AA TG 108 002 STRUCTURAL INTEGRITY GUIDELINE Version 1

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STRUCTURAL INTEGRITY GUIDELINE

1 Aim 2
2 Scope 3
3 Definitions 5
4 Planning and design 9
Mandated appointments 9
Design and modifications 13
Maintenance and change control 41
Risk assessment & procedures 46
5 Implementation and management 61
6 Performance Monitoring 70
Appendix: Reference Documents 71
Appendix: Record of Amendments 72
Appendix: Assessment Tool Error! Bookmark not defined.
Appendix: Summary of Requirements and Responsibilities 73
Appendix: Example Structural Integrity Control Plan - Operations 75
Appendix: Example Structural Integrity Control Plan - Projects 76
Appendix: Typical Structural Failures Causal Factors and Controls 77
Appendix: Appropriate Registration for Structural Engineers 81
Appendix: Examples of Previous Structural Safety Bulletins 82
Appendix: Example Structural Commissioning Checklist 86
Appendix: Activity Matrix 88
Appendix: Examples of Critical Control Monitoring Specifications 96

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1 AIM
Note:

All text shown in boxes throughout this guideline is a direct repeat of the content of the Anglo
American technical standard on structural integrity (AA TS 108 001).

The aim of this standard is to ensure that all structures constructed and operated at Anglo
American Sites are appropriately designed, constructed, operated and maintained to ensure
safety and fitness for purpose at all times.

By ensuring safe structures the intent is to eliminate or minimise the risk of fatalities, injuries and
incidents arising from Moderate structural failures. And to illustrate that structural components of
heavy mobile equipment is included under the structural integrity standard. Numerous structural
failures have occurred in the Anglo American Group and elsewhere in recent years. In addition,
numerous potential structural failures have been identified through design audits and site
inspections. Consideration of these failures appears to indicate three important trends.

• The first important trend to note is that there appears to be an increasing number of
structural failures.
• The second important trend is that an increasing proportion of structural failures
relates directly to design errors or inappropriate modifications.
• Several Sites have old structures. Most structures are initially designed envisaging a
useful life of 20 to 25 years, but quite often these structures continue in use for much
longer.

The fundamental intent of AA TS 108 001 is to ensure no structural failures, because every
structural failure is a high potential incident. The potential loss resulting from a Moderate
structural failure far outweighs any savings that might have been thought to have been achieved
by cutting out any of the requirements in AA TS 108 001.

It is also the intent that proper consideration must be given to specifying the requirements for
building structures, in order to ensure that structures are designed and maintained in order to be
fit for purpose and to optimise the full life cycle cost. It should not be regarded as a checklist of
actions that a site should take to prevent major events due to, or associated with, structural
failure.

A secondary intent of ensuring proper structural engineering is to optimise the full life cycle cost
of the structural infrastructure at each Site. The standard is thus also intended to define the
structural asset management approach adopted by the site.

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2 SCOPE

This standard defines the requirements to prevent, and reduce the likelihood of, structural
failure at any stage in the life cycle of structures. The scope of the standard includes planning,
design, construction and commissioning, operation and maintenance, modification and repair
as well as decommissioning and demolition of all Significant Structures, constructed in any
structural material.

The target audience is: General Managers, Project Managers, Anglo American project Owner’s
Teams, Structural Engineers and company site engineers.

In this Standard, structures include plant structures, shaft structures, underground

infrastructure and large mobile equipment. Tailings dams and water dams are covered under
the standard; “Mineral Residue Facilities and Water Management Structures Standard” (AA TS
602 001).

This Standard applies to all Anglo American Group managed businesses and operations,
including contractors and visitors when involved in controlled activities.

The intent of this guideline is to provide additional explanatory and background information and
to provide guidance for the implementation of AA TS 108 001, Structural Integrity Standard. The
scope of this guideline is thus equivalent to the scope of AA TS 108 001.

Global Application

AA TS 108 001 and these guidelines are applicable to structures constructed in any country. In
specific cases reference may be made to particular national standards or specifications. Where
this is done, it implies that Anglo American requires that this specific standard or specification
must be used.

Risk Management

It is assumed throughout AA TS 108 001 and this guideline that the Risk Management concepts
and methodologies contained in the Anglo American Operational Risk Management Process
(ORM) Guidelines are applicable and enforced at the relevant site.

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Structural Types Covered

For purposes of AA TS 108 001, a structure is any permanent construction including any steel,
aluminium, reinforced concrete or timber structure, bridge, reservoir, surface or underground
tank or silo, concrete dam, wall, gantry, mast, tower or tower crane as well as any ancillary items
forming a part of structures, such as guardrails, flooring and cladding. A structure is also any
temporary construction including any formwork, false work, scaffold or other structure designed
or used to provide support or means of access during construction, inspection or repair work. A
structure is also any fixed or mobile equipment consisting entirely, or in part, of steel or
aluminium structural components.

Examples of structures covered by AA TS 108 001 include, but are not limited to, the following:

• Industrial structures and buildings e.g. plant structures, stores and workshops.
• Material handling support structures e.g. conveyor structures and crane gantries.
• Material containing structures e.g. silos, bunkers and bins.
• Material retaining structures e.g. retaining walls.
• Non-pressurised liquid containing structures, including the rake or agitator supports
where applicable e.g. tanks, thickeners and reservoirs.
• Dynamically loaded structures e.g. screen, crusher and mill support structures.
• Chimneys, stacks and towers.
• Structures floating on inland ponds.
• The structural components of mobile equipment structures e.g. masts, booms, “A”
frames and chassis of equipment such as stackers, re-claimers, draglines, spreaders,
mobile crushers and cranes.
• Foundation structures e.g. footings and bases.
• Masonry structures e.g. change houses, offices and hostels.
• Bridges e.g. road and rail bridges, pipe bridges and piers.
• Protective structures e.g. crash barriers
• Shaft winding structures e.g. headgears, collars and winder houses.
• Shaft system structures e.g. shaft and station structures, shaft guide and bunton
steelwork, box fronts and pipe supports.
• Shaft conveyances e.g. skips, cages, skeletons and baskets.

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3 DEFINITIONS
The following Definitions give specific meaning to the terms used in AA TS 108 001:

Approved : An approved Design means that the design is complete, that the Design
constitutes an appropriately engineered solution, that the Design
complies with this standard in terms of structural strength, stability and
serviceability, and that the Design is fit for the intended service.
An approved Design drawing means that the drawing is complete, that
the drawing conforms to the design and that the structural content of the
drawing is correct. A signature on a Design drawing confirms that both
the design and the design drawing are approved.

Company Site : The person appointed in writing by an Anglo American Business Unit to
Engineer be responsible for engineering contracts or operational engineering
management at a particular Site.

Competent : Having appropriate theoretical and practical training and having relevant
experience in the specific work or tasks to be performed. In the context
of this standard, competence refers specifically to competence in
structural engineering. Competence in design may be demonstrated by
professional registration in terms of local legislation, or by the MIStructE
qualification. In any case where there is any doubt regarding the
competence of any Structural Engineer or Contractor, this should be
referred to Anglo American Engineering Standards and Governance for
a decision.

Construction : Drawings prepared by the Contractor, showing all the necessary

drawings information and detail required to enable fabrication where relevant, and
construction of the structure in compliance with the Design

Contractor : The company appointed to perform structural or construction work at a

Site

Design : As defined by the design and engineering management plan

Design drawings : Fully dimensioned drawings prepared by the Structural Engineer,

showing all members with their size and material grade, and any other
information required by the Contractor for completion of the
Construction drawings where necessary, and for construction

Limit states : The structural design process in which a specified margin of safety or
design safety index is achieved by applying load factors, derived from the
statistical variability of the applied loads, to all loads, and resistance
factors derived from the statistical variability of the structural
components, to the strength of all structural components
Note: This design procedure may also be referred to as Load and Resistance Factor
Design (i.e. LRFD)

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Moderate : An event involving the structural failure of any structure, and where the
structural failure consequences are moderate or worse as defined by the Anglo Safety
Risk Management Process, or where in the opinion of the Company
Site Engineer the structural failure is unusual or complex

Modification : Any change, however minor, from the original approved Design
drawings

Owner : Owner of Site (or a duly appointed representative) where the structure
has been, or will be, constructed.

Significant : A Significant modification is any modification or repair where one or

modification more of the following apply:
• risk assessment shows that there is potential for a Moderate
structural failure
• cutting of any structural element is required
• welding is required to any structural element carrying varying loads
• additional loads exceed 2kN at one place or 0,3kN/m distributed
along any length
• repairs require replacement of structural section sizes which are no
longer available
• repairs require replacement of structural elements where the original
grade of material is no longer available

Significant : A Significant structure is any permanent or temporary structure where

structure one or more of the following apply:
• national legislation or local law requires a Structural Engineer to
approve the design or construction of the structure
• risk assessment shows that there is potential for a Moderate
structural failure
• the design of the structure or the materials used are novel or
complex
• the foundation conditions are complicated because of large
settlement, clay, potential for sink holes, undermined ground, or
other factors
• the loading conditions are complicated because of seismicity,
vibration, possible fatigue damage, potential for accidental damage,
or other factors

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Site : The specific mine, area of a mine, plant or other place, at which the
relevant structures are located.

Structural : The company or Competent person responsible for the Design, for
Engineer preparation of the Design drawings (or approval of Design drawings
prepared by others), for accepting the Construction drawings and
erection method statement, and inspection of construction for
conformity with the Design.

Explanation of definitions

The comments below provide additional guidance regarding these definitions.

Design : When contemplating structural engineering design, the definition of

design may be re-phrased as “The process required to complete the
specification for a structure.” The process will comprise many
activities including: identification of the applied loading and
functional requirements; definition of the structural layout; selection
of construction materials; calculations or computer analysis; and
preparation of the Design drawings and other documents forming
the specification.

Design drawings : For steel structures design drawings are:

• Fully dimensioned drawings prepared by the Structural Engineer,
showing all members with their size, material grade, special
connections, combination of forces to be developed in member
connections, any cambers and eccentricities and any other
information required by the Steelwork Contractor for the design of
the connections and completion of the Construction drawings.

For concrete structures design drawings are:

• Fully dimensioned drawings prepared by the Structural Engineer,
showing all members with their size, concrete grade and
reinforcement layout and any other information required for
construction.

Owner : During the planning and design phase of the life cycle and the
construction and commissioning phase, the Owner will be
represented by the Owner’s Team, i.e. the project director or project
manager.
During the use and maintenance phase of the life cycle, the repair
and modification phase and the decommissioning and demolition
phase, the Owner will be represented by the site general manager or
the Company Site Engineer.

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Additional definitions

The additional definitions listed below have specific relevance to terms as they are used in this
guideline.

Design audit : The process required to provide assurance that a design has the
necessary integrity. The design audit should be conducted by a
Structural auditor.

Draftsperson : The Competent person preparing drawings to the Structural

Engineer’s requirements

Fabrication drawings : Drawings, usually prepared by the steelwork Contractor, that show
all the necessary information and detail required to fabricate
structural steelwork.

Project Engineer : The Competent Project Engineer employed by and representing an

Anglo American Business Unit on any project for new structures,
modifications or repairs

Registered person : A person registered with the relevant engineering authority in terms
of appropriate national legislation governing the practice of
structural engineering (see Appendix: Appropriate registration for
structural engineers)

Repair : Repair of any structure means reinstatement in full compliance with

approved Design drawings. Where this cannot be done for any
reason (reasons may include such considerations as: steel or
aluminium sections are no longer available and others must
substitute; there is insufficient time to allow for proper curing of
concrete; changes are desired to improve access; or others) the
work must be treated as a modification.

SIMM : Structural Inspection and Maintenance Management. SIMM is a

formalised system of inspection and monitoring of structures,
recording and reporting of structural condition and scheduling of
structural maintenance.

Structural auditor : Structural Engineer appointed by the Owner to conduct a design

audit. The Structural auditor may be the project Structural
Engineer, but the design audit should not be carried out by the
same Competent person who carried out the design.

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Structural failure : An event arising from the inability of a structure to fulfil its intended
function. This includes:
• Collapse, or partial collapse, of a structure due to its inability to
support the loads imposed on it
• Forced or unplanned cessation of use of a structure because of
fears regarding its safety
• Settlement of foundations to the extent that the structure is not
functional, i.e. equipment mounted on the structure cannot
operate, pipes are ruptured, electrical cables are torn, etc
• Deflection of a structure to the extent that the structure is not
functional

Supplier : The company supplying equipment (e.g. cranes, stackers and re-
claimers) or ancillary items (e.g. guardrails, flooring and cladding).

User : Company enjoying the beneficial use of a structure; note that the
User can also be the Owner.

4 PLANNING AND DESIGN

Mandated appointments

The following work, related to structures, shall only be performed or managed by a competent
person in that field:

• Design, construction and commissioning of structures

• Structural inspections
• Significant structural modifications or repairs
• Operation and Maintenance of structures
• Demolition or decommissioning of structures

The responsibility for the Structural Integrity Control Plan shall be assigned to a senior manager
on the operational site.

The intent of this clause is to ensure that all parties involved with the Site structures, whether at
the planning and design stage, construction and commissioning stage, operation and
maintenance stage, repair and modification stage, or decommissioning and demolition stage,
have a clear understanding of what role they fulfil, what is expected of them, and to whom they
are accountable.

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Projects

Most projects include some structural engineering work in the scope. This standard, AA TS 108
001, is intended to cover the scope of work and appointment of the Structural Engineer
responsible for the project structural engineering work and accountable to ensure its integrity.
However, it is likely that from time to time the Owner’s Team will require structural engineering
advice, design reviews or other input which relates to the project but which either falls outside
the Structural Engineer’s scope of work, or where for some reason it is undesirable to have it
done by the Structural Engineer. The Anglo American project front end loading requirements
also imply the involvement of a Structural Engineer at early project stages before a Structural
Engineer would normally have been appointed.

Where the Anglo American Owner’s Team includes a Structural Engineer it is appropriate that
this person either provides the required input or arranges to obtain it from a suitable source.
Where the Anglo American Owner’s Team does not include a Structural Engineer the most
appropriate involvement of a Structural Engineer depends on factors such as the extent of
partnership or collaboration in the project execution model adopted. The involvement of an
Owner’s team Structural Engineer is also dependant if there is a requirement for specialist
knowledge of local site conditions or particular types of process equipment and the need to avoid
situations in which input may be compromised by conflicts of interest, etc. Examples of possible
structural engineering requirements and the recommended course of action include, but are not
limited to, the following:

• Design reviews required during feasibility study or project execution. A Structural

Engineer (preferably independent of the appointed project Structural Engineer) should
be appointed specifically for this task, and should be accountable directly to the
Owner’s Team.
• In order to close out the design review process, the Company Site Engineer and the
Process Manager at the mine should review the Design drawings for all proposed
structures to confirm that appropriate functionality and operability have been
achieved. The Company Site Engineer and the Process Manager should sign all
Design drawings.
• Risk assessment and load definition during early project stages. A Structural
Engineer with good knowledge of site conditions (ground conditions, seismic activity,
weather conditions, etc) should be appointed to work with the Owner’s Team.
• Determination of appropriate national or international standards and specifications. A
Structural Engineer with good knowledge of local requirements should be appointed to
work with the Owner’s Team. Where any doubt exists or there is conflict between
different requirements, the matter should be resolved by the Head of Engineering
Standards, Engineering Standards and Governance.
• Reviewing competence of proposed Structural Engineers or Contractors. This task
should be done by Structural Engineers employed within the Anglo American
corporate office. Assistance should be sought from the Lead Equipment Integrity,
AS&R.
• The Structural Engineer should not be allowed to devolve any responsibilities to
another party. It is important that the same Structural Engineer who does the design
should also do Site inspections and the final certification of structural work.

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Operations

Safe and robust structures require full allocation of responsibilities for structural inspections,
scheduling repair work, dealing with modifications, etc.

Appointment of a Competent Structural Engineer

A Competent Structural Engineer shall be appointed to perform structural inspections as

required by this standard.

A Competent Structural Engineer shall be appointed for structural work on all Significant
structures and all Significant modifications. The brief shall include at least Design, approval of
Design drawings, review of Construction drawings, review of construction progress, inspection
and certification of the completed structure, and acceptance of legal responsibility for the Design.

The Owner must ensure that the Structural Engineer is competent, and suitably qualified and
experienced in the design of the particular structures envisaged for the project. Where any
doubt exists, the appointment should be discussed with the Head of Engineering Standards,
Engineering Standards and Governance.

The Owner must require that the Structural Engineer employs Registered Persons who have the
required expertise and experience to do the job properly and professionally and accept legal
responsibility for the design. The structural design responsibility for any particular project should
not be overly fragmented and the Owner should endeavour to avoid the appointment of different
Structural Engineers for the same project. Appendix: Appropriate registration for structural
engineers, lists some structural engineering registration categories that can be used to establish
competence.

Appointment of a Competent Contractor for construction

A Competent Contractor shall be appointed for all construction and all modification or repair
work. Where site personnel are used for repair work, they shall be Competent in that particular
type of work.

Where the appointment of a Contractor is made by an EPCM Contractor, the Owner should
approve the appointment. Where necessary, the Structural Engineer should assist the Owner
with the appointment of a Contractor or Site personnel to execute the structural modifications or
repair requirements. In particular, where the project requirements include any type of specialist
construction work, the Structural Engineer should notify the Owner of this fact and ensure that
the person appointed to execute the work has the necessary skills and experience.

Experience has shown that some Contractors may not have the necessary competence to
undertake construction work safely. This has resulted in structural failures at various Sites, as
shown in the examples below.

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Incorrect bolt grades were Poor fabrication accuracy A design done for budget
used, and some bolts were not meant that bolts did not share purposes was used without the
installed applied loads equally Structural Engineer’s
knowledge, and smaller
member sizes were substituted

Figure 1: Typical Structural Failures Related to Construction

Other specific problems have included:

• Construction specifications are either not provided by the Owner, inappropriate

construction specifications are provided, or the Contractor does not comply with the
construction specifications
• Unauthorised modifications are made to structures by Contractors who are not aware
of the requirements of AA TS 108 001
• Verification of compliance with the design is not done by the Structural Engineer
during construction
• The Structural Engineer is not asked to review fabrication drawings

Appointment of a Competent Contractor for demolition

A Competent demolition Contractor shall be appointed for all demolition work.

A Demolition Contractor must be appointed, in writing, to demolish the structures included in

each individual project. It must be ensured that the Demolition Contractor is competent and
suitably qualified and experienced in the demolition of the particular structures envisaged for the
demolition project.

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Design and modifications

Structural integrity control plan

A formal Structural Integrity Control Plan (ref: Structural Integrity Guideline) incorporating all
aspects of this standard, as well as identifying the individuals responsible for implementation
shall be developed for each operational site, by a team of Competent Persons, and approved
by the General Manager.

A formal Structural Integrity Control Plan incorporating all aspects of this standard, as well as
identifying the individuals responsible for implementation shall be developed by a team of
Competent persons and approved by the general manager responsible for the site. The
responsibility for the Structural Integrity Control Plan shall be clearly assigned to a senior
manager on the site.

The intent of the Structural Integrity Control Plan is to ensure that appropriate people have been
assigned in writing the necessary tasks to mitigate identified risks associated with Site
structures. The main structural risks are identified together with the full Site risk assessment and
incorporated into the Site Baseline Risk Assessment. The Structural Integrity Control Plan
therefore does not re-assess the risks, but primarily defines the responsibilities for ensuring that
safe structures are provided and remain safe to use.

