DDMI - Underground Equipment Risk Assessment

• Document No. RHMI-019-0610 R1

• Audit Title

• Equipment Supplier

• Conducted on

  Date

• Prepared by (Audit Team Leader)

• Signature of Audit Team Leader

  Sign
• Location
  Address

• Audit team

• Equipment Type

• Gross Vehicle Mass

• Primary Task

• Secondary Task

• A2 - Steps, rungs and hand holds are highly visible and allow 3 points of contact at all times

  Low

  Mod

  High

  Critical

  N/A

• RTSS C4 - Working at height

• A3 - If bottom step/rung below lowest extremity of the machine, step flexibly mounted

  Low

  Mod

  High

  Critical

  N/A

• Minimize damage

• A4 - Steps, rungs, ladders and platforms provide with non-slip surface and minimize rock and soil retention

  Low

  Mod

  High

  Critical

  N/A

• A6 - Adequate provision made for operator regular access (pre-start inspection and general operation) and maintenance regular access (greasing, servicing). Review;

• Ergonomic, design regular access points at ground level. Need to ensure every day tasks are easy to undertake.

• Engine oil level check and refill points

  Low

  Mod

  High

  Critical

  N/A

• Hydraulic oil level check and refill points

  Low

  Mod

  High

  Critical

  N/A

• Transmission oil level check and refill points

  Low

  Mod

  High

  Critical

  N/A

• Radiator fluid level check and refill points

  Low

  Mod

  High

  Critical

  N/A

• Fuel refill points

  Low

  Mod

  High

  Critical

  N/A

• Grease point access

  Low

  Mod

  High

  Critical

  N/A

• Access to cleaning windows

  Low

  Mod

  High

  Critical

  N/A

• A7 - Areas above 1.8m from ground level to have Fall Prevention AND / OR Fall Protection systems in place (depending on application)

  Low

  Mod

  High

  Critical

  N/A

• RTSS C4 – Working at heights

• Fall Prevention (to stop a person falling) – For hand railing, require level floor, top rail (between 910mm and 1070mm from floor), mid rail and toe boards (min 100mm high) and safe access and egress. Hand railing to take force of 0.9kN in any direction.

  Low

  Mod

  High

  Critical

  N/A

• Fall Protection (to protect a person if they do fall) – engineered anchor point(s) (to withstand 5000lbs (2300kg) of load) for connecting personnel safety harness and lanyard.

  Low

  Mod

  High

  Critical

  N/A

• A8 - Areas between 1.5m and 1.8m from ground level (where people need to access) needs to be examined as to the risk of falling, consider hand railing in these areas

  Low

  Mod

  High

  Critical

  N/A

• Look at frequency of access, how stable is footing or platform, hand holds, and so on)

• A9 - Pinch points exposing personnel to risk of injury are to be identified and controlled.

  Low

  Mod

  High

  Critical

  N/A

• Look at access to machine, as well as any booms, articulation, scissor lift action, hydraulic cylinders

• A10 - Does the equipment have a valid diesel permit in place prior to operation in the underground environment?

  Yes

  No

  N/A

• A11 - Does the equipment have a current operators manual?

  Yes

  No

  N/A

• A12 - Has a DDMI training package been developed for operation of this equipment?

  Yes

  No

  N/A

• B1 - Roll Over Protection System (ROPS) to be fitted to underground mobile equipment

  Low

  Mod

  High

  Critical

  N/A

• NWT Regulation 10.43

• 10.43. (1) All loaders, scooptrams, graders, scrapers, tractors, compactor rollers, skidders, rough terrain forklifts, bulldozers, off-highway haul trucks, mobile rock drilling equipment, underground personnel carriers, and any other equipment when required by the chief inspector, shall be equipped with a rollover protective structure that conforms to one of the following standards: (a) CSA B352-M 1980, Rollover Protective St r u c tu r es for Agricu l t u ra l , Construction, Earthmoving, Forestry, Industrial and Mining Machines; or (b) SAE J-1040, Surface Vehicle Standard Performance Criteria for Rollover Protective Structures (ROPS) for Construction, Earthmoving, Forestry and Mining Machines issued by the Society of Automotive Engineers and equivalent to ISO 3471/1-1986.(2) Where the mobile equipment referred to in subsection (1) is used mainly for underground use, (a) the rollover protective structure design shall provide the operator with protection from falling ground and shall conform to the requirements of the standard SAE J-231, Minimum Performance Criteria for Falling Object Protective Structure (FOPS); and (b) the chief inspector may waive the requirement for physical testing of the rollover protective structure if he or she is satisfied that the other requirements of these regulations have been met. (3) No addition, modification, welding or cutting of a rollover protective structure or falling object protective structure shall be permitted except in accordance with the instructions of a professional engineer. (4) A professional engineer may re-certify a damaged, deformed or deteriorated rollover protective structure or falling object protective structure, after repairs have been made, if he or she is satisfied that the structural integrity has not been impaired. R-026-99,s.30. 10.44. Every rollover protective structure and falling object protective structure shall be designed and fitted in such a manner that the operator's field of vision is not restricted. 10.45. The following information shall be permanently marked on a rollover protective structure or a falling object protective structure: (a) the name and address of the manufacturer or the professional engineer who certified the rollover protective structure or falling object protective structure; (b) the model and serial number; (c) the make, model and series of the machine for which the rollover protective structure or falling object protective structure is designed.

• CSA B352-M 1980, Rollover Protective Structures for Agricultural, Construction, Earthmoving, Forestry, Industrial and Mining Machines; or

• SAE J-1040, Surface Vehicle Standard Performance Criteria for Rollover Protective Structures (ROPS)

• B2 - Falling Object Protective Structures to be provided with underground mobile equipment.

