GROUP STANDARD

Shafts and Winders

 Group HSEC and Human Rights
Standard

SHAFTS AND WINDERS

Contents
1 Purpose . ............................................................................................................................................ 3
2 Scope . ................................................................................................................................................ 3
3 Key terms . ......................................................................................................................................... 3
4 Requirements..................................................................................................................................... 4
4.1 Design and approval ............................................................................................................... 4
4.2 Critical controls and systems .................................................................................................. 4
4.3 Risk management ................................................................................................................... 4
4.4 Shafts and Winders Management Plan . ................................................................................. 5
4.5 General design requirements ................................................................................................. 6
4.6 Implementation, operation and maintenance of the winding/hoisting system . ................... 9
4.7 Protection of workers within a shaft .................................................................................... 11
4.8 Instruction, training and competencies ............................................................................... 11
4.9 Audits ............................................................................................................................ 12 4.10
Records . ............................................................................................................................... 12
5 Additional resources ........................................................................................................................ 12
6 Accountabilities. .............................................................................................................................. 13

Title: Shafts and Winders Effective date: 31/03/2021 Version: 1-1 Page 2 of 13

ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
Standard

1 Purpose
The purpose of this Standard is to eliminate or minimise the potential for fatalities, injuries and
incidents arising from the risks associated with the operation and maintenance of shafts and
winders/hoists.

This may include: the failure of shaft geotechnical stability, shaft linings and fittings, internal support
structures, headgear, foundations, winding/hoisting facilities, winding and guide ropes and
conveyances.

Shafts and winders/hoists include vertical shafts and drifts/inclines, those in the course of development
or shaft sinking, as well as lifts installed within buildings.

2 Scope
The requirements herein apply to all Glencore managed Industrial Assets, Sites and Complexes where
mining shafts, drifts, and inclines are under development or sinking as well as to lifts installed in
buildings.

3 Key terms
Attachments – components used to connect a conveyance to the end of a rope. Components may
include: rope sockets, capels, pins, couplers, chain bars, detaching hook, rope swivels and swivel hooks
or similar.

Competent person – a person authorised by the Departments/Assets Manager as having the

knowledge, experience and skill to carry out the prescribed activity.

Competent Engineer – a qualified civil/mechanical/structural engineer who has graduated from an

accredited engineering institute and is appointed by the senior Asset Manager.

Conveyance – refers to any: car, carriage, cage, skip, kibble, counterweight or stage in which persons,
minerals or materials travel through a shaft or drift.

Engineering Audit Inspector – a qualified civil/mechanical/structural engineer who has graduated from
an accredited engineering institute, has theoretical and practical knowledge and experience relevant to
the type of inspection to be performed and, holds a current registration or equivalent with a relevant
professional body.

Engineering standards – a set of engineering standards that is applied to the mine to ensure equipment
is safe to use. This includes: competency of persons, design, installation, commissioning, operation and
maintenance, and decommissioning

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
Standard

Permit to Work – is an authorisation for work involving areas of inherent or potential danger where the
application of stringent precautions is necessary.

Qualified Engineer – a qualified civil/mechanical/structural engineer who has graduated from an

accredited engineering institute and holds a current registration or equivalent with a relevant
professional body and has experience in the type of equipment or structure.

Winders/hoists – include: drift winders, vertical shaft winders (friction and drum types), and shaft
sinking winders.

4 Requirements
4.1 Design and approval
4.1.1 Shafts, winders/hoists and associated attachments must be designed to meet engineering
standards specified by the regulator. Where local requirements are absent or do not meet
generally accepted international standards, suitable standards must be referenced and
applied. A design basis must be maintained summarising the standards applied in the design.
4.1.2 Designs must be certified by a Qualified Engineer, and all original plans and records retained.
4.1.3 Where specified in legislation, designs must be approved, certified or registered by the
regulator or an authorised body.
4.1.4 A reference list of relevant legislation requirements for shafts and winders/hoists must be
available within the site’s document records.

