Accreditation Modules
Information Session
October 2015
Auditors Information Session – Program
8:30 – 8:40 – Welcome & Housekeeping
8:40 – 9:00 – Accredited Mass Management Scheme (AMMS)
9:00 – 10:00 – Accreditation Mass Management Module Standards
10:00 – 10:15 – Morning Tea
10:15 – 11:15 – Accreditation – Dimension and Loading Module Management
Module Standards
11:15 – 11:45 – Accreditation Business Rules
11:45 – 12:00 – Questions
12:00 – Close
Heavy Vehicle Services
Industry Information
Session – July 2015
An Introduction to the
Accredited Mass
Management Scheme
(AMMS)
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Auditor Information Session – 2015
 The new scheme was developed in consultation with the
Ministerial Heavy Vehicle Advisory Panel.
 Provides WA transport industry with a flexible
concessional loading scheme and provides confidences
to road asset owners.
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Auditor Information Session – 2015
 The new scheme does not prescribe the loading methods that must be
used, which is the case with existing schemes. Rather, the new scheme
allows any proven loading control method to be used for any load type.
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Auditor Information Session – 2015
The new scheme utilises a network approach, similar to the existing base RAV
Networks (RAV Networks 1-10).
 This will improve efficiency for the transport industry, as once the road is
approved for the concessional loading network, it will be available to all
operators.
 CA07 condition may still exist on certain Local Government roads(requires
the transport operator to obtain and carry written approval from the road
owner).
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Auditor Information Session – 2015
LEVEL 1
Axle Mass Limits
Axle Group
Brief Description
Tonnes
Single steer axle
6.0*
Tandem axle (dual tyres)
17.0
Tri-axle (dual tyres)
21.5
Operators must comply with the approved level of
extra mass, Mass Management Standards and
WAHVA Business Rules.
Equivalent to the current Certified Weighbridge Mass
Management Scheme (CWMMS) and the national
Concessional Mass Limits (CML).
Allows alternative loading control methods, providing
greater flexibility to transport operators who are able
to prove accurate loading.
Vehicle mass needs to be controlled within prescribed
limits prior to entering the public road system.
Note: Steer axle mass exemptions may be used in conjunction with an AMMS permit
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Auditor Information Session – 2015
LEVEL 2
Axle Mass Limits
Brief Description
Single steer axle
6.0*
Tandem axle (dual tyres)
17.0
Operators must comply with the approved level of
extra mass, Mass Management Standards and WAHVA
Business Rules.
Tri-axle (dual tyres)
22.5
Equivalent to the national High Mass Limits (HML).
Axle Group
Tonnes
Allows alternative loading control methods, providing
greater flexibility to transport operators who are able
to prove accurate loading.
Vehicle mass needs to be controlled within prescribed
limits prior to entering the public road system.
Note: Steer axle mass exemptions may be used in conjunction with an AMMS permit
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Auditor Information Session – 2015
LEVEL 3
Axle Mass Limits
Axle Group
Brief Description
Tonnes
Single steer axle
6.0*
Tandem axle (dual tyres)
17.5
Tri-axle (dual tyres)
23.5
Operators must comply with the approved level of
extra mass, Mass Management Standards and
WAHVA Business Rules.
Equivalent to the current Concessional Loading Bulk
Products Scheme (CLBPS).
Allows alternative loading control methods,
providing greater flexibility to transport operators
who are able to prove accurate loading.
Vehicle mass needs to be controlled within
prescribed limits prior to entering the public road
system.
Note: Steer axle mass exemptions may be used in conjunction with an AMMS permit
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Auditor Information Session – 2015
The transport operator is required to have appropriate loading control methods
in place to ensure compliance with allowable mass limits.
 The loading control methods must be capable of controlling the vehicles
gross mass and load distribution across axle groups.
 The appropriate loading control methods must be in place from the time of
permit application.
 Auditable records and documents must be kept to demonstrate compliance
from this time.
 To apply for AMMS permits, an AMMS application form must be submitted,
which includes a declaration stating the appropriate control methods are in
place.
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Auditor Information Session – 2015
A supplier with a certified weighbridge used by multiple transport operators
may apply for their weighbridge to be included on the AMMS Approved
Weighbridge Supplier Member list.
 The weighbridge operator will need to supply Main Roads with certification
and calibration documentation with their application form.
 The weighbridge application form must be submitted, which includes a
declaration stating the weighbridge can determine and record the vehicle’s
gross mass and load distribution across axle groups.
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Auditor Information Session – 2015
Benefits of having a weighbridge on the AMMS Approved
Weighbridge Supplier Member list include:
 Transport operators using an approved weighbridge as their
sole loading control method may simply refer the approved
weighbridge when addressing the criteria for the relevant
standard in the Mass Management Module.
 The maintenance and operation of the approved weighbridge
remains the responsibility of the weighbridge operator.
 The list is published on the Main Roads website.
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Auditor Information Session – 2015
 AMMS permits became available to transport operators from
the 27th April 2015.
 Operators with existing CWMMS and CLBPS permits will be
given 12 months to meet the requirements and transition over
to AMMS. The CWMMS and CLBPS permits will not be available
after the 26th April 2016.
 Applications for a CWMMS and/or CLBPS permit made by new
operators and /or made for new operations will not be
accepted. All new operators and new operations will be
required to submit applications for an AMMS permit.
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Auditor Information Session – 2015
All AMMS related documentation can be found on the Heavy Vehicle
Services website, please visit www.mainroads.wa.gov.au under Using
Roads > Heavy Vehicle Services > Permits > AMMS
 AMMS Information Sheet
 AMMS FAQ
 AMMS Application Form
 Weigh Bridge Application Form
 AMMS Approved Weigh Bridge Supplier Member List
 Concessional Networks
QUESTIONS
New Accreditation
Modules
Heavy Vehicle Services
Auditor Information
Session – 2015
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Auditor Information Session – 2015
What are the enhancements to the Accreditation Module Standards?
• Any entity wishing to be accredited must have three compulsory modules:
 Maintenance Management Modules Standards
 Fatigue Management Module Standards
 Dimension and Loading Management Module Standard
• The Mass Management Module Standard - only required when an entity
wishes to operate with higher mass limits – operate under AMMS
• The new regulations make reference to the Accreditation Business Rules,
which provides them a legal status and forms part of the accreditation
process.
