T4m

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Safety Policy

• Is the mines Safety Policy displayed publicly for all to see?

  Yes

  No

  N/A

• Does the mine have a Safety Policy?

  Yes

  No

  N/A

• Is the Policy communicated at induction?

  Yes

  No

  N/A

Work Safety Management Plan

• Is a documented Safety Management Plan in place?

  Yes

  No

  N/A

• Is the Plan approved by the Functional Manager

  Yes

  No

  N/A

• Is the Safety Management Plane issued as a controlled document t supervisory staff and then discussed accordingly with them?<br>

  Yes

  No

  N/A

Safe Work Istructions

• Have High/Moderate risk activities been identified

  Yes

  No

  N/A

• Have Job Safety Analyses been carried out?

  Yes

  No

  N/A

• Have Safe Work Instructions (SWI's) been developed?

  Yes

  No

  N/A

• Have SWI's been communicated to the work force?

  Yes

  No

  N/A

Subcontractor's Safety Management

• Has a Safety Management Plan been obtained from all subcontractor's on site?

  Yes

  No

  N/A

• Have the plans been approve by the responsible manager?

  Yes

  No

  N/A

• Have the plans been implemented throughout the subcontractor's team?

  Yes

  No

  N/A

• Are the subcontractor's systems regularly audited?

  Yes

  No

  N/A

Investigations

• IIs a system in place for reporting and investigating all accidents, incidents and non-conformances?

  Yes

  No

  N/A

• Are the relevant supervisors included in the reporting and investigations of the above?

  Yes

  No

  N/A

• Does the incident investigation system require checks in such places as maintenance records, personnel records, training records and production results to compare the number of repeated occurrences?

  Yes

  No

  N/A

• have the personnel who are required to conduct investigations been provided with formal training?

  Yes

  No

  N/A

• Is corrective action carried out, within the allocated time, as recommended in the report?

  Yes

  No

  N/A

Safety Management System Review

• Is there a system in place for conducting comprehensive audits to check compliance with the Safety Management System?

  Yes

  No

  N/A

• Are audits conducted in accordance with the system?

  Yes

  No

  N/A

• Are findings of the review documented and actions formulated to address any identified deficiencies?

  Yes

  No

  N/A

• Are te actions corrected and approved by the agreed upon time frame?

  Yes

  No

  N/A

• Do senior management review these reports?

  Yes

  No

  N/A

Training System - General (operational)

• Has a clear career path mapped out for operations personnel?

  Yes

  No

  N/A

• Is training aligned to the above career path (operational)

  Yes

  No

  N/A

• Is a coordinated training system in place to develop and administer all training requirements?

  Yes

  No

  N/A

• Has a clear career path been mapped out for maintenance personnel?

  Yes

  No

  N/A

• Is training aligned to the above career path (maintenance)

  Yes

  No

  N/A

• Has a systematic approach been used to identify all employees training needs? (operational) (training matrix)

  Yes

  No

  N/A

• Do instructors have the necessary competencies for the specific topics in which they assess

  Yes

  No

  N/A

• Are the trainers given the necessary training to maintain their qualifications

  Yes

  No

  N/A

• Are lesson plans and effective training aids available and used for all the training programs

  Yes

  No

  N/A

• Does on the Job coaching form part of the operators training program (Gold)

  Yes

  No

  N/A

• Are training requirements inter-linked with planned task observations and personal assessments (Gold)

  Yes

  No

  N/A

• All aspects integrated into a single system to prevent duplication and manual manipulation (Gold)

  Yes

  No

  N/A

• Are defined career paths applied with operations personnel? (Gold)

  Yes

  No

  N/A

Site Induction

• Is an induction program in place for new employees

  Yes

  No

  N/A

• Is the presenter, carrying out the training course, qualified to do so

  Yes

  No

  N/A

• Are all relevant and required topics covered in the induction

  Yes

  No

  N/A

• Are questionnaires completed by learners

  Yes

  No

  N/A

• Is the induction well streamlined with minimal disruptions

  Yes

  No

  N/A

• Are records of inductions completed and uodated

  Yes

  No

  N/A

• Are all personnel on site inducted prior to commencing their duties

  Yes

  No

  N/A

• Is s specific induction program in place for Supervisors

  Yes

  No

  N/A

• Is the content of the induction program adequate for the supervisory function

  Yes

  No

  N/A

• Have the supervisors completed induction questionnaires

  Yes

  No

  N/A

Supervisor Training

• Is a specific training program in place for the supervisors

  Yes

  No

  N/A

• Does the program cover the basic requirements associated with the equipment and the mining process used throughout the mine

  Yes

  No

  N/A

• Does the program cover the basic soft skills associated with supervising the workforce (plan-do-check-act, leadership, delegation, mentoring etc) etc

