Element 7 SOP Rev 3

Rio Tinto Kennecott
CONTRACTOR MANAGEMENT SYSTEM

Standard Operating Procedure
HSEQ MS Element 7 Compliance Procedure
Supplier and Contractor Management
Effective Date: 10/14/15 Document Number: HSEQSOP07-001 Rev: 03
PURPOSE:
This procedure specifies the mandatory requirements to support implementation and

conformance with contractor management requirements in the Rio Tinto management
system standard: Element 7 – Supplier and Contractor Management. Located at
https://intranet.riotinto.org/intranets/Copper/Kennecott/Pages/Contractor-
management.aspx
SCOPE:
This procedure is triggered by the requirements of the Rio Tinto management system
standard and is mandatory for all managed businesses within the Rio Tinto Group
whenever service providers are contracted on Rio Tinto’s behalf to perform work at a
Rio Tinto site / facility or on Rio Tinto owned, controlled or managed property.
GENERAL DESCRIPTION:
This process for the management of contractors must follow a consistent approach
across the Group that is aligned to The way we work and The Procurement principles.
Such processes must be in conformance with the Rio Tinto management system
standard and applicable HSEQ performance standards.
Service providers play a key role in the Rio Tinto organization. HSEQ engagement
and expectation setting with service providers are critical activities necessary to align
the commitment of service providers and their employees and subcontractors to Rio
Tinto’s HSEQ vision and values.
This procedure specifies the mandatory requirements that must be met to ensure
that effective controls are in place for the management of contractors and the HSEQ
risks associated with the use of contractors are effectively managed.
TERMS
The definitions for all technical terms within this document are located in the HSEQ
definitions database. The HSEQ definitions database is found on the
https://intranet.riotinto.org/dms/RTHQ-HSE/Lists/Definitions Database/All Items
C.aspx.
Page 1 of 18 Plant: All

PRINTED COPIES ARE UNCONTROLLED
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MANDATORY REQUIREMENTS:
To ensure work is clearly understood, the task or outcome must be clearly defined
and documented.
Scope of work must contain as a minimum, the identified HSEQ risks associated with
the work to be performed and the expected controls to meet the Rio Tinto HSEQ
standards, legal and other regulatory requirements.
1 Service provider capability assessment & selection
1.1 Businesses must have in place a documented process to support capability

assessment of companies proposing to provide services to Rio Tinto. (eg. Pre-bid
and or Master Service Agreement).
1.2 RTK uses a third party compliance company to collect the required category 2
and 3 contractor and sub-contractor pre-qualification information. The third
party collects and tabulates the required information and provides an online
summary report. The contractor’s “Safety Approval” status is based on specific
requirements defined by RTK. Bid submittals will not be considered complete
unless all of the requested safety related information is provided.
1.3 The assessment process must detail the extent of the qualification(s) required
based on the work and the risk associated including:
1.3.1 Verification of the service provider’s capabilities to perform the type of
work desired through a review of HSEQ performance on projects of similar
scale or work scope.
1.3.2 Verification that the service provider has a formal HSEQ system aligned to
the intent of the Rio Tinto HSEQ standards.
1.3.3 Verification that the contractor meets all additional requirements specified
by the contracting Rio Tinto product group, business or site.
1.4 Contractors must be classified into one of three relevant category types, based
on the work being performed:
1.4.1 Category 1 contractors: Individuals engaged on temporary contracts to
work within existing operations that may be filling a role on a temporary
basis which is normally filled by a Rio Tinto employee.
1.4.2 Category 2 contractors: Companies or individuals engaged for a discrete
project which will be carried out in a designated area separate from
existing operations.
1.4.3 Category 3 contractors: Companies or individuals engaged under
contract to carry out specific tasks or provide specified services within
existing operations areas.

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1.5 Where deviations or exceptions from the assessment process are necessary, they
must be approved and signed off by the Rio Tinto senior leader accountable for
the site.
1.5.1 The Plant GM may authorize a non-approved contractor by completing RTK
Safety, Health and Environmental Analysis Pre-job Checklist document to
allow the exception.
1.5.2 The following chart is a summary and requirements that apply for each
contractor type.
CAT 1 CAT 2 CAT 3