  Low

  Mod

  High

  Critical

  N/A

• SAE J-231, Minimum Performance Criteria for Falling Object Protective Structures (FOPS)

• B3 - No damage, addition, modification, welding or cutting of a ROPS or FOPS without engineer approval.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.43

• B4 - Each ROPS or FOPS requires permanent stamping of the name of the manufacturer or certifying engineer, model and serial number, and machine type it is built for.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.43

• B5 - Two means of exit should be provided from operator’s cabs. This may be achieved by a second door or a push out window or panel. Any push out window or panel should be suitably marked.

  Low

  Mod

  High

  Critical

  N/A

• B6 - At least one exit should be useable in the event of a roll-over.

  Low

  Mod

  High

  Critical

  N/A

• B7 - The location of cabs and the fitting of windows should provide the operator with maximum visibility.

  Low

  Mod

  High

  Critical

  N/A

• B8 - All windows should be fitted with laminated safety glass or other shatterproof material.

  Low

  Mod

  High

  Critical

  N/A

• Mine Reg 10.29

• ANSI Z26.1-1977 Safety Code for Safety Glazing Materials for Glazing Motor Vehicles Operating on Land Highways.

• B9 - Forward and rear windscreen washing and wiping facilities should be provided, along with demisting provision.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.29

• B10 - The operator’s seat belt and seat belt anchorages are to be robust and conform to regulations.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.48

• SAE J386 Operator Restraint Systems for Off Road Work Machines.

• B11 - Air conditioning / heating should be provided to control the cabin air. The mounting of the air conditioner or the accessories should not interfere with driver visibility.

  Low

  Mod

  High

  Critical

  N/A

• ANSI Z21.40.2-19996 (ROZ) CGA 2.92-M96

• B12 - All cabin wiring systems are low voltage (less than 32 volt AC)

  Low

  Mod

  High

  Critical

  N/A

• C1 - Operating controls clearly marked to show function and mode of operation

  Low

  Mod

  High

  Critical

  N/A

• NIOSH Control Design

• C2 - If equipment can exceed 30 km/h a speed indicating meter to be attached

  Low

  Mod

  High

  Critical

  N/A

• C3 - A horn or similar device provided for use as a manually initiated audible warning device. If horn is air operated, an alternative warning device is required

  Low

  Mod

  High

  Critical

  N/A

• In case of failure in air delivery system

• C4 - Unless machine designed for bi-directional use, audible backup alarm to be fitted, which is automatically activated when reverse selected

  Low

  Mod

  High

  Critical

  N/A

• NWT regs 10.27

• C5 - Emergency Stop/shutdown provide in control cabin, clearly marked and identified

  Low

  Mod

  High

  Critical

  N/A

• C6 - Emergency Stop/Shutdown electrical circuit independent of machine power supply

  Low

  Mod

  High

  Critical

  N/A

• Intention for emergency stop circuit to connect directly to source of fuel, eg fuel pump solenoid

• C7 - Emergency Stop/Shutdown when operated latches either electrically or mechanically

  Low

  Mod

  High

  Critical

  N/A

• Such that the actuation can only be reversed by a deliberate action and the equipment does not restart automatically

• C8 - Transmission interlock to be fitted, so that the vehicle cannot be started in gear

  Low

  Mod

  High

  Critical

  N/A

• NWT regs 10.28

• C9 - A service hour meter is fitted

  Low

  Mod

  High

  Critical

  N/A

• D1 - The location of services including fuel, hydraulic oil, lubrication oil and electric power within the engine compartment should be avoided where possible

  Low

  Mod

  High

  Critical

  N/A

• D2 - All hydraulic oil, lubricating oil, and other oil circuit pipes and hoses within the engine compartment should:

• CSAM 421-00 Use of Electricity in Mines with CSAC 22.1 Canadian Electrical Code, Mine Act & Regulations part 13

• Be constructed to OEM specification

  Low

  Mod

  High

  Critical

  N/A

• Be routed away from hot engine surfaces

  Low

  Mod

  High

  Critical

  N/A

• Be routed away from moving parts, supported and sleeved to give maximum mechanical protection

  Low

  Mod

  High

  Critical

  N/A

• Be covered so oil from any leak can’t contact any exposed metal surface where temp exceeds 200°C under any condition of use

  Low

  Mod

  High

  Critical

  N/A

• Be covered so that fuel from any leaks can’t contact any exposed metal surface that exceeds 80°C under any condition of use

  Low

  Mod

  High

  Critical

  N/A

• D3 - All electrical wiring system are to regulation and are protected / shielded from heat and damage

  Low

  Mod

  High

  Critical

  N/A

• D4 - All engine exhaust systems installed so that no flames or glowing particles can be emitted within the engine compartment under any condition of use

  Low

  Mod

  High

  Critical

  N/A

• D5 - Fire wall or barrier is installed to separate the engine compartment from hydraulics components and maintains engine ventilation and cooling effect

  Low

  Mod

  High

  Critical

  N/A

• D6 - Radiator caps for cooling systems are fitted with a means of safely relieving pressure to prevent scalding personnel

  Low

  Mod

  High

  Critical

  N/A

• D7 - Radiator caps are guarded against damage from foreign objects

  Low

  Mod

  High

  Critical

  N/A

• D8 - Unit fitted with fuel devices requiring power to operate

  Low

  Mod

  High

  Critical

  N/A

• So that isolation of power will isolate engine

• D9 - All fuel lines constructed to OEM specification or higher? (i.e.double braid, heat resistant, corrosion resistant metal braided or metal)

  Low

  Mod

  High

  Critical

  N/A

• D10 - Fuel filter elements enclosed with metal containers

  Low

  Mod

  High

  Critical

  N/A

• D11 - All fuel lines clamped with approved clamps

  Low

  Mod

  High

  Critical

  N/A

• D12 - All fuel tanks substantially constructed and protected against damage by collision

  Low

  Mod

  High

  Critical

  N/A

• D13 - All fuel tanks fitted with non-leaking caps which are effective irrespective of the attitude of the equipment