Some aspects of the Structural Integrity Control Plan require specific competence in structural
engineering, competence in scheduling, competence in execution of structural maintenance and
others. Ensuring that the responsible people have the required competencies may require
outsourcing certain tasks, but in this case a member of the Site management team should be
allocated the responsibility of ensuring full communication with the outsource partner.

The Structural Integrity Control Plan should thus be based on formal assignment of the
necessary responsibilities to the appropriate people. A sample list of responsibilities for the
operation and maintenance phase is provided in the Appendices to this guideline These
Appendices could be used as proformas for developing the Structural Integrity Control Plan, but
Sites have to ensure that all the structural engineering functions are covered in their specific
structural integrity control plan.

The Structural Integrity Control Plan should include at least the following information:

• The name of the Business Unit, Site and area or project covered by the plan
• A brief policy statement confirming that Design, structural and construction work will
be done in compliance with this standard
• A list of relevant standards, specifications, best practice guidelines, and procedures

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• The name and contact details for the Owner’s Team representative or Company Site
Engineer
• The name and contact details of the Structural Engineer
• Assignment of specific responsibilities to specific people in terms of this standard
• Names and signatures of people responsible for approving the plan

The appropriate senior manager for the Site, who is required to prepare, approve and enforce
the Structural Integrity Control Plan will usually be the following:

• The Owner’s Team Project Manager or Structural Engineer for the planning and
design phase and the construction and commissioning phase of the project life cycle
• The Company Site Engineer with the assistance of a Structural Engineer for the use
and maintenance phase, the repair and modification phase, and the decommissioning
and demolition phase of the project life cycle

Supply a clear structural project brief

A clear project scope and design criteria shall be supplied for all new structures, modifications
or repairs to existing structures, and demolition. The design criteria shall incorporate all local
normative codes, standards and legislation.

The intent of this clause is to ensure that the Owner communicates clearly and in writing what is
required for the project.

Responsibility

The Owner is responsible for preparation of the project brief. The Owner should ensure that the
Structural Engineer has opportunity and time to review the project brief to ensure that the
requirements and the loads defined are realistic and complete. Where any uncertainty exists
this shall be clarified with the Owner before commencement of any design work.

Performance requirements

Any specific performance requirements should form part of the project brief, and be clearly and
specifically defined. These may include any of the following (listed alphabetically, not in any
order of importance or project timing) or other requirements:

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• Accessibility: The Owner’s Team should define where access is required for
maintenance, clearing of spillage, inspections, removal and replacement of
equipment, or for any other purposes.
• Aesthetics: In mining projects the visual appeal of structures is often not an important
consideration, but it may require attention in some instances.
• Buildability or constructability
• Commissioning tests: This may include ambient vibration tests, load tests, or others.
These tests may be specified to confirm the adequacy of the structural design.
• Durability: This term is commonly applied to concrete structures, to quantify their
resistance to time based deterioration. Durability of concrete is implied in concrete
mix specifications and specific construction requirements, and is measured by
quantities such as oxygen permeability, water absorption and chloride conductivity.
• Economy and whole life cost
• Embodied energy
• Fire performance: This should consider any specific national requirements for fire
resistance times and fire protection. It should also assess the possibility of toxic
gases being drawn into underground mines through air intakes. In particular, care
should be taken to ensure that no toxic gases will be released during a fire in any
mine shaft.
• Maintainability or repairability
• Operability: Many structures are static, and are not “operated”. However, a range of
structures including luffing conveyor gantries over stockpiles, stackers, shiploaders
and the like, are “operated”. There may be operability requirements that should be
considered for these structures
• Reliability
• Robustness: This is a measure of the resistance the structure has against abuse or
accidental loading, as well as its resistance to disproportionate collapse.
• Safety: All structures should be designed using limit states design principles to ensure
safety against collapse.
• Serviceability: This may include vibration limits, maximum acceptable structural
deflections or foundation settlement.
• Sustainability: This may include issues such as the use of local, unskilled labour, the
use of recycled or recyclable materials, etc

Brief for new projects

The project brief should include at least the following:

• Drawings showing the Site layout

• Accurate suppliers drawing and information giving all equipment dimensions and
loads

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• Performance requirements
• Geotechnical report
• Any other information that may be necessary to fully define the project requirements

Brief for repair or modification

Modifications and repair may be significantly more complex than new projects, because of the
requirement to tie into existing structures and other facilities. The Owner should provide a
comprehensive brief to the Structural Engineer, or specification, describing exactly what is
necessary and what constraints must be heeded. The brief should include at least, but not be
limited to, the following:

• A description of the existing structures, including design drawings

• A description of new structures or changes to existing structures
• Duty requirements for the existing and new structures
• Design life of structures
• All floor loading and equipment loading requirements
• All specific design criteria
• All relevant information, drawings and documentation required to carry out the design.
This should include the Design Drawings for the existing structures
• Geotechnical report providing at least the safe bearing pressures and foundation
depths
• Drawings showing all buried services and old foundations

The Structural Engineer should study the project brief, to ensure that the requirements are clear
and concise. Any discrepancies, contradictions or other problems should immediately be
referred to the User for clarification.

Brief for demolition

The Demolition contractor should be provided with a project brief which should include at least
the following:

• A description of the structures to be demolished

• Important design features of the structures, particularly where significant energy is
locked into the structure such as pre-tensioned or post-tensioned concrete
• Any specific demolition criteria or requirements
• All relevant information, drawings and documentation required to carry out the
demolition

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Design quality assurance

A geotechnical report shall be provided by the Owner prior to any detail Design and such designs
shall take all aspects of the geotechnical report in consideration. The geotechnical report shall
be prepared by a registered geotechnical engineer (registered with the local authority) on the
basis of appropriate test work.

The appointed structural engineer shall accept full legal responsibility for the design.

Design quality assurance and auditing shall be done in compliance with critical control
monitoring requirements for the Design and Engineering Management Plan.

Design calculations shall be retained by the Structural Engineer for a minimum period of 10
years from the date of commissioning. A copy of the calculations shall be provided to the Owner,
who shall retain them for as long as the structure is in use.

All structural calculations shall be thoroughly checked by the person conducting the Design. In
addition, all structural calculations shall be reviewed for accuracy and approved by the Structural
Engineer or the responsible registered person employed by the Structural Engineer. Approval
is indicated by full signature and registration number on the front page of design calculations
and initials on all following pages.

Where design calculations are not available for existing structures, they must be generated as
soon as Significant Modifications are made to Significant Structures.

Appropriate structural design standards and construction standards shall be included in tender
and project specifications. The Site maintenance program and schedules shall be in accordance
with appropriate standards, specifications and guidelines.

The intent of this clause is to ensure that the Owner communicates clearly what standards,
specifications and other requirements must be used for the structural design of the project.

Owner to specify standards and specifications

The appropriate design standards and specifications to be used on every project must be
specified by the Owner who must ensure that the Structural Engineer is in possession of these
documents. The appropriate Construction standards and specifications must be specified in the
contract documents. The Owner must ensure that the Structural Engineer is satisfied that these
specifications are compatible with the design philosophy. Anglo American requires that all
structural design utilises limit states (also known as LRFD – Load and Resistance Factor
Design) standards. When properly used, these standards provide robust and consistent margins
of safety as well as input from the most recent research using current materials. Some
designers still prefer to use the much older “allowable stress” design standards. These do not
provide a consistent margin of safety, nor have they been updated for more than twenty years,
so they are based on very old research results.

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It should be noted that most of the structural failures and problems experienced to date in Anglo
American could have been avoided if appropriate design standards and specifications had been
specified in the first instance and had been complied with in the second instance.

The use of AA TS 108 001 together with this guideline must always be specified by the Owner.

Where appropriate, the Owner should also bring to the attention of the Structural Engineer and
the project team any applicable Anglo American Best Practice Guidelines including, where
appropriate, Guidelines for the Vibration Design of Structures and Shaft Station Stopping Device
Guidelines.

The Structural Engineer should interact with the Owner to ensure that the construction
specifications issued by the Owner are compatible with the design.

The Contractor should review the construction standards specified and should immediately notify
the party who appointed the Contractor (the Owner, the Structural Engineer, or the EPCM
Contractor) of discrepancies or uncertainties regarding the standards.

Use of Anglo American, international and national standards and specifications

The Anglo American design and construction specifications listed in Appendix: Reference
documents, should generally be used unless there is good and valid reason to use alternative
documents. These specifications are based on the latest national and international design
standards, and contain supplementary rules and requirements. Any proposed deviations from
these specifications or standards should be discussed with Lead Equipment Integrity (AS&R)
prior to proceeding.

For structures not covered by the Anglo American specifications listed in Appendix Reference
documents, the Lead Equipment Integrity (AS&R) should be requested to either:

• Adapt an existing Anglo American specification by specifying all the required

variations, additions and supplementary rules required in order to make the
Specification applicable
• Specify an appropriate international standard to be used and advise on any variations
and additions to be specified
• Compile a new Anglo American specification for the particular application

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Should the Owner not provide the Structural Engineer with the relevant specifications, the
Structural Engineer should proceed as follows:

• For structures designed for construction in South Africa, the Anglo American design
specifications listed in Appendix: Reference documents, should be used. These
specifications can be obtained from Lead Equipment Integrity (AS&R)
• For structures not covered by these Specifications, the Anglo American Lead
Equipment Integrity (AS&R) must be contacted for advice.

Should the Owner not provide the Contractor with the relevant specifications, the Contractor
should proceed as follows:

• For structures to be constructed in South Africa, the Anglo American construction

specifications listed in Appendix: Reference documents, should be used. These
specifications can be obtained from Anglo American Lead Equipment Integrity (AS&R)
• For structures not covered by these Specifications, the Anglo American Lead
Equipment Integrity (AS&R) should be contacted for advice.

Anglo Fatal Risk Standards

The three Anglo Fatal Risk Standards that are always applicable to construction, structural
repairs and modifications of structures are, Transportation Standard, Working at Heights
Standard and, Lifting Operations Standard. Other Anglo Fatal Risk Standards may also be
applicable to specific construction sites, and there may be specific instances where other
standards will have an influence on structural design as well. Refer to these documents and the
associated guidelines for further information. The Owner or the User should ensure that the
Contractor has access to copies of all of the Anglo Fatal Risk Standards. In addition, steps
should be taken to ensure that the Contractor understands and applies the Anglo Fatal Risk
Standards during construction.

The Contractor should comply with all Anglo Fatal Risk Standards. Some specific comments
regarding two Anglo Fatal Risk Standards are made, to highlight common problems.

Working at Heights Standard

Appropriate anchor points or lifelines are often not provided so lanyards are attached to
inadequate supports.

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Lifting Operations Standard

Whenever the lifting of heavy loads is contemplated, a detailed and accurate rigging
method statement and risk assessment should be compiled by persons competent to do
so, to ensure all hazards and risks are identified and that such risks are eliminated or
reduced to acceptable levels. The rigging method statement should be reviewed as
required by the Lifting Operations Standard. Most lifting difficulties are encountered
where lifts were not properly planned, or were not executed in accordance with the
lifting plan because the wrong people prepared the plan.

Slinging or lifting of loads from lifting tackle attached to any structural component is only
allowed where a slinging or lifting point (as well as the maximum load to be applied at
that point) is clearly identified on the Design Drawings. The SWL should be clearly
marked on, or adjacent to, the lifting point. Many instances of structural damage arise
from lifting gear attached to structures at inappropriate places.

Design and construction to be in accordance with standards and specifications

It is the Contractor’s responsibility to construct the structures in strict accordance with the
specifications and standards specified by the Owner. No deviation from these specifications is
allowed without the written approval of the Owner. All structures designed for Anglo American,
must comply with an approved Design Quality Plan as defined the project’s Design and
Engineering Management Plan. During FEL 1 (pre-feasibility study – PFS) and FEL 2 (definitive
feasibility study – DFS) stages, a Design Quality Plan must be issued for each structure and/or
building. As a guidance, Appendix K: Classification of Structures and Corresponding Design
Quality Plans, can be used to define minimum Quality Assurance requirements:

• Structures are defined, ranging from insignificant, minor, moderate, highly important
and major. The examples listed with these definitions need to be amended to suit the
specific project at hand;
• 13 separate design and inspection actions are defined. For specific projects the
Owner or Designer can add detail to these definitions and even add required actions
to the 13 design actions.
• However, the actions listed in Appendix: Activity matrix, are deemed as a minimum
requirement;
• 9 groups of affected and relevant parties or groups are identified;
• An action matrix illustrates the minimum actions required for each type of structure.
The Owner or Designer can elaborate and add to these required actions but the
actions listed for each type of structure are deemed as a minimum and
• The amended or accepted definition, examples and actions must be submitted to the
Principal Structural Engineer (or equivalent competent person) for the specific Anglo
American Business Unit. In the case where an Anglo American Business Unit does
not have a Principal Structural Engineer (or equivalent), then this can be escalated to
an appropriate competent person in Group or outsourced.

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Time allocation

Sufficient structural design time shall be allocated in the project schedule. This shall include time
for design calculations and design review, preparation and approval of design drawings and review
of construction drawings.

The intent of this clause is to ensure that the structural design is not compromised by being done
too quickly in order to meet unreasonable project schedule demands. Many structural failures
can be traced back to insufficient time for design as a partial root cause.

Every structural design must be properly documented, reviewed and approved by the Structural
Engineer. The design must then be checked or audited as necessary. This is a time-consuming
process for which sufficient time must be allowed in the project schedule.

Anglo American has experience of several examples where structural problems arose because
of mistakes due to excessive time pressure and omission of critical reviews of drawings. It is also
important that sufficient time should be allowed for performing inspections, maintenance and
repair during the operational phase. In several instances, failures have been attributed to lack of
maintenance due to inadequate time allocation because of production pressures.

Geotechnical report and existing drawings

A geotechnical report shall be provided by the Owner prior to any Design work being done. The
geotechnical report shall be prepared by a geotechnical engineer on the basis of test work
appropriate to the site.

The Structural Engineer shall review the geotechnical report and advise the Owner of any
additional information that may be required.

Where new project work or modifications are done in proximity to existing structures, buried
services, or overhead services, as-built drawings showing the location and height or depth of
these structures or services shall be provided by the Owner.

A good geotechnical report is crucial to the proper design of structural foundations. This applies
whether structures are founded on virgin ground or on engineered fill. Anglo American has had
several instances of structural failures where structures were founded on fill material.

Experience shows that structures such as conveyor system transfer towers located on waste
dumps and primary tips which carry heavy trucks on deep fills are particularly vulnerable to
settlement damage.

Correct geotechnical characterisation of a Site is also crucial to seismic analysis and design as
well as analysis and design of foundations for heavy machinery.

The geotechnical report should include at least the following information:

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• Site plan showing the location of all test holes and other tests
• Test hole logs and all other test results
• Foundation recommendations
• Prediction of short term and long term settlements and differential settlement potential
• Allowable bearing pressures
• Procedure for backfilling around buried foundations
• Lateral pressures developed behind retaining walls and buried foundations
• Presence of dolomite or other difficult soil conditions
• Soil categorisation for seismic design where appropriate
• Other information the Structural Engineer should be aware of
• Signature indicating approval of the Geotechnical Engineer

Design calculations

Formal calculations shall be prepared for all structures. Calculations shall be recorded on
calculation sheets in a manner that shall be logical, easy to follow and in such a way that they
can be easily audited.

Calculations shall be retained by the Structural Engineer for a minimum period of 10 years from
the date of commissioning. A copy of the calculations shall be provided to the Owner, who shall
retain them for as long as the structure is in use.

All structural calculations shall be thoroughly checked by the person conducting the Design. In
addition, all structural calculations shall be reviewed for accuracy and approved by the Structural
Engineer or the responsible registered person employed by the Structural Engineer.

Approval is indicated by full signature and registration number on the front page of design
calculations and initials on all following pages.

It is submitted that design calculations are not available for all existing structures on all sites at
present. These missing design calculations must be replaced and generated as soon as
significant modifications are made to significant structures.

The intent of this clause is to ensure that design calculations are well laid out and carefully done
and that they are available to operations.

The experience of Anglo American has been that well laid out design calculations with properly
listed and recorded inputs generally result in a well executed design which is safe and functional.
Well laid out design calculations also provide the only good basis for auditing of the calculations.

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The availability of design calculations on site enhances safety when process changes or
maintenance require supporting heavy loads on elevated floors and when design constraints
have demanded the use of design loads that are lower than would normally be expected.

Calculations for existing structures

This clause is not intended to require that new design calculations must immediately be prepared
for all existing structures. The recommended course of action is as follows:

• Where local legislation requires that design calculations are available, then they must
be obtained.
• For all new structures (i.e. structures commissioned during or after 2011) a set of
design calculations must be obtained as part of the project documentation.
• For all structures commissioned in the last ten years a set of design calculations
should be requested from the Structural Engineer, who is under legal obligation to
retain the design calculations for ten years.
• Where local legislation requires that design calculations are available, then they must
be obtained.
• A nominal fee may be requested by the Structural Engineer for this service. If the
Structural Engineer is not willing to provide the design calculations (which Anglo
cannot enforce because it was not a condition of the contract) then the Structural
Engineer should be requested to retain the design calculations for the life of the
structure.
• For all older structures (i.e. those commissioned during 2000 or earlier) design
calculations will be difficult, time-consuming and costly to obtain. For these structures
it will be necessary to obtain new calculations from a Structural Engineer to cover the
relevant portion of the structures whenever:
A risk assessment identifies the need for accurate information regarding the
strength, or load carrying capability, of the structure
Any significant structural modification is undertaken
Any process change replaces existing equipment with heavier equipment, or with
equipment having different operating frequencies
Any process change or maintenance activity requires supporting a distributed load
exceeding 3 kN/m2 or a concentrated load exceeding 5 kN on an elevated floor
Heavier or larger trucks travel over or within the structure

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Design information

The Structural Engineer should ensure that the following design documentation has been
provided by the Owner prior to commencing design:

• A description of the structures to be designed

• Duty requirements for the structures
• Design life of structures
• All floor loading and equipment loading requirements
• All emergency conditions and possible accidental loads
• All specific design criteria
• All relevant information, drawings and documentation required to carry out the design
• Geotechnical report providing at least the safe bearing pressures and foundation
depths.

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The Design calculations should include at least the following information:

• Design standards, specifications and related publications used in the design

• Sufficient information to uniquely identify the project
• Sufficient information to uniquely identify the Structural Engineer and the specific
person responsible for the calculations
• Date
• List of reference drawings, such as supplier’s equipment drawings, mechanical layout
drawings, process drawings
• List of relevant structural design drawings
• Design criteria adopted
• Clear statement of all accidental and emergency loads adopted, with reference to risk
assessment documents where applicable
• Clear statement of all equipment loads adopted, with reference to equipment supplier
information verified by the Owner’s Team or Company Site Engineer as appropriate
• Details of all computer software used, stating whether the software is used for
analysis only, or for analysis and design
• Geotechnical report reference number and summary of relevant geotechnical
information
• Clear statement of all assumptions made
• All component forces required to enable the fabricator to detail connections properly
• A clear schedule of all foundation loads, which shall be given un-factored, with a
statement on the schedule confirming this

Design to standards and specifications

It is the Structural Engineer’s responsibility to conduct the design in strict accordance with the
standards and specifications specified by the Owner. No deviation from these standards and
specifications is allowed without the written approval of the Owner, who in turn should obtain
written approval from Anglo American Engineering Standards and Governance.