4.2 Critical controls and systems

4.2.1 All critical functions required for the safe use of the winder must be identified and
documented by the designer or Qualified Engineer.
4.2.2 Processes must be established to regularly inspect, monitor and verify the effectiveness of
critical controls.
4.2.3 Processes must be in place to verify any modifications to the critical controls and systems
including reviews and verification during commissioning.

4.3 Risk management

4.3.1 The designer, manufacturers and suppliers must carry out a risk assessment to evaluate all
risks to the safety of people from the use of the winding/hoisting system. They must identify
the design requirements and any other actions as required to control the risk in accordance
with the hierarchy of controls.
4.3.2 For new installations, the designer or Qualified Engineer must determine through the risk
assessment process the minimum safety integrity level or the required minimum category level
for each identified safety function and design an appropriate critical system to control the risk.

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
Standard

4.3.3 The risk assessment should be in a form which systematically analyses the failure
causes/modes and integrity of each critical system.
4.3.4 The Operator must complete an operational risk assessment prior to operations, reviewing all
hazards associated with operations to identify necessary operational controls.
4.3.5 The risk assessment must be reviewed using Change Management processes whenever there
are changes to operations, alterations are made to the winding system, or whenever a
significant incident occurs.
4.3.6 Any proposed modification to the existing shaft winding/hoisting systems will require the
application of a Management of Change process, including consultation between site
engineering personnel and the equipment designer. Final approval is required from the
equipment designer or a Qualified Engineer.
4.3.7 All modifications to winding/hoisting systems and associated equipment must be managed in
accordance with the legislative requirements and consider all existing and potential risks that
may result from a proposed change.
4.3.8 All changes to the critical maintenance tasks including scheduled intervals must be managed in
accordance with legislative requirements and will be reviewed, approved in the master
preventative maintenance schedule, and communicated to those who need to know.

4.4 Shafts and Winders Management Plan

4.4.1 With reference to the completed risk assessments, Assets must develop a Management Plan
describing how shafts and winders/hoists will be managed. The following are to be included in
the Management Plan:
a) A description of the shaft and winder facilities;
b) The method and key outputs of the hazard identification and risk management process,
including a bow tie;
c) Identification of critical controls and the process of verification;
d) The competency requirements of people involved in design, operation and maintenance;
e) An inspection schedule including requirements for recording results, management review, sign
off and retention of records;
f) A description of relevant design requirements in providing “fit for purpose” equipment, and
the means of management throughout its lifecycle e.g.:
1. Design standards, registration, installation and commissioning;
2. Maintenance management systems (preferably computerised);
3. Master preventative maintenance schedule including all planned inspections, tests,
maintenance, their required intervals and whether they are a critical activity;
4. Defect management;

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
Standard

5. Modification processes; and

6. Decommissioning processes;
g) Safe work practices including Safe Work Procedures (SWP’s), Job Safety Analysis (JSA’s) and
Work Permits;
h) Implementation including instruction, training and supervision;
i) Emergency preparedness;
j) Measurement and evaluation - the monitoring of the winder status including: operational
status, location and direction of conveyances, and speed of conveyances;
k) Triggers for auditing, review and improvement of the Management Plan; and
l) Accountabilities.

4.5 General design requirements

4.5.1 Every winding/hoisting system used must include the following criteria:
a) Ropes and devices designed to withstand all forces reasonably expected to be borne by the
ropes and devices, suitable safety factors must be established and maintained;
b) An independent safety monitor that prevents any shaft conveyance from overwind, moving at
an unsafe speed, excessive acceleration and deceleration, and uncontrolled movement. The
monitor must directly trip the winder in the case of faults or loss of power or communication;
c) Where people are transported at least 2 independent braking (or equivalent) systems that can
establish and maintain control of the winder/hoist in the event of a failure in any one of the
systems. At least one of the braking systems must apply directly to the winder/hoist drum;
d) A failsafe control loop that removes power from the winder/hoist motor(s) and causes the
winder to be brought to a safe state when the following applicable malfunctions are detected:
1. slack rope,
2. rope slip,
3. unsafe balance rope conditions,
4. unsafe coiling of rope,
5. shaft obstructions,
6. power system failure, overload, short circuit, loss of phase,
7. activation of the emergency stop by an operator,
8. fault from the safety monitor,
9. fault from any other critical (safety) device,
10. movement of the clutch of an operating double drum hoist,

