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Autonomous Systems Mining
Autonomous Systems Mining
GUIDELINE FOR
THE IMPLEMENTATION
OF AUTONOMOUS SYSTEMS
IN MINING
SUBMITTED BY
The Implementation of Autonomous Systems Sub-Committee of the Autonomous Mining Working Group
VERSION DATE
08 Oct 2018
APPROVED BY
Vote of the Autonomous Mining Working Group
05 Apr 2019
and
GMG Governing Council
17 Apr 2019
EDITED BY
Francine Harris
05 Jan 2019
PUBLISHED
18 Apr 2019
3D-P, ABB, Accenture, acQuire Technology Solutions, Adria Manufacturing Inc., Agnico Eagle, Alcoa, Alex Atkins & Associates,
Alma de Papel, Amazon, AMDAD, AMIRA, AMSA, AMTC, Anglo American, AngloGold Ashanti, Antofagasta Minerals, Antucoya
Mine, Apex Automation, Applied Mining Technologies, ArcelorMittal, ARIGAL, Asociación Peruana de Control Automático en
Minería, Austrobots, Automated Systems Alliance, Autonomous Earthmoving Systems, Autonomous Solutions, AVST Con-
sulting, Barrick Gold, Batchfire Resources, BBA, Bestech, BGC Contracting, BHP, Blast Movement Technologies, Bluwrap, BMT,
Boliden, British Columbia Ministry of Energy and Mines, C3 Human Factors, Calibre Global, Capstone Mining Corp., Caterpillar,
Cementation, CEMI, CF Mining, CGM, CheckMark Consulting, Cia Minera Antamina, Cia Minera Quenchua S.A., Cia Minera
Poderosa S.A., CITIC Pacific Mining, CMOC International, Codelco, Codelco Tech, Commercialize Pty Ltd., Commit Works,
Compañia Minera Zaldívar, ComStock Mining, Consiac TI, Consorcio Inversiones Pacifico, CONTAC, CORFO, CSA Group,
CSIRO, Czro Inc., Dassault Systèmes, Data Peru, De Beers, Deloitte, Desert Falcon Consulting, Dexcent, DMC Mining, Driver
Industrial, Endevea, Epiroc, Equifax Perú S.A., Erdenes Mongol LLC, ETF Mining Equipment, Eye3, Farellones Ingenieria,
Finning, Flanders Electric, Flow Partners, Fostergy, Freeport-McMoRan, Fundación Chile, GEOBLAST, GeoSystems Analysis,
Glencore, Global IO, Global Research, Gold Fields, Goldcorp, Government of Alberta, GS1, GV Mapper, Hard-Line, Hatch,
Haultrax, HC-GROUP, Hexagon Mining, Hochschild Mining, Howden Simsmart Technologies, Hudbay Minerals, Iamgold, Icono
Advisory, Ikkuna, IMagosoft, iMineros, Imperial Oil, Indimin, Innovative Wireless Technologies, INTER SERVICE, InterSystems
Chile & Latam, Ionic, ITI Solutions, JVA, Kenna Metal, Kinross Gold, Komatsu, Kouchi, Larrain y Salas, Liebherr, Lockheed Mar-
tin, Lundin Mining, LTMT Consulting, Machine Sensory, MacLean Engineering, Maptek, Marcotte Mining, Marcus Punch Pty.,
McEwen Mining, McKinsey, METS Ignited, MG Trading, Microvast, Mine Connector, Minera Candelaria, Minera Chinalco Peru
S.A., Minera Las Bambas, Mineopoly Pty., Minera Yanacocha, Mine Vision Systems, Minetec, MineWare, Mining3, Mitacom,
Mitsui Minerals Resources, Modular Mining Systems, Mohammed VI Polytechnic University, Mongolian Mining Company,
Monico, Moose Mountain, Mosaic, Motion Metrics, MST Global, MTGA, NASA, National Research Council Canada, Natural
Resources Canada, Nevsun Resources Ltd., Newmont, Nexa Resources S.A., NHP Electrical Engineering, Nick Courtois
Automation & Technology Consultant, NIOSH, Normet, Nueva Union, Nutrien, Off World, Olio Technology Solutions, Ontario
Ministry of Labour, Ontario Ministry of Northern Development and Mines, OP3 Consulting Pty Ltd., Optimal Mining Solutions,
ORICA, Origin, Organum Technology, OSIsoft, PACE, Partners in Performance, Pattern Discovery, Peck Tech, Pivot Industries
Limited, Polaris Australia, Protab, Proudfoot Consulting, Queen’s University, QUT, R&O Analytics, RapidBizApps, RCT, Real IRM,
Red3H Triple Hélice para el Desarollo, Rigid Robotics, Rio Tinto, Robotic 3D Systems, Rock-Tech, Rockford Engineering
Works, Rockwell Automation, Ronin8 Technologies, Roy Hill, RPM Global, Sandvik, Scania, Schneider Electric, SDMT, See-
quent, Seyo, SHYFT, Sibanye-Stillwater, Siemens, Sitech, skymineUAV, SMART Systems Group, SMM Gold Cote, SMS Equip-
ment, Split Engineering, SRK Consulting, SSR Mining, ST Computacion, Stantec, Strata Worldwide, Strategy Focused
Innovation, Suncor, Symbiotic Innovations, Syncrude, Synergistics, Technology Miner, Teck, Teletrac Navman, The Open
Group, Thiess, TKM Consulting Inc., Torex Gold, Toromont CAT, TrackVia, Trade and Investment Queensland, Trimble, Trust
Journey, TyreSafe Australia, Universal Field Robots, Universidad Mayor, Universidad de Santiago de Chile, University of
Alberta, University of British Columbia, University of Queensland, Unmanned Arial Services, Uptake, Vale, VectORE, Virtual
Business Links, VIST Group, Western Australia Department of Mines Industry Regulation and Safety (DMIRS), Whitehaven
Coal, and WSP Mining.
DISCLAIMER
Although these guidelines and other documents or information sources referenced at http://www.gmggroup.org are believed
to be reliable, we do not guarantee the accuracy or completeness of any of these other documents or information sources.
Use of these guidelines or the above documents or information sources is not intended to replace, contravene, or otherwise
alter the requirements of any national, state, or local governmental statutes, laws, regulations, ordinances, or other require-
ments regarding the matters included herein. Compliance with these guidelines is entirely voluntary.