REQUIREMENTS Temporary Contractor(s) Contractor(s) Inside existing operating areas
Replacemen outside
Personnel operating areas
Approved Contractor X X
Proof of Insurance X X
SHEA X X
Pre-bid Meeting X X
Pre-job Meeting X If emergency or short duration use the Rio Tinto Kennecott
Checklist (available on the RTK CMS Intranet website)
SHEAP X X
Hazard training / Site Specific / Safety X X X
Orientation
Drug Test X X X
2 Assign Rio Tinto leadership
The terms below are Rio Tinto Kennecott (RTK) terminology which rolls up to “Assigned
Rio Tinto Leadership.” RTK has chosen to utilize the various roles in the RTK
organization to assist in managing the Contractor Management Process.
2.1 An appropriate business leader must be identified for key service providers
engaged by Rio Tinto. The leader is accountable for ensuring that:
2.1.1 The service provider’s HSEQ performance is acceptable with regard to the
work to be undertaken.
2.1.2 The effectiveness of the service provider’s HSEQ systems and processes in
relation to the scope of work.
2.1.3 Expectations in relation to key performance indicators is defined and
managed with the service provider.
2.1.4 Issues are documented and escalated as per the Contractor Management
Process (Scoping, Planning and Executing Contract Work (CMP process)).
2.2 The responsibilities of the business leader are defined as:
2.2.1 Assigned RTK leadership is responsible for:

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2.2.1.1 Day-to-day management of the contractor an administration of

the contract.
2.2.1.2 The RTK service requestor (person who identifies the need for
contractor services and who has the authority to request the
services of a contractor) is responsible for preparing a scope of
work including a Safety, Health, and Environmental Analysis
(SHEA).
2.2.2 The RTK Plant General Manager is accountable for:
2.2.2.1 Authorizing approved contractor for emergency work.
2.2.2.2 Approval of non-approved contractor(s) when qualified
contractor(s) are not available to do the work.
2.2.2.3 The Permit to Work system is within compliance at their own
facility:
 All personnel who operate or use the PTW are trained and competent.
 An audit process is in place to ensure the system is functioning
effectively.
2.2.3 The RTK Contract Administrator / Custodian are responsible for

the administration of the contract including:
2.2.3.1 Compliance and implementation of the CMS requirements.
2.2.3.2 Ensuring compliance with the RTK Management of Change, HSEQ
standards, and Management Systems as required.
2.2.3.3 Monitoring the activities of the contractor and completing formal
reviews with the contractor that includes safety performance.
2.2.3.4 Capturing and acting on safety improvement ideas.
2.2.3.5 Action plans will be agreed and documented to correct noted
deficiencies.
2.2.3.6 Ensure that contractor employees have been given the
appropriate Permit to Work training.
2.2.3.7 The RTK Contract Administrator will maintain copies of Pre-bid /
Pre-job conferences, SHEAs, SHEAPs, audits, and accident
investigation reports.
2.2.4 The RTK Field Supervisor is responsible for:
2.2.4.1 Ensuring that the contractor employs an audit process that will
ensure that the contractor carries out all safety duties in
accordance with the contract and with applicable regulatory
requirements.
2.2.4.2 Where practical the work area is clearly demarcated.
2.2.4.3 Ensuring a Permit to Work system is in compliance.
2.2.4.4 The completed Permit to Work is forwarded to the facility record
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storage center / location where they are to remain on file for 2

years or as designated in the RTK Records Retention Schedule
2.2.4.5 Verify that the permits are available for inspection at the
workplace.
2.2.4.6 Monitoring the work to check compliance with the permit
conditions
2.2.4.7 Reporting and recording all contractor safety incidents, accidents,
injuries and near miss incidents
2.2.4.8 A copy of the contractor's accident investigation report must be
submitted by the end of the shift.
2.2.4.9 Reviewing the contractor's accident investigation report and
completing a follow-up investigation. A copy of the completed
accident investigation must be sent to the RTK Safety
Department.
2.2.4.10 Providing total man-hours worked for each contractor under his /
her jurisdiction to the RTK Safety Department by the last day of
each month.
2.2.4.11 The RTK Field Supervisor or designee will be the single person
responsible for the communication of:
 RTK and contractor(s) during a project
 The proper RTK personnel must be made fully aware of any
issues
 When contractors are working closely (same area, same
equipment, close proximity) with RTK employees
 Contractor Safety, Health, and Environmental Action Plan
(SHEAP) will be discussed in detail with the RTK area
supervisor(s)
2.2.5 Global Business Services (GBS / RTP) is responsible for contracting

for services on behalf of RTK. GBS is responsible for:
2.2.5.1 Soliciting bids only from contractors that meet RTK/RTP
requirements.
2.2.5.2 GBS/RTP will ensure contractors performing services are on the
RTK prequalified contractor list in accordance with sections 1.5.
2.2.5.3 Compiling a contract with general and special terms and
conditions.

