1. Accreditation Modules Information Session October 2015

2. 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

3. Heavy Vehicle Services Industry Information Session – July 2015 An Introduction to the Accredited Mass Management Scheme (AMMS)

4. Auditor Information Session – 2015 4  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.

5. Auditor Information Session – 2015 5  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.

6. Auditor Information Session – 2015 6 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).

7. Auditor Information Session – 2015 7 Note: Steer axle mass exemptions may be used in conjunction with an AMMS permit LEVEL 1 Axle Mass LimitsBrief Description Axle GroupTonnes 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. Single steer axle6.0* Tandem axle (dual tyres)17.0 Tri-axle (dual tyres) 21.5

8. Auditor Information Session – 2015 8 Note: Steer axle mass exemptions may be used in conjunction with an AMMS permit LEVEL 2 Axle Mass LimitsBrief Description Axle GroupTonnes Operators must comply with the approved level of extra mass, Mass Management Standards and WAHVA Business Rules. Equivalent to the national High Mass Limits (HML). 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. Single steer axle6.0* Tandem axle (dual tyres)17.0 Tri-axle (dual tyres) 22.5

9. Auditor Information Session – 2015 9 Note: Steer axle mass exemptions may be used in conjunction with an AMMS permit LEVEL 3 Axle Mass LimitsBrief Description Axle GroupTonnes 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. Single steer axle6.0* Tandem axle (dual tyres)17.5 Tri-axle (dual tyres) 23.5

10. Auditor Information Session – 2015 10 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.

11. Auditor Information Session – 2015 11 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.

12. Auditor Information Session – 2015 12 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.

13. Auditor Information Session – 2015 13  AMMS permits became available to transport operators from the 27 th 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 26 th 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.

14. Auditor Information Session – 2015 14 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 > AMMSwww.mainroads.wa.gov.au  AMMS Information Sheet  AMMS FAQ  AMMS Application Form  Weigh Bridge Application Form  AMMS Approved Weigh Bridge Supplier Member List  Concessional Networks

15. QUESTIONS

16. New Accreditation Modules Heavy Vehicle Services Auditor Information Session – 2015

17. Auditor Information Session – 2015 17 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.

18. Auditor Information Session – 2015 18 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

19. Auditor Information Session – 2015 19 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 1 st 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

20. Auditor Information Session – 2015 20 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.

21. Heavy Vehicle Services Auditor Information Session – WA Heavy Vehicle Accreditation Scheme: Enhancements to the Mass Management Module Standard

22. Auditor Information Session – 2015 22 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.

23. Auditor Information Session – 2015 23 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.

24. Auditor Information Session – 2015 24 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.

25. Auditor Information Session – 2015 25 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.

26. Auditor Information Session – 2015 26 There are SEVEN Standards in this Module 1.Eligibility Requirements 2.Vehicle Control 3.Vehicle Loading – Mass 4.Responsibilities 5.Records and Documentation 6.Internal Review 7.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.

27. Auditor Information Session – 2015 27 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.

28. Auditor Information Session – 2015 28 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.

29. Auditor Information Session – 2015 29 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?

30. Auditor Information Session – 2015 30 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.

31. Auditor Information Session – 2015 31 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).

32. Auditor Information Session – 2015 32 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 sub- contractor’s vehicles). The register must include the following details about each vehicle used under the Accredited Mass Management Scheme: (a)Make and model (b)Registration number (c)Registered owner (d)Vehicle Identification Number (VIN) (e)Tare mass (f)Gross Vehicle Mass (GVM) rating (g)Gross Combination Mass (GCM) rating (h)Date added to or removed from vehicle list (i)Relevant AMMS permit number and expiry date

33. Auditor Information Session – 2015 33 STANDARD 2: VEHICLE CONTROL 2.2Have procedures in place to ensure all vehicles have sufficient ratings to conform to the authorised higher mass under which they will be operating. 2.3Have 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. 2.4Be 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.