Should the Owner not provide the Structural Engineer with the relevant standards and
specifications, the Structural Engineer should proceed as follows:

For structures covered by the AngloAmerican design specifications listed in Appendix:

Reference documents, these specifications should be used. These specifications can be
obtained from the Principal Civil and Structural Engineer at AngloAmerican Engineering
Standards and Governance. Where reference is made to South African standards, and the
proposed structures are intended for construction in another country, the equivalent national
standards or an ISO standard should be used. All structural design should be in accordance
with limit states (or load factor and resistance design) principles.

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For structures not covered by the Anglo American specifications listed in Appendix: Reference
documents, the Anglo American Lead Equipment Integrity (AS&R) should be contacted for
advice.

The Anglo American design specifications listed in Appendix A: Reference documents, primarily
define the relevant standards and specifications to be complied with, and provide supplementary
rules and additional requirements on the following aspects:

• Knowledge and experience of Structural Engineer

• Legal responsibility for design
• Quality management of design process
• Preparation and approval of design calculations
• Loads, load factors and load combinations to be used
• Specific design requirements and procedures to be used
• Specific materials to be used in the construction
• Specific construction details to be used or avoided
• Preparation of Design drawings
• Approval of Design drawings by registered person
• All Design drawings issued by the Structural Engineer for construction, shall be
approved by a Registered person, employed by the Structural Engineer
• Acceptance of Construction drawings by Registered person

Design calculations

Calculation sheet format

The following information should be shown on each calculation sheet:

• Name and address of engineer (company responsible for structural design).

• Name of client or owner.
• Project title.
• Title of structure or area under consideration.
• Name of person who carried out the calculations and date when calculations were
carried out.
• Name of person who reviewed the calculations and date when calculations were
reviewed.
• Project number or calculation file number.
• Calculation sheet number and revision number.

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References
The following references should be provided in the calculations:

• Reference numbers of all relevant drawings (e.g. supplier’s equipment drawings,

mechanical layout drawings or structural design drawings).
• Design criteria adopted.
• Design codes and specifications adopted.
• Geotechnical information.
• All assumptions made.

Headings
A logical system of main headings and sub-headings should be used to define, on each
calculation sheet, the particular area of the structure and the particular structural component(s)
under consideration. All headings should be underlined.

Example : Main heading : FLOOR BEAMS LEVEL 10.0

Sub-heading : BEAM B1

Information
For each structure or structural element, the following information should be shown on the
relevant calculation sheet(s):

• Identification: Each structure or structural element should be identified with an

individual component number. These component numbers should correspond with the
component numbers shown on a drawing or sketch, included in the calculations,
defining the general arrangement of the structure.
• Geometry: The geometry of each structure or structural element should be clearly
defined by way of a sketch or drawing, included in the calculations. This also applies
to simply supported beams.
• Loading: Each load and each load combination adopted in the design should be
defined in an unambiguous manner by way of clear descriptions or sketches. All
loading calculations should be shown, and assumed loads should be fully justified. It
should be clearly stated whether the indicated loads are nominal loads (unfactored
loads) or whether they are design loads (factored loads).
• Analysis: For manual analysis, all analysis calculations should be shown together with
the results of the analysis, e.g. bending moment, shear force or axial load diagrams,
or values. For computer analysis, the information in 4.1.4.4 and the following
information should be shown:
Data file name and location.

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Sketch defining structural computer model, e.g. node numbers, element

numbers, member releases, etc.
Summary of all computer input, e.g. load cases and load combinations
considered.
Summary of computer output providing all relevant analysis results, e.g.
bending moment, shear force or axial load diagrams, or values.
When diagrams or values are shown, it must always be stated whether these
values are nominal values (un-factored) or whether they are design values
(factored).

• Design calculations: If the design is done manually, all relevant manual calculations
should be shown. If computer software is used for the design, the relevant computer
calculations, proving the adequacy of the selected section, should be pasted onto
calculation sheets, or printed out on electronic calculation sheets.
Most of the commercially available computer design software does not perform all the
required code checks, and computer calculations thus need to be supplemented with
manual calculations (in most instances) in order to complete the design. Computer
design software should only be used where it can be shown that the software has
been verified by manual calculation, or by comparison with different software.
• All relevant load effects, e.g. bending, shear, punching shear, web bearing, web
crippling, axial load, deflection, etc. should be considered in the calculations and the
adequacy of the selected section to sustain all the relevant load effects, shall be
proven.
• Conclusion: For each structural element under consideration, a conclusion should
always be stated in the calculations. This might be in the form of a fully dimensioned
sketch for concrete structures, clearly showing the extent and quantity of reinforcing
required. For steel structures it could be for example:

A. USE 203 x 133 x 25 UB

B. 203 x 133 x 25 UB ADEQUATE

Units
The SI system of units should be used. The following units should be used:

Loads, load effects and forces : kN, kN/m or kN/m²

Moments : kNm

Stresses : MPa

Section properties : m- or mm-units (only m-units for dynamic

analysis)

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Deflections : mm

Linear dimensions : m or mm (only m for dynamic analysis)

Symbols
All symbols used in the calculations should be consistent with the symbols used in the particular
code of practice or standard being used.

Examples:

M, V, C and T : Nominal (un-factored) bending moment, shear force,

compressive force and tensile force.

Mu, Vu, Cu and Tu : Design (factored) bending moment, shear force,

compressive force or tensile force.

Mr, Vr, Cr and Tr : Design (factored) moment resistance, shear resistance,

compressive resistance or tensile resistance.

Terminology
Terminology used should be consistent with the relevant code of practice or standard used. The
terms permanent load and imposed load should be used, rather than dead load and live load.

Member forces required for connection design

All member forces, which are required for the design of end connections of steel components
should be defined in a format suitable for issuing to the steelwork contractor. Generally, the
following minimum information will be required:

• Floor layouts with the maximum combination of design (factored) beam end shears
(and axial loads and moments, where applicable) indicated at the beam ends.
• Bracing layouts with the maximum combination of design (factored) axial forces
indicated.
• A column schedule defining the maximum design (factored) axial force in each
segment of each column.

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Checking and reviewing of calculations

All structural calculations should be thoroughly checked by the person conducting the design. In
addition, all structural calculations should be reviewed for accuracy by the responsible registered
person.

The same requirements apply to design calculations prepared for new structures, repairs, and
modifications.

Computer analysis and design packages

Most structural analysis and design utilises computer-based analysis and automated design
processes. This is accomplished with software packages that may be commercially available, or
developed in-house.

The minimum requirements where any kind of software package is used are:

• The name and version number of the package should be recorded in design
calculations
• Sufficient hand calculations or other benchmarking calculations should be available to
demonstrate that the Structural Engineer is satisfied with the accuracy of the
computer analysis and design

Commercially Available Packages

Generally, these packages have been extensively checked for accuracy, so good results may be
expected. However, these packages may contain certain default values and different means of
specifying information, so that errors may arise from inexperienced use.

In the experience of Anglo American, common sources of errors are:

• The current practice of building a very comprehensive model, to facilitate take-off of

quantities. Often the model used for structural analysis includes hand rails, conveyor
stringers, stairs, etc. Unless the package used can eliminate specified elements from
the analysis, all of these non-structural elements will carry structural loads, thus giving
member forces that are significantly too low. This results in an unsafe design
• Designers overlook the space required for real structural members, because the
computer analysis assumes members are simple lines. This leads to draftspersons
moving members to obtain sufficient clearance, but in the process introducing
eccentricities or unintended loads such as bending and torque not recognised in the
analysis
• Loads are not recorded in written form, but are entered directly into the software
package. This frequently leads to errors (usually omission of loads or impact factors)
in load definition

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• Computer output is provided to the Contractor instead of well-prepared design

drawings

Packages Developed In-house

Many Structural Engineers make use of spreadsheets or other in-house software as design aids.
These design aids require proper validation, which should be properly documented, to ensure
that accurate results are obtained.

Approval of Design

Approval of a Design means that the design is complete, that the Design constitutes an
appropriately engineered solution, that the Design complies with this specification in terms of
structural strength, stability and serviceability, and that the Design is fit for the intended service.

Quality assurance and audit

The quality management of the design process shall comply with the requirements of ISO 9001.

The intent of this clause is to ensure that the work done by the Structural Engineer and
subsequently by the Contractor is of an acceptable quality, free of mistakes and defects.

Design to comply with standards and specifications

It is the Structural Engineer’s responsibility to carry out the design of new structures, repairs or
modifications of existing structures, or any other design work in strict compliance with the
specified standards and specifications. This design work should be done to a good standard,
and in a form that is auditable.

Where design of repairs or modifications to existing structures is required, and standards or

specifications have changed since the original design was carried out to the extent that the
original design no longer complies with current standards or specifications, this should be
brought to the attention of the User.

The User should give a ruling on how to proceed. Where there is any doubt, advice should be
sought from the Lead Equipment Integrity (AS&R).

Quality assurance requirements

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Design process audits should be conducted to ensure that the Structural Engineer has adequate
design quality assurance procedures in place and that designs are properly conducted,
documented, reviewed and approved.

The need for Design audits should be specified by the Owner, in consultation with Anglo
American Lead Equipment Integrity (AS&R) if necessary. Design audits are typically required
where any one or more of the following apply:

• Local legislation requires Design audits

• Risk assessment shows that failure of the structure has a high risk of injury to persons
or unacceptable production losses
• The project includes major structures which are complex. Complex structures are
those structures which support complex loads, have complex functional requirements,
or require complex structural forms. Typical complex loads include: earthquake loads;
vibration loads; fluctuating loads due to equipment such as shuttle conveyors, cranes
or rotating equipment; etc. Typical complex functional requirements include: moving
structures such as stackers and re-claimers; structures with tight limits on deflection;
etc. Typical complex structural forms include: structures with unusually long spans;
cable stayed structures; wind sensitive structures such as tall masts; etc.
• the project includes major structures which are novel (Novel structures are those
structures where the structural form, or the structural materials used are new, or have
not previously been used in a similar application)

A Structural auditor should be appointed, in writing. The Structural auditor should be competent
and suitably qualified and experienced in the design of the particular structures to be audited.
The extent of auditing to be carried out should be clearly specified, to the Structural Engineer
and in the appointment of the Structural auditor.

All audit findings should be communicated to all parties concerned and all recommendations
resulting from any audit should be fully implemented.

The Structural Engineer should ensure that adequate design quality assurance procedures are
in place, and that designs are properly conducted, documented, reviewed and approved. This
should include at least a check on all calculations by a Registered person employed by the
Structural Engineer, other than the person who prepares the design calculations.

The Owner should ensure that the necessary construction quality assurance procedures are in
place to ensure compliance with the relevant construction specifications.

Certification of completed construction

All new structures and repaired or modified structures shall be inspected and certified by the
Structural Engineer after completion of construction.

Following decommissioning and/or demolition the Company Site Engineer shall certify
completion of all work

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The intent of this clause is to “close the loop” by ensuring that the Structural Engineer inspects
and approves all structures as finally constructed.

The Structural Engineer is responsible for ensuring that the design intent has been correctly
translated into construction and the Structural Engineer should thus carry out sufficient
inspections, at the appropriate time, during construction to ensure that this is the case.

During any repair or modification work, the Structural Engineer should visit site sufficiently
frequently to be satisfied that work is performed in accordance with the design intent and to
acceptable quality. The Structural Engineer should conduct a final inspection of the completed
structure, or the completed repair or modification works prior to commissioning and issue a
certificate of completion to the Owner. The Contractor should notify the Structural Engineer of
completion of construction, or of completion of modification or repair, and should assist the
Structural Engineer in performing a final inspection. Certification of the completed structure, or
design verification, by the Structural Engineer should not be interpreted to imply that that the
construction complies with the relevant construction specifications, as this is the Contractor’s
responsibility. This will apply to at least the following:

• The Structural Engineer must of necessity accept material certificates as proof that
the correct material was used
• Similarly, except on large projects where the Structural Engineer employs a surveyor
on site, the Structural Engineer may have to accept rail alignment and building levels
and other survey information on the basis of records provided by the Contractor’s
surveyor
• Where boxed members are used, concrete has been cast around steel reinforcing or
rock anchors, or foundations have been backfilled, the Structural Engineer cannot
inspect all work, so will have to be guided by the Contractor’s inspection reports.
Where this is not acceptable, hold points should be specified to ensure that the
Structural Engineer is able to perform independent inspections

The Structural Engineer’s final inspection and certification of all structures should take place
prior to occupancy of the structures for any purpose whatsoever, whether occupancy is required
for following construction trades or for beneficial use of the buildings.

Temporary structures, structures of unknown specification/ compliance and Structures older than
25 years

Temporary works shall be properly designed, constructed, inspected, approved and

maintained.

Structures of unknown specification and compliance must be reviewed. The structural design
must be reviewed as environmental conditions change.

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All structures older than 25 year must undergo a detailed design review and condition
assessment.

Stock yard equipment must be fitted with control systems including protection and braking
systems.

Design and construction of temporary works

Temporary works shall be properly designed, constructed, inspected, approved and maintained.

The intent of this clause is to ensure that all temporary structures are fit for purpose and safe to
use. Experience shows that many structural failures, injuries and fatalities on construction sites
result from collapse of inadequate temporary structures, or removal of temporary support
structures too early.

A formal and documented process should be in place to specify the requirements for temporary
works as well as temporary protection around demolition works. As a minimum, the following
should be documented:

• Design strength calculations, done by, or under the supervision of, a Structural
Engineer
• Installation and inspection requirements
• Timing for installation and removal of temporary support
• Timing for installation and removal of temporary protection

No temporary works should be used for any purpose until they have been inspected and
approved safe for use by a Competent Person. Where scaffolding is used, its construction,
inspection and approval should comply in all respects with the requirements of AA GTS 7.

Drawings

Design drawings shall comply with the requirements of relevant national standards, and shall
contain all necessary design information and be approved by the Structural Engineer.

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Following completion of construction, a full set of “as-built” Design drawings shall be prepared
and approved by the Structural Engineer and submitted to the Owner. These shall be
retained by the Structural Engineer for at least 10 years from the date of commissioning. One
copy shall be provided to the Owner, who shall retain them for as long as the structure is in
use.

The Contractor’s project management procedures shall ensure that all construction is in full
compliance with the design drawings.

Formal project management procedures shall ensure that no fabrication or construction

commences before Design drawings have been issued for construction.

Construction to comply with Design drawings, standards and specifications

The Contractor’s project management procedures shall ensure that all construction is in full
compliance with the Design drawings. Formal project management procedures shall ensure that
no fabrication or construction commences before Design drawings have been issued for
construction.

The intent of this clause is to ensure that the Contractor complies with the Design drawings, thus
constructing in accordance with the Structural Engineer’s intentions.

Where construction or fabrication commences prior to issue of Design drawings for construction,
all work is done at risk. However, where the approved for construction Design drawings differ
from work that has been done, formal change control procedures may not identify this because it
is outside the normal requirements and experience shows that there is often undue pressure to
compromise in order to save re-work costs.

In the current global climate it may be necessary to introduce specific measures to ensure that
this requirement is achieved on projects where design and fabrication or construction is done in
different countries. Experience shows that different national standards, different expectations,
and different understanding of testing requirements, tolerances and pre-assembly may easily
lead to structural problems developing.

The Contractor should implement a quality control procedure to ensure that work is done in
accordance with the Design drawings and any Construction drawings, as well in compliance with
the specified standards.

During construction, repair or modification of structures, no changes should be made to

structures unless such changes are shown on approved Design drawings, or unless such
changes are approved, in writing, by the Structural Engineer. In the latter case, the Structural
Engineer must update the Design drawings and issue approved revised Design drawings within
30 days after giving written approval of the changes.

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At some Sites, a Contractor is permanently on Site for the purpose of carrying out structural
maintenance work. Where this is the case, the Contractor has the following responsibilities:

• Maintain the structures in strict accordance with specifications and standards as

agreed with the Owner. No deviation from these specifications should be allowed
without the written approval of the Owner
• Maintain the structures in strict compliance with approved Design drawings prepared
by the Structural Engineer. No changes are allowed unless these should be specified
on approved revised Design drawings
• Modify or repair the structures, where this is required, in strict accordance with
approved Design drawings prepared by the Structural Engineer. No deviations from
these drawings should be allowed unless these are specified on approved revised
Design drawings
• Where existing plant or structures preclude compliance with the approved design
drawings, the Contractor should immediately notify the Structural Engineer and the
Owner and should assist the Structural Engineer with assessing alternatives
• Implement a quality control procedure to ensure that work is done in accordance with
the specified standards

Ensure good constructability

Adequate steps shall be taken to ensure good constructability of the structures. The intent of this
clause is to ensure that it is realistic to expect that the work defined by the Design drawings can
be done safely and to the required quality.

A construction scheme should be prepared by the Contractor for all construction of new
structures or repair or modification of existing structures. The Structural Engineer should assist
the Contractor with preparation of this construction scheme.

The construction scheme should include a risk assessment of construction, plant and equipment
to be used on Site, and a specific procedure for accomplishing any unusual or complex
construction tasks. Both the Structural Engineer and the Contractor should sign the construction
scheme document.

Constructability should be specifically tabled for discussion at a meeting prior to commencement

of construction.

Design drawings

The intent of this clause is to ensure that Design drawings are properly done, and contain all
relevant design information, that they are approved to indicate that the Structural Engineer is
satisfied that they are correct, and that they are kept up to date as changes are made.

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The availability of Design drawings on site enhances safety when process changes or
maintenance require supporting heavy loads on elevated floors and when design constraints
have demanded the use of design loads that are lower than would normally be expected.

Design drawings for existing structures

This clause is not intended to require that new Design drawings must immediately be prepared for
all existing structures. The recommended course of action is as follows:

• Where local legislation requires that Design drawings are available (an example is box
fronts on underground mines in South Africa) then they must be obtained.
• For all new structures (i.e. structures commissioned during or after 2011) a set of
Design drawings should be obtained as part of the project documentation.
• For all older structures (i.e. those commissioned during 2000 or earlier) Design
drawings will be difficult, time-consuming and costly to obtain. For these structures it
will be necessary to obtain new Design drawings from a Structural Engineer to cover
the relevant portion of the structures whenever:
A risk assessment identifies the need for accurate information regarding the
strength, or load carrying capability, of the structure
Any significant structural modification is undertaken
Any process change replaces existing equipment with heavier equipment, or with
equipment having different operating frequencies
Any process changes or maintenance activities requiring supporting a distributed
load exceeding 3 kN/m2 or a concentrated load exceeding 5 kN on an elevated
floor
Heavier or larger trucks travel over or within the structure

Preparation of Design drawings

The Design drawings form the primary communication of the Structural Engineer’s intent to the
Owner and the Contractor. Clear Design drawings should be provided by the Structural
Engineer for every structure. No exceptions should be allowed.

It should be noted that preliminary structural layout drawings may form part of the project brief
provided by the Owner to the Structural Engineer. These drawings should not be regarded as
Design drawings. They may reflect inappropriate structural layout or sizes and thus require
substantial changes to obtain a good structural design. In order to avoid potential conflict arising
from this, it is strongly advised that the Structural Engineer must be involved as early as possible
in defining structural layout.