  Low

  Mod

  High

  Critical

  N/A

• D14 - All fuel caps are secured to the tank

  Low

  Mod

  High

  Critical

  N/A

• To stop chance of lost fuel caps and contaminated fuel / fire hazard

• D15 - Where fuel overflow hoses are fitted the hose extends so its lower than all engine components

  Low

  Mod

  High

  Critical

  N/A

• Minimize chance of fire

• D16 - If no automatic fast-fill filling system fitted, filler and vent must be located so that leaks or spillage during refuelling will not contact hot surface

  Low

  Mod

  High

  Critical

  N/A

• D17 - Engine must run on low sulphur fuel (sulphur content less than 0.25% by weight)

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.61

• D18 - Undiluted and unscrubbed exhaust gases from diesel engine is less that 1500ppm by volume of carbon monoxide

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.61

• E1 - Flexible hoses must be compatible with the hydraulic fluid used and maximum system pressure and temperature

  Low

  Mod

  High

  Critical

  N/A

• OEM & CSA M423-M87 (R2000) Fire Resistant Hydraulic Fluids.

• E2 - Where a hydraulic system incorporates an accumulator, the accumulator should be connected to the system using components of minimal length and adequate rating. Fittings should be located or otherwise guarded to provide mechanical protection.

  Low

  Mod

  High

  Critical

  N/A

• E3 - A manual bleed valve should be fitted to allow pressure relief for maintenance. Fluid should return to tank. Self draining accumulators are preferable. OEM requirements for bleed down of accumulators is required in maintenance manuals

  Low

  Mod

  High

  Critical

  N/A

• Isolation / dissipation of stored energy

• E4 - Nylon or PVC piping for pneumatic control systems of safety related items should be used only in cases where loss of pressure within these systems cause the system to fail to safety. All such piping should be adequately protected from physical damage and shielded from contact with hot and or sharp surfaces.

  Low

  Mod

  High

  Critical

  N/A

• E5 - Only properly specified hoses should be used between an air compressor and an air receiver. Care should be taken to ensure the clamps used are suitable for the job and have the pressure rating stamped on them.

  Low

  Mod

  High

  Critical

  N/A

• E7 - Air compressors and pressure vessels should comply with the requirements of the Mines Inspection Act

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.98

• B51-03 Boiler, Pressure Vessel and Pressure Piping code

• F1 - Equipment to contain;

• NWT Regs 10.30

• Service Brake

  Low

  Mod

  High

  Critical

  N/A

• Park brake (mechanically activated holding power)

  Low

  Mod

  High

  Critical

  N/A

• Secondary or emergency brake (which can use the service break or park brake system)

  Low

  Mod

  High

  Critical

  N/A

• A failure in one system not to affect the ability of one of the systems to stop the equipment safely

  Low

  Mod

  High

  Critical

  N/A

• F2 - All braking systems able to be tested from operator’s seat.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.30

• F3 - Service braking systems to be dual circuit systems, each capable of stopping and holding equipment.

  Low

  Mod

  High

  Critical

  N/A

• A separate circuit for front wheels and a separate circuit for rear wheels. Both circuits should be operated by the same brake pedal.

• Mine Reg 10.30

• F4 - For fluid braking circuits, an alarm device and indicator lights should be provided on the control panel of equipment to warn of failure in fluid circuit or dangerous drop in brake pressure

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.30

• F5 - Either brake system pressure gauges should be provided, or points for measuring brake system pressure to be provided.

  Low

  Mod

  High

  Critical

  N/A

• F6 - Pneumatic or hydraulic energy storage systems, if required for brake systems, must be provided solely for brake applications (eg not steering).

  Low

  Mod

  High

  Critical

  N/A

• F7 - For power assisted brakes, an emergency energy source capable of applying the braking system must be provided

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.30

• F8 - Manufacturer recommendation required on testing of each braking system. An external method to monitor brake wear and brake reservoir fluid levels to be provided.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.31

• F9 - Brake linings or pads not contain asbestos.

  Low

  Mod

  High

  Critical

  N/A

• F10 - The original equipment manufacturer of the equipment to which the rims and wheels are fitted should recommend and advise:

• The maximum wheel loads, speeds and operating temperature etc.

  Low

  Mod

  High

  Critical

  N/A

• Procedures for servicing wheel rims, including in particular, multi-piece wheel rims.

  Low

  Mod

  High

  Critical

  N/A

• Clear limits of tolerances, permissible wear and other permissible defects of wheel and rim components.

  Low

  Mod

  High

  Critical

  N/A

• Recommended tire pressures and tire wear.

  Low

  Mod

  High

  Critical

  N/A

• F11 - Where equipment depends on power to steer (and loss of power would result in loss of steering) and has a maximum speed greater than 20km/h, an auxiliary steering device is to be fitted to allow enough time to steer the vehicle to a stop

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.38

• SAE J1511/ISO 5051, Steering for Off Road Rubber Tired Machines

• F12 - Hydraulic pump used for auxiliary steering to use a separate fluid reservoir from main reservoir.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.38

• F13 - For equipment exceeding 45,000Kg with maximum speed greater than 20Km/h, non destructive testing required on front wheel spindles, in accordance with manufacturer.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.39

• F14 - Equipment with automatic engine shutdown devices must have audible and visual alarms warning operator of imminent shutdown.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.41

• F15 - Auxiliary steering must automatically be activated on such an engine shutdown.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.41

• F16 - An override system shall be fitted so that the operator can temporarily suspend automatic engine shutdown (to bring equipment to a safe stop)

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.41

• G1 - A single electrical isolation lockout point to be provided, which when activated disables all electrical power supply to the vehicle.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.21

• G2 - Isolation of energy sources other than electricity (eg air, water, fluid under pressure, steam) to be identified in operating manuals, and be able to be locked out and isolated

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.21

• G3 - All electrical wiring is to be protected from personnel contact. Electrical distribution boxes are to be lockable to restrict unauthorised entry.