34. Auditor Information Session – 2015 34 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

35. Auditor Information Session – 2015 35 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.

36. Auditor Information Session – 2015 36 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.

37. Auditor Information Session – 2015 37 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.

38. Auditor Information Session – 2015 38 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.

39. Auditor Information Session – 2015 39 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.

40. Auditor Information Session – 2015 40 STANDARD 3: VEHICLE LOADING – MASS Criteria: 3.1Demonstrate 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. 3.2Describe how any variations, such as load density, temperature, size variations etc., will be controlled. 3.3Describe the procedure for dealing with vehicles detected as being overloaded. 3.4Provide 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.

41. Auditor Information Session – 2015 41 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

42. Auditor Information Session – 2015 42 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?

43. Auditor Information Session – 2015 43 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.

44. Auditor Information Session – 2015 44 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?

45. Auditor Information Session – 2015 45 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

46. Auditor Information Session – 2015 46 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.

47. Auditor Information Session – 2015 47 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.

48. Auditor Information Session – 2015 48 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).

49. Auditor Information Session – 2015 49 Assessment Steps 3: Verify documented procedures and records relating to staff training including 3 rd parties on use of all equipment. Evidence of up-to-date maintenance and calibration records.

50. Auditor Information Session – 2015 50 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.

51. Auditor Information Session – 2015 51 STANDARD 4: RESPONSIBILITIES Criteria: To satisfy this standard the operators Mass Management System must: 4.1Clearly identify what the tasks in the Mass Management System are. 4.2Cleary identify who is responsible for carrying out each task listed in the Mass Management System. 4.3Contain current and detailed Responsibility Statements for each position involved in the Mass Management task. 4.4Ensure Responsibility Statements are read, signed and dated by each person responsible for the task. 4.5Ensure all people assigned to the task are appropriate for the task and suitably trained.

52. Auditor Information Session – 2015 52 STANDARD 4: RESPONSIBILITIES Criteria: 4.6Ensure there is a suitable trained back-up person capable of carrying out the task should the responsible person not be available. 4.7Ensure all relevant staff know how to access the written record stating their responsibilities.

53. Auditor Information Session – 2015 53 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?

54. Auditor Information Session – 2015 54 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?

55. Auditor Information Session – 2015 55 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.

56. Auditor Information Session – 2015 56 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

57. Auditor Information Session – 2015 57 STANDARD 5: RECORDS AND DOCUMENTATION Standard: A Mass Management System must contain sufficient records and documentation to verify all Standards have been complied with.

58. Auditor Information Session – 2015 58 STANDARD 5: RECORDS AND DOCUMENTATION Criteria: To satisfy this standard an operators Mass Management System must: 5.1Have documentation recording all policies and procedures required under these Standards. 5.2Ensure all required records are legible and identifiable to the vehicle, driver and trip involved. 5.3Ensure current documentation is available to all relevant staff and at all locations where operations related to load management are undertaken. 5.4Ensure all elements of the Mass Management System are maintained and updated and the responsibility for this task is documented.

59. Auditor Information Session – 2015 59 STANDARD 5: RECORDS AND DOCUMENTATION Criteria: 5.5Ensure all documents and records be kept for a minimum of three years (includes superseded procedures). 5.6Ensure 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.

60. Auditor Information Session – 2015 60 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?

61. Auditor Information Session – 2015 61 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

62. Auditor Information Session – 2015 62 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.

63. Auditor Information Session – 2015 63 Assessment Steps 5: Documented evidence a record of nominated vehicles is kept and regularly updated

64. Auditor Information Session – 2015 64 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 non- conformance.

65. Auditor Information Session – 2015 65 STANDARD 6: INTERNAL REVIEW Criteria: To satisfy this standard an operators Mass Management System must: 6.1Include 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. 6.2Ensure where practicable, the internal review is to be carried out by a person not involved in the operation of the procedures being reviewed.

66. Auditor Information Session – 2015 66 STANDARD 6: INTERNAL REVIEW Criteria: 6.3Separate 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.