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The following information should be shown on the Design drawings:

• All information required by national or local legislation or standards
• The design standards used
• The design criteria for wind, seismicity, accidental conditions, crane supporting
structures, etc
• Imposed floor loads and equipment loads allowed in the design
• Steel grade, concrete grade or timber grade. Wherever the concrete grade is
specified it shall be made unambiguously clear whether the grade is a cube strength
or a cylinder strength
• Bolt property class and reinforcing bar grade
• Corrosion protection requirements and durability requirements, including minimum
concrete cover and timber coating
• Surface condition for faying surfaces in slip resistant bolt connections
• Construction specification to be applied (AA SPEC 114002 for steel and AA SPEC
114011 for concrete)
• Maximum ground bearing pressure used in the foundation design and geotechnical
report reference number
• Special joint or connection details
• Any special information to be borne in mind in construction, use or maintenance of the
structure
• Title
• Drawing number and revision number
• Date
• Status of drawing, e.g. “For Approval” or “Issued for Construction”

Construction to comply with Design drawings

It is the Contractor’s responsibility to construct the structures in strict accordance with approved
Design drawings prepared by the Structural Engineer. No modifications should be allowed
unless these are specified on revised and approved Design drawings.

Review of connection design details and fabrication drawings

All connection design details and fabrication drawings prepared by the steelwork contractor
should be reviewed by the responsible registered person referred to in Clause 4.2 to ensure that
the design has been interpreted correctly and that the intent of the design is met. For detailed
requirements in this regard refer to AA SPEC 114002.

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As-built Design drawings

Prior to final handover of structures to the Owner, all design drawings should be updated to
reflect the as-built structures. The Structural Engineer is responsible for revising all design
drawings to reflect the completed design, as built on site. A copy of all as-built drawings should
be provided to the Owner.

Approval of drawings

All Design drawings, whether for new structures or repair or modification of existing structures,
should be approved by the Structural Engineer.

Approval of Design drawings is indicated by a full signature on the relevant design drawings.
The signature block should include at least the name and registration number of the responsible
registered person and the name and address of the Structural Engineer

Approval of a Design drawing means that the drawing is complete, that the drawing conforms to
the Design and that the structural content of the drawing is correct. A signature on a Design
drawing confirms that both the Design and the Design drawing are approved.

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Construction Drawings

The intent of this clause is to ensure that where construction drawings are prepared they are in
full compliance with the Design drawings and thus with the Structural Engineer’s intentions.

Types of Construction drawings, various types of Construction drawings may be required for
different purposes. These include:

• Fabrication drawings. Fabrication drawings are always required for construction in

steel, timber and aluminium, as well as other materials where components are
fabricated or manufactured off-site for assembly on Site. Fabrication drawings show
exact cutting lengths and profiles, weld sizes, exact positions and diameters of bolts
holes, and any other information necessary to manufacture the components in the off-
site facility. All Fabrication drawings must be reviewed and accepted by a registered
person employed by the Structural Engineer as stipulated under the Structural
Engineer’s responsibilities.
• Temporary works drawings.
• Construction sequence drawings.
• Lifting drawings.
• Demolition sequence drawings. The Contractor must prepare drawings showing the
proposed demolition procedure and sequence, for review and approval by the Owner.
The demolition drawings should take cognizance of at least the following:
The Owner’s access and process requirements in the area
Possible reuse or recycling of any materials
Removal from Site of demolished materials

Responsibility for Construction drawings

A procedure for the submission and acceptance of Construction drawings should be agreed by
all parties concerned. Generally, the Contractor is responsible for preparation of Construction
drawings, and it is the Contractor’s responsibility to ensure that the Structural Engineer receives
these drawings for review and acceptance.

The Structural Engineer is responsible for the adequacy of all connection details used in a steel
or aluminium structure, even if those connection details are designed by the Contractor.

For this reason all Fabrication drawings prepared by the Contractor should be reviewed and
accepted, in writing, by the Structural Engineer before fabrication commences.

All connection design details and Construction drawings prepared by the Contractor, should be
reviewed by the Structural Engineer to ensure that the design has been interpreted correctly and
that the intent of the design is met.

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Maintenance and change control

Each operational site shall have a maintenance system that incorporates the following
structural maintenance requirements:

• Regular inspections and reporting by a competent person

• Ability to generate work requests and manage work related to structural
damage or repairs
• Short term (one year), medium term (five years) and long term (ten years),
maintenance requirements, accompanied by appropriate budgets and
resources
• Capturing of significant plant incidents where structures may have been
damaged, with the associated action plans
• Recording of all associated costs and resource requirements
• Condition monitoring to be specified where vibrations could result in
significant structural damage or failure.

Performance of regular maintenance and repair

A system for ensuring regular structural maintenance shall be in place. The system shall be
auditable and shall include at least allocation to a specific person of the responsibility to action all
findings from inspections, and capturing the full cost and downtime associated with all structural
maintenance and repair.

The intent of this Section is to ensure that structures remain safe and reliable throughout their
operational lives. Experience suggests that there are four primary areas in which problems
relating to maintenance and repair may arise. These are:

• There may be structural failures because important maintenance is neglected

• There may be structural failures because maintenance is not done appropriately
• The costs associated with structural maintenance and repair are not captured
• Production pressure does not allow adequate attention to be given to maintenance
work

Recording and actioning findings

It is important that following each structural inspection, all findings should be recorded and an
action item for each finding should be assigned to a specified person. This will be achieved best
by entering maintenance requirements into the Site maintenance system.

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Allow time for maintenance and repairs

It is important that Production Managers allow sufficient time for maintenance. The photograph
on the right hand side of Figure 2 shows a tank that ruptured and destroyed the adjacent tank at
the same time. This tank had been identified many months earlier as needing maintenance
because the plating was very thin, but Production Management had prevented shut down in
order that they could meet production targets.

Figure 2: Typical Structural Failures Related to Inadequate Maintenance

Use of competent people and specifications

When maintenance is done, it should be carried out by competent people, and should be done to
ensure compliance with the Design drawings. All repairs to Significant structures should be
carried out by a Competent Contractor.

At some Sites, a Contractor is permanently on Site for the purpose of carrying out structural
maintenance work. Where this is the case, the Contractor has the responsibility to maintain the
structures in strict accordance with specifications and standards as agreed with the Owner and
in compliance with the approved Design drawings prepared by the Structural Engineer. No
deviation from these specifications should be allowed without the written approval of the Owner.

The Anglo American construction specifications listed in Appendix, Reference documents, define
the relevant standards and specifications to be complied with in construction, and provide some
variations and additions to those national standards and specifications.

Please refer to the Anglo American Guidelines to Remedial Work for Structural Steel and
Concrete Repair Work.

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Change control procedures

A formal procedure for change control management complying with AA APW BPG 15 shall be
used to ensure comprehensive and accurate consideration and communication of changes
influencing the structures.

A significant proportion of structural failures are attributable to changes introduced in the design
phase, the construction phase or the operation phase which materially altered the original
specifications, with no due consideration of the direct or indirect impacts on the process,
equipment, people or systems, and little consideration being given to full communication of those
changes or consideration of the implications on the structures.

The intent of this clause is to ensure that changes are properly tracked and monitored, to ensure
that all relevant parties are made aware of them and all important implications are identified.

Typical changes to be considered

Examples of changes that might occur in the design and planning phase:

• Changes in process or project requirements

• Changes in construction legislation
• Altered Anglo American requirements
• Changes of key project personnel

Examples of changes that might occur in the construction and commissioning phase:

• Design changes
• New contractors
• Unexpected ground conditions
• Unexpected weather conditions

Examples of changes that might occur in the operation and maintenance phase:

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• Increases in production
• Changes in processes or process materials or equipment, or new processes
• Addition of equipment, such as fire suppression systems, which were not originally
included
• Changes in loading
• Inadequate repairs, or use of different member sizes or different structural layout for
repairs
• New contractors
• Altered storage facilities
• Changes in legislation or in-house standards
• Changes in key operations personnel

Examples of changes that might occur in the modifications and repair phase:

• Modification on adjacent work areas

• Modifications to standard work procedures and other procedures
• And temporary changes

Examples of changes that might occur in the decommissioning and demolition phase:

• Interdependence of structures
• Operating services running through or below the area

Responsibility for change control

The Owner should ensure that a change control procedure is implemented to document all
changes made by the Owner’s Team for any reason whatsoever and to confirm receipt by the
project team or Structural Engineer of the change notification. The formal process or system in
place should comprise not only physical changes (e.g. process parameters, equipment design)
but also organizational changes and other system changes that affect the interaction between
equipment and people.

As a minimum, the following should be documented:

Changes arising from modified project deliverables or requirements

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• Reason for change

• Specific change required
• Date of delivery of revised information or drawings to Structural Engineer
• Name and signature of person in receipt of revised information or drawings
• Process for follow-up on actions required

The Structural Engineer should ensure that adequate change control procedures are practiced.
The change control procedures should make provision for recording changes required by the
Owner or Project Engineer, and documenting the revision of design drawings, and transmission
of the revised design drawings to the Contractor.

Provision must also be made for organizational changes and other system changes that affect
the interaction between equipment and people.

As a minimum, the following should be documented:

Changes received from the Owner:

• Date of receipt of revised information or drawings
• Name and signature of person notified of receipt of revised information or drawings
• Action required for each change
• Process for follow-up on actions required

Design changes necessitated by re-design following Owner changes:

• Date of notification to Contractor that changes will be made
• Date of submission to Contractor of revised Design drawings

The Contractor should implement a formal change control procedure. As a minimum, the
following should be documented:

Changes on revised drawings received from the Structural Engineer:

• Date of receipt of revised drawings
• Name and signature of person notified of receipt of revised drawings
• Action required for each change
• Process for follow-up on actions required

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Changes necessitated by site conditions and approved by the Structural Engineer:

• Date of notification of change request to Structural Engineer
• Details of change requested
• Date of approval received from Structural Engineer

Risk assessment & procedures

A documented structural risk assessment covering all of the proposed structures shall be
completed for incorporation into the site baseline risk assessment.

Emergency Response Plan to include measures to make remnants of failed structures safe,
ensure containment and prevent knock-on effects.

Prevent access to all at risk structures.

At each operation, the Baseline Risk Assessment as well as the associated Structural Integrity
Control Plan, Early Response Procedure and the Emergency Response Plan shall be:

• Kept current and updated at intervals not exceeding three years considering
operational performance, actual or potential incidents, inspections and
reviews
• The adequacy shall be regularly verified by an independent competent person.
The verification cycle shall be determined by exposure but shall not exceed
three years

An Early Response Procedure shall be in place covering potential Moderate Structural Failures.
This procedure shall cover actions to be taken when a structure is suspected to be in a
dangerous condition. The Early Response Procedure shall include at least the following:

• Steps to be taken to report any suspected dangerous structures

• Persons to be notified, actions to be taken and inspections to be conducted
when a dangerous structure report is received

The intent of this section is to ensure that risk assessments have considered the hazards and
risks associated with structures, and that these are adequately incorporated into Site
documentation and procedures. The material below provides guidance in terms of the SRMP as
to what risks and mitigating measures should be considered.

A formal and comprehensive risk analysis should be conducted on the key structural failure
events identified, with input from specialists including Structural Engineers and other engineering
professionals.

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The intent of the risk assessment includes the following:

• Identification of all possible significant hazards to the structures during the different life
cycle phases. During demolition particular attention should be given to hazards
relating to fly material and the effects of blasting
• Identification of specific loss scenarios for all hazards to the structures
• Identification of the nature and magnitude of the identified hazards
• Assessment of risks considering conservative probabilities and reasoned worst case
position
• Identification of controls for unacceptable risks

The assessment of structural failure risk involves:

• Analysis of the energy stored in the structure, including any factors that could
potentially impact on the type and magnitude of the failure.
• Evaluation of the structural failure risk; the likelihood and consequence of the event
materialising, under the existing controls. A standardised risk matrix is used to
determine the risk rating.
• Risk assessment output. A structured document that will detail the location of risk
areas, the assessed structural failure risk, the existing controls and barriers in place to
mitigate the risk and suggestions for enhanced or additional controls or barriers.

Structures included

All structures identified as Significant structures should be included in the appropriate risk
assessments.

Risk assessment team

Some base line risk assessments err in being outsourced and not involving any Site personnel,
thus losing the benefit of hands-on Site experience. Others err in not involving any outside
parties, thus losing the benefit of a wider perspective and experience. The risk assessment
should be conducted by a multi-disciplinary team of competent persons including at least:

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• A representative of the Owner’s Team. This representative has a unique and specific
contribution to the risk assessment process, by virtue of having an intimate
understanding of the Owner’s requirements for the project
• A Structural Engineer. The Structural Engineer has a unique and specific contribution
to the risk assessment process, by virtue of having specialist knowledge of the
structures and of structural behaviour
• Representatives of the Site team. This will include operators, supervisors and
specialists covering all areas and processes, who should all have a high level of
practical understanding of the demands and hazards of the site operational
environment
• A facilitator

The risk assessment should be signed indicating the approval of all participating parties. The
initial structural risk assessment should then be incorporated into the site baseline risk
assessment. Other risk assessments should be recorded and circulated as necessary.

The Owner should inform all members of the team when and where the risk assessment(s) will
take place, and ensure attendance of the appropriate people.

Requirement for update of risk assessment

The risk assessment should be updated when any one or more of the following occur:

• Prior to commencement of Design, to consider emergency and accidental load

conditions to which the structures may be subjected
• When any construction, repair or modification activity requires it
• When any change occurs during commissioning, to assess the implications on the
structures of any changes made during commissioning
• Before decommissioning of any structure takes place, whether the facility is to be held
idle for future use or be demolished

Understand the hazard

The primary hazard related to structural failure involves the existence of significant quantities of
stored energy in the mass of building components, equipment and process materials, all of
which may be supported at elevated locations.

A range of secondary hazards involves electricity, fire, noxious gases, pressure, confined spaces
or others, because structural failure can rupture pressure vessels or gas lines, block escape
routes and destroy the protection against many other hazards.

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A formal and documented process shall be in place to identify structures storing high levels of
energy, or supporting any hazardous materials, thus with the potential to cause or sustain a
major incident.

Identify the unwanted events

Identify the most significant possible failure events in order to conduct a more detailed analysis
and assessment. The unwanted events (structural failures) may occur at any of the different
stages during the full life cycle of all structures and may arise as the result of different root
causes. Several of these may be present during more than one stage in the life cycle of
structures.

The main causes leading to these structural failures have been identified as listed in Appendix:
Typical structural failures causal factors and controls. These are summarised here.

• Design Related Structural Failures

Structural design is sometimes entrusted to people who do not have the necessary
knowledge and experience required for the design of mining structures
It may be necessary or desirable for some reason to adopt an unusual or novel
structural form which is not well understood by all Structural Engineers
Structural design is sometimes entrusted to people who do not allocate sufficient time
to prepare an adequate design of mining structures
Design specifications are not provided by the Owner, inappropriate design
specifications are provided, or the Structural Engineer does not comply with the
design specifications
Poor design documentation; calculations are not properly recorded, calculations are
not reviewed, drawings are not properly checked, drawings are not approved etc.

Figure 3: Typical Structural Failures Related to Design

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• Construction Related Structural Failures

Construction specifications are either not provided by the Owner, inappropriate

construction specifications are provided, or the Contractor does not comply with the
construction specifications
Unauthorised modifications are made to structures
Design verification is not done by the Structural Engineer during construction
Ground or foundation conditions are not adequately understood or excavations are
made too close to foundations

Figure 4: Typical Structural Failures Related to Construction

• Maintenance Related Structural Failures

Structures are not regularly inspected by competent persons and are allowed to
deteriorate
Inappropriate repairs are made to structures
Unauthorised or inappropriate modifications are made to structures

Figure 5: Typical Structural Failures Related to Maintenance

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• Abuse Related Structural Failures

Structures are overloaded by spillage, stored materials, use of tuggers etc

Over-filling stockpiles so that conveyor gantry trestles are engulfed or damaged by
bulldozers
Impact by vehicles

Figure 6: Typical Structural Failures Related to Abuse

• Extreme Event Related Structural Failures

Hurricane
Earthquake
Fire
Flood
Landslide or subsidence
Explosion
Impact of airborne object
Sabotage or military action

Risks associated with this last category are not specifically included in the scope of AA TS
108 001. However, several of them, for example hurricanes and earthquakes, are covered by
the structural loading specifications applicable to different geographical areas. These hazards
are mitigated by ensuring good structural design, as stipulated in AA TS 108 001. Others, for
example fire, flooding and explosion, are dealt with by various Anglo Major Risk Standards.
However, should there be reason for concern regarding any of these extreme events, the Project
Engineer or Company Site Engineer should discuss this with the Structural Engineer and an
appropriate course of action should be agreed.

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Analyse and evaluate the risks

A large number of structural failures take place during commissioning, when the structures first
carry their full process design loads. The Owner shall thus ensure that commissioning is
comprehensively covered in the risk assessment, or that a specific risk assessment is
undertaken for commissioning. The risk assessment should consider risks such as:

• Failure of the base cone of containment structures while they are first filled
• Bursting of high pressure pipelines at or near bends
• Motion of vibrating machinery, such as feeders and vibratory screens

Modification and repair often involves construction activities that are different from the norm for
various reasons. Some of these reasons are:

• Existing equipment must be supported when any structural members have to be

removed
• Site fit-up is probably required to a much greater extent than on new structures
• New concrete cannot be cast integrally with old concrete

• There is interaction between production activities and construction activities

There are also various risks that will not be present on new construction, some of which relate to
the construction workers and others of which relate to production workers and plant in the vicinity
of the construction work site. These risks are enhanced because construction workers are alert
to hazards on a construction site, but not to those in a production plant and conversely
production workers are alert to hazards in a production environment but not to those on a
construction site. The risks include but are not limited to:

• Electrocution of construction workers from cutting into live cables

• Asphyxiation or poisoning of construction workers from cutting into or breaking gas
pipelines
• Fall from heights of production workers where modifications leave openings in floors
• Impact of falling object on production workers inadvertently walking into the drop zone
of lifted loads

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Consider the Controls / Barriers

This process makes use of the hierarchy of controls to reduce the risk level to ALARP using the
most effective controls. The controls considered, in order of likely effectiveness are:

• Eliminate:

Actions can be taken to eliminate the hazard. Examples of this include:

Locating control room facilities on the ground instead of using an elevated platform

• Substitute or Minimise:

Different structural arrangements and materials can be used to minimize the stored
energy and/or the likelihood of failure. Examples of this include:

Using simpler structural forms reduces the likelihood of analysis errors being made

• Engineer:

Early redesign is frequently an option for the Structural Engineer to employ.

Examples of this include:

Columns located adjacent to a roadway with a high probability of impact damage can
be moved further away from the roadway
Tanks containing highly flammable liquids may have weak roof attachments so that an
explosion will blast upwards, and not outwards towards other structures

Protected Conveyor Trestles Unprotected Conveyor Trestles

(see barriers along roadway)

Figure 7: Structures alongside roadways

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• Separate:

Placing a physical barrier on the hazard by guarding or enclosing it. Examples of this
include:

A crash barrier may be placed around the columns to protect them from impacts
Barricades may be placed to prevent access to a structure that has been rendered
temporarily unsafe by impact or unexpected deterioration

• Administrate:

The introduction or improvement of procedures is an important control to reduce risk

(e.g. a regular inspection protocol). Some examples of this can be listed to illustrate.