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TABLE OF CONTENTS
DISCLAIMER ii
COPYRIGHT NOTICE iii
TABLE OF CONTENTS iv
1. FOREWORD 1
2. ABBREVIATIONS 1
3. KEYWORDS 1
4. INTRODUCTION AND BACKGROUND 1
4.1 Contextual Background 1
5. SCOPE 2
5.1 Principles of Scope 2
6. COMMON TERMS OF REFERENCE 2
6.1 Terminology and Definitions 3
6.2 Maturity Model 3
6.3 Implementation Approaches 4
7. CHANGE MANAGEMENT 5
7.1 Change Management Plan 5
7.1.1 Critical Success Factors 6
7.2 Change Management Progression 6
8. BUSINESS CASE 6
8.1 Safety Considerations for the Business Case 7
8.2 Holistic Change Considerations for the Business Case 8
8.2.1 People 8
8.2.2 Processes 8
8.2.3 Technology 8
8.3 Value Drivers 8
8.4 Costs 9
8.5 Strategic Fit 9
8.6 Communication with Stakeholders 9
8.7 Business Risks and Potential Problems 10
8.8 Other Considerations 10
9. HEALTH AND SAFETY 10
9.1 Risk Management 11
9.1.1 Risk Identification 11
9.1.2 Risk Analysis 12
9.1.3 Controls for Risk and Hazard Management 12
9.1.4 Monitoring and Review 13
9.1.5 Documentation 13
9.2 Emergency Management Planning 13
10. REGULATIONS 14
10.1 Adapting Regulations to Autonomous Mining 14
10.2 Engaging Regulators 14
of benefits, new technologies like autonomous systems from those dealing with in situ material, mining activities that
require a holistic approach. contribute to material extraction (drilling, blasting, loading,
GMG’s working groups have several projects underway haulage, dumping), to those from feed to processing plant
tackling this broad movement toward greater connectivity. (handling prepared material that is ready to process).
These projects complement this guideline, and relevant ref- Though this guideline is specific to mobile equipment oper-
erences will be added to the recommended reading list (Sec- ation, many of the guiding principles for fixed plant automa-
tion 14) as they become available. They include ongoing and tion (which is mature compared to mining equipment
upcoming projects on: automation) are the same.
• Interoperability, which is a necessity for implementing Stakeholders in this process could include, but are not
autonomous systems. A high-level definitions and limited to:
roadmap guideline (GMG, 2019b) is in preparation. • Management
• Open data and data exchange, which is needed to • Information technology (IT)/Operational technology
enable autonomous systems. The Data Access and (OT)
Usage Working Group is addressing this topic. The first • Operations and Maintenance
version of the Mobile Equipment Open Data Consensus • Engineering
Guideline is published (GMG, 2016), and the first ver- • OEMs
sion of the Open Mining Format (OMF), an open stan- • OTMs
dard for geometric data transfer, was launched in • Support services (e.g., safety and emergency response,
2017. Both projects are currently being updated. human resources, risk management)
• Short Interval Control, which is a process enhanced by • Internal and external subject matter experts
automation. An implementation guideline is in its final • Legal representatives
stages (GMG, 2019a). • Regulators
• Underground mine communications infrastructure, • Financial representatives
which is necessary for implementing autonomous sys- • Corporate affairs
tems underground. A guideline suite is being devel- • Unions
oped, and the first two parts have been published • Communities
(GMG, 2017a, 2017b). The third is in its final stages • Educational facilities (universities, training academies)
(GMG, 2019c). • Governments
• AI, which can enhance many autonomous system • Suppliers
capabilities. An educational project, Foundations for AI • Environmental approvals and compliance departments
in Mining, is underway. and agencies
• Cybersecurity, which is a critical concern with inte- After defining common terms of reference, this guide-
grated digital systems, will be a key topic for GMG in line is structured around the key areas of consideration for
2019. those implementing autonomous systems. These topics
are presented in Sections 7–12: change management,
5. SCOPE developing a business case, health and safety and risk man-
This guideline communicates and educates using cur- agement, regulatory engagement, community and social
rent industry practices and common terms of reference impact, and operational readiness and deployment. Though
(defined in Section 6) and provides guidance on justifying, arranged in broadly chronological order, many of these con-
planning, developing, testing, implementing, and executing siderations must happen simultaneously and inform each
autonomous systems. It offers high-level guidance which other. The appendices provide additional contextual infor-
recognizes that different levels of autonomous system mation, checklists, considerations, and examples.
maturity exist across mining operations (Section 6.2) and
that requirements are varied depending on the type of 5.1 Principles of Scope
operation. This guideline does not replace safety requirements,
This guideline covers the application of autonomous regulations or duty of care. It acknowledges that regulatory
systems in mining and quarry operations and large-scale bodies and standards already exist that influence the pro-
construction projects, including both new mine (greenfield) cesses at various stages of the mine cycle. This guideline
and existing mining (brownfield) operations and both sur- should be taken in the context of integration into the overall
face and underground operations. These operations range mining cycle value chain.
LEVEL 5
FULLY
AUTONOMOUS
LEVEL 4
HIGHLY The system can
AUTONOMOUS complete continuous
LEVEL 3 operations
CONDITIONALLY The system can autonomously with
complete continuous and without a
AUTONOMOUS
operations designated
LEVEL 2 autonomously
The system can autonomous area.
SEMI- (including situation The system can
complete continuous
AUTONOMOUS operations
awareness) in the identify when
autonomously, designated intervention is needed
LEVEL 1 The system performs including situation autonomous area. The and functions as a
ASSISTANCE system can identify fallback, adapting
a portion of its tasks awareness in the
when intervention is operations to
autonomously within designated
LEVEL 0 The system has a set of defined needed and functions accommodate minimal
autonomous area. The
NO AUTOMATION some function- operations. The system can identify as a fallback, adapting risks. It will enter a
specific automated operator performs when intervention is the operations to halted state in higher
features. The accommodate minimal risk situations. The
Entirely manual. other tasks and is needed and will enter a
operator completes risks. It will enter a autonomous
Operator completes generally responsible halted state. An
most tasks and for situation halted state in higher operator/supervisor
all tasks. autonomous
maintains control. awareness. operator/supervisor can risk situations. The can also request the
disengage the system autonomous system to disengage.
operator/supervisor
and must be available
can also request the
to operate it manually
system to disengage.
as a fallback.
Manual Semi-Autonomous Autonomous
defined operations without human intervention or tion awareness capabilities. The system can intervene
direct control. The operator performs other tasks. in minimal risk situations. In higher risk situations, it
Remote control is often in place at this level, though it will enter a halted state. The autonomous operator/
is not required. supervisor can request the system to disengage.
• Level 3: Conditionally autonomous: The system can Levels 0–1 are manual because there is still continuous
complete sustained operations autonomously in a des- human guidance. Level 2 is semi-autonomous, and the level
ignated autonomous area. It has situation awareness of human guidance varies. Levels 3–5 are autonomous
capabilities and enters a halted state when intervention because the system completes continuous operations.
is needed. An autonomous operator/supervisor can A given mine’s autonomous operational maturity is
disengage the system at any time and must be avail- defined as follows:
able to operate it manually if necessary. • Manual operation: The mine uses manual equipment
• Level 4: Highly autonomous: The system can complete for their operations (levels 0–1).
sustained operations autonomously in a designated • Hybrid operation: The mine has a mixed fleet of man-
autonomous area and has situation awareness capa- ual, semi-autonomous, and autonomous equipment.
bilities. The system can intervene in minimal risk situa- • Highly autonomous operation: The mine has a fleet of
tions. In higher risk situations, it enters a halted state. all or mostly autonomous equipment (levels 3–5).