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Auditor Information Session – 2015
Important Changes to note:
• Accreditation payments:
– One off payment of $225.00 for three years
– Payment instalments no longer accepted
• Two New Modules:
– Mass Management Module Standards
– Dimension & Loading Module Standards
• The Business Rules are now referenced in the regulations
• More governance is being placed around audits and auditors
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Auditor Information Session – 2015
What is expected?
Operators are not expected to have these modules up and running now, the plan
is to:
– Include the module(s) in the first audit an operator has due after the 1st of
January 2016
– Operators are to have all requirements in place at the time of the audit
– Example – Compliance Audit due 5/03/16 – requires:
• Fatigue
• Maintenance
• Dimension and Loading
– If operating under AMMS then also requires the Mass Management
Module
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Auditor Information Session – 2015
The accreditation requirements are designed to assist operators in
complying with the new regulations. If you have the appropriate
documentation, records, process, instructions and training as
required in the modules and business rules then you have, at least,
the start of a reasonable steps defence if you are found to be in
breach of the regulations.
Heavy Vehicle Services
Auditor Information
Session –
WA Heavy Vehicle
Accreditation Scheme:
Enhancements to the
Mass Management
Module Standard
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Auditor Information Session – 2015
• The Mass Management Module Standards is not a mandatory requirement to
become or remain a Heavy Vehicle Accredited operator.
• Only operators with AMMS permits will be required to have the module as part
of their accreditation.
• Accredited operators who are not already accredited in the Mass Management
Module Standards are required to have the module included in their
accreditation before being issued an AMMS permit.
• In order to have the Mass Management Module included as part of an
operator’s accreditation an audit must be conducted on their Mass
Management System.
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Auditor Information Session – 2015
• As of 1 January 2016 applicants (new or existing) seeking to participate in
the Accredited Mass Management Scheme (AMMS) must submit an entry
audit.
• Existing accredited operators may conduct an entry audit for the Mass
Management Scheme at any time during an accreditation cycle. Future
compliance and re-entry audits will be conducted as part of normal
accreditation audits.
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Auditor Information Session – 2015
• Operators must conform to the standards in this module.
• Ensure all operators participating in this module are achieving at least the
same minimum level of compliance.
• Operator’s Mass Management System (MMS) must comply with these
Standards.
What is Mass Management System?
The term “Mass Management System” means the procedures developed and
documented by the operator to qualify for AMMS.
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Auditor Information Session – 2015
Operators must conform to the standards in this module. To remain
accredited, the operator must have documents and records to prove their
method works and vehicles are loaded within the mass requirements. In
part, this means keeping records of all loads carried on their vehicles to
show they are within the allowable mass limits.
The following Standards have been developed to ensure all operators
participating in this module are achieving at least the same minimum
level of compliance. The operator’s Mass Management System (MMS)
must comply with these Standards.
This document explains the standards and what they mean in practical
terms. It also explains what operators are required to do in order to
comply with the Standards and how they can demonstrate compliance.
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Auditor Information Session – 2015
• There are SEVEN Standards in this Module
1.
2.
3.
4.
5.
6.
7.
Eligibility Requirements
Vehicle Control
Vehicle Loading – Mass
Responsibilities
Records and Documentation
Internal Review
Training and Education
• There are checklist at the end of each standard to assist operators and
auditors in determining whether or not they are complying with the
standards.
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Auditor Information Session – 2015
STANDARD 1: ELIGIBILITY REQUIREMENTS
Standard:
Prior to being approved under AMMS, operators must declare they
have loading controls in place through their Mass Management
System to meet the Mass Management Module Standards.
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Auditor Information Session – 2015
STANDARD 1: ELIGIBILITY REQUIREMENTS
Criteria:
To satisfy this standard the operator must:
1.1 Provide appropriate documents and records in an audit to
demonstrate the loading control methods were implemented at the
time AMMS permits were first issued.
1.2 Engage a qualified Heavy Vehicle Auditor to audit the Mass
Management System.
1.3 Complete an Entry Audit or a Mass Management Module Audit
and submit the completed audit to MRWA for processing.
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Auditor Information Session – 2015
Checklist for Standard 1:
• Has a Mass Management System been established in
accordance with these Standards?
• Have appropriate records been kept to demonstrate loading
controls have been in place since the time AMMS permits were
first issued?
• Has an Entry Audit been completed by an approved third Party
Auditor?
• Has a completed audit been submitted to MRWA?
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Auditor Information Session – 2015
Matrix for Standard 1:
• Provide appropriate documents and records in an audit to
demonstrate the loading control methods were implemented at
the time AMMS permits were first issued
NOTE: Whilst the Mass Management System may not be fully
developed initially, a minimum requirement is the loading control
method must be demonstrated and documented prior to AMMS
permits being issued.
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Auditor Information Session – 2015
Assessment Step for Standard 1:
• Review procedures to ensure they can demonstrate control
over the vehicle loading process. What date was the procedure
implemented?
• Review a sample of AMMS permits to ensure no
commencement dates were prior to the loading control
procedures being in place (if AMMS permits already issued).
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Auditor Information Session – 2015
STANDARD 2: VEHICLE CONTROL
Operators must ensure all vehicles operating under AMMS meet the technical specifications
required for the relevant higher mass limits.
Criteria:
2.1 Have a comprehensive register of all vehicles operating under AMMS (including subcontractor’s vehicles). The register must include the following details about each
vehicle used under the Accredited Mass Management Scheme:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
Make and model
Registration number
Registered owner
Vehicle Identification Number (VIN)
Tare mass
Gross Vehicle Mass (GVM) rating
Gross Combination Mass (GCM) rating
Date added to or removed from vehicle list
Relevant AMMS permit number and expiry date
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Auditor Information Session – 2015
STANDARD 2: VEHICLE CONTROL
2.2 Have procedures in place to ensure all vehicles have sufficient ratings to
conform to the authorised higher mass under which they will be
operating.
2.3 Have procedures in place to ensure all nominated vehicles have the
required authorisations (i.e. licences, permits or order) to operate under
AMMS, prior to operating on the public road network.
2.4 Be able to demonstrate any nominated subcontractor vehicles are
operating exclusively for the operator. If a subcontractor wishes to work
for others, they must be accredited in their own right.