The Site personnel tasked with frequent inspection of structures can be specifically
trained in what to look out for and how to report their observations consistently.
Alternatively, or in addition, a procedure for carrying out these structural inspections
and report forms with checklists can be prepared. In both cases the hazard of
structural deterioration related structural failure, due to a lack of inspections or
process problems, reduces.
Procedures defining the frequency and responsibility for cleaning of spillage and
checking housekeeping can be introduced or improved. This will reduce the likelihood
of abuse related structural failures due to overloading or incorrect storage of spares
and can reduce the occurrence of unseen corrosion.
A procedure for performing structural repairs or modifications, in which guidance is
given regarding what can be done in-house and what requires the approval of a
Structural Engineer, can be prepared. Application of a procedure of this nature will
reduce the likelihood of design or construction related structural failures due to no
design or non-compliance with specifications.

• Protect (PPE):

Protection is not regarded as a realistic or effective control against structural failure.

Periodic Updates of Risk Assessments

The Baseline Risk Assessment for Site structures should most realistically be conducted at the
same time as the whole Site Baseline Risk Assessment, because it forms a part of this exercise
and feeds into the same document.

Updates should also be conducted together with updates to the Site Baseline Risk Assessment.

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It is recommended that the procedure should make provision for having a Structural Engineer
involved in these updates.

Independent Verification

The Structural Integrity Control Plan, the Early Response Procedure and the Emergency
Response Plan should be reviewed and verified under any of the following conditions:

• At intervals of not more than 3 years, in compliance with AA GTS 1

• When any new structure is constructed, or any Significant modification is made to an
existing structure
• When changes made to any process require the addition of large pipes, changes of
density or pressure in tanks or vessels etc
• If changes are made in the management organisational arrangement
• After any incidents arising from structural failure, or causing damage which might lead
to structural failure

Learning to Avoid Repeats

The Anglo American principle of Zero Repeats is intended to be applied across the entire Anglo
American Group of companies. Thus, if a particular structural failure occurs at one Site, it is not
acceptable for a similar structural failure to occur at the same Site, nor at any other Site.

In order to achieve this outcome, the learning from the structural failure must be centralised for
dissemination throughout the Anglo American Group.

All Moderate structural failures should thus be treated as incidents in terms of the Anglo
American events reporting procedures. Where necessary, Anglo American Engineering
Standards and Governance will compile a brief note, called a Structural Safety Bulletin,
highlighting what can be learned from failures, in order to disseminate the learning throughout
Anglo American. Typical previous examples of Structural Bulletins are shown in Appendix:
Examples of previous structural safety bulletins. All Structural Safety Bulletins will remain
confidential for distribution within Anglo American only.

Additional comments

Two important aspects of structural failure should always be borne in mind in addition to the
standard evaluation of the risks. These are discussed below.

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Disproportionate Structural Failure

A disproportionate structural failure occurs when the extent of the structural failure far exceeds
the extent of the event that caused it, i.e. an initial local failure that is caused by a small event,
initiates a widespread failure of other structural components leading to a major structural failure.
Two examples of disproportionate failure are shown below:

Figure 8: Ronan Point: A gas cooker exploded, blasting out the outer walls of an 18th
floor apartment. This led to collapse of all 24 floors of the building with two fatalities.

Figure 9: Tanks: A tank ruptured due to corrosion. This caused the complete collapse of
this and the neighbouring tank as well as collapse of a cyclone cluster and control room

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Internationally, structural design specifications have introduced, or are currently introducing,

requirements to prevent disproportionate failure. Typically they now incorporate requirements
such as:

“Buildings and other structures shall be designed to possess general structural integrity, i.e. to
sustain local damage whilst the structural system as a whole remains stable and is not damaged
to an extent disproportionate to the original local damage.”

Time
Three different issues are significant here.

• Some causes of structural failure lead to immediate collapse, whilst others develop
over long periods
• The speed of the structural failure varies depending on the failing component
• The current life of a structure does not give any indication of its inherent safety

The first issue is that some hazards lead to immediate collapse, whilst others develop over long
time periods. A structural failure arising from a design error may occur during initial construction
of that structure. Some structural failures have occurred as the erection cranes were slacked off
to lower the weight of conveyor gantries onto their supports, or during construction of concrete
floor slabs. A structural failure due to vehicle impact or explosion can occur almost
instantaneously with the impact or explosion. On the other hand, a structural failure arising from
overloading due to spillage is only likely after neglecting clearing of spillage over a long period
and a structural failure due to corrosion of steel components will only occur after several years of
neglecting to repair the corrosion damage.

The second issue is the speed of the structural failure. A column failure will occur extremely fast,
in a matter of seconds with no advance warning. The failure of a floor is likely to take place more
slowly in a matter of minutes or even hours, often with large and alarming structural deformation
before collapse.

A fatigue failure usually develops even more slowly in a matter of weeks or months, showing
cracks which should be identified during structural inspections before collapse occurs.

The third issue is that the current life of a structure does not give any indication of its inherent
safety. The fact that a structure with a major inherent design error has stood for 5 years does
not imply that the design error is unimportant and can be ignored. An inadequate structure may
actually remain standing because of additional strength inherent in walkways, side cladding,
chutes etc. This is nevertheless a dangerous situation, because any of these non-structural
components may be removed, possibly with disastrous consequences.

Structures are typically designed to withstand fairly extreme conditions that are only likely to
occur once in 50 or 100 years. A structure from which bracing has been removed may survive
apparently unscathed until a storm with high winds comes along and blows it over.

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A structure for which the margin of safety has reduced to very close to 1,00 for any reason may
collapse completely with the addition of a very small extra load or disturbance.

Risk assessment

All design, maintenance and repair work should be subjected to rigorous risk assessment, and
where necessary, expert advice should be obtained.

Where difficult repairs are required, such as will be the case with replacement of a large beam or
a column, temporary support will usually require the advice of a Structural Engineer in order to
ensure the task proceeds safely.

Capturing structural maintenance costs

Optimisation of structural maintenance is often compromised because Sites do not capture

structural maintenance costs adequately. At least the following costs should be captured and
recorded:

• The cost of all materials purchased, including basic materials such as steel and
concrete, and consumables such as sealants, paint, welding rods and bolts
• The cost of all work done by Contractors
• The labour cost of all work done by Site personnel
• Production losses necessitated by the structural repairs or maintenance
• All costs associated with cranes, scaffolding or other temporary structures required for
the maintenance or repair
• The cost of any design and drawing work required from a Structural Engineer or a
Draftsperson

Early Response Procedure

A site Early Response Procedure shall be in place covering a potential Moderate structural
failure. This procedure shall cover actions to be taken when a structure is suspected to be in a
dangerous condition. The Early Response Procedure shall include at least the following:

• Steps to be taken to report any suspected dangerous structures

• Persons to be notified, actions to be taken and inspections to be conducted when a
dangerous structure report is received
• The intent of this clause is to ensure that every Site is prepared to respond quickly to
assess structural distress or perceived structural problems in order to prevent a
Moderate structural failure, or at least reduce the consequences of a Moderate
structural failure.

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• All employees should know how, and to whom, to report suspected structural
problems
• Supervisors and management should know what actions are required when it is
reported that a structure is suspected of being unsafe. This should include knowing
the extent to which they are competent and thus authorised, to make decisions and
when the expert advice of a Structural Engineer must be obtained. This should be
based on the premise, “If unsure, get expert advice”
• All employees have the right to leave a dangerous or unsafe work place. In South
Africa, this is covered by the Mine Health and Safety Act (29/1996) and Regulations,
Section 23, quoted in the box below. In other countries the wording will differ, but the
same intent is typically covered by applicable legislation.
• Employees should be empowered to recognise signs of distress
• Signs of structural distress which should be recognised and investigated include the
following:

General for all structures

High level of vibration. Uncomfortable vibration.

Excessive spillage. More than 200mm of spillage spread over the entire floor, or
piles of spillage more than 500mm high.
Accidental damage
Large deflection, columns or walls leaning over noticeably or beams where
deflection can be seen from the side
Cracks, particularly if they are getting longer or wider

Concrete or masonry

Crumbling of cement or concrete

Steel or aluminium

Corrosion
Bolts coming loose

Timber

Rot
Splitting of members
Loose and/or corroded connections

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Inspection following structural damage should initially assess the safety of the damaged
structure. Where any doubt exists regarding the safety of the structure, access to the structure
should not be allowed, and other means such as the use of cherry pickers should be used for
inspections. Once it has been established that the structure is safe for access, a fuller inspection
can commence. The Structural Engineer should assist with defining exactly what steps are
necessary to ensure proper repair of the damaged structure.

Emergency Response Plan

The site Emergency Response Plan shall include actions to be taken following a Moderate
structural failure.

The intent of this clause is to ensure that the Site is properly prepared to respond to a structural
emergency and reduce the consequences of a Moderate structural failure.

Every site should ensure that the emergency response plan includes information regarding
response to a structural failure, and that it is available to all personnel. This information should
be derived by considering the potential location, magnitude and nature (e.g. safety of people,
damage to property, services, infrastructure etc.) of worst case events. Establishment of the
emergency response plan should include outside parties where required, such as hospitals,
ambulance services, mine rescue teams etc. Arrangements with these service providers should
be made in advance as part of the management system.

The emergency response plan should be put in place and include periodic drills and mock runs.
The plan should include all the actions and communication chains associated with warning, first
response, emergency response and evacuation phases of a structural failure situation, as well
as a remediation plan. The emergency response plan should include evacuation of the area,
which shall not be occupied again before a Structural Engineer has inspected the failure,
determined its extent and declared the area safe.

A large number of structural failures take place during construction or during commissioning,
when the structures first carry their full process design loads. Every Site should thus ensure that
the emergency response plan is in place at the commencement of construction and includes
information covering actions to be taken in the event of a Moderate structural failure during
construction or commissioning, before the structures have been handed over to the Owner.

Typical content of plan, the Emergency Response Plan for structural failure should include at
least the following:

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• Evacuation of site personnel from the area, and demarcation of the failure site as a
prohibited access area
• Persons to be notified, actions to be taken and inspections to be conducted following
a Moderate structural failure
• Inclusion of structural failure scenarios in periodic emergency evacuation drills

5 IMPLEMENTATION AND MANAGEMENT

Appropriate Site engineering personnel shall be competent to recognise signs of structural
deterioration/ degradation to enable them to identify and report unsafe or hazardous structures.

The Site procedure for incident investigation and reporting shall ensure that Moderate
Structural Failures are fully investigated by Structural Engineers to understand the underlying
causes and are treated and reported as incidents in terms of the Anglo American incident
reporting procedure.

During construction and operation of all structures steps shall be taken to avoid structural
damage.

Procedures and instructions shall be provided to ensure that all structures shall be used
according to standards and specifications.

To avoid overloading, loads applied to structures shall comply with the design assumptions,
including regular removal of spillage.

A formal procedure for change control management shall be used to ensure comprehensive
and accurate consideration and communication of changes influencing the structures.

No modification shall be performed without authorisation by the Company Site Engineer. The
Company Site Engineer shall determine whether any proposed modification is a Significant
Modification, and shall manage it accordingly.

All modifications shall be recorded.

All decommissioned structures shall be barricaded off or demolished to prevent access.

Inspection of structures shall be carried out at regular intervals as defined in AA TS 108 002,
and following any incident such as overload, accidental impact, fire, seismic event, high winds
and ground settlement. Inspections should be done in terms of the requirements of AA TS 108
002.

All inspections shall be planned and defined in the Site Enterprise Resource Planning software
(ERP), for example SAP and Ellipse.

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Inspection results shall be recorded in a server based database and available at all times.

Housekeeping (including workplace inspection) to clear up spillages.

Training

Appropriate Site engineering personnel shall be trained to recognise signs of structural

deterioration or strength degradation to enable them to identify and report “unsafe” or hazardous
structures in their work environment. They should also be trained in the implementation of the
Emergency Response Plan for structural failure. This training should include emergency drills
and evacuation simulations carried out at regular intervals.

All training shall be documented.

All initial training and refresher training shall be consistent with, and incorporated in, the formal
training procedures for the site.

Training in recognition of signs of structural deterioration is a key aspect of the Early Response
Procedure. However, it is important that the training also communicates the fact that in some
cases specific competence in Structural Engineering is required. Training should thus also aim
to impart skills in recognising when outside expertise is necessary.

This training should thus concentrate in two areas:

• Understanding the actions required under the Early Response Procedure and the
Emergency Response Plan
• Avoiding actions that may cause immediate or future deterioration of structures

Use of structures according to specifications

The intent of this clause is to ensure that the Owner uses the structures within the parameters
specified for the structural design.

Experience suggests that there are various ways in which structures may be subjected to
overloading or abuse. These include, but are not limited to, the following:

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• Structures are overloaded by spillage, stored materials, use of tuggers etc

• Structures are overloaded by storage of spares, including bin and chute liners,
conveyor idlers, etc
• Lifting equipment is anchored at inappropriate places, such as roof bracing
• Placing temporary support on floors that are not designed to support the extra weight
• Impact by vehicles

Examples of a few of these are shown below:

Figure 10: Typical Structural Failures Related to Abuse

The Owner is responsible for ensuring that structures are used and maintained in such a way
that the structural integrity is not impaired in any way.

Comply with Standards and Specifications

The Owner should ensure compliance with the relevant national and Anglo American
specifications covering use and inspection of structures, listed in Appendix: Reference
documents.

Avoid Overloading

Floor loading

All necessary steps should be taken to avoid overloading of the floors of a structure. Cognisance
should be taken of all floor design loads specified on the Design drawings. Should no floor
design loads be specified on the Design drawings, these loads should be obtained from the
Structural Engineer.

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No loading, other than personnel loading and hand tools, should be applied to open grid flooring,
unless specific provision is made for other loads on the Design drawings.

The use of signage to indicate the design loads on floors should be considered to avoid
overloading.

Equipment and pipe loading

Equipment should not be moved to different locations and equipment should not be replaced
with other equipment, unless the loading implications have been assessed by a Structural
Engineer and written approval has been obtained from the Structural Engineer.

Pipe racks and bridges should not carry more pipes than provided for in the structural design.

Spillage

Spillage should never be allowed to accumulate on any structure or structural element and
should be removed as soon as it occurs. The situation shown in the photographs below should
never be allowed to occur.

Figure 11: Photographs showing unacceptable amounts of spillage

Conveyor belts

The capacity and operating tension of conveyor belts should not be increased unless written
permission to do so has been obtained from the Structural Engineer.

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Operate equipment in accordance with the Supplier’s instructions and / or the Operator’s manual

Mobile equipment, such as cranes, stackers, re-claimers, mobile crushers, draglines, ship
loaders, should always be used in strict accordance with the Operation Manual supplied by the
Contractor or Supplier. Several structural collapses of this type of equipment have arisen from
abuse and attempts to achieve excessive production. Special care should be exercised where
counterweights are provided to balance loads (e.g. on mobile cranes, stackers and re-claimers)
where it should be ensured that such counterweights do not come into contact with any
obstruction that could provide unintended support to the counterweights. Conversely, it should
be ensured that counterweights are not overloaded (even inadvertently by spillage) thus placing
tension on components designed to resist compression loads.

Avoid structural damage

Impact from vehicles

Suitable protection barriers should be provided to prevent any vehicle from impacting any
structure or structural element. Should impact damage occur, a Structural Engineer should be
appointed to assess the damage and recommend remedial work.

Corrosion damage

Corrosion is the most widespread deterioration mechanism affecting steel structures, so special
care should be taken to avoid corrosion of structural steelwork. The following minimum
requirements should be met:

• Remove process spillage as soon as it occurs.

• Ensure effective corrosion protection coatings are applied in all wet areas and all
areas where steelwork is exposed to aggressive environments.
• A corrosion protection plan should be implemented as an integral part of overall site
maintenance.

If any evidence or sign of structural damage (e.g. distortion, cracking, material loss, missing
members, spalling of concrete etc.) is observed, a Structural Engineer should be appointed to
investigate the problem and make the necessary recommendations.

Design and construction of modifications to structures

No modification shall be performed without authorisation by the Company Site Engineer. The
Company Site Engineer shall determine whether any proposed modification is a Significant
modification, and shall manage it accordingly.

All modifications shall be recorded.

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Experience shows that many unsafe structures arise as a result of unauthorised, or improperly
authorised, modifications or repairs being done by Site personnel. Some typical examples of
this are:

Removal of bracing or cutting of bracing, as shown below:

Figure 12: Bracing members are sometimes removed to allow access or for some other
reason.

Corroded structures are frequently repaired by ad-hoc addition of new members, without due
consideration being given to transfer of loads and structural action, as shown below:

Figure 13: Inadequate repairs are sometimes done to corroded structural steel members.

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Structural members may be replaced by inadequate members, because the existing member
size is no longer available, or simply because other sizes are available from the Site store, as
shown below:

Figure 14: Members are sometimes replaced by inadequate alternative members.

Structural members may be cut to allow access for pipes or new process equipment, leaving
unsafe situations as shown below:

Figure 15: Major structural members are sometimes cut for pipes, conveyors, hand railing
etc.

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It is necessary to clarify roles and responsibilities during the modification or maintenance and
repair of structures, as well as having a clear procedure stipulating that only the Company Site
Engineer is permitted to authorise modifications in accordance with this clause. The modification
phase is distinguished from the maintenance and repair phase by one distinct factor:

• In maintenance and repair nothing about the design is changed, structures are
reinstated in full compliance with the approved Design drawings. However, a
modification is some change or deviation from the Design drawings

The actions required in authorising and performing modifications are distinctly different from
maintenance and repair. They include:

• The Company Site Engineer should decide whether the modification is a Significant
modification or not. Modifications which are not categorised as significant
modifications can be authorised by the Company Site Engineer and can then be
implemented by the Site
• A Structural Engineer will have to be involved to design all significant modifications
that have been specified, and they will have to be managed as Significant structures
in accordance with this standard
• An outside Contractor will probably be brought in to perform the modification work to
the Structural Engineer’s design
• All modifications should be shown on revised Design drawings to ensure that they
reflect the as-built condition of the modified structures

This work is not routine, so it requires a risk assessment, and will probably involve a significant
interruption to production.

Demolition to comply with standards and specifications

It is the demolition Contractor’s responsibility to demolish the structures in strict accordance with
the specifications and standards specified by the Owner and in accordance with any local
legislation regarding demolition and disposal of waste materials. The work should be done in
accordance with the demolition procedure prepared by the Contractor.

Inspection of structures

Inspection of structures shall be carried out at regular intervals, and following any structural
damage due to overload, accidental impact, fire, seismic event, high winds, ground settlement,
or other event. Inspections should be done in terms of the requirements of AA TG 108 003.

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The intent of this clause is to ensure that all site structures are regularly inspected, so that timely
and appropriate maintenance can be done. The Owner is responsible for the regular inspection
and maintenance of structures in order to ensure that the structures remain safe to use and
functional. The Owner should ensure compliance with the Anglo American Guidelines covering
use and inspection of structures,

Inspections should be carried out as follows:

• Structural inspections should be conducted by a Structural Engineer at regular

intervals (generally between 2 years and 5 years under different conditions and for
different structures), in compliance with AA TG 108 003 and findings recorded in the
site asset management system in compliance with AA TG 108 003
• Structural inspections should be conducted by a structural inspector at frequent
intervals (generally six monthly or annually), in compliance with AA TS 108 003, and
findings recorded in the Site asset management system in compliance with AA TS
108 003

The Structural Engineer generally does not have responsibilities during the operation and
maintenance life cycle phase of structures. However, when a Structural Engineer is appointed to
undertake work on behalf of a site, this does imply specific responsibilities, depending on the
specific appointment.

