Mobile Equipment Incident

Critial Control Frequency of

Critical Control Performance Standard Method of Monitoring By Who (Role) Specific detail to be monitored Documentary Evidence Field check by auditors
Component Monitoring

(1) Review company requirements against relevant

Review of equipment compliance
records and introduction to site
approvals documentation.
Identify non compliances and
track trends.
Compliance of mobile equipment
Inclusion of safety features with National Standards/site or
Mobile equipment in design of mobile company standards/OEM
design
equipment standards/legislative
requirements
Review of change management
documentation associated with
modifications to mobile
equipment.
Identify and track non
compliances.
standards to ensure compliance.
(2) Check Contractor Management System register
against what is actually on site.
Maintenance 3 Monthly (3) Check compliance documentation for any
Superintendent additions and/or modifications that were required (1) Company requirements reviewed against
legal requirements. Date to indicate currency.
and ensure that these changes were completed.
(4) Check current equipment against revised (2) Completed check of requirements for
standards and checklists during planned compliance for a range of equipment types. (1) Physical check of compliance on sample of vehicles
(3) Completed check of requirements for
maintenance to allow equipment to be updated.
compliance for contractor vehicles at the site (2) Physical check of sample of contractor vehicles to
(4) Report on any non-compliances identified and ensure vehicle list is accurate and compliance
(1) Check change management procedure has the evidence of the rectification of these. maintained.
been completed for any modifications to vehicles (5) Check OEM has been informed and signed
made. off the modification for structural modifications as
(2) Check equipment compliance procedure is required.
Maintenance Biennial
Superintendent validating the standard of modification of
equipment coming on sites.
(3) Check OEM has been informed and signed off
the modification for structural modifications as
required.

(1) Comparison of planned and completed

Compliance with site planned
maintenance requirements for
mobile equipment
Review of maintenance records.
Report on maintenance
performance i.e. KPIs planned vs
actual and track trends.
Maintenance Planner 3 Monthly
(1) Check reports of planned maintenance against
maintenance to demonstrate the timeliness of
actual maintenance completed eg check brake
planned maintenance - % of planned
tests completed.
maintenance completed on time.
(2) Compare actual equipment availability rates to
(2) Compare actual equipment availability rates
expected rates to check the quality of the planned
to expected rates to check the quality of the
maintenance eg using daily workshop reports.
planned maintenance

(1) Check reports for identification of defects

Review of maintenance records.
System covering through reports and notifications (1) Check reports for identification of defects
Mobile equipment Defects are being identified Report on maintenance
maintenance & integrity of (either by pre use inspections or (2) Check the timeliness of addressing the defect through reports and notifications
maintenance performance for defects Maintenance Planner Monthly
mobile equipment planned maintenance) and are identified during pre start and closeout time in relation to the seriousness of (2) Report on closeout time in relation to the
managed appropriately inspections / planned the defect. seriousness of the defect.
maintenance and track trends. (3) Check consistency of procedure and criteria for
defect reporting at site

Audit of pre start check sheets /
Pre start inspections are being electronic pre start inspection
completed and inspections are of records. Area Supervisor
a suitable quality Identify non compliances and
follow up actions taken.
(1) Use outputs of trucks/fleet management system
to check pre-starts are being completed.
Monthly
(2) Check maintenance reports against the pre-
start checks to ensure the issues are being
addressed and closed out in a timely manner
(1) Check with operators that they understand the
(1) Check quality and completeness of prestart
requirements for pre-starts
checks on a sample of different vehicle types -
(2) Check operators know procedure to follow for a
covering company operators and contractors and
defect identified in pre-start to ensure it is reported and
also covering electronic and paper records.
addressed.

(1) Check sample of operators for currency of

(1) Currency of training for persons operating
training for persons operating vehicles. Check
vehicles checked that they are trained and
that they are trained and authorised in procedure
authorised in procedure within the last 5 years.
within the last 5 years. This would involve
This would involve checking the training matrix and
checking the training matrix and the individuals
Training and competency Equipment specific operator the individuals training log book.
Audit of training records / matrix. Area Manager 3 Monthly training log book. (1) Check supervisor knows how to and can access
of mobile equipment competency. (2) Check currency of training in site specific
operators Compliance with training matrix. (2) Check currency of training in site specific training information to check currency of training.
applicable procedures for mobile equipment for:
applicable procedures for mobile equipment for:
(2.1) - operators
(2.1) - operators (10% or 20 operators)
(2.2) - supervisors
(2.2) - supervisors (5% or 10 supervisors)
(3) Check supervisor can access training
information to check currency of training.

