Industry Ground Control Framework (IGCF): Enhancing Safety in Coal Underground Mining

1. Industry Ground Control FrameworkMP Coal Underground RTF15 November 2018

2. Contents • Current safety statistics • Project Initiation and Aim • Overview of the IGCF Elements • Contact details

3. FOG Fatalities (12 Nov 2018) vs 2020 FOG Milestones 19 FOG fatal events/accidents YTD • Mpumalanga – 1 FOG accident • (1) The now deceased Roof bolter Operator was fatally injured in a fall of ground accident 5-7-2018 35% of all fatalities

4. Project Initiation and Aim • Up to 2016, industry using fatality rates which showed a plateau in data. However, when using absolute data, the upward trend (REGRESSING) is clearly visible • Milestone management talks to ZERO HARM - rates (0,0000E100); absolute number (0) • Original idea from the CEO Zero Harm Leadership Forum was to disseminate best practice in Rockburst Management • During data collection, a more HOLISTIC approach to FOGM started to be needed • IGCF – for industry by industry – 40 (SHEQ, RE, Seismologists, Operations Managers, MOSH) Aims To disseminate a strategy that would collectively align all best practices into one framework; and, To present a framework that would cater for ALL mining and quarrying methods.

5. Overview of the Industry Ground Control Framework (IGCF) Elements

6. The IGCF Just Culture Operational Discipline Enabling Environment Leadership

7. Dear RTF members Please give me FOG scenario/problem/challenge? ….Using IGCF you will come up with questions to ask on the way to a potential solution….

8. IGCF Technical Elements Risk analyses Risk analyses Risk analyses Risk analyses Risk analyses Risk analyses

9. IGCF Technical Elements Risk analyses Risk analyses Risk analyses • The assessment of, mitigation thereof and management of risks based on the macro design, taking cognisance of the organisation’s risk thresholds/tolerances • The setting and definition of an overall set of rules for the mining extraction • Risk Policy, Legislation, Administration and Management Risk analyses Risk analyses Risk analyses

10. IGCF Technical Elements Risk analyses • The understanding of the mining environment • Understand geological complexity • Understanding of the overall rockburst and rockfall risks • What are the risk thresholds for the design? • Understand regional hydrology • Presentation of overall extraction, regional and local pillar designs Risk analyses Risk analyses Risk analyses Risk analyses Risk analyses

11. IGCF Technical Elements Risk analyses • The detailed planning of workplaces • Designing workplaces that promote the safety and health of people • Support system design for different mining environments and the different geotechnical ground control districts • Different extraction and extraction rate scenarios • Establish standards, processes, systems, procedures and controls to monitor these Risk analyses Risk analyses Risk analyses Risk analyses Risk analyses

12. IGCF Technical Elements Risk analyses Risk analyses Risk analyses • Execute the micro design • Provide training and continued support for the teams • Provide timeous and regular risk analyses as mining progresses. • Plan, Lead, Organise and Control Risk analyses Risk analyses Risk analyses

13. IGCF Technical Elements Risk analyses Risk analyses Risk analyses • Monitor rockmass behaviour and response to design • Monitor deviations, exceptions and anomalies • Investigate accidents and incidents diligently Risk analyses Risk analyses Risk analyses

14. IGCF Technical Elements Risk analyses Risk analyses Risk analyses Risk analyses Risk analyses • Conducting routine managementreviews to determine the effectiveness of the designs, processes and systems • Review accident and incident data. Risk analyses

15. IGCF Technical Elements Risk analyses Risk analyses Risk analyses • Where one is unable to mitigate a particular hazard or risk through the review process, research is available to investigate a particular problem. Through such a process, solutions can be found through innovation and technologies Risk analyses Risk analyses Risk analyses

16. The IGCF Behavioural and Leadership Elements Just Culture Operational Discipline Enabling Environment Leadership

17. Contact information MOSH Team: sdurapraj@mincosa.org.za aissaka@mincosa.org.za clegodi@mincosa.org.za Coal Sector: sdurapraj@mincosa.org.za Mthokozisi.Shezi@exxaro.com Gold Sector: sdurapraj@mincosa.org.za orakumakoe@anglogoldashanti.com Other: sdurapraj@mincosa.org.za anton@tshipi.co.za (Northern Cape) (Limpopo) (KZN North) Platinum Sector: aissaka@mincosa.org.za Fanta.Sibanda@sibanyestillwater.com

18. Thank you Wishing you all a Merry Christmas and a delightful New Year 15 November 2018 S. Durapraj

19. ANNEXURES and DETAIL for IGCF Annexure A - IGCF Element Detail – Technical Annexure B - IGCF Element Detail - Leadership and Behaviour