  Low

  Mod

  High

  Critical

  N/A

• RTSS C2 Electrical safety

• G4 - Electrical safety devices such as earth leakage and overload protection should be installed on equipment

  Low

  Mod

  High

  Critical

  N/A

• RTSS C2 Electrical safety

• G5 - Any remote controlled equipment, or any remote starting parts on equipment, must be reviewed against the details within the regulations

  Low

  Mod

  High

  Critical

  N/A

• NWT Regulation 10.64

• H1 - Suitable devices must be available to support and block equipment components in a raised position for operation or maintenance (eg truck tray, loader arm), which should be attached to the vehicle

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.55

• H2 - Articulated vehicles should be fitted with a steering frame lock attached to the vehicle.

  Low

  Mod

  High

  Critical

  N/A

• H3 - Guards required on moving components which personnel can contact (drive belts, pulleys, sprockets, flywheels, pistons, tail shafts, conveyor belting). Guards must be sufficient to minimize chance of personnel contact.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.16

• H4 - Guard or shields fitted in the vicinity of the exhaust, turbocharger and other hot surfaces to prevent both personnel contact, and fuel or oil spraying on hot surfaces (provided they don't trap fuel or oil around the exhaust or turbocharger).

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.16

• H5 - Guards required around every tail shaft to prevent a damaged or broken shaft from whipping around in a compartment or digging into the ground.

  Low

  Mod

  High

  Critical

  N/A

• H6 - Guards should be designed so that operation and servicing can occur with the guards in place. Guards which need to be removed should be hinged to the machine. Guards should be easy to lift and hold without risk of finger injury

  Low

  Mod

  High

  Critical

  N/A

• H7 - Any covers, shields or guards shall be constructed as per OEM specifications. Any modifications not constructed of steel must be fire resistant materials.

  Low

  Mod

  High

  Critical

  N/A

• H8 - No modification has occurred to guards or shielding

  Low

  Mod

  High

  Critical

  N/A

• I1 - All lights should be easily cleanable from ground level.

  Low

  Mod

  High

  Critical

  N/A

• If not approved method of cleaning must be in place

• I2 - All mobile equipment to be provided with the following:

• NWT regs 9.49

• CSA-M424.2-M90

• Dual indication lights readily visible from the rear of the equipment to show service brake operation.

  Low

  Mod

  High

  Critical

  N/A

• Where retard braking is provided by other than service brakes, dual indication lights visible from the rear of the equipment.

  Low

  Mod

  High

  Critical

  N/A

• Minimum 2 headlights to illuminate roadway

  Low

  Mod

  High

  Critical

  N/A

• I3 - Reversing lights should be provided on all equipment. The lights should be initiated automatically when reverse is selected, except for bi-directional vehicles which should be equipped with headlights for both directions.

  Low

  Mod

  High

  Critical

  N/A

• I4 - Adequate reflectors and / or reflective tape should be provided on equipment to make it readily visible from any direction. Eg on the front head board or highest extremity of mobile equipment to provide visibility in undulating terrain, and the sides of all equipment to assist in identifying the length of the equipment.

  Low

  Mod

  High

  Critical

  N/A

• I5 - A flashing light required to be mounted above the cab or clearly visible in all directions (Orange = light vehicle or service vehicle; Blue = heavy vehicle; Red = explosive or emergency vehicle)

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.51

• I6 - Indicator lights should be fitted front and rear to trucks, service vehicles and light vehicles only to warn other traffic of an intention to turn.

  Low

  Mod

  High

  Critical

  N/A

• J1 - Shift safety and maintenance checklist to be provided (from manufacturer or supplier), for use as prestart inspection

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.04

• J2 - Manufacturer / supplier recommended ongoing inspection and maintenance program to be provided.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.04

• J3 - For previously used equipment, a written record of past tests, inspections and maintenance work carried out.

  Low

  Mod

  High

  Critical

  N/A

• NWT Regs 10.04

• J4 - Are there confined spaces which could be minimized or eliminated by design?

  Low

  Mod

  High

  Critical

  N/A

• RTSS C5 – Confined spaces

• K1 - Compliance plate, displayed in a prominent position, should show:

• The serial number.

  Low

  Mod

  High

  Critical

  N/A

• The tare and gross weight of the equipment.

  Low

  Mod

  High

  Critical

  N/A

• The axle loads.

  Low

  Mod

  High

  Critical

  N/A

• The maximum number of personnel for whom seating is provided.

  Low

  Mod

  High

  Critical

  N/A

• Maximum operating grade and load limit for that grade

  Low

  Mod

  High

  Critical

  N/A

• K2 - A list of all limits of equipment operation applying to the equipment should be submitted. Such limits should be in accord with relevant standards and should include, but not necessarily be limited to:

• Maximum grade (%) - Loaded and Unloaded

  Low

  Mod

  High

  Critical

  N/A

• Maximum cross grade (%) - Loaded and Unloaded

  Low

  Mod

  High

  Critical

  N/A

• Maximum load (tonnes) - Level conditions and with a range of grades

  Low

  Mod

  High

  Critical

  N/A

• Maximum speed (km/hr) - Under all above conditions

  Low

  Mod

  High

  Critical

  N/A

• K3 - Labels displaying warning at all accumulators that pressure must be safely released before work commences.

  Low

  Mod

  High

  Critical

  N/A

• K4 - Labels displaying warning on any spring applied brake chamber that it contains a spring under compression.

  Low

  Mod

  High

  Critical

  N/A

• K5 - Labels displaying warning on all suspension cylinders, which are under constant pressure.

  Low

  Mod

  High

  Critical

  N/A

• K6 - Labels identify all pinch points and coloured red or identified by warning labels

  Low

  Mod

  High

  Critical

  N/A

• K7 - Labels identifying unauthorized access in areas above 110v DC or 32v AC

  Low

  Mod

  High

  Critical

  N/A

• RTSS C2 Electrical safety

• K8 - Towing instructions to be provided by the manufacturer, with towing points clearly identified.