The autonomous operator/supervisor is able to
request the system to disengage. 6.3 Implementation Approaches
• Level 5: Fully autonomous: The system can complete There are many ways mines can implement
sustained operations autonomously both with and autonomous systems. Possible implementation approaches
without a designated autonomous area and has situa- for mines replacing old systems are:
!"#$
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• Phased implementation: A medium
risk and medium cost approach
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in paced stages with two or three
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$0"%&2*%'!1%$$21%
implementing mature commercial
solutions.
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There is also variation within these
approaches based on each mine’s situa-
Figure 2. Factors Influencing the Choice of Implementation Approach (Figure Design, GMG
tion. Contributor)
The choice of approach depends on
several factors. Figure 2 represents how low or high regula- cultural change management plan must be executed con-
tory advocacy, risk tolerance, autonomous operational currently. It should also be reviewed regularly throughout
maturity, cost pressure, schedule pressure, and business implementation to incorporate necessary adjustments
stakeholder support can be used to determine the appropri- based on unexpected situations.
ate approach. Key recommendations for developing a change man-
agement plan for implementing autonomous systems
7. CHANGE MANAGEMENT include:
Implementing autonomous systems is a holistic organi- • Establish visible management support and commit-
zational and cultural change; change management must be ment, such as executive sponsorship. Such support
a primary consideration throughout all stages of the pro- adds credibility to the entire process.
cess. Ultimately, change management aims to achieve a sit- • Engage champions at all organizational levels from the
uation where stakeholders have the appropriate level of trust outset; this can encourage other employees to support
that the change is useful, support the implementation pro- the change. Champions should be selected carefully:
cess, and understand the benefits and risks of the new sys- they should not only include early adopters who tend
tem. Change management processes vary depending on to be open to new technology, but also individuals who
whether it is a greenfield or brownfield site, the type of activ- might not typically champion new technologies or pro-
ity, the planned level of autonomous maturity, the compo- cesses.
nents to be automated, and the implementation approach. • Have a single on-site person or team responsible for
This section covers the topic broadly and provides some analyzing data, ideas, and interpretations brought for-
suggestions for how to approach change management ward from multiple champions at different organiza-
based on industry experience. tional levels; this person would then recommend
actions.
7.1 Change Management Plan • Have a single on-site person or team to contact with
For the implementation project to realize the business questions and concerns about the incoming system,
benefits associated with automation, a clear and transparent someone who can dispel rumours or misgivings and
disseminate facts. This activity is also valuable for user for success. These should be measured and monitored
adoption/compliance. throughout the process (Table 1).
• Provide ways for those affected to make positive con-
tributions. This effort helps to create a culture that is 7.2 Change Management Progression
open to change, thereby reducing the chances of resis- Change management considerations should evolve as
tance or minimal enthusiasm. the project progresses through project preparation, imple-
A well-developed communication plan is also vital to mentation, and early operation (Figure 3). Three major
implementation. Successful change management commu- aspects of change need to be considered at all stages:
nication can be accomplished by: 1. Workforce management
• Crafting a clear and consistent message covering what 2. Stakeholder engagement
the changes are, why they are important for the busi- 3. Process management
ness, when they will happen, who they will affect, and Throughout the entire process, ongoing operational
how they will be implemented. readiness assessments and planning, risk management,
• Communicating the message to stakeholders (see list project controls, and management reporting also need to be
in Section 5) at the appropriate time, explaining why conducted.
the change is important for them, and managing their Figure 3 outlines essential change management con-
expectations. siderations for implementing autonomous mining systems
Communication should occur early and often, and it at different stages of the project. It represents a mine that is
should address questions and concerns that are important moving from a current (“as-is”) state as a manual operation
to the front-line staff and supervisors. Connecting with what to a future (“to-be”) state as a highly autonomous operation,
is important involves discerning how the technology benefits following either a slow implementation or staged process.
front-line staff and supervisors by making their jobs safer Many of these considerations are discussed in more detail in
and easier or helping them to achieve desirable results (see other sections of this guideline.
also Section 8). Communication is most effective across a
variety of channels (e.g., email, engagement sessions, social 8. BUSINESS CASE
media, posters) when messages are targeted based on who This section assists those planning or preparing a busi-
(which stakeholders) and how (i.e., one-way, two way, inter- ness case for autonomous mining. Before implementing
active) they engage. autonomous systems, there needs to be a well-defined busi-
Established methodologies for change management ness case that addresses potential issues and opportunities
can help to guide the approach. One example, Kotter’s (2012) that can affect desired outcomes. Because every company
8-Step Model, is outlined in Appendix A. has different requirements and implementation processes
vary, it is not possible to provide explicit instructions. Instead,
7.1.1 Critical Success Factors this section provides considerations for the business case to
The change management plan should identify critical help readers produce accurate and complete business cases
success factors—the areas of the project that are essential that are applicable to their situations.
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Figure 3. Change Management Progression from Preparation to Mature/Steady State (Figure Design, GMG)
Comparison between the “as-is” state (reviewing cur- • How to approach implementation (slow implementa-
rent constraints and issues), and potential “to-be” state tion, phased implementation, or fast implementation,
(the new system’s capabilities and enablers) is the basis of see Section 6.3)
the business case. The business case addresses the fol- • How long the transition will take (a realistic time frame
lowing: between initial implementation and steady state opera-
• Why automation is desirable tions)
• What level of maturity to implement, including: The business case also:
– What components/processes/tasks to automate • Defines the financial, operational, and safety risks
(for hybrid operations) and which ones to auto- associated with automation
mate first (in a slow or staged implementation • Defines positive and negative externalities (i.e., the
process) costs or benefits to to third parties)
– What components/processes/tasks will be more • Analyzes the potential solution’s strengths, weak-
highly automated (e.g., equipment maturity levels nesses, opportunities, and threats (SWOT analysis)
4 and 5 versus level 3) • Defines KPIs to evaluate and measure success
8.1 Safety Considerations for the Business Case business case (see Appendix B). Ultimately, the “to-be” state
One benefit frequently associated with autonomous for people involves cultural change where the new way of
mining systems is increased safety; however, these systems doing things becomes habitual and where people are open to
also present new safety risks. While all business cases must ongoing change. Section 11 covers many of these changes,
consider all types of risks associated with the project, it is how to assess them, and how to engage the community.
especially important to consider both the safety benefits and The business case for people will differ between green-
risks of automation. The business case should address the field and brownfield mining operations. New mining opera-
following questions about safety: tions can build their management and workforce structure to
• What are the expected safety and organizational bene- support autonomous mining from the beginning. Existing
fits? mines have to consider the transition costs (e.g., retraining
• What are the hazards associated with the transition to and upskilling) to change the organizational structure.
the new technology?