20. Annexure AIGCF Element Detail - Technical

21. IGCF Element Detail – Technical: Risk Management Definition: The management of the risks associated with a particular event or action. Objectives: Identification of hazards Risk Probability Analysis Risk Assessment Risk categorisation Mitigation and Control Measures Risk communication Risk Policy, Administration and Management Management of Change

22. IGCF Element Detail – Technical: Risk Management • The Risk Management involves: • The assessment of, mitigation thereof and management of risks based on the macro design, taking cognisance of the organisation’s risk thresholds/tolerances • The setting and definition of an overall set of rules for the mining extraction • Tasks: • Assessment, Evaluation and Risk Propensity for Rockfalls and Rockbursts with the Macro Design • Determine the lowest Rockfall and Rockburst Risk • An evaluation of how the specified risk impacts on the organisation and its people • Establish risk profile • If risk profile is higher than the organisations risk threshold, go back to design • Define production profiles for the mine if design is adequate or else go back to Macro design • The Safety Management System at the mine should: • Identify all rock-related hazards • Conduct a Risk Probability Analysis and categorise each risk • Conduct Risk Assessments • Provide a set of Mitigation and Control Measures for each hazard • Provide Risk communication mediums • Ensure that there is Risk Policy, Administration and Management • Ensure that each mitigation subscribes to Management of Change processes

23. IGCF Element Detail – Technical: Macro Design Definition: Macro design is the act of producing a plan at a larger scale for achievement of the desired output. Objective: Plan of the entire envisaged output

24. IGCF Element Detail – Technical: Macro Design • The Macro Design involves: • The understanding of the mining environment and the geological complexity under which mining has and will occur. • A tentative understanding of the overall rockburst and rockfall risks involved in the feasibility analysis • What the criteria are for extraction? • What are the risk thresholds for the design? • Can the design and the execution thereof achieve these thresholds? Tasks: Orebody delineation Understand the regional and local geotechnical environment and variations thereof, in particular where variations in environment would exceed the design criteria Understand regional hydrology Understand impact of previous mining in the region Establish Geotechnical Areas/Ground Control Districts Establish design criteria for extraction

25. IGCF Element Detail – Technical: Macro Design Tasks (cont.): 7. Define overall ore extraction strategy Define regional support to cater for overall stability of the rockmass and sustainable production for the extraction term. Assess different scenarios Provide risk analyses for each scenario Rock Engineering department to be structured to achieve designs Sign off of Macro Design by appropriate and appointed personnel and handover signoff to new incumbents

26. IGCF Element Detail – Technical: Micro Design Definition: Micro design is the act of producing a detailed plan for the desired output achievement. Objective: A detailed plan for each specific component. This Photo by Unknown Author is licensed under CC BY-NC-ND

27. IGCF Element Detail – Technical: Micro Design • The Micro Design involves: • Defining the design criteria for the workplaces • Designing workplaces that promote the safety and health of people • Establishing support protocols for the different mining environments and the different geotechnical ground control districts Tasks: Define workplaces Establish workplace designs and mining cycles supporting such designs Evaluate different mining methodologies to establish which would promote the best overall stability Assess different extraction and extraction rate scenarios to determine the lowest rockfall and rockburst hazard Provide risk analyses for each scenario, support strategy, mining method, etc. Assess different support systems Establish planning protocols Identify, assess and document shortcomings if elements of the Micro Design are not executed properly, are inappropriate and/or are damaged Establish standards, processes, systems, procedures and controls to monitor these Establish a rock engineering discipline to ensure that designs are monitored Sign off of Macro Design by appropriate and appointed personnel and handover signoff to new incumbents This Photo by Unknown Author is licensed under CC BY-NC-ND

28. IGCF Element Detail – Technical: Implementation Definition: Put into effect Objective: Action This Photo by Unknown Author is licensed under CC BY-NC-ND

29. IGCF Element Detail – Technical: Implementation • Implementation involves: • Executing according to the micro design Tasks: Implement processes, systems and procedures Provide practical training for the micro design Provide training and continued support for the teams until all stakeholders are found competent Provide timeous and regular risk analyses as mining progresses. Establish teams that have low risk tolerances Establish planning protocols, short and long term interval controls and the frequencies for such reviews This Photo by Unknown Author is licensed under CC BY-NC-ND

30. IGCF Element Detail – Technical: Monitoring Definition: The process of observing and checking the progress or quality of something over a period of time Objective: Periodic Data to facilitate review

31. IGCF Element Detail – Technical: Monitoring • Monitoring involves: • The frequent assessment and reporting of the design execution Tasks: Provide systems processes and procedures to assess design Monitor rockmass behaviour and response to design Monitor mindset behaviours Monitor deviations, exceptions and anomalies Investigate accidents and incidents diligently Provide timeous and regular risk analyses as monitoring progresses Provide timeous feedback to management Establish control health