  Yes

  No

  N/A

• Do supervisors have clearly defined career paths available to follow

  Yes

  No

  N/A

• Is supervisor task training/assessments undertaken with the supervisors

  Yes

  No

  N/A

• Are appropriate records to the above available

  Yes

  No

  N/A

• Are supervisors evalualated using assessments on a regular basis (6 months) (Gold)

  Yes

  No

  N/A

• Are supervisors evaluated using planned task observations (Gold)

  Yes

  No

  N/A

External Certificates

• Do personnel in restricted occupations posses the required certificates of competency to perform their task (Winder certificate, Electrical)

  Yes

  No

  N/A

• Are copies of these certificates available

  Yes

  No

  N/A

Competency Assessments

• Are competency assessments performed across the required functions

  Yes

  No

  N/A

• Is the assessor performing the assessments quailified to do so

  Yes

  No

  N/A

• Are assessments records available

  Yes

  No

  N/A

• Are competency assessments used to review individuals performance and define training needs (Gold)

  Yes

  No

  N/A

Specific Skills

• Is there a training program in place for maintenance personnel

  Yes

  No

  N/A

• Has a clear career path been mapped out for maintenance personnel

  Yes

  No

  N/A

• Is training aligned to the above career path (maintenance)

  Yes

  No

  N/A

• Are programs updated whenever there are changes to systems of work and /or equipment

  Yes

  No

  N/A

• Are assessments regularly performed on maintenance personnel

  Yes

  No

  N/A

• Are the above assessments records available

  Yes

  No

  N/A

• Does on thhe Job training form part of the maintenance training program (Gold)

  Yes

  No

  N/A

• Are training requirements inter-linked with PJO and personal assessments (Gold)

  Yes

  No

  N/A

Task Obersavations

• Is a system in place that requires the supervisor to conduct observations of tasks being performed

  Yes

  No

  N/A

• Does the system ensure that all employees will be periodically observed whilst performing their required task

  Yes

  No

  N/A

• Are the results of the observations clearly documented

  Yes

  No

  N/A

• Are the inspections in line with procedural compliance expectations

  Yes

  No

  N/A

• Is there a system to ensure that identified non-compliances are corrected (Gold)

  Yes

  No

  N/A

• Are Task observations linked to training needs and requirements (Gold)

  Yes

  No

  N/A

Group Communications

• Is a group communications system in place

  Yes

  No

  N/A

• Has responsibility been assigned to the appropriate individual for conducting these communications

  Yes

  No

  N/A

• Do all relevant personnel attend these communication meetings

  Yes

  No

  N/A

• Are minutes of these meetings taken and formally recorded on file

  Yes

  No

  N/A

• Is there evidence of these meetings being used to review work practices and procedures (Gold)

  Yes

  No

  N/A

• Is aformalised communications system in place to discuss previous "planned V achieved" shift performance (Gold)

  Yes

  No

  N/A

Pre-Start Checks

• Are pre-start check lists developed and in place for all equipment

  Yes

  No

  N/A

• Are operators trained in the correct completion of these pre-start checks

  Yes

  No

  N/A

• Are the pre-starts completed correctly each shift

  Yes

  No

  N/A

• Are the completed Pre-Start checklists handed over to thhe maintenance department

  Yes

  No

  N/A

• Is information from the Pre-Start checklist scheduled and the schedule communicated to the workforce on a daily basis (Gold)

  Yes

  No

  N/A

Emergency Preparedness

• Have the relevant types of emergencies been identified

  Yes

  No

  N/A

• Have emergency action plans been established

  Yes

  No

  N/A

• Has the mine coordinator and wardens been identified

  Yes

  No

  N/A

• Has the evacuation plan/routes been displayed

  Yes

  No

  N/A

• Is emergency awareness training regularly conducted

  Yes

  No

  N/A

• Is the emergency procedure regularly rehearsed

  Yes

  No

  N/A

Equipment Selection

• Has a review been conducted to determine the equipment specifications required to ensure production targets are meet within the given mining environment

  Yes

  No

  N/A

• Does the review take into account availability of spare parts and consumables

  Yes

  No

  N/A

• Has the equipment been purchased in accordance with the review

  Yes

  No

  N/A

• Are follow-up reviews conducted to evaluate previous decisions and future requirements based on planned v actual (Gold)

  Yes

  No

  N/A

Consumables (Rock Tools)

• Has a list of critical consumables been made for each machine type

  Yes

  No

  N/A

• Have minimum stock levels been determined

  Yes

  No

  N/A

• Has responsibilities been assigned to correctly manage stock levels

  Yes

  No

  N/A

• Is consumable usage formally reported on a monthly basis

  Yes

  No

  N/A

• Is usage monitored taking into account performance achieved and expenditure V budget (Gold)