• If there is an existing operation, what hazards can 8.2.2 Processes
emerge that need to be considered and managed dur- Automation affects many mining processes, such as
ing integration? traffic management plans, safety management plans, safe
• What is a realistic lead time for full implementation, work procedures, work instructions, interfacing between
given the need for verification and validation trials as autonomous areas and maintenance, and shift manage-
part of the risk management process? ment. The increased potential for remote services and work
Companies should invest sufficient time and resources to also changes processes and introduces new organizational
ensure autonomous operations can start up safely and meet processes and challenges (e.g., managing time zone differ-
production expectations. Matters to be considered include: ences and offering language support). These changes need
• Organizational and operational readiness to be identified and addressed promptly, and the mine layout,
• Project management mine design, mine plans, and schedules need to be tailored
• Site-specific risks to accommodate autonomous equipment (see Section 12).
See Section 9 for more specifics about health and safety The business case should address possible benefits (e.g.,
and risk management for autonomous systems. reduced process variability) and costs (e.g., time and
resources required for implementing these changes) (see
8.2 Holistic Change Considerations for the Business Appendix B).
Case
Introducing autonomous systems is a holistic change. 8.2.3 Technology
The business case must communicate why such a shift is Implementing autonomous equipment requires compa-
necessary and valuable while also addressing the potential nies to apply supporting technology, such as sophisticated
costs and risks involved (see Appendix B for lists of potential and robust wireless communications networks and control
benefits, value drivers, and costs). The business case should rooms. These need to be identified and be part of the opera-
consider the “as-is” and “to-be” states specific to people, tional readiness planning and deployment process (Sec-
processes, and technology. tion 12). The business case should consider how technology
continuously evolves; this involves considering potential new
8.2.1 People technologies and their impact on the scope and business
Introducing automation affects the workforce, and the case. Those implementing autonomous systems also need
following potential changes need to be identified and man- to understand the cost to study, select, and implement sup-
aged carefully. port technology, understanding the cost and risk of poor
• The size and shape of the workforce: Changing opera- interoperability associated with closed systems and closed
tional processes and requirements will influence the size standards for technology. See also the interoperability defi-
and shape of the workforce (e.g., there might be more nitions and roadmap guideline (GMG, 2019b).
options for remote work and fewer people on-site).
• Roles, skill requirements, and competencies: New skills 8.3 Value Drivers
will be part of new organizational structures and some The business case should communicate the project’s
existing skills might no longer be applicable. value drivers. For technology implementation projects, value
The costs (e.g., training) and benefits (e.g., improved drivers refer to the increased value that the new technology
safety) of these changes need to be considered as part of the brings. Some value drivers are easily measured (e.g.,
reduced downtime) or refer to a specific cost reduction (e.g., the business case from the corporate standpoint. The orga-
lower insurance rates), while others are more difficult to nization’s leaders need to understand the current state to
measure (e.g., improved safety). Value drivers vary depend- assess whether or not the organizational change and the
ing on many factors, so each potential value driver must be costs associated with adopting autonomous systems align
carefully considered in the appropriate context. Value drivers with their goals and are strategically viable. There are situa-
can help with financial and sensitivity analysis, determining tions where autonomous systems are not viable at all or
strategic fit, and developing communications strategies. where a highly automated operation is not viable, and a
Key drivers for implementing autonomous systems hybrid one would be preferable. Table 2 provides examples
include (see Appendix B for a more extensive list): of situations where there may be a strong strategic fit and
• Improved safety from separating humans from haz- where the strategic fit may need more consideration. The
ardous situations operation’s current scope and autonomous operational
• Reduced personnel support costs from the possibility maturity and the organization’s current capacity and capa-
of remote operations (e.g., accommodation and travel bility are important factors. For example, automation can
for fly-in fly-out [FIFO] operations) compound poor reliability and poor availability if it is not han-
• Improved productivity from reduced variability and dled correctly.
increased efficiency in processes Individual mines should make decisions concerning
• Improved overall equipment effectiveness (OEE) from technologies and components based on the appropriate-
optimized processes and increased situation aware- ness to their specific operation. Autonomous technologies
ness and components vary in maturity (Section 6.2) and applica-
• Improved mining strategies (e.g., autonomous systems tions. The strategic fit discerns which maturity level(s),
can offer smaller truck/digger sizes, which can reduce implementation approach, and specific applications are
maintenance and underground ventilation costs) most appropriate.
The business case also needs to consider the possibility
8.4 Costs that automation can unlock new business models. New
The business case also needs to consider the costs models require new plans, such as lease versus buy or min-
associated with autonomous system implementation. These ing as a service—where a third party to the OEM and mining
costs include, but are not limited to: company offers automated mining as a service to the mining
• New technology and equipment company by assembling a full system offering composed of
• Supporting infrastructure elements that OEMs provide. Some understanding can be
• Training gleaned from other industries and generic packages on
• Ongoing updates and technical support makes or models.
See also Appendix B.
8.6 Communication with Stakeholders
8.5 Strategic Fit Should the business case demonstrate positive value,
It is necessary to ask whether autonomy is an explicit promoting the business case is essential. It is necessary to
corporate strategic goal: the lack of a strategic fit can derail understand the audiences and their values in order to
achieve acceptance by the mine site and gain strong opera- 9. HEALTH AND SAFETY
tional ownership. Stakeholder participation is also essential. This section provides guidance for developing health
During the business case development process, identify and and safety management plans in an autonomous mining
include key stakeholders at the mine to promote the changes environment. Safety must be a standalone part of the imple-
rather than have higher level decisions handled by those not mentation plan and included in other plans as necessary.
embedded in the mine culture. Develop the business case Those planning to implement autonomous systems must
with participation and input from corporate and site levels. It address all safety requirements up front and establish a
is important to teach all stakeholders about the problems safety culture applicable to autonomous mining. This sec-
that they face, and how the solutions can enhance their over- tion describes safety requirements generally, but GMG has
all efficiency and safety. See also Sections 5, 7.1, and 11. also identified the need to create a separate guideline on
functional safety for autonomous mining equipment, which
8.7 Business Risks and Potential Problems will be added to the recommended reading when available.
Consider the risk of the organization not being able to Safety requirements for autonomous systems are var-
achieve the change. Ask: What is the delivery capacity of the ied. Broadly, they can be considered in the following cate-
organization? Be aware of the following potential problems: gories:
• Delays to allow for “growing pains” • Environmental health and safety (e.g., weather, heat,
• Long-term OEM commitment ventilation)
• Change in mine plan (e.g., caused by market issues) • Facilities (e.g., machinery, buildings, roads)
• Legacy issues • People (e.g., workforce, site visitors)
• Obsolescence • Processes
• Difficulties related to change out • Community
• Cybersecurity (this will require separate attention and
8.8 Other Considerations will be covered in more depth the forthcoming func-
• Assumptions: Identify realistic and specific scenarios tional safety guideline)
that the mining company assumes will happen. Because health and safety processes change over time,
• Transparency with regulators: See Section 10. effective change management processes (Section 7) are nec-
• Timing: Determine the estimated timeframe for imple- essary to ensure the processes, workforce, and stakeholders
menting autonomous systems and follow a proper are ready to meet new health and safety requirements.