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2.2.5.4 GBS will ensure that the contractor’s safety duties are embedded
in the contract. The contract document must contain provisions
covering safety including:
 Contractor responsibility to comply with the RTK safety policy,

rules and procedures, and all applicable laws.
Proof of adequate levels of insurance.
 Indemnification agreement and termination clause or
penalties for lack of performance in safety.
2.2.5.5 Implementing the Purchasing Procedures.
2.2.5.6 Purchasing only approved specified materials and products and
making no substitutions without approval through Management
of Change.
2.2.6 The RTK Qualified Person (Permit to work)
Each Plant by department by area shall identify and train individuals

“Qualified Persons” that are authorized to issue a Permit to Work.
Authorization shall be valid for a maximum period of one (1) year after
which refresher training and re-authorization shall take place. The
“Qualified Person” will:
2.2.6.1 Understand the scope of work and facilitate a dialogue to make
clear to the person(s) carrying out the job:
 The area hazards and risks
 Critical Risks / Critical Controls
 Process Safety Risks and Controls
 HSEQ standard compliance
2.2.6.2 Conduct a visual inspection of the work site with the contractor
personnel unless there is a formal risk assessment in place which
shows that a visual inspection is not necessary, or if an initial
visual worksite inspection was conducted with the personnel
performing the work and the Qualified Person, there have been
no significant changes in the worksite, and the job is routine or
repetitive in nature.
2.2.6.3 Stress the requirement that the necessary precautions need to
be implemented, including isolations, before the work begins.
2.2.6.4 Be trained and properly listed as a Qualified Person.
2.2.6.5 Ensure all people who may be affected by the work are informed
before the work begins, when the work is suspended and when
the work is complete.
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2.2.6.6 Ensure effective arrangements are made for the worksite to be

examined on completion of work and as appropriate when work
is suspended.
2.2.6.7 Ensure that communications are made to discuss all ongoing or
suspended permits with the oncoming permit issuer.
2.2.6.8 Ensure all people who may be affected by the work are informed
before the work begins, when the work is suspended, and when
the work is complete.
2.2.6.9 Ensure communications are made to discuss all ongoing or
suspended permits with the oncoming permit issuer and all
changing conditions or process changes that present a known
hazard are communicated.
2.2.6.10 Qualified person shall print, sign and date permit releasing work
to begin.
2.2.6.11 Upon completion or cancellation of work the qualified person
shall sign off in “Qualified Person Acceptance Signature” box at
the bottom of the Permit to Work.
2.2.6.12 The completed Permit to Work must remain at the job site until
the work is completed and then forwarded to the facility record
center/ location where they are to remain on file for 2 years or as
designated in the RTK Records Retention Schedule.
2.2.7 The Contractor is responsible for running a safe job-site and for
compliance with all provisions of this standard. The contractor is
responsible for:
2.2.7.1 Preparing a Safety, Health, and Environmental Action Plan

(SHEAP) addressing all issues identified in the Safety, Health,
and Environmental Analysis (SHEA).
2.2.7.2 Require each employee to prepare a Personal Zero Harm Plan.
2.2.7.3 Completing a Contractor Control Sheet for all employees that will
be performing work on RTK property
2.2.7.4 Conducting job specific training prior to beginning work that will
include a review of the SHEAP and pre-job checklist. Verification
that the training has been completed must be provided to the
Contract Administrator.
2.2.7.5 Reporting immediately all accidents / injuries to the appropriate
plant Communications / Control Center and to the RTK Field
Supervisor, completing an accident investigation report and
submitting a copy by the end of the shift.
2.2.7.6 Providing verification of a Drug Policy.
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2.2.7.7 Providing to the RTK Field Supervisor the following

documentation as required:
 Accident and injury investigation reports summaries and

follow-up.
 General inspection reports.
2.2.7.8 Outside agency inspection reports.
2.2.7.9 Records of safety meetings.
2.2.7.10 Fully implementing the requirements of the Permit to Work
System and ensuring that all employees receive and understand
the Permit to Work training.
2.2.7.11 Permit precautions are maintained throughout the work activity
so that the worker understands that if circumstances change,
work must be stopped and advice sought.
2.2.7.12 The workgroup stays within limitations set on the permit
(physical boundaries, type of work, and duration of permit).
2.2.7.13 On completion or suspension of work, the site is left in a safe
condition and the “Qualified Person” is informed.
2.2.7.14 The contractor is responsible for maintaining all required
regulatory records including hazard training, site-specific
orientation, emergency procedure drills, all required medical
examinations, substance abuse tests; respirator fit test, and all
other MSHA / OSHA training as appropriate.
3 Mobilization & engagement
3.1 There must be agreement and purchase order confirmation by the service
provider prior to mobilization that addresses the following elements:
3.1.1 HSEQ risk management details relevant to the scope of work e.g. SHEA
/ SHEAP.
3.1.2 Approved Contractor management Process book (CMP Process).
3.1.3 Clearly defined roles and responsibilities of Rio Tinto and the service
provider.
3.1.4 Details and confirmation of induction and competencies required.
3.1.5 The contractor must complete a Contractor Control Sheet (through RTK
third party compliance company) verifying that within the last twelve
(12) months:
3.1.5.1 The contractor has performed all required regulatory medical