The Anglo American Best Practice Guidelines, define specific requirements for the following:

• What is to be inspected
• Intervals for inspections
• How findings are to be reported
• Follow-up to ensure that work is done

A Structural Engineer engaged in SIMM work for any site should be familiar with these
documents, which can be obtained from Site engineering personnel or from AS&R.

An agreed procedure should be in place to ensure that appropriate action is taken to remedy all
findings arising from structural inspections. This procedure should include at least the following:

• Allocation of responsibility for action to specific persons

• Review of completed work
• Signing off on completed work
• A system should be in place to ensure that inspection records are captured and all
recommendations assessed and entered into the formal maintenance scheduling
system.

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Prevent access to decommissioned structures

All decommissioned structures shall be barricaded off or demolished to prevent access.

The Owner should implement measures to prevent access to decommissioned structures.

Access should also be prevented to the area surrounding the decommissioned structures, this
area extending away from the decommissioned structure a distance equal to the maximum
height of the structure.

Where this is not possible for any reason, the structures should be treated in the same way as
structures in use. In this case the Owner’s responsibilities are as specified for Use and
Maintenance above.

6 PERFORMANCE MONITORING
Critical controls and monitoring of the critical controls shall be developed by a team of
Competent persons and approved by the general manager responsible for the site.

All the critical controls shall be monitored and reported/ recorded and made available to
relevant parties.

Sites shall complete an annual self-assessment, including gap identification, risk exposure and
resources, cost and time to close the gaps and made available to relevant parties.

A detailed parent-case structural integrity bowtie is available from the Anglo American ORM
team and is published on the Bowtie server. The parent-case structural integrity bowtie includes
controls of which specific controls are identified as critical controls. All critical controls must be
monitored to ensure the design and implementation of critical controls are adequate and
effective receptively. Examples of some critical control monitoring specifications are represented
in Appendix: Examples of critical control monitoring specifications.

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APPENDIX: REFERENCE DOCUMENTS

AA TS 108 003 : SIMM Guidelines for Plant Structures

AA TS 108 004 : Guideline to Remedial Work – Structural Steel

AA TS 108 005 : Guideline to Remedial Work – Concrete Repair Work

AA SPEC 114001 : Design of Steel Structures

New numbers : Specialised corrosion protection system specifications

AA SPEC 114002 : Construction of structural steelwork

AA SPEC 114003 : Steel plates and sections for use in mine shaft conveyances

AA SPEC 114005 : Steel and FRP flooring, stairs, ladders and guardrails

AA SPEC 114008 : Design of shaft guide and bunton steelwork

AA SPEC 114009 : Construction of shaft guide and bunton steelwork

AA SPEC 114010 : Design of Concrete Structures

New numbers : Specialised concrete mix design specifications

AA SPEC 114011 : Construction of structural concrete work

AA SPEC 143001 : Aluminium alloy plates and sections for use in mine shaft conveyances

AA SPEC 282003 : Design of mine shaft conveyances

AA SPEC 282004 : Fabrication of mine shaft conveyances

AA SPEC 282005 : Use of mine shaft conveyances

AA SPEC 282006 : Repair and reconditioning of mine shaft conveyances

ISO 9001 : Quality Management Systems: Requirements

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APPENDIX: RECORD OF AMENDMENTS

Version 1 : Aligned Version 3 with new Anglo American technical standards for
structural integrity, AA TS 108 001 (Kurt Waelbers November 2018)

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APPENDIX: SUMMARY OF REQUIREMENTS AND RESPONSIBILITIES

This Appendix summarises all the requirements and clearly indicates who shall be responsible
for ensuring compliance with each requirement. In cases where the responsibility is delegated
to the Structural Engineer or the Contractor, it is the responsibility of the Owner’s Team or the
Company Site Engineer as appropriate to make the appointment of a Competent person or
company in writing with fully defined responsibilities.

The following abbreviations are used for the people responsible for compliance:

• OT: Owner’s Team

• CSE: Company Site Engineer
• SE: Structural Engineer
• CO: Contractor

Decommissioning
Construction and

Modification and
commissioning

and demolition
Operation and
Planning and

maintenance
Life cycle phases
design

repair
PEOPLE REQUIREMENTS
5.1.1 Roles and responsibilities OT OT CSE CSE CSE
5.1.2 Appointment of a Competent Structural Engineer OT OT CSE CSE
5.1.3 Appointment of a Competent Contractor for construction OT CSE
5.1.4 Appointment of Competent Contractor for demolition CSE
5.1.5 Training OT CSE CSE
SYSTEM AND PROCEDURAL REQUIREMENTS
5.2.1 Incorporation of appropriate standards, specifications and OT OT CSE CSE
guidelines
5.2.2 Time allocation OT CSE
5.2.3 Change control procedures OT OT CSE CSE CSE
5.2.4 Construction to comply with Design drawings CO CO
5.2.5 Quality assurance and audit OT OT CSE CSE
5.2.6 Ensure good constructability SE SE
5.2.7 Design and construction of temporary works CO CO CO
5.2.8 Certification of completed construction SE SE CSE
5.2.9 Use of structures according to specifications OT CSE
5.2.10 Inspection of structures CSE
5.2.11 Performance of regular maintenance and repair CSE CSE
5.2.12 Design and construction of modifications to structures SE SE SE &
CSE
5.2.13 Prevent access to decommissioned structures CSE

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Decommissioning
Construction and

Modification and
commissioning

and demolition
Operation and
Planning and

maintenance
Life cycle phases

design

repair
5.2.14 Periodic updates of risk assessments OT OT CSE CSE
5.2.15 Independent verification OT OT CSE CSE
5.2.16 Learning to avoid repeats OT CSE CSE CSE
DOCUMENTATION REQUIREMENTS
5.3.1 Structural Integrity Control Plan OT OT CSE CSE CSE
5.3.2 Risk Assessments OT OT CSE CSE CSE
5.3.3 Geotechnical report and existing drawings OT OT CSE CSE
5.3.4 Design calculations – preparation SE SE
5.3.4 Design calculations – retention SE SE
5.3.5 Design drawings – preparation and approval SE SE SE
5.3.5 Design drawings – retention SE & SE &
CSE CSE
5.3.6 Construction Drawings CO CO
5.3.7 Supply a clear structural project brief OT CSE CSE
5.3.8 Early Response Procedure OT CSE CSE CSE
5.3.9 Emergency Response Plan OT CSE CSE CSE

Intent

The intent of this summary is to give clear definition of roles and responsibilities. This is important
considering the participation and involvement of many different parties, most of them external to
the Company (e.g. engineering firms, contractors, fabricators etc.).

Various factors exacerbate potential difficulties, and highlight the need for clear definition of
responsibilities. Amongst these are:

• Different contract structures lead to different interactions between the parties on different
projects
• Normal practice differs between different countries, with different expectations and different
interpretations of the requirements of standards
• Cost reduction measures applied on some contracts aim to eliminate some of these roles in
an effort to eliminate costs
• The Owner’s Team project leader and the EPCM project manager may not have a structural
engineering background and so may not have a clear understanding of the importance of
each role and responsibility

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APPENDIX: EXAMPLE STRUCTURAL INTEGRITY CONTROL PLAN - OPERATIONS

Business Unit
Mine
Area
STRUCTURAL INTEGRITY CONTROL PLAN – OPERATIONS

STATEMENT OF INTENT

All structural engineering will be done in strict compliance with AA_GTS019

Number Title
GENERAL DOCUMENTATION

List of relevant standards, specifications, best practice

guidelines, procedures

ASSIGNMENT OF GENERAL RESPONSIBILITIES

Responsible Person Name Contact details

Structural Engineer Name Contact details
ASSIGNMENT OF SPECIFIC RESPONSIBILITIES

Responsibility Name Signature Date Reference document

Structural risk register
Project brief for repair &
modifications
Co-ordinate early response
procedure
Co-ordinate emergency response
plan
Change control management
Use of structures within specification
Review heavy lifts
Schedule structural maintenance
Schedule structural inspections
Capture structural maintenance
costs
Action inspection findings
Assess accidental damage
Review unsafe structure reports
Training in structural appreciation
APPROVAL Name Signature Date

Engineering Manager
General Manager

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APPENDIX: EXAMPLE STRUCTURAL INTEGRITY CONTROL PLAN - PROJECTS

Business Unit
Mine
Project
STRUCTURAL INTEGRITY CONTROL PLAN - PROJECTS

STATEMENT OF INTENT

All structural engineering will be done in strict compliance with AA_GTS019

Number Title
GENERAL DOCUMENTATION

List of relevant standards, specifications, best practice

guidelines, procedures

ASSIGNMENT OF GENERAL RESPONSIBILITIES

Responsible Person Name Contact details

Structural Engineer Name Contact details
ASSIGNMENT OF SPECIFIC RESPONSIBILITIES

Responsibility Name Signature Date Reference document

Appointment of structural engineer
Structural baseline risk assessment
Prepare structural design brief
Allocate design time
Determine standards &
specifications
Define loading requirements
Design calculations and drawings
Appointment of contractor
Construction drawings
Ensure good constructability
Change control management
Quality assurance
Design temporary works
Certification of completed structures
Approval of as-built drawings
APPROVAL Name Signature Date

Project Director
Owner’s Team Structural Engineer

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APPENDIX: TYPICAL
STRUCTURAL FAILURES CAUSAL FACTORS AND CONTROLS
Table 1: Causes of Design Related Failures Compounding actions Ameliorating actions
The nature and/or magnitude of structural loads is Unusual functional requirements Early involvement of competent Structural Engineer
misunderstood Mismatch between electrical power and control system Project brief to clarify requirements, and interaction between
provided, and the structural loading assumptions appropriate parties
Design by persons lacking necessary knowledge and
experience
Requirements for structural design misunderstood Global procurement Provide clear brief
Design by persons lacking necessary knowledge and Early involvement of competent Structural Engineer
experience Owner review and sign-off
Inappropriate specifications used Design to comply with AA specifications
Complex or novel structural form Competent Structural auditor appointed
Wrong information provided Shortage of skills Check input information
Analysis error Inappropriate use of computer package Third party review of analysis
Shortage of skills Use competent Structural Engineer only
Error in analysis package Proper evaluation of package
Calculation error Excessive time pressure on project Third party review of calculations
Shortage of skills Use competent Structural Engineer only
Global procurement Design to familiar standard
Change not followed through Frequent changes Improve management procedures
Late changes
Miscommunication between Structural Engineer and Design by persons lacking necessary knowledge and Drawing review and approval by Structural Engineer
Draftsperson experience
Drawing by persons lacking necessary knowledge and
experience
Drawing error Excessive time pressure on project Checking of drawings
Drawing by persons lacking necessary knowledge and Drawing review by Structural Engineer
experience Use competent Draftsperson only
Non-compliance with specifications Design by persons lacking necessary knowledge and Third party review of calculations
experience Owner review of design
Inappropriate concession granted Concession request referred to competent person
No design done Inappropriate emphasis on cost cutting Ensure design done by competent Structural Engineer

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Table 2: Causes of Construction Related Failures Compounding actions Ameliorating actions

Wrong material grade Global procurement Quality control measures
Good, clear specifications
Structural elements omitted Poor specifications Quality control measures
Construction by persons lacking necessary knowledge and Inspection by Structural Engineer
experience
Change not followed through Frequent changes Improve management procedures
Late changes
Structural elements removed during commissioning Construction by persons lacking necessary knowledge and Improve management procedures
experience Inspection by Structural Engineer
Structural elements removed during maintenance Drawing by persons lacking necessary knowledge and Ensure design check
experience Owner’s team involvement in design
Misinterpretation of drawings or specifications Design by persons lacking necessary knowledge and Quality control measures
experience Inspection by Structural Engineer
Drawing by persons lacking necessary knowledge and
experience
Poor constructability Design by persons lacking necessary knowledge and Early involvement of Contractor
experience
Drawing by persons lacking necessary knowledge and
experience
Non-compliance with specifications Construction by persons lacking necessary knowledge and Quality control measures
experience
Excessive cost pressure on project execution
Wrong or poorly designed modifications Improve management procedures
All structural modifications to be designed by Structural
Engineer
Foundation on inadequately compacted fill Foundation not designed by Structural Engineer Ensure Geotechnical Engineer’s recommendations are
obtained
Fill not specified by Geotechnical Engineer Ensure Geotechnical Engineer’s recommendations are
followed
Excavation adjacent to existing foundation Excavation not designed by Geotechnical Engineer Ensure Geotechnical Engineer’s recommendations are
obtained

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Table 3: Causes of Structural Deterioration Related

Compounding actions Ameliorating actions
Failures
Poor construction Excessive time pressure on construction programme QA during construction
Construction by persons lacking necessary knowledge and Only use competent Contractors
experience
Lack of structural inspections Short remaining life of mine Use AA plc SIMM Guidelines
Inappropriate emphasis on cost cutting
Deterioration not identified by structural inspections Inspection by persons lacking necessary knowledge and Inspections by Structural Engineer
experience Training of structural inspectors
Dark or inaccessible areas
No action, or inappropriate action, taken on remedial work Short remaining life of mine Clear specification of remedial work to be done
Shortage of skills

Process problems, such as leaks, not corrected Short remaining life of mine Clear specification of remedial work to be done

Lack of understanding, or no communication of structural Maintain database of structural failures

deterioration
Ground settlement Monitoring of settlement

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Table 4: Causes of Abuse Related Failures Compounding actions Ameliorating actions

Lack of understanding of loads on structures Maintain database of structural failures

Specify design loads on Design drawings
Use signage to notify design loads in critical areas
Excessive construction loads Early involvement of Contractor

Excessive spillage accumulation Spillage accumulation in high security areas Regular removal of spillage
Material handling to minimise spillage

Unauthorised storage of materials and spares Storage procedures to comply with design brief
Process changes Ensure design check

Unauthorised lifting or pulling Inadequate provision of designated lifting points Procedures governing lifting
Excessive loads on materials handling equipment “Pushing” production Operator training
Production driven bonuses Control system limit settings

Lack of consideration or understanding of accidental loads Maintain database of structural failures

on structures

Pressure on columns in stockpiles Unsymmetrical filling or emptying Operator training

Impact on structures at tips and along roadways Operator training

Impact or explosion Modular building systems lead to disproportionate failure Design concept to prevent it
Process monitoring
Operator training

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APPENDIX: APPROPRIATE REGISTRATION FOR STRUCTURAL ENGINEERS

Country Registration Body Registration

Global Institution of Structural Engineers MIStructE

Australia Engineers Australia Chartered Professional Engineer

National Engineering Registration Chartered Engineering Technologist
Board (National Professional Professional Engineer
Engineers Register, National
Engineering Technologists Register,
National Engineering Associates
Register)
Brazil Professional Engineer

Canada Professional Engineering bodies Professional Engineer

Chile Professional Engineer

China

South Africa Engineering Council of South Africa Professional Engineer

(ECSA) Professional Engineering Technologist

United Kingdom Engineering Council UK Chartered Engineer

United States of America State Boards for Professional Professional Engineer

Engineers Structural Engineer

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APPENDIX: EXAMPLES OF PREVIOUS STRUCTURAL SAFETY BULLETINS

The following three pages contain three examples of typical recent Structural Safety Bulletins. It will be
seen that in all cases the Structural Safety Bulletin contains brief notes regarding the failure and learning
points, as well as the generic people whose decisions should have made a difference and prevented the
failure.

The three Structural Safety Bulletins are:

• Collapse of stockpile roof

• Collapse of a conveyor gantry
• Collapse of a support structure for two bins

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APPENDIX: EXAMPLE STRUCTURAL COMMISSIONING CHECKLIST

Business Unit
Mine
Project
STRUCTURAL COMMISSIONING CHECKLIST

STATEMENT OF INTENT

All structural engineering design and construction has been done in strict compliance with AA_GTS019
APPROVAL Name Signature Date
Owner’s Team Structural Engineer
CHECKLIST OF SPECIFIC REQUIREMENTS

Completed
Requirement Comments
(Y/N)
As-built drawings:
Completed and approved
Copies supplied to Site
QA documentation complete:
Foundation soil properly compacted
Foundation reinforcing properly
fixed
Piles properly constructed and load
tested
Material certificates OK
Reinforcing properly fixed
Concrete cubes OK
Bolts correct grade and installed
correctly
Weld NDT OK
Concrete structures:
All formwork removed
Floor screeding and bund walls
completed
Steel structures:
All structural members installed
Alignment correct
All grouting completed
Painting completed
Timber structures:
All structural members installed
Timber protection completed
Load tests performed as per
contract

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Business Unit
Mine
Project
STRUCTURAL COMMISSIONING CHECKLIST

STATEMENT OF INTENT

All structural engineering design and construction has been done in strict compliance with AA_GTS019
APPROVAL Name Signature Date
Owner’s Team Structural Engineer
CHECKLIST OF SPECIFIC REQUIREMENTS

Completed
Requirement Comments
(Y/N)
Performance and commissioning
tests performed as per contract
Record of Structural Engineer’s
interim inspections
Flooring, walkways and stairs
inspected and safe to use
Structural Engineer’s certification of
completed construction
Contractor’s handover to Owner

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APPENDIX:ACTIVITY MATRIX
Stage key: By whom key:

D = Design phase. SE = Engineering contractors (EPCM designer).

C = Construction / commissioning / manufacturing phase. OT = Owner’s team (owner’s project team) / company site engineer.
CO = Construction contractor.
ID = Independent designer.
OTI = Owner’s team inspector (Group Quality department)
Engineering contractors (EPCM designer) inspectors from their
SEI =
QA/QC department.
MI = Manufacturer’s inspector.
NI = NDT inspector.
SI = Specialist inspector.

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Activity Definition Stage By whom

Design Preview (P) AA APW RD 15: D OT = User requirements.
A structured, documented and controlled set of information, data and criteria used as the OT = Approve design
basis for the design and engineering aspects of the project, which includes; Site criteria.
conditions; User requirements; Design criteria; Technical standards , specifications, and SE = Design criteria.
procedures; and, technical risks. SE = Functional design
specification.
“Design base: tell the designer what you want, you can only get what you ask for and not SE = System design
more.” specifications.
Design (D) Rational design, prototype design or the application of standards such as the National D SE = Engineering drawings
Building Regulations (SANS 10400), CSIR or SABS tested elements and the use of and bending schedules.
Agrément certified elements. This excludes the design of temporary works, which is SE = No temporary works.
designed by the construction contractor. In South Africa the design includes reinforcing CO = Workshop drawings.
schedules but excludes workshop details for structural steel. CO = Temporary works.

“Produce the design: the resistance of unknown forces and loads, using materials with
unknown strength and mobilizing imperfect mathematical equations, with the end result
to deliver a structure with a known degree of safety ???. Here it is important that one of
the requirements is how the design is represented.”
Design review (R) AA APW RD 15: D, C SE, OT & Group Head of
A systematic (planed and predetermined) review of the design (methods, analyses and Engineering*.
calculations) and engineering at suitable stages to evaluate the suitability, adequacy and
effectiveness of the design to meet requirements and to identify problems and propose * Critical product.
necessary actions. * Major product.
* Novel design.
“Ask the right questions, were enough trade-offs done, think out of the box, look for the
obvious, beware of scope growth and preferential designing …”
Design check (C) Check the correctness of the inputs, structural system, evaluate the concept used by the D SE = Shall be instructed to
original designer and weigh up against alternative concepts and check the outcome of do so.
the design - all in detail. ID & OT

“Be careful that this does not become a check of the original designer’s mathematical
accuracy and correctness – the scope of a design check is significantly more and has to
include a paper trail of why the checker agrees with the option, solution and safety
delivered by the original designer’s design. This carries the signature of the checker.”