stage gate evaluation process. Consider investment Effectively managing the health and safety risks associ-
return times and the overall operation lifetime. ated with operating an autonomous mining system requires
• Financial and economic analysis: Determine the appro- input from diverse operational groups, including:
priate balance between capital expenditures and operat- • Researchers
ing expenses, consider the return on investment, and • Design engineers
consider financial opportunities (e.g., tax deductions). • Project managers
Complete different types of financial analyses such as: • Team leaders
– Internal rate of return analysis • Control room operators
– Net present value analysis • Health and safety representatives
– Discounted cash flow analysis • Emergency response personnel
• Environmental and social analysis: Analyze strengths • Any other workers involved in the tasks
and weaknesses of the business/trade environment A safety committee should be established to identify
internally and externally (e.g., SWOT analysis) and ana- risks and determine the training required.
lyze social impact (see Section 11). Those implementing autonomous systems need to
• Alternatives: Identify alternatives to implementing delineate how roles and responsibilities might change from
autonomous systems and alternative ways of imple- the previous system. It is recommended to create a respon-
menting autonomous systems (e.g., if the business sibility assignment matrix (such as “responsible, account-
case is for highly autonomous operations, an alterna- able, consulted, informed” or “responsible, accountable,
tive might be for hybrid operations). supportive, consulted, informed”). These would specify the
• Organizational readiness: Consider changes in roles owner/contributor of the information for implementing the
and responsibilities and in the organizational structure autonomous solution of choice and what that provider is
resulting from automation and how to approach them. expected to submit. This matrix would include, but not be
limited to OEMs, operators, consultants, third-party technol- • That there are emergency response plans in place
ogy providers, and regulators. Appendix F describes some examples of incidents and
The system must comply with all regulations and safety lessons learned.
standards, including local regulatory requirements (Sec-
tion 10). The new system should also gain approval from 9.1 Risk Management
authorities at all stages, ideally undergoing a peer-review The risk management process involves identifying the
process. Those planning for safety should compile a list of system’s functional safety requirements and identifying and
established standards with a classification of what they rep- planning to manage potential risks and hazards. It is recom-
resent, their purposes, and applicability. Table 3 offers a pre- mended to create a risk evaluation matrix that covers inci-
liminary list of relevant international standards. The full dent management, human errors, and change management
citations and links to these standards are presented in Sec- planning. Deployment scheduling, site preparation, commu-
tion 14. The final list should include regional and geographic nications, contingency, vendor partner selection, execution,
nuances (such as environmental variability or geopolitical support and handover, and business continuity should have
risk) but where possible reference globally accepted docu- separate plans. Plans will vary to accommodate different
ments (e.g., ISO). mine types and operational and equipment maturity.
The project must undergo a rigorous risk assessment Communication and consultation are necessary for effec-
and management process specific to health and safety; the tive risk management. Those with knowledge of the auto-
following subsections outline this process. The process and nomous mining system design, engineering, commissioning,
terminology are based on those described in ISO 17757:2017 operation, and maintenance should be involved in assessing
(International Organization for Standardization, 2017a). and minimizing associated risks during the operational life cycle.
Once the system is planned, verify:
• That it meets functional safety requirement 9.1.1 Risk Identification
• That it is prepared for ongoing maintenance implica- It is important to identify how using autonomous
tions (test/validate/response) technology changes established safety systems and any
Table 3. Recommended International Standards Relevant to Health and Safety and Risk Management
Standard number Title Citation
IEC 60204-1:2016 Safety of machinery – Electrical equipment of machines—Part 1: General International Electrotechnical
guidelines Commission, 2016
IEC 61508-1:2010 Functional safety of electrical/electronic/programmable electronic safety-related International Electrotechnical
systems—Part 1: General requirements Commission, 2010
IEC TS 62443-1-1:2009 Industrial communication networks–Network and system security–Part 1-1: International Electrotechnical
Terminology, concepts and models Commission, 2009
ISO 13849-1:2015 Safety-related parts of control systems—Part 1: General principles for design International Organization for
Standardization, 2015a
ISO 13849-2:2012 Safety-related parts of control systems—Part 2: Validation International Organization for
Standardization, 2012
ISO 31000:2018 Risk management—Guidelines International Organization for
Standardization, 2018c
ISO 20474-1:2017 Earth-moving machinery – Safety—Part 1: General requirements International Organization for
Standardization, 2017b
ISO 19296:2018 Mining – Mobile machines working underground—Machine safety International Organization for
Standardization, 2018a
ISO 17757:2017 Earth-moving machinery and mining—Autonomous and semi-autonomous machine International Organization for
system safety Standardization, 2017a
ISO 73:2009 Risk management—Vocabulary International Organization for
Standardization, 2009
ISO 12100:2010 Safety of machinery – General principles for design—Risk assessment and risk International Organization for
reduction Standardization, 2010
ISO 45001:2018 Occupational health and safety management systems—Requirements with International Organization for
guidance for use Standardization, 2018b
risks and hazards associated with those changes (see • Operational environment (e.g., scale, complexity, physi-
Appendix C.1 for a list of hazard identification systems and cal environment of mining activities)
processes). This process might involve identifying safety • Operational processes (e.g., maintenance systems,
functionality and operational process limitations of the work practices, interaction, separation)
autonomous system. The following questions can help to • Autonomous systems (e.g., functionality, functional
identify autonomous mining health and safety risks. safety requirements, safety features)
1. What are the potential scenarios for autonomous min- • Site continuity plan
ing incidents? • Corporate risk guidelines
2. What are their potential consequences concerning
safety and health? 9.1.3 Controls for Risk and Hazard Management
Once health and safety risks hazards have been identi-
9.1.2 Risk Analysis fied and analyzed, it is essential to put appropriate controls
At the risk analysis stage, mine sites should determine in place to prevent and/or reduce their risk and minimize
the nature of the hazard and the risk level, considering the potential consequences (see Appendix F for specific exam-
likelihood of an incident, potential severity of injury or dam- ples). Start by asking: What controls are available, and how
age, and ability to identify an incident. Those assessing the effective are they? This question is best answered by apply-
risk must have the necessary information, training, knowl- ing a hierarchy of controls (Figure 4). Types of controls are
edge, and experience of the: listed below from 1 (most effective) to 5 (least effective):
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Figure 4. Hierarchy of Controls for Autonomous Mining Systems (Figure Design, GMG)
debriefings should be conducted as soon as practicable 2. Conduct a gap analysis of standards, regulations, and
after an emergency or drill to help identify potential improve- norms for which compliance might be challenging that
ments to the emergency response plan. identifies what needs to change
3. Based on the gap analysis, determine the level and
10. REGULATIONS type of engagement with regulators (e.g., adjustments
Autonomous mining methods often require regulatory to existing requirements is generally simpler than
changes. Establishing regulatory requirement changes developing entirely new regulations or addressing cur-
must be done early in the process because existing regula- rent regulations that are prohibitive and incompatible
tions can have unintended consequences and are often with autonomy)
inconsistent when it comes to autonomous systems (see 4. Evaluate those stakeholders who need to be part of
Appendix F for case studies that exemplify some possible regulatory engagement
consequences). Implementing autonomous mining meth- 5. Consider the time it takes to get regulatory approvals
ods might require: Organizations can do the following to facilitate engage-
• Exemption from existing regulations ment with regulators:
• Development of entirely new regulations • Understand the regulator’s autonomy knowledge and
• Updating some existing regulations maturity
• A combination of the above • Bring in a subject matter expert when meeting regula-
Those implementing autonomous systems might tors who has knowledge of how the autonomous sys-
encounter gaps in regulators’ understanding when defining tem works to help maintain credibility
new and updated regulatory regimes and should be prepared • Understand the differences between autonomous sys-
to discuss how regulations might need to change. This dis- tems at different maturity levels (such as those out-
cussion needs to happen early in the process because regu- lined in Section 6)
latory changes take time. Eventually, quality assurance and • Share project management plans outlining how the
quality control checklists must be created to ensure compli- autonomous systems are intended to be deployed and
ance. controlled to achieve equivalent or higher level of pro-
tection for workers, environment, and property (see
10.1 Adapting Regulations to Autonomous Mining Section 9)
Existing regulations often need to be adapted to accom- • Share risk assessments that offer deeper details on
modate both technological and procedural changes, such as how failure modes and consequences would be miti-
different equipment types (e.g., scoops versus haulage gated and handled (see Section 9)
trucks) associated with autonomy. Levels of autonomy, such • Suggest mitigation strategies for any operational con-
as those outlined in Section 6.2, could be developed around straints in regulations
equipment types. • New jurisdiction mining companies could find it useful
Though many current regulations were written without to create a project plan based on the Western Australia
autonomous systems in mind, a person or team should be code of practice (Government of Western Australia
able to grasp the sense of an existing regulation by consid- Department of Mines and Petroleum, Resources Safety,
ering what it intends to accomplish and seeking to meet or 2015)
exceed that expectation. • Consider ongoing reporting requirements during opera-
tions
10.2 Engaging Regulators
Actively engaging with local and regional regulators is 11. COMMUNITY AND SOCIAL IMPACT
essential to successful autonomous system deployment; it Assessing the social impact of autonomy is critical
is important to consider how to approach regulators. Con- because implementing autonomous systems changes
sider when to begin this process of engagement, what mate- labour needs. As a result, fear of job loss has been identified
rial needs to be shared with regulators, and for which as a primary concern with automation. These issues affect
milestones follow-up discussions are needed. Initial steps not only employees but also other businesses and local
are as follows: communities that depend on the mine; a clear social licence
1. Identify applicable regulators and regulations and to operate is necessary and engagement is critical. This sec-
understand legal liability related to operating tion describes what to consider when engaging the work-
autonomous systems force and community.
• Attracting, training, and retaining recruits using intrinsic • Open data (more modular, open, application program-
motivators (e.g., job satisfaction) and, if sustainable, ming interface [API] based; see GMG, 2016)
extrinsic motivators (e.g., high salaries) • Present and future needs
• Determining opportunities for cross-training • Best practices rather than rigid design criteria (accom-
Additional considerations include: modating change)
• Training timelines • Customer first (define the customer and their metrics
• Training staff requirements of value, see Section 8)
• How the work culture will change The processes outlined in this section are done concur-
• The growing role of contractors and service providers rently with many of those described earlier in this document:
• Collaboration with other departments and suppliers to change management activities (Section 7), the risk assess-
develop and deploy solutions ment (Section 9), ensuring regulatory compliance (Sec-
• Collaboration with universities, colleges, and govern- tion 10), and evaluating social impact (Section 11). These
ment to ensure that educational programs align with processes also need to address cybersecurity requirements
future needs of the industry (see Appendix D.2 for and intellectual property issues and incorporate interfaces
more information) and integrations.
12. OPERATIONAL READINESS AND 12.1 Mine Planning and Design to Accommodate
DEPLOYMENT Autonomous Systems
Introducing autonomous systems is a process that Mine management and mine designers and planners
takes time to plan, design, and implement. Autonomous sys- should understand the limitations of the autonomous mining
tems are complex, requiring those implementing them to technology they will use and the differences between man-
integrate many layers of planning before deployment. While ual and autonomous operations (Appendix E.1). These dif-
meticulous planning is needed, technological change is an ferences influence designs and plans on many levels.
ongoing process, and plans must also be adaptable to those The physical mine, system infrastructure, and operational
changes. This section covers fundamental principles and processes need to accommodate new characteristics of
considerations for implementing autonomous systems. This autonomous systems that require new approaches to exca-
section discusses mine planning, engineering design, and vation and material movement design. Ultimately, the mine
architecture and covers essential deployment and commis- design needs to be suitable for autonomous equipment and
sioning activities. potential combinations of autonomous, semi-autonomous,
The following factors need to be determined upfront, as and manual equipment; conventional designs for one or the
the processes discussed in this section vary according to other might not be sufficient. In greenfield projects or com-
them: plete redesigns, the whole design can facilitate automation. In
• Why the organization wishes to automate a mine site brownfield projects, current designs and operational pro-
(Section 8) cesses need to be adjusted or redesigned.
• The project scope and scale (what components to All mine design and planning must incorporate safety by
automate, what level(s) of autonomous system/equip- design. From the earliest stages, controls should aim to min-
ment maturity to implement, and planned autonomous imize the start-up risks with the systems (e.g., start simple
operational maturity); these choices dictate the neces- and small and gradually build up capacity) and create an
sary changes to the mine design and plan area where the autonomous system is isolated or interac-
• Implementation approach (Section 6.3) tions with manned mining systems are managed (e.g., con-
• Technological approach (integration with supplier(s), sider the implications in mine design, plans, and schedules).
mature technology, or new technology) Emergency management planning is also part of this pro-
Fundamental principles or tenets for autonomous sys- cess and is explored in Section 9.
tem planning and design activities are listed below. These
principles must be considered throughout all stages from 12.1.1 Physical Mine Planning and Design
planning and design through to deployment and commis- Mine designers and planners should ensure the physical
sioning. mine design is suitable for autonomy, including:
• Safety by design • Work area, road design and construction that are in line
• Systems thinking (consider how the mining value chain is with the system builder requirements (e.g., road sur-
affected by the decisions to automate, see Section 11.3) face, gradients, potentially harsh conditions)
Table 5. (Continued)
Category Definition Further details
General For autonomous systems
Technology Software and How existing technologies intersect with current Systems:
hardware functionality, data and application landscape • Basic input/output system
capability, and how Changes that will be necessary for meeting business • Solid communications network/fixed
they integrate with needs with the new system infrastructure (e.g., network link, network
other processes Blocks of technology redundancies, consideration for protocols,
considerations for latency)
• Onboard autonomy system (automation
processors)
• Onboard detection/object avoidance system
• Onboard machine actuation systems
• Redundant power
• Security systems
systems as they fall into the following subsets, as defined by and user acceptance. See Appendix E.4 for a more detailed
in the TOGAF® standard (The Open Group, 2018): business, commissioning activities list.
application, data, and technology. The implementation process must encompass a con-
tinuous improvement loop to feed back into the planning
12.4 Deployment and Commissioning process. Keeping ongoing focus after commissioning is
Deploying and transitioning to a new autonomous sys- required for the system to allow for continuous improve-
tem requires careful consideration of: ment. The project closeout should include extensive field
• Proofs of concept testing with key metrics measurement before final accep-
• Definitions of many KPIs and performance metrics tance and commissioning.