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
Standard

11. brake component failure, and

12. fault in ancillary systems such as ventilation fans or hydraulic power units;
e) Warning systems to alert persons at the mine to any emergency in a winding system which
requires a response;
f) If it is reasonably practicable, remote monitoring of the functions of the system;
g) An effective means of communication:
1. between the surface and any shaft conveyance used for carrying persons,
2. between the point of control of the winder and the entry points to every shaft that is in use,
and
3. telephone or radio communication systems must supplement bell type signals where practical;
h) A closed or positive connecting device that safely attaches ropes to conveyances;
i) An interlock between the clutch and the brakes of a double drum hoist to release the brakes
on the clutched drum while the clutch is disengaged; and
j) In the case of multi-rope winders/hoists, a means to load the ropes as uniformly as possible.
4.5.2 The condition and performance of the winding system and its components must be tested and
monitored at intervals to ensure the safe performance of the system.
4.5.3 Energy lockout devices must be fitted to all mechanical and electrical plant associated with any
shaft, including any mechanical and electrical plant associated with the operation,
maintenance or use of the shaft.
4.5.4 The following matters must be considered in developing the control measures to manage the
risks associated with winding/hoisting systems:
a) the potential for instability and loss of integrity of the shaft,
b) the potential for fires in: underground operations, the shaft or winder areas,
c) the potential for any unintended or uncontrolled movement of the conveyances within the
shaft,
d) the potential for a conveyance to fall down the shaft, and
e) the potential for failure of or damage to equipment and control systems.
4.5.5 Ropes must be designed and procured with a Factor of Safety (FoS) that takes into account all
forces reasonably expected to be borne by the ropes and devices. This shall be in accordance
with recognised engineering standards and form part of the design validation process.
4.5.6 New ropes must meet the winder design specification and may not be placed into service
unless the rope manufacturer’s certificate is retained at the operation and contains the
following information:

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
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a) date of manufacture,
b) tensile strength, diameter, length and mass, and
c) class of steel used in its construction.
4.5.7 The Competent Engineer must confirm all winder ropes have their tensile strength tested and
confirmed by a nationally accredited testing station e.g.: National Association of Testing
Authorities (NATA) accredited laboratory.
4.5.8 Criteria must be established to determine when a rope is no longer suitable for any such use.
4.5.9 Attachments shall be certified and subject to a validation process that confirms the factor of
safety required under recognised engineering standards has been met.
4.5.10 Certifications and other relevant documentation must be provided and retained within the
plant file.
4.5.11 Shaft conveyances must be designed to protect any person being injured from or due to:
a) falling objects,
b) material being carried in a conveyance with the person,
c) material falling from a conveyance,
d) the person falling from a conveyance,
e) a part of the person extending out of the conveyance,
f) any material or plant being carried by other shaft conveyances, or
g) the wall of the shaft or anything in the shaft.
4.5.12 Interlocked shaft cage doors and/or platform gates (or keps) must be installed where practical
to prevent movement of the conveyance whilst the door is not fully closed.
4.5.13 The maximum number of persons and/or maximum weight of material that may be carried
shall be specified and posted at the shaft collar and/or cage entrance and the winder/hoist
operation station.
4.5.14 Material or plant being carried in a shaft conveyance:
a) Must not protrude from the shaft conveyance while it is moving so as to contact a wall of the
shaft or anything in the shaft; and
b) Must be so secured to the shaft conveyance that it cannot leave the shaft conveyance except
by being deliberately removed.
4.5.15 Where shaft conveyances that combine a cage and skip are used, material must not be carried
in the skip while persons are being carried in the cage.
4.5.16 Control measures must be implemented to prevent:

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
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a) A conveyance travelling into the dump or loading station while transporting people unless
positive zero energy measures are implemented to loading/dumping of the conveyance;
b) A shaft conveyance from falling down the shaft or incline; and
c) A conveyance over-travelling into a sump, and to maintain sumps at a safe level of water and
atmosphere.
4.5.17 Provisions must be provided for the emergency exit of persons from a conveyance.