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Activity Definition Stage By whom

Manufacturing At the first opportunity after the Contractor has been identified. A structured, documented D&C SE, SEI, SI, OT & OTI (as
preview (M) and controlled set of information, used as the basis for the designer to communicate witness if required) and MI.
important aspects of the design, criteria, standards, specifications, procedures and risks
to the Contractor. This is also the opportunity for the Contractor to give valuable input.
Care must be taken to avoid unnecessary changes to the design or attract unnecessary
costs to the execution of the work done by the Contractor.
Design audit (A) Independent analysis of the applicability and safety of the design. This does not include a D ID
detail check as for the design check, but is limited to the identification of a number of key
elements and reported as such.

“The audit results in a separate report done by an independent auditor. Independent from
the designer and the client. Sometimes a quick fix to answers specific concerns.”
Verification (Vn) AA APW RD 15: D SE = V1, Verification.
Design Verification is undertaken to ensure that the Design outputs have met the design OT = V2, Check procedures.
input requirements. This results in a confirmation that the Design is adequate, meets the ID = V3, For critical and
User Requirements and is fit for purpose. major design packages.

“Does that what I got equal that what I asked for and does it do the job?”
Detail inspections A structured, documented and controlled schedule and scope of inspections and NDT. C SI, OTI, MI & NI
(I1) For structural steel this includes all the stages of preparation and manufacturing, but
excludes painting/galvanizing.
First release A structured, documented and controlled schedule and scope of inspections to ensure C SEI, SI, MI & OTI
inspection (R1) compliance with the design, standards and specifications. For structural steel this is the
release inspection to approve the manufactured steel to be painted/galvanized.
Second release A structured, documented and controlled schedule and scope of inspections to ensure C SE, SEI, SI, MI & OTI
inspection (R2) compliance with the design, standards and specifications. For structural steel this is the
release inspection to approve the manufactured steel to be shipped to site.
Site inspections (I2) A structured, documented and controlled schedule and scope of inspections to ensure C SE, SEI, SI, MI & OTI
compliance with the design, standards and specifications. This is on-going. For the MI &
SEI this is a fulltime appointment and SE, SI & OTI as required but not less than once a
month.

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Activity Definition Stage By whom

Validation (Vn) AA APW RD 15: C SE = only if in the contract.
Validation of engineering and design is undertaken to ensure that the resulting product or SE = V4, required by law.
system or facility (as fabricated or constructed or installed) is capable of meeting the ID/OT = V5, best done by
requirements for the specified application or intended use. This results in a confirmation ID/OT.
that the completed product meets the Users Requirements and is adequate and fit for
purpose prior to taking into service.

“Measured and tested confirmation: test, measure and give result reports on how well the
performance specification has been met. The legal requirement may be misunderstood
by the original designer and therefore not allowed for in the budget. Allow for schedule
and budget to do this via an independent designer or for the owners team.”
Final inspection (I3) Structural Engineer’s inspection to ensure the completed structure complies with the C SE
design intent. This Final inspection culminates in the Structural Engineer’s final sign-off.

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Structure category Insignificant Significant structures

to GTS 19 structures
Legal requirements, No structural engineer Structural engineer is needed
NBR / SANS 10400 needed
Safety risk First aid Medical treatment LTI Single permanent Multiple permanent
disability or single fatality disabilities or multiple
fatalities
Risk category Insignificant Minor Moderate High Major
Structure category Insignificant Minor structures Moderate structures Highly important Major structures
structures structures
AA RD 22 All insignificant All minor All moderate All high consequences All major consequences
consequences consequences consequences consequences
Process activity None None Process equipment Process equipment Process equipment and/or
and/or content in and/or content in line with content in line with AA RD
line with AA RD 22 AA RD 22 high risk 22 major risk
moderate risk
Effect of mechanical None None Limited to static Limited to load reversal Includes both fatigue and
equipment loads. and fatigue. dynamic responses.
Not limited to this NBR class 1 (< 80 Small warehouses Warehouses and Structures carrying Structures supporting
list, examples of m2). Structures tested and weather shields weather shields not overhead cranes, screens, mills, scrubbers,
structures. Seen as by SABS or CSIR. between 80 m2 and covered by minor cyclones, pre-stressed large crowds and slender
a minimum Structures that are 200 m2 and lower structures, overland and post-stressed structures which can be in
requirement and Agrément certified. than 6m in total conveyors. concrete buildings. resonance, for example
shall be amended to Carports < 40 m2. height. Carports > Offices and other multi- masts, chimneys and
suit specific cases / Walls and fences 40 m2. Walls and story buildings such as suspension bridges.
risks lower than 1.8 m. fences > 1.8 m. housing units. And Buildings with a post-
elevated conveyors. disaster function.

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Examples of suggested design activities of steel structures (italic actions refer to inspections):

Insignificant structures
Type: No process activity and no effect of mechanical equipment
Examples: NBR class 1 (< 80 m 2). Structures tested by SABS or CSIR. Structures that are Agrément certified. Carports < 40 m 2. Walls and fences lower
than 1.8 m.
Component Element Design Design Designer Checker Owners Independent Manufacturer NDT Specialist
activity standard team designer inspector inspector
verification
Structural Steel Strength & AA SPEC P, R, M, M
steel design serviceability 114001 V1, V2 &
I2

Minor structures
All design element definitions, no third party involvement and are simple enough that registered structural engineer can check their own work & detailers
generate connections checked by the structural engineer.
Type: No process activity and no effect of mechanical equipment
Examples: Small warehouses and weather shields between 80 m 2 and 200 m2 and lower than 6m in total height. Carports > 40 m 2. Walls and fences > 1.8
m.
Component Element Design Design Designer Checker Owners Independent Manufacturer NDT Specialist
activity standard team designer inspector inspector
verification
Structural Steel Strength & AA SPEC P, D, R, M P, R, M, I2 M I1
steel design serviceability 114001 V1, I1, I2, & V2
V4 & I3

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Moderate structures
Covers all the design element definitions but has no third party involvement.
Type: Process equipment and/or content in line with AA RD 22 moderate risk. Limited to static loads.
Examples: Warehouses and weather shields not covered by minor structures, overland conveyors.
Component Element Design Design Designer Checker Owners Independent Manufacturer NDT Specialist
activity standard team designer inspector inspector
verification
Structural Steel Strength & AA SPEC P, D, R, M C P, R, M, M, I1, R2, I2 & I1
steel design serviceability 114001 V1, I1, R2, R2, I2, & I3
I2, V4 & I3 V2
Connec- Strength AA SPEC P, D, R, M C P, R, M, M, I1, R2, I2 & I1
tion 114001 V1, I1, R2, R2, I2, & I3
design I2, V4 & I3 V2

Highly important structures

Covers all the design element definitions but the validation cannot be measured or is difficult to measure.
Type: Process equipment and/or content in line with AA RD 22 high risk. Limited to load reversal and fatigue.
Examples: Structures carrying overhead cranes, cyclones, pre-stressed and post-stressed concrete buildings. Offices and other multi-storey buildings
such as housing units. And elevated conveyors.
Component Element Design Design Designer Checker Owners Independent Manufacturer NDT Specialist
activity standard team designer inspector inspector
verification
Structural Steel Strength & AA SPEC P, D, R, M C P, R, M, A, V3 M, I1, R1, R2, I1 M, R2 & I2
steel design serviceability 114001 V1, I1, R1, R1, R2, I2, I2 & I3
R2, I2, V4 & V2
& I3
Connec- Strength & AA SPEC P, D, R, M C P, R, M, A, V3 M, I1, R1, R2, I1 M, R2 & I2
tion fatigue 114001 & V1, I1, R2, R1, R2, I2, I2 & I3
design BS 5400 R2, I2, V4 & V2
& I3

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Major structures
Covers all the design element definitions.
Type: Process equipment and/or content in line with AA RD 22 major risk. Includes both fatigue and dynamic responses.
Examples: Structures supporting screens, mills, scrubbers, large crowds and slender structures which can be in resonance, for example masts, chimneys
and suspension bridges. Buildings with a post-disaster function.
Component Element Design Design Designer Checker Owners Independent Manufacturer NDT Specialist
activity standard team designer inspector inspector
verification
Structural Steel Strength & AA SPEC P, D, R, M C P, R, M, I1 A, V3 & V5 M, I1, R1, R2, I1 M, I1, R2
steel design serviceability 114001 V1, I1, R1, R1, R2, I2, I2 & I3 & I2
R2, I2, V4 & V2
& I3
Connec- Strength & AA SPEC P, D, R, M C P, R, M, I1 A, V3 & V5 M, I1, R1, R2, I1 M, I1, R2
tion fatigue 114001 & V1, I1, R2, R1, R2, I2, I2 & I3 & I2
design BS 5400 R2, I2, V4 & V2
& I3

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APPENDIX: EXAMPLES OF CRITICAL CONTROL MONITORING SPECIFICATIONS

Operation Name
ORM Layer 1
STRUCTURAL FAILURE
PUE

3 top events, being:

ORM Layer 2 Top
Event(s) • Loss of stability
• Over loading
• Loss of structural integrity

Critical Control
Structural Inspection and Maintenance Management (SIMM)
Name

SIMM monitoring
Monitoring
Activity Name Job cards via ERP (eg.: SAP or Ellipse) and deterioration issues logged via a
web based electronic system (eg.: eSIMMs).

Purpose statement:

Structural Inspection and Maintenance Management: Inspections and

managed deterioration issues, including appropriate maintenance programs,
ensures the functionality of structures to perform within their design
parameters and expected design life.

Purpose Measures:

• Lower limit: All risks associated with condition categories 4 & 5 are
Control Purpose mitigated
• All deterioration repairs completed in the required time frame
• All inspections and rehabilitation work to be scheduled in the planned
maintenance system, eg.: SAP & Ellipse
• No inappropriate or unapproved modifications
• No unplanned shuts due to structural failures
• No progression of deterioration from condition category 3 to 4 and/ or 5.

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Data source:

• Enterprise Resource Planning system (ERP, eg.: SAP & Ellipse)

• eSIMMs

Question:

• Is the forecast short term and medium term budget in line with the plant
age and overall condition?
• Is the operation in a safe and operable condition?

Theory: Define the theory of the control (What needs to be done to achieve
the purpose and have confidence of the outcomes)

Control availability:

Requirements:

• Appointment of in-house site inspector(s) and allocated responsibilities

• ERP licensing and appropriate use thereof
• Ongoing eSIMMs usage and population
• Structural maintenance included in the annual budget cycle
• Appropriate scheduling of structural maintenance
Control Theory

Measure:

• Lower limit: Annual inspections by certified in-house site inspectors

according to the latest Anglo American inspection guideline, to be
completed within 3 months of the required inspection date.
• Lower limit: Three yearly inspections by registered competent person
according to the latest Anglo American inspection guideline, to be
completed within 6 months of the required inspection date.
• All inspections and rehabilitation work to be scheduled in the planned
maintenance system, eg.: SAP & Ellipse
• Log all inspection observations of structural deterioration in eSIMMs
• Close-out of all structural deterioration issues within the priority period
recorded in eSIMMs

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• Appropriate short term and medium term forecast for structural

maintenance/ repair spend based on approved long term structural
integrity strategy (considering, environmental & process conditions, and
current overall structural condition)

Data source:

• Long term structural integrity strategy

• Enterprise Resource Planning system (ERP, eg.: SAP & Ellipse)
• eSIMMs
• Forecast budgets

Question:

• Does site have an approved long term structural integrity strategy which is
readily available?
• Do the correct people have access to eSIMMs and is it appropriately used?

Control reliability:

Requirements:

• Suitable competent in-house inspectors and third party registered

competent people to complete inspections in compliance with the latest
version of the Anglo American inspection guidelines
• Frequent (once every 3 years) updates to the inspection guidelines
• Data hosting with Group approved data recovery regime
• Annual oversight reporting by BU HQ
• Clear communication of sample size and reach of inspections
• Specification of required scope of inspections
• Acceptable internet bandwidth

Measure:

• Planned inspection record in the ERP to comply with the specified annual
requirements
• Budget and resource planning and availability to action required
maintenance of identified deterioration during inspections, including the
execution of the long term structural integrity strategy
• Forecast budgets versus actual spent
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Data source:

• ERP records
• Resource plan and long term structural integrity strategy
• plan

Question:

• Does site have an approved long term structural integrity strategy which is
readily available?
• Is the operation in a safe and operable condition?
• How does the actual structural condition correlate with the reported
structural condition?

Control survivability

Requirements:

• ERP (SAP/ Ellipse) planned inspection schedules

• Ongoing enforcement/ mandate to action inspections to the latest version
of the Anglo American inspection guidelines
• Ongoing Group and BU HQ support
• Succession planning and continuous training of in-house inspectors
• Appropriate budgets for hosting, software improvements and for
inspections
• Appropriate budgets for ongoing structural maintenance work resulting
from issues identified during inspections

Measure:

• Planned inspection record in the ERP to comply with the specified annual
requirements
• Maturity in the understanding and use of ERP, SIMM and eSIMMs
• All sites to have at least one suitably trained structural inspector
• Budget and resource planning and availability to action required
maintenance of identified deterioration during inspections, including the
execution of the long term structural integrity strategy

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Data source:

• Group & BU HQ KPI’s

• Operational structure
• Approved budgets

Question:

Is SIMM embedded at the site or is it relying on individual acumen?

Is the site conducting inspections to the latest inspection guidelines?

Erosion factors:

Cause of control deterioration:

• Lack of the recognition of risks associated with structural failures

• Lack of Group and BU HQ support/ mandate
• Lack of budget
• Lack of in-house inspectors
• Inadequate quality of third party inspections

Preventative measures:

• Long term structural integrity strategy

• Sufficient structural awareness and organizational maturity with regards to
structural integrity
• Appropriate organizational structure and succession planning
• Fit-for-purpose approved budgets
• Approved service providers

Measure:

• Long term structural integrity strategy

• Budget and resource planning and availability to action required
maintenance of identified deterioration during inspections, including the
execution of the long term structural integrity strategy

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• Annual BU oversight reporting to include alignment or deviation between

actual structural condition of the operation versus recorded condition of
the operation

Data source:

• Current registered competent person’s inspection report

• Current eSIMMs condition report
• BU oversight report

Question:

• Has the operation deteriorated or improved in the last 12 month period

with regards to operability and structural safety?

Frequency of
Monitoring Annually after the latest SIMM.
Activity

Responsible
Site asset manager/ site reliability engineer
Person

• All risks associated with condition categories 4 & 5 are mitigated

• All deterioration repairs completed in the required time frame
• All inspections and rehabilitation work to be scheduled in the planned
maintenance system, eg.: SAP & Ellipse
• No inappropriate or unapproved modifications
• No unplanned shuts due to structural failures
• No progression of deterioration from condition category 3 to 4 and/ or 5.
• Annual inspections by certified in-house site inspectors according to the
latest Anglo American inspection guideline, to be completed within 3
Monitoring months of the required inspection date.
Activity • Three yearly inspections by registered competent person according to the
latest Anglo American inspection guideline, to be completed within 6
months of the required inspection date.
• Log all inspection observations of structural deterioration in eSIMMs
• Close-out of all structural deterioration issues within the priority period
recorded in eSIMMs
• Appropriate short term and medium term forecast for structural
maintenance/ repair spend based on approved long term structural
integrity strategy (considering, environmental & process conditions, and
current overall structural condition)

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• Budget and resource planning and availability to action required

maintenance of identified deterioration during inspections, including the
execution of the long term structural integrity strategy
• Forecast budgets versus actual spent
• Planned inspection record in the ERP to comply with the specified annual
requirements
• Maturity in the understanding and use of ERP, SIMM and eSIMMs
• All sites to have at least one suitably trained structural inspector
• Long term structural integrity strategy
• Annual BU oversight reporting to include alignment or deviation between
actual structural condition of the operation versus recorded condition of
the operation

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Operation Name
ORM Layer 1
STRUCTURAL FAILURE
PUE

3 top events, being:

ORM Layer 2 Top
Event(s) • Loss of stability
• Over loading
• Loss of structural integrity

Critical Control Detailed design review and condition assessment for structures with unknown
Name structural integrity

Monitoring
Detailed design review and condition assessment (SIMM+)
Activity Name

Purpose statement:

At the end of 25 years after commissioning of every structure, and every 25

years thereafter as long as the structure remains in use, a change
management process with a full design review of the structure shall be
initiated. This process shall assess all associated risks, including the ageing
of plant, changes in legislation, changes in process parameters and
accumulated significant structural modifications. Ultimately, the process must
ensure that the structure is still safe to operate.

Purpose Measures:

• Lower limit: All risks associated with condition categories 4 & 5 are
Control Purpose mitigated
• All structural modifications are verified, signed off and properly
documented.
• All latent defects in the structural design have been assessed and the
associated risks mitigated.
• The structure has been assessed against changing environmental
conditions, weather and process parameters
• No unplanned shuts due to structural failures

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Data source:

• Document management system

• Enterprise Resource Planning system (ERP, eg.: SAP & Ellipse)
• eSIMMs
• Historical production information from the site process data recording
system

Question:

• Is the asset older than 25 years?

• When was the last detailed design review conducted?
• Is the operation in a safe and operable condition?

Theory: Define the theory of the control (What needs to be done to achieve
the purpose and have confidence of the outcomes)

Control availability:

Requirements:

• Detailed design review schedule to be captured in the ERP system

• Detailed design review to be conducted in accordance to the latest Anglo
American Detailed structural design review guideline
• Detailed design review outcomes to include:
o Criticality assessment for all structures on the operation
Control Theory o Detailed audit to identify less conspicuous design errors or ill-
conceived modifications (not identified by a routine SIMM)
o Detailed review of process, maintenance management, climate or
any other environmental change since operation commissioning
that would have resulted in a significant change in structural
loading
o Review of all significant structural modification sign-offs
o All findings must include detailed mitigation actions (including
detailed design solutions) with appropriate prioritisation
• Detailed design review to be appropriately budgeted for

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Measure:

• Lower limit: Detailed design reviews have been conducted (in accordance
to the latest Anglo American Detailed structural design review guideline)
and documented every 25 years since operation commissioning
• Detailed design review to be scheduled in the planned maintenance
system, eg.: SAP & Ellipse. This should include appropriate triggers for the
planning and budget process at least 12 months ahead of the detailed
design review
• Actions of previous detailed design reviews have been closed-out within
the specified close-out period
• Appropriate budget provision and resource scheduling with confirmed
availability

Data source:

• Enterprise Resource Planning system (ERP, eg.: SAP & Ellipse)

• Previous detailed design review documentation
• Document management system
• eSIMMs
• Forecast budgets

Question:

• Is the detailed design review properly planned for including appropriate

budget provision and resource scheduling with confirmed availability?
• Is the ERP system triggers set up correctly in order to allow adequate time
to ensure proper planning and resource scheduling?

Control reliability:

Requirements:

• Frequent (once every 3 years) updates to the AA Detailed design review

guideline
• Annual oversight reporting by BU HQ to include summary of upcoming
detailed design reviews

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• Formal adjudication process with sign off from AS&R to be followed in

order to appoint competent structural engineer(s) who will conduct the
detailed design review

Measure:

• Only AS&R approved structural engineers to conduct detail design reviews

• Detailed design review schedules and tracking of associated actions
included in BU HQ annual oversight report
• AA Detailed design review guideline updated 3 yearly

Data source:

• AA Detailed design review guideline

• BU HQ annual oversight report

Question:

• Is the operation in a safe and operable condition?