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Auditor Information Session – 2015
Matrix for Standard 2:
Have a comprehensive register of all vehicles operating under the
Accredited Mass Management Scheme (including sub-contractors
vehicles). The register must include the following details about each
vehicle used under the Scheme:
•
•
•
•
•
•
•
•
•
Make and model
Registration number
Registered owner
Vehicle Identification Number (VIN)
Tare mass
Gross Vehicle Mass (GVM) rating
Gross Combination Mass (GCM) rating
Date added to or removed from vehicle list
Relevant AMMS permit number and expiry date
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Auditor Information Session – 2015
Assessment Step for Standard 2:
• Review the register to ensure it contains all required information
fields for each vehicle operating under the Accredited Mass
Management Scheme, inclusive of all vehicle details.
• Review procedures for ensuring the register remains up-do-date.
Ensure documentation is available detailing the responsible person
for maintenance of the vehicle list, how and when the list will be
updated and how Main Roads WA will be advised a vehicle has been
added/deleted from the list.
• Verify the documented vehicle list is available to the appropriate staff.
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Auditor Information Session – 2015
Matrix for Standard 2:
NOTE:
When considering the relevance of this indicator, the auditor should
consider the number of vehicles to be covered by the application for
certification under the Scheme and the dispersion of the vehicles over
the different locations at which they are garaged.
For example, in the case of an operator which has only a small number
of vehicles garaged in a central location, ensuring the register remains
up-to-date will not be difficult and specific procedures to achieve this are
likely to be unnecessary.
However, if there are a large number of vehicles garaged at a number of
different locations, specific procedures will be appropriate to ensure the
register is updated to reflect new or sold vehicles and changes to
vehicle specifications and registration details.
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Auditor Information Session – 2015
Matrix for Standard 2:
Have procedures in place to ensure all vehicles have sufficient ratings to conform to the
authorised mass under which they will be operating.
Assessment Step
Verify evidence of ratings for vehicles (i.e. registration papers, engineering certificates or
compliance plates).
-
Have procedures in place to ensure all nominated vehicles have the required
authorisations (i.e. licenses, permits or order) to operate under AMMS, prior to operating
on the public road network.
Assessment Step
Review procedures for maintaining the register to ensure all vehicles have a current AMMS
permit.
-
Be able to demonstrate any nominated subcontractor’s vehicles are operating exclusively
for the operator.
Assessment Step
Verify records and documentation regarding sub-contractors working exclusively for the
operator or being accredited in their own right.
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Auditor Information Session – 2015
Matrix for Standard 2:
NOTE:
If a subcontractor wishes to work for others, they must be
accredited in their own right.
Documentation should exist which specifies how vehicles, which
are sub-contracted to the operator, are to be ‘captive’ or secured.
For example - evidence of a formal agreement in place between
the operator and sub-contractor identifying that the sub-contractor
works solely for this operator.
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Auditor Information Session – 2015
STANDARD 3: VEHICLE LOADING – MASS
Standard:
The Mass Management System must be able to demonstrate the
methodology used to ensure vehicles are loaded within allowable
mass limits. Before the vehicle departs, it must be weighed, or
have its weight assessed by other means.
The methodology must be able to allow for normal variations of
the product and still ensure all mass requirements are met. The
loading system must control vehicle loadings within the allowable
limits, prior to the vehicle travelling on the road.
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Auditor Information Session – 2015
STANDARD 3: VEHICLE LOADING – MASS
Criteria:
3.1 Demonstrate the loading method is capable of controlling the vehicle’s
gross mass and load distribution across axle groups as shown in
Appendix 1. Specify how the mass is recorded and where the records
are kept for each trip.
3.2 Describe how any variations, such as load density, temperature, size
variations etc., will be controlled.
3.3 Describe the procedure for dealing with vehicles detected as being
overloaded.
3.4 Provide certification that any devices used for establishing mass or
volumes have been appropriately calibrated in accordance with
manufacturer’s specifications, or National Measurement Institute
(NMI) regulatory requirements.
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•
•
•
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Auditor Information Session – 2015
Checklist for Standard 3:
Does the Mass Management System have a procedure for
establishing the mass of the load by axle and gross weights?
Has the procedure been verified and is there a schedule in
place for continual verification to ensure the loading is within
the allowed tolerances?
Is there a system in place for keeping auditable records of the
measured weights?
Does your procedure have specific instructions for loading
where there may be variance in the loads, such as
– Density
– Wet over dry material
– Aggregate size
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•
•
•
•
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Auditor Information Session – 2015
Checklist for Standard 3:
Are all parties involved in the loading process aware of the
vehicle’s maximum mass and where the mass should be
placed for correct distribution?
Is there specialist equipment involved and are staff suitably
trained to use the equipment and are there documented
procedures available?
If a third party is used, are they trained accordingly and where
are the records, training requirements and information
packages kept?
Is there a procedure in place for dealing with overloaded
vehicles and are staff aware of the procedure?
Are the maintenance and calibration records available?
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Auditor Information Session – 2015
Assessment Steps 3:
Review procedures to ensure they can demonstrate control over
the vehicle loading process including:
• How the mass is determined prior to departure by weighing or
method of assessment.
• The type of measuring system is used.
• How is the vehicle loading limits established?
• What procedures exist to ensure the loading complies with
gross mass and load distribution across axle groups applicable
to the vehicle.
• Specify the equipment and facilities required to undertake
individual activities.
• How details of the vehicle and load are to be produced and
recorded for each trip.
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Auditor Information Session – 2015
Assessment Steps 3:
For the various types of vehicles and loads:
• Is mass determined prior to departure? How?
• Describe the measuring system used. Consider whether it is
objective.
• Describe how vehicle loading limits have been established.
• How does the operator ensure loading actually complies with
axle/gross mass restrictions applicable to the vehicle?
• Is any specialised equipment or facilities required to undertake
activities within the mass assurance system?
• If so, what equipment and what activities are they used for?
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Auditor Information Session – 2015
Assessment Steps 3:
Where different methods are used to establish vehicle/axle group
mass, review procedures to ensure they address all methods
utilised.
Summarise the different methods of recording required evidence.
• How and where are the details of the weight of a vehicle and
load produced?
• Who produces this documentation?