  Yes

  No

  N/A

• Is consumable consumption used to evaluate individuals performance and integrated into performance appraisal system (Gold)

  Yes

  No

  N/A

Planning (Long Term)

• Does the organisation have a long-term production plan in place

  Yes

  No

  N/A

• Does the long-term plan reflect the original business plan that was compiled to allow funding for the operation to proceed

  Yes

  No

  N/A

• Is the long-term production plan updated at least monthly to show actual meters excavated

  Yes

  No

  N/A

• Where an obvious production shortfall occurs has the organization developed an action plan to remedy the situation

  Yes

  No

  N/A

• Does the long term plan take into account tipping points and tramming

  Yes

  No

  N/A

Planning (monthly)

• Is there a system in place to ensure formal planning is conducted monthly

  Yes

  No

  N/A

• Are all appropriate positions/people involved in the determination of the monthly plan

  Yes

  No

  N/A

• Does the short term plan reflect the requirements of the long-term plan

  Yes

  No

  N/A

• Are al relevant measurements incorporated into the monthly plan

  Yes

  No

  N/A

• Are production shortfalls from pervious months taken into account (Gold)

  Yes

  No

  N/A

• Is a lost blast analysis conducted to determine shortfalls in production and reasons for not achieving the plan (Gold)

  Yes

  No

  N/A

• Is "planned Vs Achieved" analysis carried out to determine compliance with the monthly plan (Gold)

  Yes

  No

  N/A

Planning (Daily)

• Is there a system in place to ensure daily production expectations are planned with the supervisors

  Yes

  No

  N/A

• Is the daily plan directly aligned with the monthly plan

  Yes

  No

  N/A

• Do all supervisors and leading hands receive a copy of the daily plan

  Yes

  No

  N/A

• Are Planned Vs Actual activities recorded at the end of each shift

  Yes

  No

  N/A

• Is the planned production plan updated daily

  Yes

  No

  N/A

• Is the actual production information used to identify trends and assist in problem solving

  Yes

  No

  N/A

• Is a "Planned Vs Achieved"analysis carried out to determine compliance with the daily plan (Gold)

  Yes

  No

  N/A

• Is the achieved production and development with 80% compliance of the plan (Gold)

  Yes

  No

  N/A

• Is a Lost Blast Analysis conducted per day to determine production and development deficiencies (Gold)

  Yes

  No

  N/A

Planning (shift)

• Is there an appropriate pre-shift meeting with all the necessary members of the team

  Yes

  No

  N/A

• Is the pre-shift meeting conducted in a quiet area, records kept, with appropriate visual aids for the capturing and communication of critical information

  Yes

  No

  N/A

• Is the information updated at the end of each shift by the off going supervisor

  Yes

  No

  N/A

• Does the communicated information reflect the requirements of the 24 hour cycle plan

  Yes

  No

  N/A

• Is a Lost Blast Analysis conducted per shift to determine production and development deficiencies (Gold)

  Yes

  No

  N/A

Shift Performance Measurements

• Have shift performance measurements parameter requirements been determined for each piece of equipment

  Yes

  No

  N/A

• Have these expectations been communicated to the team

  Yes

  No

  N/A

• Is the equipment capable of achieving the required performance measures/parameters

  Yes

  No

  N/A

• Are the performance parameters correctly monitored and communicated to all parties concerned (Gold)

  Yes

  No

  N/A

Maintenance - General

• Is a maintenance strategy in place

  Yes

  No

  N/A

• Is a maintenance philosophy in place

  Yes

  No

  N/A

• Does the maintenance staff know what the purpose of the above are

  Yes

  No

  N/A

• Is information from the Pre-start checks captured and scheduled (backlogs created)

  Yes

  No

  N/A

• Are additional maintenance personnel available for breakdown requirements

  Yes

  No

  N/A

• Are means of communications available for the breakdown crews to operate effectively

  Yes

  No

  N/A

• Are breakdown personnel able to respond in a timely fashion

  Yes

  No

  N/A

• Has a review been conducted to determine the personnel skills and compliments required (Gold)

  Yes

  No

  N/A

• Have the review findings been complied with (Gold)

  Yes

  No

  N/A

Maintenance - Workshop

• Is the structure of the workshop adequate for the maintenance requirements

  Yes

  No

  N/A

• Are appropriate ablutions available for workshop personnel

  Yes

  No

  N/A

• Is adequate tooling available with reference to the machinery on site

  Yes

  No

  N/A

• Is an in-line Oils and Lubricants delivery system in place (borehole)

  Yes

  No

  N/A

• Are oils and lubricants transported using drums (underground-surface)