32. IGCF Element Detail – Technical: Review • Definition: • A formal analysis of something with the intention of instituting change if necessary. • Objectives: • Continuation with the current process • Refinement of the current process • Application of new approach • The review process should be part of a routine – quarterly for the micro-designs and annually for the macro-designs This Photo by Unknown Author is licensed under CC BY-NC-ND

33. IGCF Element Detail – Technical: Review • Review involves: • Conducting routine managementreviews to determine the effectiveness of the designs, processes and systems • Tasks: • Establish whether there are design flaws or non-compliances • Improve on controls where sub-standards existed • Update and back-analyse for input into numerical models • Provide and analyse designs, processes and systems routinely • Review accident and incident data. If there is data regression, provide strategies to close the gap. If there is improvement, understand why such improvement exists – is it because of design or the synergy of different strategies? Risk analyse • The review: • Quarterly for the micro-designs • Annually for the macro-designs • Critique sub-standards and exceptions that were not related to the design • Provide updates on potential new technologies that may enhance the current designs • Improve and optimise current systems and processes This Photo by Unknown Author is licensed under CC BY-NC-ND

34. IGCF Element Detail – Technical: Research, Innovation and Technology Definition: The systematic investigation into and study of materials and sources in order to establish facts and reach new conclusions and solutions. Objectives: Facts Conclusions 3. New approaches and technologies This Photo by Unknown Author is licensed under CC BY-NC-ND

35. IGCF Element Detail – Technical: Research, Innovation and Technology • Research, Innovation and Technology: • Where one is unable to mitigate a particular hazard or risk through the review process, research is available to investigate a particular problem. Through such a process, solutions can be found through innovation and technologies • Research should be industry or commodity specific Tasks: Data analyses/review should provide impetus for research and indicate needs in particular domains/sectors IGCF collaborative efforts between mines should be part of the research, innovation and technological advancement processes Investigate benchmark industries and other sectors for solutions to a particular problem Investigate and compare international best practices Risk analyse relevant best practice per commodity/industry/mine Relate current research, innovation and technologies to each component of IGCF This Photo by Unknown Author is licensed under CC BY-NC-ND

36. Annexure B - IGCF Element Detail: Leadership and Behaviour

37. IGCF Element Detail – Leadership • Leadership behaviour forms the core of the IGCF and the appropriate functioning of the LEADERSHIP is imperative to the success of the framework. As such, the following list would be generic to all organizations, but each would have to produce a succinct set of leadership protocols that talks to their own organizational cultures. Leadership is core to enabling environment, just culture and organizational discipline. • Enable leadership and resources to give effect to the IGCF • Create a proactive culture to achieve the objectives of the framework • Embed the desired behaviours across all levels of the organisation • Provide adequate communication platforms and mediums for stakeholder engagement • Achieve stakeholder commitment and buy-in Leadership

38. IGCF Element Detail – Behaviour • Just Culture • Empowering people to make the correct decisions and holding them accountable • By defining and consistently applying a line between acceptable and unacceptable behaviour • Apply fair reward and discipline An enabling environment is a set of interrelated conditions that impact on the capacity of achieving the desired output. Success is achieved by knowing what all the conditions are; how to they work together and how they can be optimised to achieve the desired result. Operational Discipline Just Culture Enabling Environment • Operational Discipline is executing work correctly at all times • By doing the right thing, the right way, every time

39. IGCF Element Detail – Behaviour: Enabling Environment Enabling Environment involves: • a set of interrelated conditions that impact on achieving the desired output. • getting all the relative conditions in a favourable position to avoid hinderance of achieving the desired output. Enforcement Just Culture Enabling Environment Tasks: • Do a gap analysis on the enabling requirements for the IGCF and current organisational systems • Provide the required resources for the effective execution of all elements covered by the IGCF within both strategic and operational contexts. • Enable people to get the work done through planned work and detailed method statements

40. IGCF Element Detail – Behaviour: Just Culture Just Culture involves: • Empowering people to make the correct decisions and holding them accountable • By defining and consistently applying a line between acceptable and unacceptable behaviour • Apply fair reward and discipline Enforcement Just Culture Enabling Environment Tasks: • Establish whether organisational investigation systems include detailed behavioural analysis that might lead to equitable and “just” finding on the drivers for human error • Engage key stakeholders in developing a Just Culture model

41. IGCF Element Detail – Behaviour: Operational Discipline Operational Discipline involves: • Executing work correctly at all times • Embedding a compliance culture Operational Discipline Just Culture Enabling Environment Tasks: • Foster in-depth organisational understanding on the benefits, pitfalls and risks regarding planned work vs unplanned work • Obtain subsequent buy-in from all levels of the organisation to always execute work in a planned manner guided by detailed method statements • Investigate operational practices and norms in the workplace in order to identify potential “routine violations” of work standards • Address identified issues impacting on operational discipline