• When is this documentation produced?
• Where are the documents kept
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Auditor Information Session – 2015
Assessment Steps 3:
• Review procedures to ensure there is a schedule in place
for continual verification to ensure the loading is within
the allowed limits.
• Review procedures where verification identifies
deficiencies in the method of assessment and how the
method is to be corrected.
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Auditor Information Session – 2015
Assessment Steps 3:
• For each type of load the operator carries ensure procedures are in
place to review the processes and identify possible variations in
loads. This should also specify how compliance is to be ensured and
how product loading is to be controlled.
• Verify documentation and records to show all parties involved in the
loading process are aware of the vehicles maximum mass and where
the mass should be placed for correct distribution.
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Auditor Information Session – 2015
NOTE: Mass variations may exist for common load types.
For example, where loading is controlled by number, the
system must give regard to variations in density (e.g.:
density of timber can vary for different types of wood and
due to the water content of the same type of wood).
Where it is controlled by volume (e.g. liquids), then the
mass management system must give regard to the
variations in specific gravity (e.g. cement can have different
mass per volume depending on the mixture used/water
content which can vary from batch to batch; and the specific
gravity of petrol and other liquids can vary from batch to
batch).
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Auditor Information Session – 2015
Assessment Steps 3:
• Verify documented procedures and records relating to
staff training including 3rd parties on use of all equipment.
• Evidence of up-to-date maintenance and calibration
records.
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Auditor Information Session – 2015
STANDARD 4: RESPONSIBILITIES
Standard:
The Mass Management System must clearly identify what tasks
are involved in loading a vehicle, each person who is involved
and their responsibilities during each task. Each person must be
competent to undertake the task
Note:
An operator could choose to have a separate list of all the people
involved in the Mass Management System and what they are
responsible for or the positions or people responsible for the
tasks could simply be named. It is important that somewhere the
operator clearly identifies the tasks to be carried out and who is
responsible for performing each task.
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Auditor Information Session – 2015
STANDARD 4: RESPONSIBILITIES
Criteria:
To satisfy this standard the operators Mass Management System must:
4.1 Clearly identify what the tasks in the Mass Management System are.
4.2 Cleary identify who is responsible for carrying out each task listed in the Mass
Management System.
4.3 Contain current and detailed Responsibility Statements for each position
involved in the Mass Management task.
4.4 Ensure Responsibility Statements are read, signed and dated by each person
responsible for the task.
4.5 Ensure all people assigned to the task are appropriate for the task and suitably
trained.
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Auditor Information Session – 2015
STANDARD 4: RESPONSIBILITIES
Criteria:
4.6 Ensure there is a suitable trained back-up person
capable of carrying out the task should the responsible
person not be available.
4.7 Ensure all relevant staff know how to access the written
record stating their responsibilities.
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•
•
•
•
•
•
Auditor Information Session – 2015
Checklist for Standard 4:
Is there a documented task list?
Are the tasks defined and could another person follow the
steps to do the work?
Is there a documented competency assessment?
Have the responsibilities for each task been
documented?
Have all the relevant staff members been instructed on
what their responsibilities are?
Do all the relevant staff members know how to access
their documented work instruction?
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Auditor Information Session – 2015
Checklist for Standard 4:
• Does the Mass Management System include procedures for ensuring
the standards are met and correct procedures followed?
• Are all staff aware who is responsible for each component of the
loading and who they report to?
• Is there an appointed person/s to ensure the Mass Management
System is followed?
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Auditor Information Session – 2015
Assessment Steps 4:
• Verify the tasks have been identified in the mass management
system policies and procedures, together with who is responsible for
carrying out each task, including who is responsible for ensuring the
system is being maintained and followed.
• Review Statements of Responsibility – these can be either
standalone documents or documented with job descriptions.
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Auditor Information Session – 2015
Assessment Steps 4:
• Verify the policies/procedures ensure the people assigned to each
listed task are appropriate for the task.
• Verify the policies/procedures ensure all of the relevant staff are
aware how to access the written record of their responsibilities
NOTE: The size and complexity of the operator’s systems will affect the
level of detail required to satisfy the above compliance indicators
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Auditor Information Session – 2015
STANDARD 5: RECORDS AND DOCUMENTATION
Standard:
A Mass Management System must contain sufficient
records and documentation to verify all Standards have
been complied with.
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Auditor Information Session – 2015
STANDARD 5: RECORDS AND DOCUMENTATION
Criteria:
To satisfy this standard an operators Mass Management System must:
5.1 Have documentation recording all policies and procedures required
under these Standards.
5.2 Ensure all required records are legible and identifiable to the vehicle,
driver and trip involved.
5.3 Ensure current documentation is available to all relevant staff and at all
locations where operations related to load management are
undertaken.
5.4 Ensure all elements of the Mass Management System are maintained
and updated and the responsibility for this task is documented.
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Auditor Information Session – 2015
STANDARD 5: RECORDS AND DOCUMENTATION
Criteria:
5.5 Ensure all documents and records be kept for a minimum of three
years (includes superseded procedures).
5.6 Ensure the following records and documentation be retained for
each trip:
• The registration details of all vehicles in the combination used.
• Applicable authorisations (i.e. licenses, permits and orders) under
which the vehicle was operating.
• Details of the load carried.
• The masses of the vehicle, and/or the methodology used for
determining this information.
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Auditor Information Session – 2015
Checklist for Standard 5:
•
For each vehicle / journey, have sufficient records and documentary evidence
been kept to show all relevant Standards have been met?
•
Has sufficient documentary evidence been kept to show records, procedures and
methods in place under the Mass Management System are regularly reviewed?
•
Does the Mass Management System have procedures for ensuring all relevant
staff can access or know how to access the Mass Management System and
other relevant documents?
•
Does the Mass Management System have documentary evidence a record of
nominated vehicles is kept and regularly updated?
•
Are all relevant records and documentation stored in a manner to allow an
auditor to conduct the necessary audits in an effective and efficient manner?
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Auditor Information Session – 2015
Assessment Steps 5:
• Ensure all required records are legible and identifiable to the vehicle,
driver and trip involved.
