Registro de Riesgos CET

Operación/Gerencia: CET/Proyectos MATRIZ DE RIESGO:

Propietario: Gerente de Proyectos
Custodio: Director de Prevención de Pérdidas
Ultima Actualización: 09-05-2011
Escenario Area Impactada Riesgo Actual - 2010 Riesgo Actual - 2010 Riesgo Objetivo - 2011 Riesgo Objetivo - 2011 Monitoreo & Medicion

Financiera

Salud & Seguridad

Medio Ambiental

Operacional

Security

Cumplimiento Legal
Relaciones Comunitarias

Consecuencia

Consecuencia

Consecuencia

Consecuencia
Probabilidad

Probabilidad

Probabilidad

Probabilidad
Categoria del Propietarios
Fecha de Descripsion
Departm Riesgo - Propietario del de los No. de Fecha de la ultima
# Riesgo Area Actividad Descripcion del evento Causa Potencial Consequencia Potencial Controles Actuales Nivel de Riesgo Nivel de Riesgo Controles Futuros Nivel de Riesgo Nivel de Riesgo Cumplimient de la ultima Status
ento Mayor Area Riesgo controles accion revision
o revision
Impactada Futuros

. INTERVENCION DEL . FATALIDAD. . HACER CUMPLIR

. PROCEDIMIENTO DE
. ATROPELLOS. PERSONAL . INVALIDES TEMPORAL O ESTRICTAMENTE Y . RESIDENTE . GERENTE DE
APROXIMACION DE EQUIPOS. Fecha de inicio
.caida de distinto nivel . 3 PUNTOS DE APOYO. PERMANENTE. MONITOREAR DE OBRA. OBRA. (Luiz
1 Health & Safety . ESTANDARES DE 5 2 19 Extreme 5 1 15 High 1 1 1 Low 1 1 1 Low de obra 100%
. FALTA DE CAPACITACION. . GOLPEZ, APROXIMACION A EQUIPOS. (Abner Paz Espinoza 03 - 03 - 12
MOVIMIENTO DE TIERRA. 03 - 03 - 12
. DESCONOCIMIENTO DEL CONTUNCIONES, . SELECCION DE PERSONAL Herrera) Sanches)
TRABAJO FRACTURAS, ECT. POR COMPETENCIA.

### Err:502 ### Err:502 ### Err:502 ### Err:502

MOVIMIENTO DE
TIERRA

### Err:502 1 1 1 Low 1 1 1 Low 1 1 1 Low

. Falta de concentracion en el
trabajo.
. Desconocimiento del trabajo.
. Inadecuada capacitacion.
. Falta de señalizacion en el area
. Caidas de distinto nivel.
de trabajo.
. Deslizamiento de tierra.
. Señalizacion del area de
. Invalidez temporal o trabajo.
. Seleccion de personal.
permanete. . Orden y limpieza.
1 Health & Safety 5 2 19 Extreme 5 1 15 High . Charlas de seguridad. 1 1 1 Low 1 1 1 Low 100%
. Fracturas, lesiones, . Regado de las paredes del
contuciones. talud.
. Supervisor de seguridad.

ESCAVACION DE ### Err:502 ### Err:502 ### Err:502 ### Err:502

ZANJAS

### Err:502 ### Err:502 ### Err:502 ### Err:502

. Mala manipulacion de
herramientas de corte.
. Usos de EPPs. . Charlas de seguridad.
. Cortez. . Mala manipulacion de . Infecciones.
1 Health & Safety . Inducciones de seguridad. 5 3 22 Extreme 5 1 15 High . Seleccion de personal por 1 1 1 Low 1 1 1 Low
. Golpes. herramientas de golpe. . Fracturas, contunciones.
. Supervisor de obra. excelencia.
. Distraccion entre
trabajadores.