Audit of procedures to confirm

(1) Check procedure and work instruction
Documented procedures Procedures are up to date and documents / procedures have (1) Check procedure and work instruction is
covering mobile applicable to current operating HSEC Annual covering mobile equipment are authorised for
been reviewed, updated and authorised for currency by date on document. (1) Check operators know how to access procedure
Safe operation of equipment operations requirements currency by date on document.
communicated as per document
mobile equipment control system

(1) Review supervisor reports and other work area

Completion of safety
observations / area inspections
associated with mobile
equipment operations to confirm
in field compliance with
procedures
Implementation and
application of mobile
equipment operational
procedures
Review of safety observations /
area inspections.
Report on number of
observations undertaken and
track trends.
(1) Review a sample of supervisor reports and
inspections reports to identify non-compliance.
other work area inspections reports to identify
(2) Review risk assessments for the specific work
Area Supervisor Monthly non-compliance. Check actions completed
area.
(2) Review risk assessments relating to mobile
(3) Review safety observations relating to mobile
equipment to check controls have been identified
equipment.
for all hazards.
(3) Check requirements for safety observations (1) Check supervisors are familiar with relevant
include requirements for a % to be completed on procedures and understand what is included.
mobile equipment operations.
(4) Review sample of mobile equipment incident
investigations to ensure actions have been
completed
 other work area inspections reports to identify
non-compliance. Check actions completed
(2) Review risk assessments relating to mobile
equipment to check controls have been identified
Implementation and for all hazards.
application of mobile (3) Check requirements for safety observations (1) Check supervisors are familiar with relevant
equipment operational include requirements for a % to be completed on procedures and understand what is included.
procedures mobile equipment operations.
Review of hazard reports (4) Review sample of mobile equipment incident
regarding mobile equipment
Mobile equipment operation operation and follow up actions Area Manager (1) Review incident and hazard reports relating to investigations to ensure actions have been
hazard reports and follow up Monthly vehicle operations to ensure follow up actions are completed
taken.
actions are completed. Track trends identified in hazard addressed and closed out .
reports.

Audit of traffic management plans
to confirm plans have been
reviewed, updated and
communicated as required
Plans are up to date and
Documented traffic
management plans applicable to current operating
requirements
Audit of short/medium term traffic
conditions to confirm plans have Tech Services
been reviewed, updated and
communicated as required
Management of traffic
and traffic layout
Review of safety observations /
area inspections.
Report on number of
observations undertaken and
track trends.
Application of traffic Compliance with traffic layout /
management plan management plan
Review of Supervisor reports and
hazard reports for site roadways. Area Manager
Identify non compliances and
follow up actions taken.
(1) Check traffic management plan is authorised
Tech Services Annual and current eg more recent than last 6 months
Superintendent (2) Confirm traffic management plan complies with
relevant legislation and company design guidelines (1) Check traffic management plan is authorised
and current eg more recent than last 6 months
(2) Check traffic management plans are signed
off by Engineering and Mine Operations as
(1) Check safety communications have been
required
distributed as required based on changing road
conditions. (3) Check contractor traffic management plans
(2) Check traffic management plans are signed off are signed off by the contractor and company.
Superintendent
3 Monthly by Engineering and Mine Operations as required (4) Check Geotech and Engineering Checklists
(3) Check Geotech and Engineering Checklists are are completed after plan development. (1) Physical inspection to confirm the road layout and
intersections comply with the plan for company and
completed after plan development.
(4) Check contractor management plans are contractor operations
signed off by the contractor and company.
(2) Interview with sample of operators to confirm
information on the traffic management plan has been
(1) Check safety observations covering operation communicated.
of vehicle for non-compliant radio communications.
Area Supervisor Monthly (2) Check hazard reports and near miss/high
potential reports for non-compliance with traffic (1) Check hazard reports and near miss/high
management plans relating to vehicle operations potential reports for non-compliance with traffic
management plans relating to vehicle operations.
Confirm actions have been taken to address
(1) Check Supervisor shift reports for hazards and hazards and non-compliance
Monthly incidents relating to roadway plan or traffic.
(2) Check actions identified in the report were
completed.

(1) Check road design and traffic management

Audit of roadway design, plan complies is authorised and current.
construction and maintenance (2) Check procedures covering road construction
(1) Check procedure and work instruction
Documented roadway Procedure is up to date and procedures to confirm and maintenance is authorised for currency by (1) Check operators involved in road construction know
design, construction and applicable to current operating procedures have been reviewed, Mine Planning Annual date on document.
covering roadway construction are authorised for
how to access procedure and are familiar with content
maintenance procedures requirements updated and communicated as Manager (3) Where contractors are used, check contract
currency by date on document.
of procedure
per document control records for compliance of constructed roadways
requirements with plan.