examinations and substance abuse tests and documents will be
on-site for verification. Each employee listed on the sheet has
where required received a respirator fit test and all other MSHA /
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OSHA training. Documentation of this training must be available

for verification.
3.1.6 The Contractor Coordinator is responsible for approving the completed
contractor control sheet submitted for scheduling the contractor for
Orientation (See SOP CMSSOP10018 Contractor Orientation Training
send to KUC.Orientation/[email protected]).
3.1.7 The information will be used to create personnel SAP ID number to
obtain site access / competencies.
3.1.8 Exception form must be signed by the plant GM or designee. Exception
are defined as:
3.1.8.1 There is an emergency situation (a possible compromise in a
safety related system, or there is an imminent shutdown
situation which could result in significant loss in production)
whereupon a contractor needs to be on-site in relatively short
order.
3.1.8.2 Logistically because of extensive travel considerations, it makes
sense that a contractor can train through the module.
3.1.8.3 Exception forms and a detailed process flow map are available on
the RTK CMS Intranet Website.
3.1.8.4 The completed Contractor Control Sheet will be required before
the contractor employee receives a RTK gate pass.
3.1.9 Where contractors are working in OSHA regulated areas (designated
areas in the Smelter and Refinery) there must be a provision for
medical surveillance and a written Compliance Plan (See OSHA
Standards CFR 1910.1018 and 1910.1025). The Plan must:
3.1.9.1 Establish a written program that includes engineering controls to

reduce exposures.
3.1.9.2 Contain monitoring data and be updated at least every 6 months.
3.2 Details of contractor performance review and the key performance indicators
(KPIs) to be assessed are:
3.2.1 ERM Scorecard
3.2.2 Measurement of the Contractor Management Process (white book)
3.3 Prior to the commencement of the scope of works on site the hazards and
associated controls must be documented. The contractor(s) performing work
must confirm their understanding and agreement to the following:
3.3.1 Review and signed copies of the CMP process

3.3.2 Consideration made to:
3.3.2.1 Critical Risk Management Process
3.3.2.2 Process Safety hazards
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3.3.2.3 Contractor SHEAP and Risk Assessments reviewed and approved

3.4 Signatures acknowledging that all contractor personnel have reviewed contractor
management process (white book with controls).
3.5 During the execution of work a competent site approved leader must be assigned
to manage the contractor’s work for conformance.
3.6 The responsibility of the site approved leader must be defined and documented
to include:
3.6.1 Contractor work is appropriately authorized in accordance with the
scope of works e.g.: permit to work.
3.6.2 Contractors receive appropriate orientation and induction.
3.6.3 Contractor work areas are clearly defined (and where practicable
demarcated).
3.6.4 Contractor work is monitored for conformance.
3.6.5 HSEQ incidents are reported, recorded and investigated.
3.6.6 Accurate collection and reporting of contractor hours and headcount
occurs in a timely manner as set by the business.
3.6.7 Contractors receive feedback on their performance and this feedback is
recorded in accordance with section 4.
4 Service provider HSEQ performance review
4.1 There must be a process for reviewing and recording service provider HSEQ
performance which includes:
4.1.1 HSEQ Compliance
4.1.2 Quality of Work
4.1.3 Schedule Conformance
4.1.4 Communication
4.1.5 Commercial Accuracy
4.1.6 Business Improvement
4.1.7 Provision for regular feedback to the service provider which recognizes
good performance and highlights areas for improvement.
4.1.8 ERM time sheets (comment box)
4.1.9 ERM scorecard (comment box)
4.2 For service providers with contract(s) which exceed 12 continuous months HSEQ
performance reviews must be conducted on an agreed basis annually
4.2.1 Documented review of updated CMP book
4.3 For contracts with less than a 12 month engagement or project specific
agreements HSEQ performance reviews are to be conducted upon completion of
the work or project.
4.3.1 ERM Scorecard