  Yes

  No

  N/A

• Is Oil and diesel consumption measured

  Yes

  No

  N/A

• Can "Used" lubricants be disposed of correctly

  Yes

  No

  N/A

• Is electrical power available for specific equipment

  Yes

  No

  N/A

• Has a workshop review been conducted annually to determine workshop requirements given changes in production demands and machine fleet size (Gold)

  Yes

  No

  N/A

• Has the above assessment been complied with (Gold)

  Yes

  No

  N/A

• Has an assessment been conducted to determine optimum location of the main workshop and main workshop requirements ((Gold)

  Yes

  No

  N/A

Maintenance - Spares

• Is a critical spares list in place for every machine on site

  Yes

  No

  N/A

• Is the critical spares list reviewed and updated

  Yes

  No

  N/A

• Is a person responsible for spares monitoring and ordering

  Yes

  No

  N/A

• Are minimum stock levels determined

  Yes

  No

  N/A

• Are stock levels maintained according to the spares requirements

  Yes

  No

  N/A

• Is parts usage reconciled and reported

  Yes

  No

  N/A

• Are planned materials (parts) ordered and linked to a Work Order prior to work being scheduled

  Yes

  No

  N/A

• Is there a stock procurement procedure in place

  Yes

  No

  N/A

• Is there an emergency parts ordering procedure in place

  Yes

  No

  N/A

• Are lead times recorded and considered in the procurement process

  Yes

  No

  N/A

• Are the contractors parts ordering procedure known by the mine

  Yes

  No

  N/A

• Are stock outs measured (Gold)

  Yes

  No

  N/A

• Are late deliveries measured (Gold)

  Yes

  No

  N/A

• Are stock levels evaluated on a six monthly basis to ensure current consumption is aligned with spares requirements (Gold)

  Yes

  No

  N/A

Maintenance - Performance Measurements

• Has a review been conducted to determine performance measurement KPI's

  Yes

  No

  N/A

• Are approved KPI's documented and distributed to all involved

  Yes

  No

  N/A

• Are KPI's formally reported on

  Yes

  No

  N/A

• Is there a formal Root Cause Failure Analysis process in place

  Yes

  No

  N/A

• Are chronic failures identified and addressed, i.e. is there a continuous improvement action plan in place

  Yes

  No

  N/A

• Is the "Planned Vs Unplanned Work Ratio" documented and reported

  Yes

  No

  N/A

• Is there a"Backlog" board in place

  Yes

  No

  N/A

• Is the "backlog" board updated daily

  Yes

  No

  N/A

• Is a weekly maintenance plan issued to the maintenance staff (supervisors and artisans) prior to the week commencing

  Yes

  No

  N/A

• Is the equipment MTTR measured and analysed (trended) (Gold)

  Yes

  No

  N/A

• Is the equipment MTBF measures and analysed (trended) (Gold)

  Yes

  No

  N/A

• Is the equipment "Labour Utilisation" measured and analysed (trended) (Gold)

  Yes

  No

  N/A

• Are the top ten cost items identified and reported per machine type per month (Gold)

  Yes

  No

  N/A

• Are the top ten downtime items identified and reported per machine type per month (Gold)

  Yes

  No

  N/A

Operations - Standards

• Have work place standards been documented

  Yes

  No

  N/A

• Have they been approved by the responsible manager

  Yes

  No

  N/A

• Have the standards been communicated to all applicable personnel

  Yes

  No

  N/A

• Are formal inspections conducted to measure compliance with the standards

  Yes

  No

  N/A

Operations - Survey

• Are survey plans available for all areas of development

  Yes

  No

  N/A

• Are special instructions noted on plans where applicable

  Yes

  No

  N/A

• Do all relevant departments approve plans prior to their final release

  Yes

  No

  N/A

• Are the survey plans issued to all necessary personnel

  Yes

  No

  N/A

Operations - KPI's

• Have Key Performance Indicators been determined and documented

  Yes

  No

  N/A

• Have all pieces of equipment been assigned KPI's

  Yes

  No

  N/A

• Have the KPI's been communicated to all personnel involved

  Yes

  No

  N/A

• Are KPI's measured and formally reported n

  Yes

  No

  N/A

• Is action taken when KPI's are not to expectation (Gold)

  Yes

  No

  N/A

• Do individuals receive feedback regarding their daily and monthly performance and any related deficiencies (Gold)

  Yes

  No

  N/A

Operations - System Overview

• Is there a system in place for conducting unbiased audits

  Yes

  No

  N/A

• Are all previous Audit reports available

  Yes

  No

  N/A

• Have Action Plans been established, based on the findings of these audits

  Yes

  No

  N/A

• Have the above Action Plans been approved and implemented

  Yes

  No

  N/A

• Is system performance tracked and trended on a monthly basis (Gold)

  Yes

  No

  N/A

• Is the system used as a tool for continuous improvement (Gold)

  Yes

  No

  N/A