  Low

  Mod

  High

  Critical

  N/A

• K9 - Equipment constructed in separate sub-assemblies for transport should have;

• The weight of the sub assembly and the attachment points for lifting permanently marked on it.

  Low

  Mod

  High

  Critical

  N/A

• The lifting attachment points should have a minimum safety factor of 4 on the ultimate breaking load in relation to the weight of the sub-assembly.

  Low

  Mod

  High

  Critical

  N/A

• K10 - Labels displaying the required driver action in event of a fire occurring,

  Low

  Mod

  High

  Critical

  N/A

• K11 - Labeling of all controls including direction of movement where applicable

  Low

  Mod

  High

  Critical

  N/A

• K12 - Labels should be made of non-corroding material and be attached with non-corroding screws, rivets, etc.

  Low

  Mod

  High

  Critical

  N/A

• L1 - All units of diesel engine mining equipment carrying more than 100 litres of flammable hydraulic fluid must be fitted with an AFFF or equivalently effective multi nozzle fire suppression system in the engine compartment and in other likely combustion compartments.

  Low

  Mod

  High

  Critical

  N/A

• Mine Reg 10.42

• RTSS D1.3 Fire precautions

• L2 - The system should not allow the engine to start, or to keep running, if system pressure falls below the manufacturers recommended minimum pressure (ie discharged, faulty or disconnected).

  Low

  Mod

  High

  Critical

  N/A

• The interlock may be able to be over-ridden by an over-ride switch that requires constant hand operation. This applies to allow the plant to be moved to a safer location.

• L3 - When any in-built fire suppression system is actuated by any means, the engine should automatically shut down. A delay of about 6 seconds could be installed.

  Low

  Mod

  High

  Critical

  N/A

• L4 - All units should be fitted with at least two manually operated fire suppression system actuators; one in the cabin and the other(s) at an external position(s) where it (they) can be readily reached from the ground level. There must be easy access to an actuator from either side of the machine.

  Low

  Mod

  High

  Critical

  N/A

• L5 - Visible indication should be provided for the operator to show the operational readiness of the system. This indication should be visible to the operator from the normal operating position. (This does not apply to remote control panels).

  Low

  Mod

  High

  Critical

  N/A

• L6 - There should be a separate electrical supply to each fire suppression system, where the loss of electrical power does not effect the operation of the system. The switch should be clearly marked ‘IN THE EVENT OF FIRE DO NOT SWITCH OFF’.

  Low

  Mod

  High

  Critical

  N/A

• L7 - The system should fail to safety unless a back-up power supply is provided.

  Low

  Mod

  High

  Critical

  N/A

• L8 - Wiring system should be constructed and protected so that it is capable of maintaining an adequate supply to the suppression equipment when exposed to fire.

  Low

  Mod

  High

  Critical

  N/A

• L9 - Adequate size and type of portable fire extinguishers should be fitted and maintained on each vehicle. Fire extinguishers should be thoroughly cleaned, inspected, serviced, and maintained monthly.

  Low

  Mod

  High

  Critical

  N/A

• Mine Reg 10.42

• L10 - It should be possible to relieve the pressure from hydraulic oil and fuel tanks. Instructions on the method required to do this should be clearly labeled (to permit pressure which may be fuelling a fire to be shut off).

  Low

  Mod

  High

  Critical

  N/A

• L11 - Loaders which are to be operated by remote control should be fitted with fire suppression systems which may be actuated by any one of three mechanisms, all of which should be installed:

• Automatic actuation

  Low

  Mod

  High

  Critical

  N/A

• Remote control actuation

  Low

  Mod

  High

  Critical

  N/A

• Manual control actuation

  Low

  Mod

  High

  Critical

  N/A

• M1 - A means of towing should be recommended by the manufacturer and provisions to be made should include the following;

  Low

  Mod

  High

  Critical

  N/A

• M2 - The towing attachment should be designed to a minimum safety factor of 2.5 times the maximum rated towing capacity of the towed plant.

  Low

  Mod

  High

  Critical

  N/A

• M3 - Provision should be made for crossed slings to be fitted for towing.

  Low

  Mod

  High

  Critical

  N/A

• M4 - A means of releasing brakes without having to go beneath the vehicle. (A means of releasing the brakes and of towing the plant that does not require any person to approach the broken down plant should be recommended and installed by the manufacturer.)

  Low

  Mod

  High

  Critical

  N/A

• M5 - A means of steering or guiding the towed vehicle.

  Low

  Mod

  High

  Critical

  N/A

• M6 - A means of adequately braking the towed vehicle. Brake indication lights should operate.

  Low

  Mod

  High

  Critical

  N/A

• M7 - Documentation of limitations and requirements of the towing system.

  Low

  Mod

  High

  Critical

  N/A

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Action / Non-Conformance including section and reference #

• Proposed controls

• Person Responsible

• Enter name, sign and add comments as necessary below

  Sign

• Enter name, sign and add comments as necessary below

  Sign

• Enter name, sign and add comments as necessary below

  Sign

• Enter name, sign and add comments as necessary below

  Sign

• Enter name, sign and add comments as necessary below

  Sign

• Enter name, sign and add comments as necessary below

  Sign

• N1 - Cabins should seal dust and noise; the maximum equivalent noise level of a running machine (with doors and windows closed and the air conditioning system operating at maximum speed) should not exceed 83dB(A) for a 12 hour shift.

  Safe

  At Risk

  N/A

• N2 - Labels displaying a warning that "hearing protection must be worn" if noise levels exceed 83dB(A) at any location on the equipment.

  Safe

  At Risk

  N/A

• N3 - The operator's seat should be well maintained and shock absorbing. (adjustable for operators weight) The seat should be made to allow the operator to comfortably wear the required cap lamp battery and self-rescuer.