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4.4 HSEQ performance review information must be maintained and used in future
qualification and selection processes within the business.
5 SERVICE VENDORS / SUPPLIERS
5.1 The following applies to those entering company property that do not fit the
definitions of Category 1, 2 or 3 contractors as described in 1.3, 1.4 and are not
considered visitors as described in RTK Safety and Health Standard 12.1 Visitor’s
Policy. This group includes individuals who pick up or deliver materials, short
term service workers, employees of equipment manufacturers, or fields or sales
representatives all generally referred to as “service vendors or suppliers”.
5.2 All service vendor and supplier companies that send employees to RTK properties
are responsible for the following:
5.2.1 Employees comply with all RTK Hazard and site-specific training
requirements.
5.2.2 Employees are in compliance with all regulatory training requirements
for the service they are to provide and have received all required and
appropriate skills training for any task that they are performing. If the
specific job assignment is for frequent or extended periods, and
potential exposure to hazards, comprehensive training is required that
meet all RTK and regulatory requirements
5.2.3 Documentation of all training is available and shall be provided as
requested by RTK.
5.2.4 Employees comply with all applicable regulatory standards related to the
tasks they are performing.
5.2.5 All employees are competent to understand instructions or warnings in
English; bring to the attention of others unsafe conditions or actions;
and give adequate verbal warnings of unsafe conditions or actions
(unless granted an exception.)
5.2.6 Emergency contact information for each employee entering RTK
property is maintained and readily available.
5.3 RTK is responsible for the following regarding service vendors and supplier
company employees:
5.3.1 The RTK Security Officer or designated RTK representative at each plant
must provide service vendors or suppliers Plant Hazard Training and
issue each person a "Hazard Training" card, which is valid for 12
months. In the event the service vendor or supplier cannot produce the
receipt for hazard training, or if training is more than 12 months old, the
service vendor or supplier will be required to complete the training and
receive a new card.
5.3.2 Security Officers or a designated RTK representative must visually check

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and ensure that service vendors or suppliers are properly equipped with
personal protective safety equipment.
5.3.3 Employees who are on the site in a service or maintenance capacity
must be given training in accordance with their exposure to hazards. If
the specific job will not entail exposure to hazards at the facility they
need only be given hazard training. The designated RTK representative
must ensure that all required site specific training is identified and
provided (i.e. site specific driver’s license, Process Safety Management
(OSHA PSM), respirator requirements etc.)
6 DELIVERY PERSONS
6.1 Individuals who are briefly on property to pick up or deliver materials. The extent
of delivery persons' exposure to facility hazards varies. Comprehensive training
is not required if there is no exposure to facility hazards. Delivery persons must
receive hazard training commensurate to their exposure to hazards. In addition,
they must be trained in the health and safety aspects and safe operating
procedures of any machinery or equipment that they are required or allowed to
operate while on mine property. (See RTK Delivery Driver Unloading Standard
14.4).
7 PURCHASING PROCEDURES
7.1 There must be a process to identify and evaluate risks associated with the
planned procurement of materials, equipment, services, and labor. This must
include an analysis of any downstream implications which may be impacted by the
selection.
7.2 There must be a procedure, commensurate with the evaluated risk, for receiving,
storing, dispatching and transporting of all equipment and materials and a process
for evaluating a supplier’s ability to provide material, equipment and/or services
which meet defined specifications or design criteria. (RTK Safety and Health
Standard 14.2 Purchasing Procedures)
7.3 This process must be supported by a procedure that specifies the criteria for
supplier selection, evaluation and re-evaluation and the rejection of product(s) or
material(s).
7.4 All materials, equipment, services and labor procured or supplied must meet the
required specifications for the control of HSEQ risks associated with their intended
use or activity. (Further detail on the procurement process is defined in Rio Tinto
Procurement Principles)
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7.5 An implemented approval system for purchasing materials will require generation
of a material number. Materials which do not have an existing material number
are considered to be unapproved and purchase of these materials must follow all
requirements of RTK Safety and Health Standard 14.2 Purchasing Procedures.
7.6 There must be a register of hazardous materials that are approved for use onsite.
This register must be maintained to control the purchase and introduction of new
materials. All hazardous materials introduced by contractors or visitors must also
be included on or evaluated against this register.
7.7 Vendors are prohibited from bringing trial or demonstration products which can
compromise employee health and safety and / or generate any hazardous waste
without the written approval from the RTK Health, Safety and Environmental
departments. Trial product testing must only commence upon completion of a
Health & Safety Risk Assessment and a MOC. Procurement personnel are not to
issue material stock codes for test chemicals. Under no other circumstances is a
chemical substance to be brought onsite without prior approval via this process.
(See RTK Safety and Health Standard 14.2 Purchasing Procedures)
8 TRAINING
8.1 Before work begins on any contract, all contractor personnel must be given
appropriate orientation and induction training including emergency procedure
drills, and attend all required hazard training and site-specific orientation and
training.
8.2 All contractor companies must assure RTK that they are in compliance with all
regulatory training requirements for each worker by certifying that the training
has been completed and that the required documentation is available upon
demand.
8.3 English Language Requirements – All Contractor employees must be able to
read and speak the English language sufficiently to allow them to:
8.3.1 Understand and comply with verbal and / or written safety requirements
and instructions, and warning signs and labels.
8.3.2 Understand and be capable of executing emergency notification and
emergency management procedures.
8.3.3 Bring to the attention of English speaking employees any unsafe
conditions or actions.
8.3.4 Participate in and understand pre-task risk assessments and effectively
participate in a RTK Quality Safety Interaction. (explain in English the
work they are performing; the risks associated with the tasks and how
those risks are being controlled)
8.4 Exemption to English Language Requirement – Non-English speaking (NES)
Contractors may be allowed to perform work at RTK if they receive an exemption
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in accordance with the requirements of this paragraph. Exemptions may be