• Are all significant structural modifications adequately documented and
signed off by competent persons
• Is the site engineering manager aware of the detailed design review
process requirements and has the process been planned accordingly?

Control survivability

Requirements:

• ERP (SAP/ Ellipse) planned detailed design review schedules

• Ongoing Group and BU HQ support with EXCO buy-in

Measure:

• Planned inspection record in the ERP to comply with the specified

requirements
• Maturity at site and BU HQ level in recognizing the benefit of detailed
structural reviews

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Data source:

• Group & BU HQ KPI’s

• ERP system

Question:

Is the detailed design review process embedded at the site or is it relying on

individual acumen?

Erosion factors:

Cause of control deterioration:

• Lack of Group and BU HQ support/ mandate

• Lack of site General Manager buy-in/support
• Lack of budget
• Poor management of technical change

Preventative measures:

• Long term structural integrity strategy

• Sufficient structural awareness and organizational maturity with regards to
structural integrity
• Fit-for-purpose approved budgets
• Approved service providers

Measure:

• Long term structural integrity strategy

• Appropriate budget provision and resource scheduling with confirmed
availability
• Only AS&R approved structural engineers to conduct detail design reviews

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Data source:

• Long term structural integrity strategy

• Budget
• Latest detailed design review assessment/report

Question:

• Does the long term structural integrity strategy include detailed design
review scheduling?
• Does the annual BU HQ oversight report include a summary of the detailed
design review schedule?
• Is the AA detailed design review guideline regularly updated

Frequency of
Monitoring Once every 25 years
Activity
Responsible
Site asset manager
Person
• Lower limit: All risks associated with condition categories 4 & 5 are
mitigated
• All structural modifications are verified, signed off and properly
documented.
• All latent defects in the structural design have been assessed and the
associated risks mitigated.
• The structure has been assessed against changing environmental
conditions, weather and process parameters
• No unplanned shuts due to structural failures
• Lower limit: Detailed design reviews have been conducted (in accordance
to the latest Anglo American Detailed structural design review guideline)
Monitoring and documented every 25 years since operation commissioning
Activity • Detailed design review to be scheduled in the planned maintenance
system, eg.: SAP & Ellipse. This should include appropriate triggers for the
planning and budget process at least 12 months ahead of the detailed
design review
• Actions of previous detailed design reviews have been closed-out within
the specified close-out period
• Appropriate budget provision and resource scheduling with confirmed
availability
• Only AS&R approved structural engineers to conduct detail design reviews
• Detailed design review schedules and tracking of associated actions
included in BU HQ annual oversight report
• AA Detailed design review guideline updated 3 yearly

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• Maturity at site and BU HQ level in recognizing the benefit of detailed

structural reviews
• Long term structural integrity strategy

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Operation Name
ORM Layer 1
STRUCTURAL FAILURE
PUE

3 top events, being:

ORM Layer 2 Top • Structure is not specified, designed and/or constructed appropriately
Event(s) • Loss of stability
• Over loading
• Loss of structural integrity

Critical Control
Design and Engineering Management Plan (DEMP)
Name
Monitoring
Project Quality Assurance
Activity Name

Purpose statement:

To ensure appropriate and fit for purpose design and construction of all capital
and SIB project related structures within Anglo American

Purpose Measures:

• Design validation: Confirmation that the commissioned project meets the

users requirements

Control Purpose
Data source:

• Commissioning and ramp-up report

• Project sign-off documentation

Question:

• Is a thorough design verification process followed involving all the relevant

stakeholders for project hand-over after commissioning?

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Control Theory Theory: Define the theory of the control (What needs to be done to achieve
the purpose and have confidence of the outcomes)

Control availability:

Requirements:

• Design and Engineering inputs: Application of appropriate user

requirements; design criteria; technical standards , specifications and
procedures
• Design and Engineering (D&E) control: Effective control of design and
Engineering activities are achieved

Measure:

• Appropriate technical documentation review and D&E control review for

SIB and Capital projects which have a risk consequence of moderate or
higher as per the AA 5x5 risk matrix

Data source:

• User requirements; design criteria; technical standards , specifications and

procedures (technical documentation)

Question:

• Is the project (Owners and design teams) using Anglo American approved,
fit for purpose technical documentation?

Control reliability:

Requirements:

• Design Review: A systematic review by the Owner Project Team and the
Engineering Contractor
• Design and Engineering deliverables: Engineering or design outputs that
satisfy project requirements

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• Design Verification: Design Verification is undertaken to ensure that the

Design outputs have met the design input requirements

Measure:

• Design review sign-off by project owners team

• Approved and signed off D&E deliverables
• Formal verification/ acceptance by the project (owner’s team) that the
user requirements were met
• Records of deviations where the user requirements were not met (decision
diary)
• Records of approved concessions with regards to non-compliance

Data source:

• Signed-off and approved project documentation, including:

o Design review records;
o D&E deliverables;
o Formal verification/ acceptance of the final design by the owner’s
team;
o Decision diary; and
o Approved concessions.

Question:

• Does the project execution comply with fit-for-purpose project quality

assurance practices? Note: due to the low-cost versus high value impact of
project execution practices “fit-for-purpose” should be substituted and
augmented with best practices where plausible

Control survivability

Requirements:

• Technical documentation review to be conducted at site, BU HQ and

Group level at least once every 3 years
• Ongoing enforcement/ mandate to execute projects and apply appropriate
project controls (including quality assurance)
• Ongoing Group and BU HQ support

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• Succession planning for owner’s team members to instill good practices

into future projects (SIB & capital)

Measure:

• Availability of updated and appropriate technical documentation

• Maturity in the use of up-to-date technical documentation by both the
owner’s team and the contracting team
• Organizational structure to ensure knowledge transfer and corporate
memory
• Mentoring provisions including appointed and allocated mentors and
those receiving mentorship

Data source:

• Technical documentation used

• Group & BU HQ KPI’s
• Operational structure
• Mentoring programs

Question:

• Is the project using the latest and appropriate technical documentation?

• Are senior managers supporting and mandating the principles of
appropriate design and engineering management plans?
• Does the operational structure ensure longevity of the good practices
associated with appropriate design and engineering management plans?

Erosion factors:

Cause of control deterioration:

• Lack of skilled owner’s team members

• Lack of class leading technical documentation, the review and availability
thereof.
• Lack of recognizing decline in design and construction skills, as is currently
internationally evident in the increase in number of structural failures
caused by poor design

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• Lack of Group and BU HQ support/ mandate to support budget and

resources towards class leading technical documentation

Preventative measures:

• Sufficient awareness and organizational maturity (as reflected in budgets

and recourses) with regards to the value of appropriate technical
documentation and reliable project controls in which include class leading
design and engineering management plans
• Appropriate organizational structure and succession planning
• Approved service providers who are well versed in the expectations placed
on them by Anglo American in terms of class leading design and
engineering management plans and Anglo American technical
documentation

Measure:

• Budget and resource planning to ensure class leading technical

documentation is maintained and made available
• Annual BU oversight reporting to include alignment or deviation between
expected project execution and actual project execution
• Organizational structure, succession planning and mentoring
• Record of approved service providers

Data source:

• Technical documentation
• Summary of decision diaries and approved concessions
• BU oversight report

Question:

• When projects (SIB & capital) are executed, are they executed in
accordance with class leading practices?

Frequency of
Monitoring
Activity Ongoing for every project (SIB & capital)

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Responsible Site: SIB manager, BU capital project managers, Group Project execution
Person team

• Design validation: Confirmation that the commissioned project meets the

users requirements
• Appropriate technical documentation review and D&E control review for
SIB and Capital projects which have a risk consequence of moderate or
higher as per the AA 5x5 risk matrix
• Design review sign-off by project owners team
• Approved and signed off D&E deliverables
• Formal verification/ acceptance by the project (owner’s team) that the
user requirements were met
• Records of deviations where the user requirements were not met (decision
diary)
Monitoring • Records of approved concessions with regards to non-compliance
Activity • Maturity in the use of up-to-date technical documentation by both the
owner’s team and the contracting team
• Organizational structure to ensure knowledge transfer and corporate
memory, including succession planning and mentoring
• Mentoring provisions including appointed and allocated mentors and
those receiving mentorship
• Budget and resource planning to ensure class leading technical
documentation is maintained and made available
• Annual BU oversight reporting to include alignment or deviation between
expected project execution and actual project execution
• Record of approved service providers

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Operation Name
ORM Layer 1
STRUCTURAL FAILURE
PUE

6 top events, being:

• Accelerated corrosion
• Unseen corrosion
ORM Layer 2 Top
• Ineffective structural inspections due
Event(s)
to poor visibility
• Over loading
• Trip hazard
• Lowered/ non-compliant hand railing
• Fire hazard (coal)

Critical Control
Housekeeping
Name
Monitoring
Housekeeping monitoring
Activity Name

Purpose statement:

Procedures defining the frequency and responsibility for cleaning of spillage and
checking housekeeping. This will reduce the likelihood of:
• Abuse related structural failures due to overloading
• Incorrect storage of spares
• Reduce the occurrence of unseen and accelerated corrosion
• Maintain safe hand railing heights
• Reduce trip hazards
• Structures obscured by spillage and other objects making effective
structural inspections impossible
Control Purpose

Purpose Measures:

• Management acknowledgement on improving housekeeping conditions.

• Sign a pledge that a no tolerance approach will be taken with regards to
housekeeping.
• All decking plates/ grating are clean, free from dust & rocks (ore), bolts and
any other objects that might fall or cause corrosion or accelerate
corrosion.
• Spillage and poor housekeeping are detected and addressed within one
week through effective inspections and effective work management of
associated actions

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Data source:

• Signed housekeeping pledge

• Visual tidiness of site (week-on-week photo record)

Question:

• Is the site tidy, free of excessive spillage and with no trip hazards present?
• Can all the structural components (including walkways, platforms and
stairs clearly be inspected for deterioration?

Theory: Define the theory of the control (What needs to be done to achieve
the purpose and have confidence of the outcomes)

Control availability:

Requirements:

• An effective housekeeping and spillage removal system/program in place

with accountabilities, measureable KPIs, etc
• Appointment of in-house site inspector(s) and allocated responsibilities
• Include housekeeping accountability with the individual who carries the
legal responsibility for the area
Control Theory • Housekeeping included in the annual budget cycle
• Ongoing housekeeping (everyday, everywhere by everyone)
• Intensive clean-up operations scheduled every 4 months
• Equipment designed, installed and maintained to result in minimum
spillage

Measure:

• Appropriate appointments and formal delegation of accountability

• Formal housekeeping KPI’s in place for responsible persons, measured and
tracked frequently
• Budget provisions for housekeeping
• Budget provisions to improve spillage caused by faulty equipment
• Measure production results against design nameplate capacities

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• Intensive clean-up operations every 4 months, to be scheduled in the

planned maintenance system, eg.: SAP & Ellipse

Data source:

• Enterprise Resource Planning system (ERP, eg.: SAP & Ellipse)

• Forecast budgets
• Week-by-week photo records

Question:

• Are the appropriate responsibilities formally delegated?

• Do the budgets include housekeeping as a predictable cost?

Control reliability:

Requirements:

• Housekeeping program sponsored and supported by the general manager

• All staff to be made aware and held responsible to complete inspections
with regards to housekeeping
• Escalation process to escalate witnessed poor housekeeping practices
• Consequence management

Measure:

• Planned intensive clean-up schedule and record in the ERP

• Budget and resource planning and availability to action required clean-up
operations
• Forecast budgets versus actual spent

Data source:

• ERP records
• Resource plan

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Question:

• Are the intensive clean-up operations scheduled in the ERP?

• Are people aware of their responsibilities with regards to housekeeping?
• Is consequence management fairly implemented?

Control survivability

Requirements:

• ERP (SAP/ Ellipse) planned intensive clean-up schedules

• Ongoing enforcement/ mandate to action clean-up actions
• Appropriate budgets for housekeeping
• Appropriate organogram structure to ensure housekeeping is executed by
the most appropriate department/ function

Measure:

• Planned clean-up activities in the ERP

• Maturity in the understanding the importance of effective housekeeping
• Budget and resource planning and availability to action required
housekeeping and equipment upgrades (to avoid or minimize spillage)

Data source:

• Operational structure at site level

• Approved budgets
• Amount of spillage caused by equipment
• Actual production levels versus designed nameplate production limits

Question:

Is housekeeping embedded at the site and does it form part of the culture or
is it executed sporadically (for example before inspections/ visits)?

Is everyone conducting housekeeping inspections, everywhere every day?

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Erosion factors:

Cause of control deterioration:

• Lack of the recognition of risks associated with housekeeping

• Lack of site management (SMT) support/ mandate
• Lack of budget

Preventative measures:

• Sufficient awareness, organizational maturity and structure with regards to

housekeeping
• Fit-for-purpose approved budgets for equipment improvements

Measure:

• Budget and resource planning and availability to action required

housekeeping, equipment maintenance and improvements

Data source:

• Week-by-week photographic records

Question:

• Has the operation deteriorated or improved in the last 4 month period

with regards to housekeeping, equipment spillage and overall neatness?

Frequency of
Monitoring Every week by Section Engineer.
Activity
Responsible
Site asset manager/ site reliability engineer.
Person

• Sign a pledge that a no tolerance approach will be taken with regards to

Monitoring housekeeping.
Activity • All decking plates/ grating are clean, free from dust & rocks (ore), bolts and
any other objects that might fall or cause corrosion or accelerate
corrosion.

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• Spillage and poor housekeeping are detected and addressed within one
week through effective inspections and effective work management of
associated actions
• Appropriate appointments and formal delegation of accountability
• Formal housekeeping KPI’s in place for responsible persons, measured and
tracked frequently
• Budget provisions for housekeeping
• Budget provisions to improve spillage caused by faulty equipment
• Measure production results against design nameplate capacities
• Intensive clean-up operations every 4 months, to be scheduled in the
planned maintenance system, eg.: SAP & Ellipse
• Forecast budgets versus actual spent

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Operation Name
ORM Layer 1
STRUCTURAL FAILURE
PUE

3 top events, being:

ORM Layer 2 Top
Event(s) • Loss of stability
• Over loading
• Loss of structural integrity

Critical Control
Corrosion prevention system/strategy
Name
Monitoring
Monitoring of corrosion protection system deterioration
Activity Name

Purpose statement:

To ensure the implementation of a long term strategy (including future

structures) for the protection of all structures (steel, concrete and timber)
against deterioration of the corrosion protection systems and durability
measures for the life of the operation.

Purpose Measures:

• Life expectancy and actual maintenance cycles match the intended

durability expectations of the specified deterioration protection system
Control Purpose • All deterioration repairs are completed in accordance with the required
time frame and long term strategic budget and schedule expectations
• No inappropriate or unapproved structural protection systems and
durability measures are used
• No progression of deterioration from condition category 2 to 3, 4 and/ or
5.

Data source:

• Long term structural integrity strategy

• Enterprise Resource Planning system (ERP, eg.: SAP & Ellipse)
• Appropriate corrosion protection systems and durability measures
• Specifications defining appropriate corrosion protection systems and
durability measures
• eSIMMs

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Question:

• Is the forecast short term and medium term budget in line with the plant
age and overall condition?
• Is the operation in a safe and operable condition?
• Are appropriate corrosion protection systems and durability measures
implemented?
• Do the actual corrosion protection systems and durability measures match
the long term structural integrity strategy

Theory: Define the theory of the control (What needs to be done to achieve
the purpose and have confidence of the outcomes)

Control availability:

Requirements:

• Ongoing SIMM and associated eSIMMs usage and population

• Long term structural integrity strategy to include structural protection and
durability measures
• Structural protection included in the annual budget cycle
• Appropriate scheduling of Structural protection

Control Theory Measure:

• Review performance of SIMM critical control measures

• Appropriate structural protection and durability measures to be included
in Long term structural integrity strategy
• Appropriate short term and medium term forecast for structural
protection spend based on approved long term structural integrity strategy
(considering, environmental & process conditions, and current overall
structural condition)
• Structural protection and durability to be scheduled and planned in the
ERP system

Data source:

• Long term structural integrity strategy

• Enterprise Resource Planning system (ERP, eg.: SAP & Ellipse)
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• eSIMMs
• Forecast budgets

Question:

• Does site have an approved long term structural integrity strategy which is
readily available?

Control reliability:

Requirements:

• Fit for purpose master structural protection and durability specifications,

updated periodically
• Inclusion of an appropriate Quality control plan for structural protection
and durability measures in the long term structural integrity plan
• Periodic review of the structural protection and durability measures to
confirm/review appropriateness for environment and process conditions
• Annual oversight reporting by BU HQ

Measure:

• Up to date master structural protection and durability specifications

communicated and available.
• Review and trend actual deterioration rate against planned
• Adequate quality assurance plan for structural protection and durability
measures
• Adherence to periodic review cycle to assess performance of structural
protection and durability measures using actual deterioration rate against
planned

Data source:

• Master structural protection and durability specifications

• Long term structural integrity strategy plan

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Question:

• Does the actual deterioration rate match planned?

Control survivability

Requirements:

• Ongoing Group and BU HQ support

• Appropriate budgets for ongoing structural protection and durability work

Measure:

• Maturity and appreciation for the consequences of premature

deterioration of structural protection
• Appropriate short term and medium term forecast for structural
protection spend based on approved long term structural integrity strategy
(considering, environmental & process conditions, and current overall
structural condition)

Data source:

• Group & BU HQ KPI’s

• Approved budgets

Question:

• Does the site General Manager, BU HQ and Group support and plan for
structural protection and durability?

Erosion factors:

Cause of control deterioration:

• Lack of the recognition of risks associated with structural protection

deterioration
• Lack of Group and BU HQ support/ mandate
• Lack of budget
• Poor service providers and/or products in the structural protection space

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Preventative measures:

• Long term structural integrity strategy

• Sufficient structural awareness and organizational maturity with regards to
structural integrity
• Adequate Quality assurance plan
• Fit-for-purpose approved budgets

Measure:

• Long term structural integrity strategy

• Annual BU oversight reporting to include overview of structural protection
and durability measures

Data source:

• Long term structural integrity strategy

• Budget
• BU oversight report

Question:

• Are the site structural protection and durability measures adequate?

Frequency of
Monitoring Once every 3 years.
Activity
Responsible
Site asset manager/ site reliability engineer
Person
• Life expectancy and actual maintenance cycles match the intended
durability expectations of the specified deterioration protection system
• All deterioration repairs are completed in accordance with the required
time frame and long term strategic budget and schedule expectations
• No inappropriate or unapproved structural protection systems and
Monitoring durability measures are used
Activity
• No progression of deterioration from condition category 2 to 3, 4 and/ or
5.
• Review performance of SIMM critical control measures
• Appropriate structural protection and durability measures to be included
in Long term structural integrity strategy

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• Appropriate short term and medium term forecast for structural

protection spend based on approved long term structural integrity strategy
(considering, environmental & process conditions, and current overall
structural condition)
• Structural protection and durability to be scheduled and planned in the
ERP system
• Up to date master structural protection and durability specifications
communicated and available.
• Review and trend actual deterioration rate against planned
• Adequate quality assurance plan for structural protection and durability
measures
• Adherence to periodic review cycle to assess performance of structural
protection and durability measures using actual deterioration rate against
planned
• Maturity and appreciation for the consequences of premature
deterioration of structural protection
• Long term structural integrity strategy
• Annual BU oversight reporting to include overview of structural protection
and durability measures

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