4.6 Implementation, operation and maintenance of the winding/hoisting system

4.6.1 The design of the winding systems must ensure that reasonable operating forces have been
determined/communicated and the winder is operated within the design parameters,
including rope factors of safety.
4.6.2 Acceleration and deceleration parameters must be maintained and tested in accordance with
the winder design to prevent excessive forces on ropes, attachments and conveyance. Systems
that prevent overloading of the skip, such as load flasks, shall be regularly maintained and
tested.
4.6.3 A specific maintenance strategy must be developed for the shaft winders/hoists including
daily, weekly and periodic maintenance tasks.
4.6.4 Each rope used for the purposes of a winding system must be regularly inspected and tested to
ensure that it is safe for that use, including regular inspection and testing (non-destructive and
destructive) by a certified testing authority in accordance with recognised engineering
standards.
4.6.5 Slack rope detection systems must be inspected, calibrated and maintained. The system must
be regularly tested to confirm slack rope is continually being monitored.
4.6.6 Rope slip devices must be regularly inspected, tested, calibrated and maintained to confirm
the system is continually monitoring and preventing the unintended or uncontrolled
movement of the conveyances within the shaft.
4.6.7 The brake system installed on the shaft winders/hoists must be regularly inspected, tested and
maintained in accordance with the winder maintenance strategy to validate the braking
system is functioning as per its design. The results must be recorded for monitoring and
trending purposes.
4.6.8 Static brake tests and/or Maximum Out of Balance Torque (MOBT) testing (as applicable) must
be carried out in accordance with the maintenance strategy to indicate the holding capacity of
each brake path.
4.6.9 Dynamic brake tests and/or MOBT (as applicable) must be carried out in accordance with the
maintenance strategy, but only after static tests have been done and the results are
acceptable. Independent brake testing must also be completed by the Original Equipment
Manufacturer (OEM) in accordance with the maintenance strategy.

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

 Group HSEC and Human Rights
Standard

4.6.10 Non-Destructive Testing (NDT) of brake components must be conducted by an approved

testing authority in accordance with the maintenance strategy.
4.6.11 Guarding and barricading must be installed at each shaft entry to prevent the unplanned entry
and fall of mobile plant or other structure into the shaft. These must be regularly inspected
and maintained in accordance with the maintenance strategy.
4.6.12 Loads must be secured within a conveyance through the provision and use of approved tie
downs and/or anchor points.
4.6.13 Persons must be restricted from entering the shaft whilst work is being undertaken in the shaft
or on the headframe/structure. Persons using hand tools must use tool lanyards whenever
practical.
4.6.14 The shaft winder control systems must be inspected, tested and maintained to ensure it
operates as per its design, including failing to safe function. Furthermore, all control
parameters must be set with password protection to operate within the design criteria.
4.6.15 All winder protection systems must be tested in accordance with the maintenance strategy,
further independent testing must be completed by the designer or competent third party on a
periodic basis.
4.6.16 Procedures must be available and applied if a failure of any critical protection system occurs
and must trigger a shutdown of the winder system until the fault or defect has been repaired.
4.6.17 Overloading of the winding system must be prevented by systems designed to trip the winder
operation when overloaded or excessive torque is detected.
4.6.18 Overload protection systems must be regularly inspected, tested and maintained in
accordance with the winder maintenance strategy.
4.6.19 Periodic, scheduled inspections by competent site personnel must be carried out on the
structural components of the shaft winding systems, including but not limited to:
a) headframe,
b) foundations,
c) guarding,
d) walkways, platforms, handrails,
e) conveyances,
f) maintenance and inspection platform, and
g) shaft linings, guides, services and their supports.
4.6.20 The head frame and associated structures and services within the head frame and the shaft
must be maintained in accordance with the maintenance strategy.
4.6.21 Third party structural inspections in line with recognised engineering standards, including
inspections and sign off by a Qualified Engineer must be competed according to the master