ZAPATAS
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### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

 Escenario Area Impactada Riesgo Actual - 2010 Riesgo Actual - 2010 Riesgo Objetivo - 2011 Riesgo Objetivo - 2011 Monitoreo & Medicion

Financiera

Salud & Seguridad

Medio Ambiental

Operacional

Security

Cumplimiento Legal
Relaciones Comunitarias

Consecuencia

Consecuencia

Consecuencia

Consecuencia
Probabilidad

Probabilidad

Probabilidad

Probabilidad
Categoria del Propietarios
Fecha de Descripsion
Departm Riesgo - Propietario del de los No. de Fecha de la ultima
# Riesgo Area Actividad Descripcion del evento Causa Potencial Consequencia Potencial Controles Actuales Nivel de Riesgo Nivel de Riesgo Controles Futuros Nivel de Riesgo Nivel de Riesgo Cumplimient de la ultima Status
ento Mayor Area Riesgo controles accion revision
o revision
Impactada Futuros

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

 Escenario Area Impactada Riesgo Actual - 2010 Riesgo Actual - 2010 Riesgo Objetivo - 2011 Riesgo Objetivo - 2011 Monitoreo & Medicion

Financiera

Salud & Seguridad

Medio Ambiental

Operacional

Security

Cumplimiento Legal
Relaciones Comunitarias

Consecuencia

Consecuencia

Consecuencia

Consecuencia
Probabilidad

Probabilidad

Probabilidad

Probabilidad
Categoria del Propietarios
Fecha de Descripsion
Departm Riesgo - Propietario del de los No. de Fecha de la ultima
# Riesgo Area Actividad Descripcion del evento Causa Potencial Consequencia Potencial Controles Actuales Nivel de Riesgo Nivel de Riesgo Controles Futuros Nivel de Riesgo Nivel de Riesgo Cumplimient de la ultima Status
ento Mayor Area Riesgo controles accion revision
o revision
Impactada Futuros

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

### Err:502 ### Err:502 ### Err:502 ### Err:502

NEWMONT CONSEQUENCE TABLE / TABLA DE CONSECUENCIA
Level Health & Safety
1 First Aid Injury; Nuisance value:
Minor reversible health effects
Insignificant (e.g. minor irritations, nuisance
noise
2 Medical Treatment Injury;
Restricted Work Injury: Minor
Minor reversible health effects requiring
treatment (e.g. high altitude
sickness, sunburns)
3 Single Lost Time Injury:
Moderated reversible health
Moderate effects; Agents with good
warning properties (e.g. sulfur
dioxide, ammonia)
4 Multiple Lost Time Injuries;
Admission to intensive care unit
Major or equivalent: Serious, chronic,
irreversible health effects
resulting in long term
impairments or shortened life.
5 Fatality(s) or permanent
disability; Immediate irreversible
Catastrophic health effects resulting in
permanent disability or death.
Legal Compliance Financial
Environmental Community Operational Security
No or very low Isolated complaint. Loss equivalent to 1 hour of Infractions: Violations of Minor technical/legal > $1,000
environmental impact. production interruption. internal policies and compliance issue unlikely
No media enquiry. procedures. No personal to attract a regulatory
Impact confined to small Routine wear and tear of injury of property damage. response.
area. screen panels at crusher
requires change out.
Low environmental Small numbers of Loss equivalent to 6 hours of Minor Criminal Offenses. Technical/legal compliance > $10,000
impact. sporadic complaints. production interruption. Example: Trespassing, Theft issue which may attract a
under $5000.00, Minor low level administrative
Rapid cleanup by site staff Local media enquiries. Metal tooth on loader bucket Property Damage, etc. response from regulator.
and/or contractors. comes loose while feeding
crusher. Crusher plugged Incident requires reporting
Impact contained to area and tooth has to be cut out of in routine reports (e.g.
currently impacted by crusher. monthly).
operations.
Moderate environmental Serious rate of Loss equivalent to 12 hours Appreciable property Breach of regulation with > $100,000
impact. complaints, repeated of production interruption. damage. Theft over possible prosecution and
complaints from the $10,000.00 value. Low penalties.
Cleanup by site staff same area (clustering). The pressure oxidation vessel intensity civil unrest
and/or contractors. develops a small leak in the Continuing occurrences of
Increased local media brick liner. minor breaches.
Impact confined within interest
lease boundary. Incident requires immediate
(within 48 hours)
notification.
Major environmental Increasing rate of Loss equivalent to 3-7 days of Significant property damage Major breach of regulation > $1,000,000
impact. complaints, repeated production interruption. resulting in operational shut resulting in investigation by
complaints from the down. Significant Criminal regulator.
Considerable cleanup same area (clustering). A critical piece of offenses committed against
effort required using site environmental control persons. Prosecution, penalties or
and external resources. Increased local/ national equipment for gas cleaning at other action likely.
media interest. the roaster facility fails and High intensity civil unrest.
Impact may extend requires replacement. High level fraud or
beyond the lease embezzlement
boundary. Ground fall at the open pit
closes of access road and
buries equipment.
Severe environmental High level of concern or Loss equivalent to more than Major criminal offenses. Serious breach of >$10,000,000
impact. interest from local a week of production Multiple fatalities. Forced regulation resulting in
community. interruption. evacuation of all personnel. investigation by regulator.
Local species destruction
and likely long recovery National and/or Pressure oxidation vessel Operation suspended,
period. international media fails and depressurizes. licenses revoked.
interest.
Extensive cleanup Ground fall at an
involving external underground heading causes
resources. loss of entire heading.
377654455.xls
NEWMONT LIKELIHOOD TABLE / TABLA DE PROBABILIDAD
Nivel Descripción •Criterios (leelos como y/o)