• Verify documentation is available to all relevant staff and at all
locations where operations related to mass management are
undertake
• Verify statement of responsibility, which should identify the
responsible person for maintaining and updating the relevant
documentation
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Auditor Information Session – 2015
Assessment Steps 5:
As a minimum the appropriate documentation for each trip must include:
• The registration details of all vehicles in the combination used for each
trip.
•
Applicable authorisations (i.e. licenses, permits and orders) under which
the vehicle was operating for each trip.
•
Details of the load carried for each trip.
•
The gross masses and load distribution across axle groups of the
vehicle for each trip, and the methodology used for determining this
information.
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Auditor Information Session – 2015
Assessment Steps 5:
• Documented evidence a record of nominated vehicles is
kept and regularly updated
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Auditor Information Session – 2015
STANDARD 6: INTERNAL REVIEW
Standard:
An annual internal review must be conducted to ensure loads are being adequately
controlled and all activities are being carried out in accordance with the Mass
Management System. An internal review of the Mass Management System is required to
confirm the ongoing relevance and appropriateness of processes and practices. An
effective review will identify non-conformance and the actions taken to correct the nonconformance.
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Auditor Information Session – 2015
STANDARD 6: INTERNAL REVIEW
Criteria:
To satisfy this standard an operators Mass Management System must:
6.1 Include procedures for carrying out annual internal reviews that
cover:
• When the reviews are to take place.
• Who is to conduct them.
• How the reviews are to be conducted.
• The checklists of documents and records to be used for the
review.
6.2 Ensure where practicable, the internal review is to be carried out by
a person not involved in the operation of the procedures being
reviewed.
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Auditor Information Session – 2015
STANDARD 6: INTERNAL REVIEW
Criteria:
6.3 Separate from the annual internal review, an operator must have written
procedures to ensure all non-conformance identified at any time during the year,
including during regular compliance reporting, are corrected.
The procedures for handling non-conformance must include:
• How non-compliances can be detected
• Who is responsible for detecting them
• Who else should be told about them
• Corrective action to be taken
• Timeframes for reporting identified non-conformance
• How the responsible person is to document the process so the
non-conformance does not recur.
Retain evidence of non-conformance, the action taken to correct them and noted in
the Non-conformance Register.
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Auditor Information Session – 2015
STANDARD 6: INTERNAL REVIEW
Criteria:
6.4 Have written procedures for allocating responsibility to designated
staff for ensuring all non-conformances are addressed and not
repeated.
6.5 Require the production of quarterly compliance statements, and
detail the form of this report (must include as a minimum):
• The number of vehicles in the MMS
• The number of trips taken
• The number of trips taken where a non-conformance occurred
with the MMS
• The level of mass excess for each non-compliant trip
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Auditor Information Session – 2015
Checklist for Standard 6:
•
•
•
•
•
•
•
Does the Mass Management System include procedures for carrying out internal
reviews which stipulate:
– When the reviews are to take place?
– Who is to conduct them?
– How the reviews are to be conducted?
Are internal reviews carried out by an independent person/people?
Are there written procedures for ensuring all non-conformance brought to light at any
time are corrected?
Have staff been identified to take action so instances of non- conformance are not
repeated?
Is a quarterly compliance report produced?
Have you identified the person/people responsible for updating your Mass
Management System procedures when necessary?
Do you have a Non-conformance Register or similar?
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Auditor Information Session – 2015
Assessment Steps 6:
• Review the procedure and records to ensure the requirements are
met.
• Review the schedule and ensure the requirements are met.
• Review evidence and documentation.
• Documented evidence of a Non-conformance register or simular.
• Review procedures and ensure persons to whom instances of noncompliance are to be reported are identified and their responsibilities
for monitoring/actioning the matters are established.
• Review evidence and documentation
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Auditor Information Session – 2015
STANDARD 7: TRAINING AND EDUCATION
Standard:
A Mass Management System must ensure all persons associated with the
management of loads have the appropriate knowledge and skills to undertake
their required tasks.
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Auditor Information Session – 2015
STANDARD 7: TRAINING AND EDUCATION
Criteria:
To satisfy this standard an operators Mass Management System must:
7.1
Identify what training in relation to load management is required for each person
associated with load management activities.
7.2
Include procedures for recording what training has been undertaken in relation to load
management by anyone associated with load management activities and when the training
was undertaken.
7.3
Include what training in mass management is given to all new drivers, contractors or
employees as part of their induction process.
7.4
Ensure the regular review of training and document this process, the staff responsible for
training and its frequency.
7.5
Ensure all relevant staff (including sub-contractors and any third parties) are provided with
information on the Mass Management System, including any revisions.
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Auditor Information Session – 2015
Checklist for Standard 7:
• Has training been provided to all relevant staff including any
subcontractors or any third parties who are involved in your Mass
Management System?
• Are there records of staff (including subcontractors and third parties)
who participated in the training?
• Is refresher training conducted when identified non-compliances
highlight the need and is it recorded and documented?
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Auditor Information Session – 2015
Assessment Step 7:
• Review policies/procedures for identifying training requirements of all
relevant staff in mass management (including sub-contractors where
relevant).
NOTE: Formal training needs analyses and specific training courses in
respect of mass management functions are only likely to be necessary
where the mass management system is complex or where the loading
and verification processes are highly specialised.
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Auditor Information Session – 2015
Assessment Step 7:
• Review Documentation used to record all training undertaken by all
relevant staff in mass management (including sub-contractors where
relevant).
• Review policies/procedures for training in mass management for all
new employees as part as of the induction process.
• Ensure training procedures and manuals appropriate for the
complexity of the tasks to be performed.
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Auditor Information Session – 2015
Assessment Step 7:
• Ensure policies/procedures include a regular review of training
requirements.
• Ensure policies and procedures identify the responsible person for
maintaining updating and distributing the relevant documentation.
• Review evidence.
QUESTIONS
MORNING TEA
Heavy Vehicle Services
Auditor Information
Session – 2015
Heavy Vehicle Services
Auditor Information
Session – 2015
Dimension and Load
Management Module
Standards
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Auditor Information Session – 2015
The Road Traffic (Vehicles) Act 2012 stipulates persons must not be
accredited until the Commissioner of Main Roads is satisfied the person
has systems in place that comply with prescribed standards about
ensuring and demonstrating compliance with mass, dimension or loading
requirements.
The document “Dimension and Loading Management Module
Standards” establishes the prescribed standards for dimension and
loading.