  Safe

  At Risk

  N/A

• N4 - The air conditioner intake should be located to avoid engine exhaust emissions, any fuel or heat source, and fumes that could be expected from any fire.

  Safe

  At Risk

  N/A

• N5 - Operator controls shall be located within comfort and reach.

  Yes

  No

  N/A

NWT Mine Health & Safety Regulations

• NWT Regulation 9.49

• 9.49. The manager shall ensure that all trackless haulage equipment used underground is permanently fitted with taillights and with at least two headlights to illuminate the roadway. R-026-99,s.25.

• NWT Regulation 10.04

• 10.04. (1) The manager shall ensure that a procedure is established for the safe operation, maintenance, inspection and testing of mechanical equipment and any system considered to be hazardous by the Committee. (2) The manager shall send a copy of the procedure referred to in subsection (1) to the Committee and the Committee may advise and comment on it. (3) The procedure referred to in subsection (1) shall be based on the manufacturer's recommendations and shall (a) specify the safety inspection and testing to be performed before the equipment or system is first used by any person on a shift to confirm the proper operation of the service brakes, emergency brakes, parking brakes, retardation system, steering systems, lights, fire extinguishers, tire pressures, accumulator pressures, fluid levels, communication systems, fall arrest systems and other safety devices and systems; (b) schedule the equipment or system for routine inspection and maintenance; (c) itemize the tests to be conducted before the equipment or system is first used or following maintenance work on the equipment or system; (d) ensure that a written record of each test, inspection and maintenance work carried out on each unit of equipment or system is entered into a maintenance record specific to each unit of equipment or system and as required in the equipment's or system's logbook; and (e) provide for the testing, inspection and maintenance work to be performed by qualified persons. R-026-99,s.26.

• NWT Regulation 10.16

• 10.16. Every (a) drive belt, chain, rope or cable, (b) pulley, sprocket, flywheel or geared wheel, (c) opening through which any belt, pulley or wheel operates, (d) bolt, key or set screw, (e) revolving, reciprocating or relative motion part, (f) item projecting from a surface, and (g) counter or tension weight unit and travel path, and every other item that has motion or relative motion or is hot or electrically energized shall, unless it is so situated as to prevent a person from coming into accidental contact with it, be effectively enclosed, covered or guarded.

• NWT Regulation 10.21

• 10.21. (1) The manager shall develop a lock-out procedure for each mechanical or electrical equipment system, and the procedure shall (a) include the requirements of subsections (2) to (6) and sections 10.22 and 10.23; (b) address the sources of all hazards that may be presented when a person is working on the equipment or system; and (c) specify, before the work starts, how the equipment or system is to be checked to verify that all hazards have been neutralized and that the equipment or system is safe to work on. (2) The manager shall ensure that each person required to operate or work on any equipment or system is adequately trained in the lock-out procedure and that a written copy of the procedure is made available to each person. (3) Before any work is performed on electrically powered equipment or on an electrically powered system, the main power source feeding the equipment or system shall be disconnected, locked out and tagged and, where necessary, the upstream and downstream equipment shall be disconnected, locked out and tagged. (4) The locking device required by subsection (3) may be omitted where (a) the locking device in itself creates a hazard due to switch design; or (b) circuit breakers or fuses for voltage less than 150 volts to ground are not equipped with a means for locking. (5) Where the equipment or system to be worked on is powered by a source other than electricity, the primary power supply to the power source shall be shut off, locked out and tagged and, where electricity is the primary power source to the power supply system, it shall be disconnected, locked out and tagged in accordance with subsection (3). (6) Where the equipment or system to be worked on has pressurized fluids or moveable equipment members, the lock-out procedure shall note means of performing the following tasks before the work begins: (a) safely releasing or containing any stored-up energy; (b) blanking off or otherwise isolating a pipeline, where a valve in a pipe could leak and allow water, steam, compressed air or any other substance to reach the equipment or could otherwise allow an unintended action or inaction; (c) securing all loose or freely moveable members against unintended movement.

• NWT Regulation 10.27

• 10.27. (1) Every unit of mobile equipment and any other piece of equipment specified by the chief inspector, shall be equipped with an audible alarm device that sounds when the equipment is backing up and that conforms to the requirements of the Society of Automotive Engineers' Standards SAE J-1446, Machine Alarm Test and Evaluation Procedure for Construction and General Purpose Industrial Machinery and SAE J-994, Alarm- Backup-Electric Laboratory Performance Testing. (2) The alarm shall (a) be activated automatically and independently of the operator; (b) be clearly audible above the background noise at the workplace; and (c) continue as long as the equipment is moving in reverse. (3) Subject to the approval of the chief inspector, mobile equipment designed for bi-directional use need not have an audible back-up alarm activated. R-026-99,s.28.

• NWT Regulation 10.28

• Transmission Interlock 10.28. Every unit of mobile equipment shall be equipped with an interlocking system to prevent the unit from being started unless it is unclutched or unless the transmission selector is in the neutral or park position.

• NWT Regulation 10.29

• 10.29. (1) All rubber tired mobile equipment having a gross weight exceeding 7,000 kg and any other piece of equipment specified by the chief inspector, shall have a minimum of two wheel chocks that shall be used when the operator leaves the equipment in a stationary position. (2) Subject to the approval of the chief inspector, the manager may develop an alternate procedure to using wheel chocks when the mobile equipment referred to in subsection (1) is left in a stationary position. (3) All mobile equipment shall be equipped with (a) a firmly secured seat for the operator and any authorized passenger; and (b) suitable clearance lights, reflectors and direction of travel indicator lights. (4) The seat referred to in subsection (3) shall be well maintained in a comfortable and shock absorbing condition that reduces the transfer of machine induced whole body vibrations to the operator. (5) Mobile equipment equipped with an enclosed operator's cab shall have (a) windshields, side and rear windows; (b) rear vision mirrors, unless the unit is bidirectional; (c) glazing material that (i) meets the requirements of ANSI Standard Z26.1, Safety Code for Safety Glazing Materials for Glazing Motor Vehicles Operating on Land Highways or another standard approved by the chief inspector, (ii) is kept in such condition as to provide clear visibility, and (iii) is replaced if it obstructs the vision of the operator; (d) suitable defrosting and defogging devices; and (e) where applicable, windshield washers and wipers.