requested when English speaking workers with the required skill set are not
available through normal channels and the use of non-English speaking workers
will not compromise HSE requirements.
8.5 NES exemption request - The RTK Contract Administrator is responsible for
requesting the exemption by completing a RTK Level 1 on-line Risk Assessment
including all HSE aspects (i.e. number of people involved, number of bi-lingual
employees required, exposures, safety controls etc.)
8.5.1 The NES exemption request must include the following:
8.5.1.1 Date / Plant / Location / Scope of Work
8.5.1.2 Name of Contracting Company
8.5.1.3 Name of NES Contractor/s
8.5.1.4 Relevant language
8.5.1.5 Proposed date / duration of tasks
8.5.1.6 Verification of Minimum NES Safety Controls (attach
documentation)
8.5.1.7 Risk Assessment (Level 1)
8.6 Minimum Non English Speaking (NES) Safety Controls. As a minimum, the
following NES safety controls must be applied to any NES Contractor working at
RTK.
8.6.1 Training - The contractor must provide training to the NES contractor in
the relevant non-English language including:
8.6.1.1 RTK Orientation information and all plant and task specific RTK
and / or regulatory training.
8.6.1.2 Validation of participant’s knowledge will be demonstrated by
achieving passing score on required test.
8.6.1.3 Documentation to verify training must be available.
8.7 Bi-lingual contractor employees - There will be an adequate number of bi-
lingual contractor employees assigned with the non-English speaking workers at
all times, also bi-lingual HSE representatives may be a required full-time position
depending on the job scope and Risk Assessment.
8.8 The exemption must be:
8.8.1 Completed and signed by the RTK Contract Administrator;
8.8.2 Reviewed and signed by a Plant Safety Advisor;
8.8.3 Reviewed and approved by the Plant GM/M.
REFERENCES
KUC Safety and Health Standard 10.1, Hazard Communications
KUC Safety and Health Standard 12.1 Visitors Policy
KUC Safety and Health Standard 14.2 Purchasing Procedures
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KUC Safety and Health Standard 14.4 Delivery Driver Standard

KUC Safety and Health Standard 16.2 Confined Space Entry
KUC Safety and Health Standard 16.4 Cranes and Hoists
KUC Safety and Health Standard 16.5 Aerial Lifts and Platforms
KUC Safety and Health Standard 16.7 Scaffolds
KUC Safety and Health Standard 16.12 Isolation
KUC Safety and Health Standard 16.20 Fall Protection,
KUC HSEC MS Element 11 Management of Change
OSHA Standards CFR 1910.1018 and 1910.1025
Rio Tinto HSEC MS Element 7 Supplier and Contractor Management
RTK Contractor Management System (CMS) – Located on the RTK Intranet Website
RTK SOP CMSSOP10018 Contractor Orientation Training
Rio Tinto Contractor Management Work Cycle
RTK Records Retention Schedule http://RTKsites/RTKim/
REVISION HISTORY
MOC# Description of Change Prepared By Date

19753 Document creation to align with Rio Tinto HSEQ MS HSEQ MS 08 / 12
Element 7. The changes incorporate requirements Element 7
from the existing KUC H&S Standard 14.1 which will Champion and
be eliminated. Custodians
KUC Safety
and Health
Standards
Committee
30409 RTK HSEQ Element 7 - Compliance Procedure Supplier Contractor 10 / 15
and Contractor Management updated to meet Group Management
Procedure Contractor Management (HSEC-C-02)
30409 Requirement for Tool Check list has been removed to Contractor 10 / 15
align with RTK Standard and Audit protocol Management

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Effective Date: 10/15 Document Number: HSEQSOP07-001 Rev: 03
Exhibit A RIO TINTO KENNECOTT