Important to note:
•
It is up to each Accredited Operator to decide how they are going to
manage their loads and demonstrate compliance with these Standards.
•
Of critical importance is the need for operator’s to document the method
they use which constitutes the operators “Load Management System”.
•
To remain accredited, operators must have evidence their vehicles are
loaded within the legal requirements.
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Auditor Information Session – 2015
There are FIVE Standards in this Module:
1. Responsibilities
2. Vehicle Loading – Dimension Safety
3. Records & Documentation
4. Internal Review
5. Training & Education
These standards were developed to ensure all operators
participating in this module are achieving the same minimum
level of compliance. The operators Load Management
System must comply with these Standards.
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Auditor Information Session – 2015
STANDARD 1: RESPONSIBILITIES
• The Load Management System must clearly identify what tasks are
involved in loading a vehicle, each person who is involved in the
loading and their responsibilities during each task. Each person must
be competent to undertake the task.
Note: It is important the operator clearly identifies and records the tasks to
be carried out and who is responsible for performing each task.
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Auditor Information Session – 2015
Criteria:
To satisfy this standard the operators Load Management System must:
1.1 Clearly identify the tasks in the Load Management System, including:
•
•
•
•
•
•
Ensure the vehicle is fit for task
Positioning the load appropriately
Restraining the load appropriately
Checking the vehicle and load dimensions
Ensuring an appropriate permit is current, if applicable
Ensuring compliance with approval conditions
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Auditor Information Session – 2015
Criteria:
1.2 Cleary identify who is responsible for carrying out each task listed in the Load
Management System.
1.3 Contain current and detailed Responsibility Statements for each position
involved in load management tasks.
1.4 Ensure Responsibility Statements are read, signed and dated by each person
responsible for the task
1.5 Ensure all people assigned to the task are suitably trained.
1.6 Ensure there is a suitable system in place in the event the responsible person is
not available.
1.7 Ensure all relevant staff know how to access the written record stating the
responsibilities for each person involved.
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•
•
•
•
•
•
•
•
•
Auditor Information Session – 2015
Your Checklist for Standard 1:
Is there a documented task list?
Are the tasks defined and could another person follow the steps to do the
work?
Is there documented competency assessments?
Have the responsibilities for each task been documented?
Have all the relevant staff members been told what their responsibilities are?
Do all the relevant staff members know how to access their documented work
instruction?
Are all staff aware who is responsible for each component of the loading and who
they report to?
Is there an appointed person/s to ensure the Load Management System is
followed?
Are Responsibility Statements signed and dated by each person?
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Auditor Information Session – 2015
Assessment Step 1:
•
•
•
Verify the tasks have been identified in the Dimension and Loading
Management system policies and procedures, together with who is responsible
for carrying out each task, including who is responsible for ensuring the system
is being maintained and followed.
Review Statements of Responsibility – these can be either standalone
documents or documented with job descriptions.
Review policies/procedures for identifying training requirements of all relevant
staff in load management.
•
Review evidence.
•
Verify the policies/procedures ensure all of the relevant staff know how to
access the written record of their responsibilities.
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Auditor Information Session – 2015
STANDARD 2: VEHICLE LOADING – DIMENSION AND
SAFETY
Standard:
The Load Management System must document the
methodology used to ensure vehicles are loaded within
allowable dimension limits and in a safe manner, taking into
account suitable load restraint and vehicle stability.
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Auditor Information Session – 2015
Criteria:
To satisfy this standard the operators Load Management System must:
2.1 Demonstrate procedures are in place for ensuring vehicle dimensions are within
allowable limits prior to the vehicle travelling on the road.
2.2 Ensure staff are aware of allowable dimension limits and ensure all necessary
approvals; (permits, exemptions, orders etc.) are obtained.
2.3 Ensure procedures are in place so staff are aware of the conditions of any
approvals and operate in accordance with them.
2.4 Ensure a process is in place so loads outside of legal dimension limits are
rectified.
2.5 Demonstrate procedures are in place for ensuring loads are adequately
restrained or contained, in accordance with the current Load Restraint Guide.
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Auditor Information Session – 2015
Criteria:
2.6 Demonstrate procedures are in place for ensuring vehicle stability is
not compromised by the load, i.e. rollover threshold compromised by
an unacceptable load height centre of gravity.
2.7 Specify how the dimension and loading checks are recorded and
where the records are kept.
2.8 Demonstrate procedures are in place for ensuring the proposed
route is approved for the particular vehicle combination.
2.9 Demonstrate procedures are in place for ensuring the driver of the
vehicle is competent with the type of vehicle combination being driven
and its performance characteristics.
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Auditor Information Session – 2015
Your Checklist for Standard 2:
• Does the Load Management System have a procedure for checking
the dimension of each load prior to the vehicle travelling on the road?
• Is there a system in place for keeping suitable records to show the
dimensions have been checked and are within allowable limits?
• Are all parties involved in the loading process aware of the allowable
dimension limits?
• Will the loading affect the centre of gravity for the vehicle? (The Main
Roads Static Rollover Threshold (SRT) Calculator may be utilised).
• Is there a procedure for checking the load restraint prior to the vehicle
travelling on the road?
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Auditor Information Session – 2015
Your Checklist for Standard 2:
• Are staff (including subcontractors and third parties) suitably trained in
relation to load restraint methods?
• Are staff (including subcontractors and third parties) aware of the
procedure for dealing with vehicles not compliant with the standards?
• Does the Load Management System include procedures for ensuring
the standards are met and correct procedures followed?
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Auditor Information Session – 2015
Assessment Step 2:
• Review the procedure and ensure the requirements are met.
• Review policies/procedures for Dimension and Load checks.
• Review procedures are in place to ensure the road is suitable
for the vehicle combination.
• Review procedures are in place to ensure drivers are suitably
inducted with regards to the type of vehicle combination being
driven and its performance characteristics.
• Review evidence.
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Auditor Information Session – 2015
STANDARD 3: RECORDS AND DOCUMENTATION
Standard:
A Load Management System must contain sufficient records
and documentation to verify all Standards have been
complied with.
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Auditor Information Session – 2015
Criteria:
To satisfy this standard an operators Load Management System must:
3.1 Have documentation recording all policies and procedures required
under these Standards.