• NWT Regulation 10.30

• 10.30. (1) All mobile equipment shall have (a) a service braking system; (b) a parking brake system; and (c) a secondary or emergency stopping system that may be provided by a system referred to in paragraph (a) or (b). (2) Each braking system shall be so designed that it can be tested independently and can be readily applied by a person seated in the operator's seat. (3) To fully apply and set the braking system, the braking system shall not require a force of more than (a) 700 N for a foot operated system; (b) 400 N for a hand operated system; or (c) 20 N for a finger operated system. (4) The controls for the secondary brake system and parking brake system shall be arranged so that they cannot be released from the operator's seat after any application has been made unless immediate reapplication can be made from the operator's seat to stop the equipment. (5) When required by the chief inspector, an independent means of retardation shall be provided in addition to the means set out in subsection (1). (6) Braking systems using fluid shall (a) have an alarm device that will alert the operator when the available brake system pressure drops to, or below, its lowest safe operating pressure; and (b) be equipped with an emergency energy source capable of applying the braking system. (7) No mobile equipment fitted with fluid activated service brakes shall be put into use for the first time unless (a) the system is split into two or more separate and independently operated circuits, each of which is capable of safely stopping and holding the equipment under any operating condition of load, grade, and speed; and (b) an alarm device is provided in the control panel of the equipment to warn the operator of a failure of a fluid circuit. (8) The holding power of the parking brake shall be mechanically activated so that it is not affected by loss of fluid from the braking system. (9) On all mobile equipment where components of the service brakes, secondary brake or parking brake systems are common, the components shall be arranged so that a failure in a common component shall not reduce the capability of one of the systems to stop the equipment safely within the limits of the secondary braking distance determined by the formula in paragraph 10.33(2)(e).

• NWT Regulation 10.31

• 10.31. No mobile equipment shall be put into service unless it has successfully completed the braking tests set out in sections 10.33 and 10.34.

• NWT Regulation 10.38

• 10.38. (1) Where mobile equipment depends on power for steering and the loss of power might prevent the equipment from being steered manually, an auxiliary device shall be installed that will enable the operator to steer the equipment for a sufficient period of time to bring it to a safe stop. (2) Where an auxiliary hydraulic pump is used to provide the emergency steering capability, the hydraulic fluid supplied to the pump shall be taken from a separate reservoir or from an isolated section of the main reservoir. (3) Every auxiliary steering system put into service shall conform to the requirements of the Society of Automotive Engineers' Standard SAE J-1511/ISO 5010, Steering for Off-Road Rubber Tired Machines.

• NWT Regulation 10.39

• 10.39. (1) The front wheel spindles of mobile equipment having a gross weight exceeding 45,000 kg and having a maximum speed exceeding 20 km/h, shall be nondestructively tested at least once every 12 months or in accordance with a schedule specified by the chief inspector. (2) The results of a non-destructive test of the front wheel spindles shall be recorded in the equipment maintenance record and a copy of the results shall be sent to the chief inspector within 14 days after the test is completed.

• NWT Regulation 10.41

• 10.41. (1) Where automatic engine shutdown devices are employed on mobile equipment, audible and visual alarms shall be installed in the operator's cab to alert the operator that an automatic engine shutdown is imminent. (2) Mobile equipment that is equipped with an automatic engine shutdown device shall be equipped with an auxiliary steering system that is automatically activated in the event of an automatic engine shutdown. (3) Mobile equipment that is equipped with an automatic engine shutdown device shall be equipped with a shutdown override system to enable the operator to temporarily suspend automatic engine shutdown in order to bring the equipment to a safe stop.

• NWT Regulation 10.42

• 10.42. (1) Mining equipment that could present a fire hazard shall be fitted with a multi-nozzle fire suppression system in the fire hazard area of the equipment. (2) The fire suppression system shall provide for manual activation on both sides of the equipment notwithstanding that an operator’s station may be situated on one side of the equipment. (3) Activation of the fire suppression system shall also cause automatic engine shutdown. (4) Every unit of mobile equipment shall carry at least one fire extinguisher of adequate size and of the proper type. (5) Every fire suppression system and every fire extinguisher shall be examined once a month to ensure that it is in good working order. R-026-99,s.29.

• NWT Regulation 10.43

• Roll-Over Protection Cadre de protection 10.43. (1) All loaders, scooptrams, graders, scrapers, tractors, compactor rollers, skidders, rough terrain forklifts, bulldozers, off-highway haul trucks, mobile rock drilling equipment, underground personnel carriers, and any other equipment when required by the chief inspector, shall be equipped with a rollover protective structure that conforms to one of the following standards: (a) CSA B352-M 1980, Rollover Protective St r u c tu r es for Agricu l t u ra l , Construction, Earthmoving, Forestry, Industrial and Mining Machines; or (b) SAE J-1040, Surface Vehicle Standard Performance Criteria for Rollover Protective Structures (ROPS) for Construction, Earthmoving, Forestry and Mining Machines issued by the Society of Automotive Engineers and equivalent to ISO 3471/1-1986. (2) Where the mobile equipment referred to in subsection (1) is used mainly for underground use, (a) the rollover protective structure design shall provide the operator with protection from falling ground and shall conform to the requirements of the standard SAE J-231, Minimum Performance Criteria for Falling Object Protective Structure (FOPS); and (b) the chief inspector may waive the requirement for physical testing of the rollover protective structure if he or she is satisfied that the other requirements of these regulations have been met. (3) No addition, modification, welding or cutting of a rollover protective structure or falling object protective structure shall be permitted except in accordance with the instructions of a professional engineer. (4) A professional engineer may re-certify a damaged, deformed or deteriorated rollover protective structure or falling object protective structure, after repairs have been made, if he or she is satisfied that the structural integrity has not been impaired. R-026-99,s.30.