• Operating parameters
• Timelines 13. FOLLOW-UP
• Commissioning criteria Once the operation is commissioned and running, fol-
The system also needs validation and testing following low-up processes should continue. A transformation impact
an earlier formulated acceptance and commissioning strat- assessment should be conducted. Lifecycle and configura-
egy with a clearly articulated vision of the future. tion management, conflict resolution management, and pro-
A clear project execution plan should be developed that ductivity optimization need adjustment. New maintenance
covers staging and timing, detailed and full deployment regimes will need to be established, traffic flows might need
plans, and personnel needs. This plan should be formed adjusting, and plans for failed equipment recovery in an
based on the planning and design considerations presented autonomous area of the mine site may also be needed.
earlier in this section and the chosen implementation Operational KPIs should be reviewed once the system is
approach (Section 6.3). operational. Moreover, geotechnical constraints may influ-
A systematic commissioning strategy is also required ence and be influenced by mine automation. Roles and
that covers the commissioning process, timeline, risks, roles responsibilities also need to be continually reassessed and
and responsibilities, and test plan and meets formal approval updated to reflect ongoing changes.
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APPENDIX A: SAMPLE CHANGE MANAGEMENT the changes, intelligent change management will seek to
MODEL paint a picture of the benefits and new opportunities wher-
Established change management models can help ever possible while remaining transparent and acknowledg-
guide the approach to the human change management for ing possible negative impacts.
an implementation project of this complexity. There are
many options: Kotter’s eight-step change model (Kotter, Step 4: Communicate for vision
2012) is laid out below to illustrate what this might look like Clear, consistent, regular, and long-running communi-
for the implementation of autonomous mining initiatives. cation is essential for achieving a strong platform for
These steps are at once sequential and parallel: they often change. A thorough, disciplined, and exhaustive communi-
overlap with and support one another. cations plan is required, ideally involving the broadest possi-
ble range of stakeholders.
Step 1: Create positive motivation for all participants to
support the change Step 5: Remove obstacles
Generating inspiration and motivation to drive changes It is necessary to continually review and remove obsta-
in behaviour, practices, routines, and processes is a key suc- cles to change. Excellent change management constantly
cess factor in the human component of all change initiatives. assesses the stakeholder landscape to ensure that potential
This step is particularly relevant when building the case for problems and obstacles are being proactively monitored and
implementing autonomous systems because the change will managed. The change process is dynamic and often
almost always affect the workforce. A strong change man- becomes more so as the change is implemented and
agement program will need to find ways to focus all human becomes a reality.
participants on the positives associated with automation to
overcome its negative association with job loss. Some of Step 6: Establish short-term goals
these will be part of business case, but more work is often Short-term goals and short-term wins keep employees
required to help employees and others overcome their initial motivated. Companies need to divide their complex pro-
fears and begin to be motivated by the potential positives. It cesses into small, achievable chunks to motivate employees.
is also important to acknowledge that there will be changes Many businesses aim to become more agile when approach-
for the local community and to respond transparently to their ing change; this can be accomplished by breaking down what
concerns. Providing positive case studies as concrete exam- might seem overwhelming in scope into doable pieces and
ples may help with this process. managing both investment and delivery risk by thoughtfully
planning the work in stages. Intentionally celebrate small
Step 2: Form influential and powerful alliances successes and build a winning culture along the way.
To reduce resistance to change, it is critical to engage
with key influencers within management, the workforce, Step 7: Keep working
unions, the community, government, and other stakeholders Business success requires constant effort. The change
affected by autonomous mining activities. These key influ- environment is dynamic because humans generally respond
encers may or may not be those in formal positions of emotionally to change. The change management effort
authority. Informal influencers often have the greatest must be planned and executed with great discipline through
capacity to undermine change, and effective change man- to the end state. People should not be assumed to accept
agement works to understand the stakeholder landscape change until it is considered standard practice and process.
and its nuances. Simple top-down authoritative approaches
to complex change are generally less effective. In contrast, Step 8: Integrate change in the workplace’s culture
broad alliances help promote and support change while also Large change initiatives can lay the foundation for a
providing excellent feedback for anticipating and addressing company culture that expects and thrives on change, but
concerns and resistance. this requires enormous discipline and focus on developing a
consistently strong approach to managing change and see-
Step 3: Create a vision for change ing it implemented successfully. Change failures can not
Creating a compelling vision for the coming change is only result in the failure of the project but they can also
the most effective way to influence people and garner their impact the business’s longer-term disposition toward fur-
support for the changes in the workplace. Visions must be ther change. Thus, it is critical to manage change well to
desirable to all stakeholders. For those negatively affected by ensure the organization’s long-term adaptability.
APPENDIX B: BENEFITS, VALUE DRIVERS, AND not all apply to every situation. Further, because this is a
COSTS holistic project, benefits and value drivers are often interde-
Table B1 is designed for those developing a business pendent. For example, insufficient data analytics have the
case to consider which potential benefits, value drivers, and potential to reduce situation awareness with autonomous
costs apply to their situation. It can also serve as a starting systems because the technologies that improve situation
point for financial analysis and/or communications consid- awareness (e.g., predictive maintenance) depend on their
erations. Please note that this list is not exhaustive and does environment.
Table B1. Potential Benefits, Value Drivers, and Costs Associated with Implementing Autonomous Systems (continued on next page)
Table B1. (Continued)
APPENDIX C: ADDITIONAL HEALTH AND includes providing the information necessary to complete
SAFETY MATERIALS tasks safely. Such information includes:
• Manuals, specifications and operating instructions pro-
C.1 Hazard Identification and Verification List vided by the system builder
Hazard identification and verification systems can be • The operation’s policies, procedures and plans
implemented to quantify autonomous mining risks. They • Applicable legislation, standards, and other guidance
include, among others: material
• A hazard and operability study (HAZOP) or control haz- • Identified hazards and their associated risks
ard and operability study (CHAZOP) • Historical incidents, near misses, and their docu-
• Layers of protection analysis (LOPA) mented resolutions
• Functional safety analysis • Emergency shutdown procedures for autonomous
• As low as reasonably practicable (ALARP) equipment
• Bowtie analysis • Training materials
• Task-based risk assessment • Ongoing identification of autonomous boundaries
• Failure modes and effects analysis (FMEA) Personnel must also be instructed about system func-
• Employee hazard identification and reporting proce- tionality and specific tasks including the hazards and risks,
dures and tools the controls to be applied, and the job steps necessary to
• Workplace inspections complete the tasks safely and correctly.