3.2 Ensure all required records are legible and identifiable to the vehicle,
driver and trip involved.
3.3 Ensure current records and documentation are available to all
relevant staff and at all locations where operations related to load
management are undertaken.
3.4 Ensure all elements of the Load Management System are
maintained and updated and the responsibility for this task is
documented.
3.5 Ensure all records and documents be kept for a minimum of three
years. This includes superseded procedures.
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Auditor Information Session – 2015
Your Checklist for Standard 3:
• For each vehicle / journey, have sufficient records and documents
been retained to show all relevant standards have been met?
• Has sufficient documentary evidence been kept to show records,
procedures and methods in place under the Load Management
System are regularly reviewed?
• Does the Load Management System have procedures for ensuring all
relevant staff can access or know how to access the Load
Management System and other relevant records and documents?
• Does the Load Management System have a record of nominated
vehicles (to include sub-contractor vehicles) which is updated when
required?
• Are all relevant records and documentation stored in a manner to allow
an auditor to conduct the necessary audits in an effective and efficient
manner?
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Auditor Information Session – 2015
Assessment Step 3:
• Verify documented policies and procedures are in place and comply
with all Dimension and Loading Management standards
• Verify documentation is available to all relevant staff and at all
locations where operations related to load management are
undertaken.
• Verify statement of responsibility, which should identify the responsible
person for maintaining and updating the relevant documentation.
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Auditor Information Session – 2015
STANDARD 4: INTERNAL REVIEW
Standard:
An annual internal review must be conducted to ensure loads
are being adequately controlled and all activities are
conducted in accordance with the Load Management
System. An internal review of the Load Management System
is required to confirm the ongoing relevance and
appropriateness of processes and practices.
An effective review will identify any non-conformance which
must be actioned accordingly.
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Auditor Information Session – 2015
Criteria:
To satisfy this standard an operators Load Management System must:
4.1 Require the production of a quarterly compliance report, and detail the
form of this report.
4.2 Include procedures for carrying out annual internal reviews to ensure
all non-conformances (includes court matters, infringements and/or
cautions) are addressed and the Load Management System is
updated accordinglyto prevent further non-conformance.
4.3 Retain evidence of non-conformance and the action taken for
correction. This must be documented in a Non-Conformance
Register.
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•
•
•
•
•
•
•
Auditor Information Session – 2015
Your Checklist for Standard 4:
Does your Load Management System include procedures for
conducting internal reviews which cover:
– When the reviews are to take place?
– Who is to conduct them.
– How the reviews are to be conducted?
Are internal reviews carried out by an independent person/people?
Are there written procedures for ensuring any identified nonconformance is corrected?
Have staff been identified to take action, so instances of nonconformance are not repeated?
Is a quarterly compliance report produced?
Have you identified the person/people responsible for updating your
Load Management System procedures?
Do you have a Non-Conformance register
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Auditor Information Session – 2015
Assessment Step 4:
• Review the procedure and records to ensure the requirements are met.
• Documented evidence of a Non-conformance register or similar.
• Review evidence of completed quarterly compliance reports
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Auditor Information Session – 2015
STANDARD 5: TRAINING AND EDUCATION
Standard:
A Load Management System must ensure all persons
associated with the management of loads has the appropriate
knowledge and skills to undertake their required tasks.
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Auditor Information Session – 2015
Criteria:
To satisfy this standard an operators Load Management System must:
5.1 Identify what training in relation to load management is required for each person
associated with load management activities.
5.2 Include procedures for recording what training has been undertaken in relation to
load management by anyone associated with load management activities and
when the training was undertaken.
5.3 Include what training in load management is given to all new drivers, contractors
or employees as part of their induction process.
5.4 Ensure the regular review of training and detail this process, the staff responsible
for training and the frequency.
5.5 Ensure all relevant staff (including subcontractors and any third parties) are
provided with information on the Load Management System, including revisions.
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Auditor Information Session – 2015
Your Checklist for Standard 5:
• Has training been provided to all relevant staff including any subcontractors or any third parties who are involved in the Load
Management System?
• Are there records of staff (including sub-contractors and third parties)
who participated in the training?
• Is refresher training conducted when an identified non-conformance is
highlighted, the training recorded and is it documented?
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Auditor Information Session – 2015
Assessment Step 5:
•
•
•
•
•
•
Review policies/procedures for identifying training requirements of all relevant
staff in dimension and Load management.
Review policies/procedures for recording training of all relevant staff in
dimension and load management
Review policies/procedures for training in dimension and load management for
all new employees as part as of the induction process
Review policies/procedures for training review process including responsible
person(s).
Review policy/procedures for ensuring staff are provided information on the
Load Management System and all revisions.
Review evidence.
QUESTIONS
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Auditor Information Session – 2015
The WAHVA Business Rules have been amended to reflect the
requirements of the new Road Traffic Act and Regulations.
The new regulations make reference to the WAHVA Business Rules,
which provides them a legal status and forms part of the accreditation
process.
More governance is being placed around audits and auditors.
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Auditor Information Session – 2015
The purpose of these Business Rules is to define the requirements applicable to
the administration of the Western Australia Heavy Vehicle Accreditation Scheme
(WAHVAS).
These Business Rules must be read in conjunction with other documents
comprising the WAHVAS:
•
•
•
•
Maintenance Management Module Standards;
Fatigue Management Module Standards;
Mass Management Module Standards; and
Dimension and Loading Management Module Standards.
Note:
Documentation relevant to the WAHVAS can be found on the Main Roads (MRWA) website
at www.mainroads.wa.gov.au
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Auditor Information Session – 2015
The Business Rules and associated Modules are prescribed under Part 8, Division
7, of the Road Traffic (Vehicles) Regulations 2014.
In the event the Road Traffic (Vehicles) Regulations 2014 and the business rules
are in conflict, the Road Traffic (Vehicles) Regulations 2014 shall prevail.
Persons or companies wishing to operate under the Accredited Mass
Management Scheme (AMMS) need to be accredited under the Mass
Management Module.
In addition, reference should be made to the Western Australia Road Traffic
(Vehicles) Act 2012 and associated regulations.
The WAHVAS does not exempt operators from the requirements of other
applicable legislation.