PERMIT TO WORK Rev 9 – 08/15
Originated By: (Print Name Below) Qualified Person: (Print Name Below ) Qualified Person: (Signature Below) Date and Time Issued: AM
PM
Equipment Number / Description: Work Area / Specific Location:
Lockout Box / Board: Work Order / PO Number:
Work Description:
Contractor Name and Phone #: Contractor Supervisor:
PRE-JOB REVIEW
1. Has a visual inspection of the worksite been performed by a Qualified Person and the contractor or designated RTK maintenance personnel? Not Required
NOTE: A visual inspection may be omitted based on the judgment of the Qualified Person if:
 Yes 
- There is a formal risk assessment which shows that a visual inspection is not necessary, or
- An initial visual worksite inspection was conducted with the personnel performing the work and the Qualified Person, there have been no significant changes in the worksite, and the job
is routine or repetitive in nature.
2. Has a conversation taken place about the hazards associated with the work prior to starting the work?  Yes  No
3. Did the Qualified Person and contractor personnel review the TRACK CARD prior to beginning the work?  Yes  No
4. Should a safety, health, and / or environmental representative be involved in this work?  Yes  No
If items 2 or 3 are marked “No” do not proceed with the work. Consult the appropriate Area Supervisor.
EMERGENCY NUMBERS (All Incidents must be reported through the Plant emergency notification system)
 Mine 569-6211  Copperton 569-6911  Smelter 569-6499  Refinery / MAP 569-6722  Power Plant 569-6622  Tailings 569-7911
AREA –Check those that apply (Required to be completed before works begins)
Equipment Condition Pressurization Isolation Electric Power Preparation
 In service  Pressurized  Lock and Tag  Breaker Locked Out  Water Washed
 Out of Service  Bleeds Open  Block / Blind  Fuses Removed  N2 Purged
 Product in Line  Vented  Valved  Grounded  Steam Purged
 Drained  Ventilation Required  Other  Other  No Purge Required
 Other:  Other or non applicable  Not Required  Not Required  Other:
POSSIBLE HAZARDS and PRECAUTIONS (Required precautions must be reviewed with workers before work begins)
 Hot Surfaces / Burns  Carbon Dioxide  Oxygen Depletion  Barricade Area
 Toxic gases  Hydrogen Sulfide Gas  Oxygen Enrichment  Proper Warning Signage
 Caustics  Sulfur Dioxide Gas  Radiation Device  Fire Protection
 Acid  Sulfur Trioxide Gas  Pinch Points  GFCI
 Regulated Process Dust  Arsine Gas  Avoid Skin Contact  Arc Flash / Shock / Electrocution
 Trips / Falls/Slippery Surfaces  Carbon Monoxide  Steam  Blasting
 Haul Roads Kress / Mine  Ammonia Gas  Access Road Condition  High Voltage Trail Cable
Other known potential hazards not identified above: (describe)
REQUIRED PERMITS (To be completed before work begins)
 Confined Space  Excavation  Hot Work  Personnel Hoisting
 Working at Heights  Close Proximity  Fire Protection Impairment  Jumper
 Scaffold  Crane Critical Lift  Line Break  Permit to Unload
ADDITIONAL PERSONAL PROTECTION EQUIPMENT REQUIREMENTS
 Chemical Resistant Clothing  Heat Resistant Clothing  Gloves  Fall Protection
 Hearing Protection  Goggles / Face Shields  Respirator  Coveralls, Sleeves / Hoods
 Other:
WORKER REVIEW and ACCEPTANCE - I have been instructed as to the conditions of this permit and I am adequately trained to perform this work.
Print Name Signature Date
1
2
3
4
5
Note: If additional space is required for authorized personnel, an additional roster sheet may be attached to the permit.

Rio Tinto Kennecott

SHIFT CHANGE INSPECTION/ACCEPTANCE - Work conditions are at the date and time of issue. Contractor personnel must verify the conditions and apply designated safeguards for their own protection. RTK shall monitor
the work site on a regular basis. If the permit extends to the next shift, it must be revaluated at the work site for accuracy at the beginning of each shift. This permit is void if work or scope conditions change.
Any Change in Conditions or Contractor Acceptance

Date Shift Time Checklist RTK Acceptance (Print Name and Sign)
Work Scope? (1) (Print Name and Sign)
 Area Demarcated
AM
 Permit Posted
 Permit Compliance
PM  No Incidents
 Safety Improvements
 Area Demarcated
AM
 Permit Posted
 Permit Compliance
PM  No Incidents
 Safety Improvements
WORK COMPLETION or CANCELLATION
Have all isolation devices used for the work, including locks, tags, blanks, blocks, and other mechanisms of energy control been removed? YES 
Have all materials and equipment used for the work been removed, and acceptable levels of housekeeping restored? YES 
Completion or Cancellation Date: Completion or Cancellation Time: AM
PM
If cancelled, provide reason:
Contractor Acceptance Signature:
Qualified Person Acceptance Signature:
(Back of Permit)
Permit will be posted at work site until work is complete or a new permit is issued. This permit must be reviewed
every shift or if a change in conditions or work scope has occurred. Expired permit must be sent to the Contract
Administrator. The maximum duration of the permit is 24 hours.
If changes in conditions or work scope exist, then a permit must be reissued. A modified SHEAP and Management of
Change may be applicable.
The purpose of the Permit to Work System is to:

 Provide for the proper authorization of contractor work and the identification of responsible personnel.
 Provide for a dialogue between the Qualified Person and contractor to make clear to the person(s) carrying out
the job the hazards and risks involved and precautions to be taken to control the hazards and minimize risks.
 Ensure that the person responsible for an area of the facility is aware of all work being undertaken in their
workplace.
 Assure that the equipment or system has been properly prepared for the corresponding task.
 Assure that operating personnel understand when the work is complete, the extent and effect of repairs, and
that the repair is acceptable and safe for operation.
The Qualified Person who issues the permit will:

 Understand the scope of work and facilitate a dialogue to make clear to the person(s) carrying out the job, the
hazards and risks involved and precautions to be taken to control the hazards and minimize their risks.
 Conduct a visual inspection of the work site with the contractor personnel unless there is a formal risk
assessment in place which shows that a visual inspection is not necessary, or if an initial visual worksite
inspection was conducted with the personnel performing the work and the Qualified Person, there have been
no significant changes in the worksite, and the job is routine or repetitive in nature.
 Stress the requirement that the necessary precautions need to be implemented, including isolations, before the
work begins.

Rio Tinto Kennecott

 Be trained and properly listed as a Qualified Person.

 Ensure all people who may be affected by the work are informed before the work begins, when the work is
suspended and when the work is complete.
 Ensure effective arrangements are made for the worksite to be examined on completion of work and as
appropriate when work is suspended.
 Ensure that communications are made to discuss all ongoing or suspended permits with the oncoming permit
issuer.
Contractor Supervisors will ensure that:

 They have received training in the Permit to Work System and the people working for them have received
adequate instruction on the system.
 Permit precautions are maintained throughout the work activity so that the worker understands that if
circumstances change work must be stopped and advice sought.
 The workgroup stays within limitations set on the permit (physical boundaries, type of work and duration of
permit).
Individuals working within the permit to Work System will ensure that:
 They do not start any work requiring a permit, until it has been properly authorized and issued.
 They have received instruction and have a good understanding of the permit to Work System at the workplace
where the work is occurring.
 They do not start any work they suspect requires a permit, until it has been properly authorized and issued or
confirmation gained that a permit is not required for the planned scope of work.
 They receive a briefing from the Qualified Person on the particular task and they understand the hazards and
the precautions to be undertaken.
 On completion or suspension of work the site is left in a safe condition and the Qualified Person is informed.


Element 7 SOP Rev 3

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Rio Tinto Kennecott

CONTRACTOR MANAGEMENT SYSTEM

This procedure specifies the mandatory requirements to support implementation and

Page 1 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

1 Service provider capability assessment & selection

1.1 Businesses must have in place a documented process to support capability

Page 2 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

CAT 1 CAT 2 CAT 3

2 Assign Rio Tinto leadership

Page 3 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

2.2.1.1 Day-to-day management of the contractor an administration of

2.2.3 The RTK Contract Administrator / Custodian are responsible for

CONTRACTOR MANAGEMENT SYSTEM

storage center / location where they are to remain on file for 2

2.2.5 Global Business Services (GBS / RTP) is responsible for contracting

Page 5 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

 Contractor responsibility to comply with the RTK safety policy,

2.2.6 The RTK Qualified Person (Permit to work)

Each Plant by department by area shall identify and train individuals

CONTRACTOR MANAGEMENT SYSTEM

2.2.6.6 Ensure effective arrangements are made for the worksite to be

2.2.7.1 Preparing a Safety, Health, and Environmental Action Plan

CONTRACTOR MANAGEMENT SYSTEM

2.2.7.7 Providing to the RTK Field Supervisor the following

 Accident and injury investigation reports summaries and

3.1.5.1 The contractor has performed all required regulatory medical

CONTRACTOR MANAGEMENT SYSTEM

OSHA training. Documentation of this training must be available

3.1.9.1 Establish a written program that includes engineering controls to

3.3.1 Review and signed copies of the CMP process

CONTRACTOR MANAGEMENT SYSTEM

3.3.2.3 Contractor SHEAP and Risk Assessments reviewed and approved

Page 10 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

5 SERVICE VENDORS / SUPPLIERS

Page 11 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

CONTRACTOR MANAGEMENT SYSTEM

CONTRACTOR MANAGEMENT SYSTEM

in accordance with the requirements of this paragraph. Exemptions may be

CONTRACTOR MANAGEMENT SYSTEM

KUC Safety and Health Standard 14.4 Delivery Driver Standard

MOC# Description of Change Prepared By Date

Page 15 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

Exhibit A RIO TINTO KENNECOTT

Page 16 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM

Any Change in Conditions or Contractor Acceptance

Contractor Acceptance Signature:

Qualified Person Acceptance Signature:

The purpose of the Permit to Work System is to:

The Qualified Person who issues the permit will:

Page 17 of 18 Plant: All

CONTRACTOR MANAGEMENT SYSTEM