-UP (INCLUDE CRITICAL CONTROLS) YES NO N/A

4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10

5. CORRECTIVE ACTIONS

N ACTION RESPONSIBLE DATE

5.1
5.2
5.3
5.4

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