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Auditor Information Session – 2015
The fee payable for an application for a person to be accredited or for a
person’s accreditation to be renewed is $225.00.
The $75 instalment option is no longer available.
Costs associated with entry audits, system audits, scheduled compliance
audits and re-entry audits are the responsibility of the person applying for
accreditation
Costs associated with random and triggered audits detailed at clause 10.4
will be the responsibility of MRWA.
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Auditor Information Session – 2015
First time operators applying for accreditation can submit:
a) A complete entry audit when all documents and records are available or
b) A systems audit which will enable an applicant to satisfy the Commissioner for
Main Roads that the person has in place systems, to the extent that is
reasonably practicable to comply with required standards. At this point the
applicant will become provisionally compliant with WAHVA for a period of three
months and able to apply for dimension modifications and access
modifications
Where a systems audit is completed and compliance with prescribed
standards cannot be demonstrated by the expiry of the three month period
the person’s provisional compliance is cancelled.
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Auditor Information Session – 2015
Roadworthiness (e.g. Roadworthiness certificate/checklist/inspection) of all vehicles
(includes trailing equipment) operating under the accreditation. The certificate shall be
evidence of a physical inspection of the vehicle and shall demonstrate compliance with all
legal requirements for the intended use of the vehicle. A certificate of roadworthiness must
not have been issued more than six months prior to the date of the entry/re-entry/systems
audit. If a new vehicle has been registered in the previous six months, MRWA may accept
this as evidence of roadworthiness.
Operators with more than 10 vehicles can submit an Accreditation Roadworthy
Vehicle Checklist which can be accessed via
https://www.mainroads.wa.gov.au/UsingRoads/HeavyVehicles/ApplicationForms/P
ages/Forms.aspx .
All entries must include the date each vehicle was inspected and the name of the
person who conducted the inspection. The checklist must be signed by a
responsible person at the workplace certifying the information is correct;
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Auditor Information Session – 2015
A Fatigue Management Plan - requires all commercial vehicle drivers to (i) undergo a
medical assessment in accordance with Assessing Fitness to Drive 2012 (available on the
WorkSafe WA web site http://www.commerce.wa.gov.au/worksafe/fatigue-managementcommercial-vehicle-driver ) and (ii) be trained in the WA Fatigue Regulations to ensure all
drivers are operating pursuant to the Occupational Safety and Health Regulations 1996
Western Australia.
A Load Management System - demonstrates systems are in place to control and
check loading standards prior to a vehicle entering the public road network.
A Mass Management System (if required) - demonstrates systems are in place to
control the mass loading of a vehicle prior to a vehicle entering the public road
network (as stipulated in the Module).
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Auditor Information Session – 2015
A systems audit must contain the following documents and records:
•
•
•
•
•
•
•
Vehicle Roadworthy Certificates (completed and signed),
Fatigue Management Plan,
Commercial Vehicle Driver Medicals completed by a qualified medical
practitioner,
Training and education records (including fatigue),
Policies and Procedures to address the standards,
Signed Maintenance and Fatigue Management Policies (single operator), and
Signed Statement of Responsibilities.
If a systems audit has been submitted for entry purposes a subsequent entry audit
must be conducted within three months from the date the operator was first
accredited, this provides an operator with the opportunity to gather the required
information and documentation to support their accreditation application.
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Auditor Information Session – 2015
Applicants (new or existing) seeking to participate in the Accredited Mass
Management Scheme (AMMS) must submit an entry audit due to the
nature and structure of the scheme.
AMMS requires the applicant to demonstrate their capacity to comply with
the mass management standards as stipulated in MRWA approved
loading plans for each loading point.
Existing accredited operators may conduct an entry audit for the Mass
Management Scheme at any time during an accreditation cycle. Future
compliance and re-entry audits will be conducted as part of normal
accreditation audits.
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Auditor Information Session – 2015
Part 8 of the Road Traffic (Administration) Act 2008 and Part 15 of the Road Traffic
(Vehicles) Regulations 2014 detail provisions relating to the review of decisions under
road laws.
Reviewable decisions with regards to accreditation are decisions to:
– grant accreditation, or
– vary, cancel or suspend accreditation, or
– impose a requirement in relation to an accreditation, or
– refuse to do any of those things.
An affected operator or person may request in writing, for the decision-maker to
review their decision if the written request:
•
•
is made within 28 days after notice of the decision has been given to the
operator in writing, and
identifies the decision to be reviewed and state why the decision should be
reviewed and the outcome sought.
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Auditor Information Session – 2015
AUDITOR
MRWA may issue and publish an approved Code of Conduct identifying the standards
auditors should demonstrate when conducting audits under the WAHVAS.
Auditors are required to undertake training modules provided by Exemplar Global and
hold a licence (certification) as a WAHVAS auditor in order to conduct audits.
All auditors may be subject to examination and review by MRWA and Exemplar Global.
Electronic copies of full audit reports for specific operators must be provided by email
to MRWA and/or Exemplar Global for examination and review upon request
MRWA may at its discretion, undertake or arrange to have undertaken, a review of an
auditor’s accreditation audit report and/or undertake an on-site observation of an
auditor’s competencies during a heavy vehicle accreditation audit.
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Auditor Information Session – 2015
AUDITOR
In the event of MRWA receiving a formal complaint or negative report about the actions of an
auditor, MRWA may undertake, or arrange to have an investigation undertaken.
As a result of a review of an auditors report, or observation of an auditors actions, or
investigation, MRWA may:
• provide the auditor with feedback, advice and/or counselling;
• recommend the auditor undertake remedial training;
• provide written warning advice;
• cause a triggered audit or inspection to be conducted;
• temporarily restrict the auditor from conducting WAHVAS audits;
• permanently withdraw approval and request Exemplar Global to remove the person’s
name from the register of auditors;
• cause the relevant audit/s to be cancelled in all or part, and cause a new audit to be
conducted.
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Auditor Information Session – 2015
AUDITOR
Decisions of MRWA in relation to an approved auditor may be subject to
internal review. MRWA may affirm the decision, or set it aside and replace
it by another decision it considers to be appropriate. An application for a
review must be in writing and submitted within 28 days of the decision
being made.
MRWA may consider administrative actions taken by the National Heavy
Vehicle Regulator (if those actions are applicable to the requirements of
the WAHVAS).
QUESTIONS