• NWT Regulation 10.48

• Seat Belts 10.48. Seat-belts of a type conforming with the recommended practice of the Society of Automotive Engineers' Standard SAE J-386, Operator Restraint Systems for Off-Road Work Machines shall be installed. in all mobile equipment and the operator of the equipment shall wear the seat-belt when operating the equipment.

• NWT Regulation 10.51

• 10.51. The manager shall identify those areas of the mine where every vehicle other than the mining production equipment shall be equipped with (a) a tall whip antenna topped with a flag and light that are high enough to be visible to the operators of the mining equipment in the area; or (b) a flashing light mounted above the cab and bright enough to be visible to the operators of the mining equipment and to other persons in the area.

• NWT Regulation 10.55

• 10.55. The manager shall ensure that suitable devices are provided for supporting and blocking in a raised position the moving component of a truck dump box, bulldozer blade, grader blade, scraper blade, loader, backhoe bucket or fork-lift or crane load or similar type of moving component and that these devices are permanently attached for securing or locking the moving component in a raised position or are carried on the equipment for that purpose.

• NWT Regulation 10.61

• 10.61. (1) A record containing the following information shall be maintained for each diesel engine operating underground: (a) the make, size, model and serial number of the diesel engine; (b) the make, model and serial number of the equipment in which the diesel engine is installed; (c) the equipment or identification number assigned by the mine to the equipment in which the diesel engine is installed; (d) the quantity of ventilation in cubic metres per second; (e) the maximum rated power in kW; (f) the maximum speed at the maximum rated load in revolutions per minute; (g) the maximum fuel injection rate measured in kilograms per hour when the engine is operating at the maximum rated load and speed; (h) the results of any test made under paragraph 10.63(1)(b). (2) The manager shall, in consultation with the Committee, develop a procedure for the use and control of starter fluids acceptable to the chief inspector to ensure that (a) no gasoline or other volatile fuel is used in the starting mechanism of diesel powered equipment underground; (b) fuel used in diesel powered equipment has (i) a flash point greater than 43° C when tested by closed cup method, and (ii) a sulphur content less than 0.25% by weight; and (c) the undiluted and unscrubbed exhaust gases from diesel powered equipment is less than 1,500 ppm by volume of carbon monoxide.

• NWT Regulation 10.64

• 10.64. (1) Before any remote controlled equipment is introduced at a mine, the manager shall ensure (a) by selection of discrete encoder devices and operating frequencies, that only one receiver at a mine will respond to the signals from a given transmitter; and (b) that all forms of energy other than the specifically designed control signal will not render the equipment inoperative, uncontrolled or allow any unintended action or inaction by the remote controlled equipment. (2) Where at contiguous mining properties there is a possibility that command signals from one property may be picked up by receivers at the other property, the managers of both mines shall ensure, through sharing of encoder and frequency information, that only the intended receiver will respond to a given transmitter signal. (3) In the event of any dispute arising under subsection (2), either mine manager may request a ruling from an inspector whose decision shall be final and shall be adhered to by both parties. 10.67. Remote controlled mobile equipment shall be rigged to stop in the event of the failure of all or part of the control system, the power supply or the control cord. 10.68. Remote controlled mobile equipment shall have manual travel controls locked out or gated so that they cannot be accidentally engaged by movements of the equipment. 10.69. Every remote control transmitter shall be equipped with (a) a prominently located emergency stop button, the operation of which immediately applies the brakes and stops the equipment if the transmitter is switched on; (b) a device that automatically acts in the same manner as the emergency stop button if the transmitter is tilted more than 15% from the level position; (c) a remote control system lock-out switch assembly for deactivating and locking out the transmitter; (d) devices to activate the mobile equipment's (i) service brake, secondary brake and park brake control, (ii) steering control, (iii) fire suppression system activator control, and (iv) automatic engine shutdown override control; (e) a duplication of the mobile equipment brake and operating systems warning devices; and (f) clear identification, in a prominent location, of the mobile equipment with which it is to be used, if applicable. R-026-99,s.36. 10.70. (1) Every remote control transmitter and receiver system shall be designed to require the following two separate steps, executed in a priority sequence, before the operator can activate the remote control system: (a) firstly, the operator must activate the control device mounted on the receiver of the remote controlled equipment; (b) secondly, the operator must activate the control device mounted on the transmitter. (2) The operator shall not activate the transmitter control until he or she is in a safe location. 10.71. (1) Remote controlled equipment shall only be operated by the operator where he or she is in a safety bay or other safe location that is not accessible by the remote controlled equipment. (2) No maintenance work or servicing shall be performed on a remote controlled equipment unit unless the transmitter unit has been locked out.

• NWT Regulation 10.98

• 10.98. (1) An air compressor that is driven by a prime mover exceeding 25 kW, is lubricated by oil and discharges air into a compressed air system with over 100 kPa pressure, shall be (a) designed and installed and maintained so as to minimize the risk of fire or explosion due to accumulations of carbonaceous deposits in the air discharge lines; (b) equipped with shutdown devices that will prevent the operation of the compressor if (i) the temperature of the discharged air, cooling water, cooling air or lubricant exceeds the safe operating range specified by the manufacturer, or (ii) the flow or pressure of the compressor lubricant is below normal; and (c) equipped with a temperature indicating device that (i) monitors the high-pressure air discharge temperature, and (ii) is marked with the normal operating temperature point or range on the device. (2) The shutdown devices required by subsection (1) (a) shall not be capable of automatically restarting the compressor after being tripped; (b) shall be tested at least monthly; and (c) shall not be used unless they function correctly. (3) An air compressor shall not be used if any shutdown device is inoperative.