•El evento ocurrirá

5 Certeza
•El evento ocurre diariamente

•Se espera que el evento ocurra

4 Muy Probable
•El evento ocurre semanal/ mensualmente

•El evento se dá bajo la ocurrencia de algunas circunstancias

3 Posible
•El evento ocurre anualmente

•El evento ha ocurrido en otro lugar

2 Poco Probable
•El evento ocurre cada 10 años

•El evento podría darse bajo la ocurrencia de circunstancias

1 Raro excepcionales
•El evento rara vez ocurre en la industria

Level Description Criteria (read as either/or)

377654455.xls
 Consequence

Likelihood 1 2 3 4 5

Insignificant Minor Moderate Major Catastrophic

5
11 16 20 23 25
Certain
4 7 12 17 21 24
Likely
3 4 8 13 18 22
Possible
2 2 5 9 14 19
Unlikely
1 1 3 6 10 15
Rare

Actions to Maximize
Risk Level Priority Actions to Minimize Risk
Opportunity

Detailed research and

Detailed research and
planning required; determine
planning required; high payoff
Extreme 1 whether activity or task should
potential; pursue opportunity
be stopped pending further
aggressively
investigation

377654455.xls
NEWMONT CONTROL RANKING GUIDE

Risk Control Score = Control Effectiveness Score x Control Rating Code

Control Types
DESIGN CHANGE Engineering type controls that potentially eliminate the hazard.
PASSIVE CONTROL Controls that are in place that do not require human intervention.
ACTIVE CONTROL Controls that are in place that require humans to activate them.
WARNING DEVICE Alarms or monitoring that indicate a hazardous situation.
PROCEDURE Documented SOP's that control the hazardous situation.

Control Rating Code

Pre-event (2) Post-event (1)
Design Change (5) 10 5
Passive Control (4) 8 4
Active Control (3) 6 3
Warning Device (2) 4 2
Procedure (1) 2 1

Control Effectiveness Score

Effectiveness Score Guide

Not used, not known of, not reliable, not readily available, waste of time
Very Poor 1
using.

Used occasionally, doesn't work all the time, known by only small
Poor 2
percentage on site, would use if available.

Control known of, works majority of time, normal expectation that control
Good 3
is available, used regularly.

Control known by 80% of personnel, reliable and used frequently,

Very Good 4
available for large percentage of situations, tested occasionally.

Best practice, difficult to improve, well supported by all personnel, works

Excellent 5 every time, backups available, not subject to being overridden, tested
independently frequently.

Risk Control Score Adequacy Requirement

Pre-Event Post-Event Total

Catastrophic Consequence 100+ 40+ 140+

Major Consequence 60+ 23+ 83+