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

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maintenance schedule with corrective work orders generated and completed based on the
findings of the inspections.
4.6.22 Attachments must be inspected and certified by an approved testing authority as per the rope
maintenance strategy, and be subject to periodic in-service inspections.
4.6.23 New attachments procured for shaft hoisting application must be certified and compliant to
recognised engineering standards.
4.6.24 Failure of drive line components must be managed in accordance with the maintenance
strategy. Inspections, testing and maintenance must be scheduled via the maintenance
management system including third party testing including but not limited to oil and vibration
analysis, crack testing, ultrasonic testing.
4.6.25 Protection features such as gear loss protection must be regularly tested to ensure it remains
fail to safe.
4.6.26 Undue horizontal movement of the conveyance, in stationary, ascending and descending
scenarios must be maintained by guide ropes or fixed guides. These ropes, associated
attachments or fixed guides must be regularly tested, inspected and maintained.

4.7 Protection of workers within a shaft

4.7.1 When work or examinations are taking place within a shaft or headframe:
a) Winding/hoisting must be suspended, except where necessary to conduct the activity;
b) Protection from accidental contact with any moving part or falling objects must be provided;
and
c) The power supply to conveyor belts, gates and other devices above the worker/s must be
isolated and mechanically secured in the closed position through a Permit to Work process.

4.8 Instruction, training and competencies

4.8.1 Shafts and winders/hoists must be under the control of a Competent Engineer. All persons
involved in winding/hoisting systems including designers, supervisors, operators and
maintenance personnel must be trained and assessed for their competencies.
4.8.2 The minimum acceptable competencies are to be nominated; areas covered must include:
a) knowledge and understanding of hazards and controls, in particular critical controls,
b) safety procedures including emergency procedures,
c) operating, maintaining and repairing of the winding systems,
d) energy isolation and restoration,
e) inspection and testing of the winding system,
f) understanding the purpose and function of safeguards that protect personnel,

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

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g) reporting of faults and defects, and

h) use of protective equipment.

4.9 Audits
4.9.1 Winders/hoists must undergo safety audits by an independent and recognised specialist
Engineering Audit Inspector at least every five years that verifies:
a) The winding/hoisting system is operating within the specified design specifications;
b) The operation, servicing, testing and maintenance of the winding/hoisting system;
c) The Management Plan is adequate and is being followed; and
d) The Management of Change process is in place and is being used effectively for all changes.

4.10 Records
4.10.1 Safety related aspects of winders/hoists must be fully documented. Records must include:
a) design specifications, functions and other documents,
b) designs documentation for certification, registration,
c) hazard identification and risk assessment documents,
d) risk control methods,
e) consultation records,
f) components certification and test certificates,
g) commissioning and test results,
h) identification of all safety critical systems,
i) maintenance records, safety inspections and test reports,
j) defects management system,
k) change of procedures, monitoring and audit and review reports,
l) reports of accidents, incidents and associated safety statistics,
m) training and competency records,
n) winder/hoist modifications or alterations, and
o) audit reports and associated actions.

5 Additional resources
External resources:

• Mine Design Guideline MDG 33 Mine Winders Parts 1 to 7 (New South Wales, Australia).

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ID: G-S-STD-0002 Review period: 3 years Status: Approved

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• Part X - Regulation 854 – Mines and Mining Plants (Ontario Canada).

• Pending – AS_NZS 4730.2 & 4730.1.

6 Accountabilities
Team Accountabilities

Corporate HSEC Leads • Publish and maintain this document, use it as a basis for relevant
corporate audits.
Commodity Departments • Apply the requirements of the Standard within the Department and
monitor its application.
Industrial Assets • Apply the requirements of the Standard within the Asset and
appoint relevant people to manage the process.
All employees/contractor • Be aware of the hazard and signs of shaft or winding system failure,
and report any associated incident, damage or indications of
concern.
• Follow all rules regarding access, operations and maintenance
associated with shafts and winders.

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ID: G-S-STD-0002 Review period: 3 years Status: Approved