• Monitoring the working environment Tools such as safe work instructions or procedures and
• Change management standard operating procedures may be used to document
• Incident investigations the process but should be reviewed and amended if there are
• Monitoring OEM and service company bulletins, rec- any changes (e.g., to equipment or conditions). If there is to
ommendations and specifications be a deviation from the safe work procedures, job safety or
• Regulator safety alerts hazard analyses should be undertaken to capture the haz-
ards and ensure controls are implemented and operational.
C.2 Maintenance Hazard Controls Supervisory or management personnel must formally
Maintenance hazard controls are especially important approve instructional tools. Establishing safe work practices
for autonomous equipment. To achieve the desired safety is an administrative control (see Section 9.1.3). These are a
outcomes, maintenance activities for autonomous equip- secondary line of defence after higher level controls such as
ment should address: designing out hazards.
• Safety-related parts of control systems and functional
safety considerations for system maintenance C.3.2 Training
(autonomous systems will not function without opera- Personnel must be competent in the tasks to which they
tional safety systems) are assigned; they must have the knowledge and skills nec-
• Scheduled maintenance and inspections processes essary to perform the task safely and correctly. Competency
• In situ inspection and servicing (e.g., consider ventila- is gained through training and experience while being super-
tion for human traffic in autonomous areas during in vised or mentored. Competency assessments should be
situ work) based on evidence and verified before work commences.
• Base platform autonomous components Competency verification must include a documented
• Recovery procedures in autonomous areas assessment. Competency can be verified by:
• Maintenance area and activity isolation • Recognition of prior learning
• Condition monitoring and diagnostics • On-site recognition or validation of current competency
• Calibration and testing (including designated testing • Using the operation’s training and development pro-
areas) gram
The risk management training provided must be appro-
C.3 Preparing Personnel for Safe Work priate to the assigned roles and responsibilities, and provide
information on:
C.3.1 Information • The risk management process
Personnel need to be informed so they are prepared to • Task-specific safe work methods, including the safe
work safely and respond to any issues. This preparation use of equipment and safe systems of work
All personnel should understand the effects that their ation help achieve the operation’s health and safety goals in
activities may have during commissioning, operation, and a variety of ways, including:
maintenance of the mobile autonomous mining system. • Leading and managing their team using their under-
They should also understand: standing of the key principles and safety features of
• What to expect if environmental or operational condi- the autonomous technology
tions change • Ensuring work is carried out following system builder
• Site requirements for monitoring of machine perfor- documentation
mance • Confirming workers (including contractors) are trained
• How to recognize when machines are not operating as and verified as competent to perform their duties
intended • Communicating regularly with those affected by work
• How to report incidents • Confirming fit-for-purpose equipment is available and
Whenever systems of work or plant and equipment used
change or new systems of work or plant and equipment are • Monitoring the workplace and identifying and control-
introduced, there must be a system to ensure affected per- ling hazards following site rules
sonnel are consulted, retrained and reassessed as neces- • Confirming the operation’s risk register reflects the risk
sary. analysis of jobs and critical tasks
• Reporting and recording performance issues (e.g.,
C.3.3 Supervision equipment failures, variances to approved operating
Supervision is a fundamental safety function that com- parameters)
plements information, instruction, and training provisions. • Referring new and changed circumstances not covered
Effective supervision sets and maintains high performance in site rules to management for further instructions
standards. Supervisors within an autonomous mining oper- • Communicating lessons from incidents
APPENDIX D: ADDITIONAL COMMUNITY AND • Unions: In the context of the local governmental
SOCIAL IMPACT MATERIALS rules and labour laws
• Employment statistics: Including diversity (e.g.,
D.1 Detailed Steps for Completing a Social and the status of women in the workforce), age, and
Economic Impact Assessment education levels
The social and economic impact assessment deter- 3. Assess the outcome by asking the following questions:
mines the engagement strategy to take with the community. • What is the community’s level of dependency on
1. Consider demographics and how they can influence the mining operation, and how will it be affected
the implementation project: by the introduction of automation?
• Population: Size, trends (growing or diminishing, • Will there be a significant impact and for how
native-borns or outsiders) long?
• Age: Distribution, generational gaps • How can the introduction of the technology
• Cultural values: Education, remuneration, quality improve the community situation (e.g., mine life,
of life, mobility, family (understanding cultural val- new suppliers, visitors to demonstration site)?
ues can help to explain how identity can be bound
up to current manual skills and consider new D.2 Collaboration with Educational Institutions and
replacement skills that are valued by organization Government
and individual) Mining companies should also work with universities,
• Economic situation: Employment rates, gross rev- colleges, and government to ensure that educational pro-
enue, investment in the community, education and grams align with the future needs of the industry. Working
skills development, new startups toward this in the short term, they can:
• Education level: Skills, literacy, languages • Offer bursaries to students learning desired skills
• Diversity policies: For example, those concerning • Provide students with relevant practical experience
ethnic groups and gender diversity (case studies (e.g., hiring them through co-op programs, internships,
can help guide this process) summer jobs)
• The importance of the mine to local suppliers For more systemic educational changes, mining com-
and towns: Both in the current state and future panies can work with universities, colleges, and government
state. to:
2. Develop a community profile to determine how chang- • Redefine curricula in mining fields so they reflect the
ing roles can be managed in specific situations. It can industry’s future needs
also help to determine what benefits the new technol- • Define flexible pathways via staged qualifications in
ogy can have for the community (e.g., it may attract new mining-related disciplines
suppliers or attract visitors to the demonstration site). • Encourage educational structures to change to provide
The current community situation needs to be compared more practical experience
with the feasibility study of the operation. The following • Educate and retrain teachers and instructors
details can be used to build a community profile: • Establish globally relevant curricula, as there is more
• Location: Remoteness, accessibility (transporta- international mobility today
tion, presence of community) Potential future skills needed include (but are not limited
• Community history: Industry presence, evolution to):
• Industry sectors and employers in the commu- • Data analytics
nity: Both those depending on the mining opera- • Machine learning/data science
tion (e.g., suppliers) and other industries • AI
• Infrastructure: Schools, colleges, utilities, hospi- • Robotics
tals, accessibility • Optimization
• Strategic community plans: Growth, population, • Automation
sustainability, urban planning • Networking (transmission control protocol/internet
• Academic institutions: Strategic collaboration protocol [TCP/IP])
between academia and industry to stimulate • Wireless propagation and antenna theory (especially in
simultaneous technological development and an underground context)
regional economic development and education • Other languages (for a more global industry)
Controlling Mine controller manages Mine controller oversees operations and manages the effectiveness of the
logistics within the pit operation
Mine controller monitors autonomous vehicle operations and manages
unexpected or inefficient operations
Mine controller manages survey and dispatch changes
Figure F1. Visual of Semi-Autonomous Loader and Personnel Interaction (Provided by a GMG Contributor)