(1) Check currency of training for:

(1) Check currency of training for:
- persons designing the roadway
- persons designing the roadway
- persons approving the design of the roadway
- persons approving the design of the roadway
(2) Check competency of engineers and
Competency of engineers for (2) Check competency of engineers and surveyors:
Audit of training records / matrix Area Manager 6 Monthly surveyors: (1) Check supervisor knows how to and can access
design of site roads - Minimum requirements for qualifications or
- Minimum requirements for qualifications or training information to check currency of training
competency should be identified in position
competency should be identified in position
descriptions
descriptions
(3) Check sign off points
(3) Check sign off points

Training and competency (1) Check sample of operators for currency of

Roadway design, of designers and training for persons using equipment for
construction and constructors of roads constructing roadways. Check that they are
maintenance trained and authorised in procedure within the
(1) Currency of training for operators involved in
last 5 years. This would involve checking the
road construction checked that they are trained
Competency of operators in the training matrix and the individuals training log
construction of site roads in and authorised in procedure within the last 5 years.
Audit of training records / matrix Area Manager 3 Monthly book. (1) Check supervisor knows how to and can access
compliance with design This would involve checking the training matrix
(2) Check currency of training in site specific training information to check currency of training
standards and the individuals training log book.
applicable procedures for roadway construction
(2) Check workers have been trained in site
for:
specific applicable procedures
(2.1) - operators (10% or 20 operators)
(2.2) - supervisors (5% or 10 supervisors)

(1) Check Supervisor shift reports for hazards and

incidents relating to roadway construction or
Review of Supervisor reports and
hazard reports for site roadways. Area Manager maintenance. (1) Confirm that daily and weekly inspections of
Monthly (2) Review hazard reports relating to road
Identify non compliances and road construction and maintenance are
follow up actions taken. construction and maintenance completed. Check sample over last 2 months.
Application of roadway (3) Check actions identified in these reports were (2) Check hazard reports and near miss/high (1) Confirm that road design, construction and
design, construction and Compliance of site roadways with completed.
design standards potential reports for non-compliance with maintenance complies with plans through physical
maintenance standards roadway design and construction plans. Confirm inspection.
actions have been taken to address hazards and
non-compliance

Application of roadway
design, construction and Compliance of site roadways with
design standards
maintenance standards
Procedure is up to date and
applicable to current operating
Documented Procedure requirements
covering fitness for work Compliance with relevant
requirements
Legislation/company/relevant
standards for drug/alcohol levels,
testing etc,
Check area supervisor signs off Area Manager
on road construction as per plan
Audit of Procedure to confirm it
has been reviewed, updated and HSEC
communicated as required
Audit of implementation of
procedure at site to confirm
HSEC
alignment with relevant
standards.
(1) Confirm that daily and weekly inspections of
road construction and maintenance are
completed. Check sample over last 2 months.
(2) Check hazard reports and near miss/high (1) Confirm that road design, construction and
potential reports for non-compliance with maintenance complies with plans through physical
roadway design and construction plans. Confirm inspection.
(1) Review daily/weekly inspection reports for
actions have been taken to address hazards and
compliance of road construction and maintenance
non-compliance
Monthly with mine plan
(2) Review supervisor weekly inspection for
compliance of road construction and maintenance
with mine plan.
(1) Check procedure and work instruction is
Annual
authorised for currency by date on document.
(1) Check procedure is authorised for currency by
date on document and covers alcohol, drugs,
(1) Check procedure covers all requirements for fatigue, physical and psychological impairment.
Annual legislation and company eg alcohol, drugs, fatigue
etc.

(1) Checks of % of tests completed against test

scheduled (1) Confirm operators and supervisors are familiar with
(1) Check % of drug and alcohol tests completed
(2) Check proportion of positive and negative alcohol limits and hours of work limits.
against tests scheduled
Fitness of operator for
Testing of workers for Personnel/permanent contractor Audit of test records. results and if positive test results are confirmed (2) Confirm operators and supervisors understand the
HSEC Monthly (2) Check that any positive test results are
work
drugs and alcohol compliance with procedure Identify non-compliances and and followed through procedure to follow for management of identified
follow up actions taken. confirmed and followed through
requirements (3) Check compliance with hours of work limits fatigue.
(3) Check management of reported instances of
including overtime
fatigue
(4) Check management of reported instances of
fatigue

(1) Check currency of training in site specific

applicable procedures for fitness for work for:
Training and awareness of Audit of induction training to
workers about needs of Personnel awareness of check inclusion/updates of HSEC Annual (1) Currency of awareness training for operators (1.1) - operators (10% or 20 operators)
procedure covering fitness for work procedures (1.2) - supervisors (5% or 10 supervisors)
fitness for work procedure in training course.
 Mobile Equipment Incident
Critical Control
Inclusion of safety features in mobile equipment design Equipment design complies to relevant
(e.g., access and egress)
Inspection and preventative maintenance system
Safe movement of mobile equipment including
prevention of uncontrolled movement
Process for management of traffic and roadways
Management Performance Standard
standard
Maintenance completed as scheduled
Inspections completed
Defects reported and managed
Currency of competency for equipment
operator is maintained
Procedures are up to date and complied with
by operators
Traffic plans are up to date and applicable
Traffic layout complies with plan
Roadway design, construction and
maintenance complies with procedures and
standards
Day to day performance controls - are these
in place and working?
Pre-start checks are completed and any defects
or maintenance issues are identified and
reported.
Scheduled maintenance performed
Unscheduled maintenance requests completed
Supervisors are trained in procedures covering
and ensure compliance of operators with
procedures
Hazards are reported by workers
Hazards identified relating to road design,
construction and maintenance are reported
each shift.
Shift handovers include information covering
changes to roads and hazards that have not as
yet been addressed