67. Auditor Information Session – 2015 67 STANDARD 6: INTERNAL REVIEW Criteria: 6.4Have written procedures for allocating responsibility to designated staff for ensuring all non-conformances are addressed and not repeated. 6.5Require 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

68. Auditor Information Session – 2015 68 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?

69. Auditor Information Session – 2015 69 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 non- compliance are to be reported are identified and their responsibilities for monitoring/actioning the matters are established. Review evidence and documentation

70. Auditor Information Session – 2015 70 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.

71. Auditor Information Session – 2015 71 STANDARD 7: TRAINING AND EDUCATION Criteria: To satisfy this standard an operators Mass Management System must: 7.1Identify what training in relation to load management is required for each person associated with load management activities. 7.2Include 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. 7.3Include what training in mass management is given to all new drivers, contractors or employees as part of their induction process. 7.4Ensure the regular review of training and document this process, the staff responsible for training and its frequency. 7.5Ensure all relevant staff (including sub-contractors and any third parties) are provided with information on the Mass Management System, including any revisions.

72. Auditor Information Session – 2015 72 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?

73. Auditor Information Session – 2015 73 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.

74. Auditor Information Session – 2015 74 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.

75. Auditor Information Session – 2015 75 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.

76. QUESTIONS

77. MORNING TEA Heavy Vehicle Services Auditor Information Session – 2015

78. Dimension and Load Management Module Standards

79. Auditor Information Session – 2015 79 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.

80. Auditor Information Session – 2015 80 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.

81. Auditor Information Session – 2015 81 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.

82. Auditor Information Session – 2015 82 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

83. Auditor Information Session – 2015 83 Criteria: 1.2 Cleary identify who is responsible for carrying out each task listed in the Load Management System. 1.3Contain current and detailed Responsibility Statements for each position involved in load management tasks. 1.4Ensure Responsibility Statements are read, signed and dated by each person responsible for the task 1.5Ensure all people assigned to the task are suitably trained. 1.6Ensure there is a suitable system in place in the event the responsible person is not available. 1.7Ensure all relevant staff know how to access the written record stating the responsibilities for each person involved.

84. Auditor Information Session – 2015 84 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?

85. Auditor Information Session – 2015 85 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.

86. Auditor Information Session – 2015 86 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.

87. Auditor Information Session – 2015 87 Criteria: To satisfy this standard the operators Load Management System must: 2.1Demonstrate procedures are in place for ensuring vehicle dimensions are within allowable limits prior to the vehicle travelling on the road. 2.2Ensure staff are aware of allowable dimension limits and ensure all necessary approvals; (permits, exemptions, orders etc.) are obtained. 2.3Ensure procedures are in place so staff are aware of the conditions of any approvals and operate in accordance with them. 2.4Ensure a process is in place so loads outside of legal dimension limits are rectified. 2.5Demonstrate procedures are in place for ensuring loads are adequately restrained or contained, in accordance with the current Load Restraint Guide.

88. Auditor Information Session – 2015 88 Criteria: 2.6Demonstrate 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. 2.7Specify how the dimension and loading checks are recorded and where the records are kept. 2.8Demonstrate procedures are in place for ensuring the proposed route is approved for the particular vehicle combination. 2.9Demonstrate 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.

89. Auditor Information Session – 2015 89 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?

90. Auditor Information Session – 2015 90 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?

91. Auditor Information Session – 2015 91 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.

92. Auditor Information Session – 2015 92 STANDARD 3: RECORDS AND DOCUMENTATION Standard: A Load Management System must contain sufficient records and documentation to verify all Standards have been complied with.

93. Auditor Information Session – 2015 93 Criteria: To satisfy this standard an operators Load Management System must: 3.1Have documentation recording all policies and procedures required under these Standards. 3.2Ensure all required records are legible and identifiable to the vehicle, driver and trip involved. 3.3Ensure current records and documentation are available to all relevant staff and at all locations where operations related to load management are undertaken. 3.4Ensure all elements of the Load Management System are maintained and updated and the responsibility for this task is documented. 3.5Ensure all records and documents be kept for a minimum of three years. This includes superseded procedures.

94. Auditor Information Session – 2015 94 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?

95. Auditor Information Session – 2015 95 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.

96. Auditor Information Session – 2015 96 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.

97. Auditor Information Session – 2015 97 Criteria: To satisfy this standard an operators Load Management System must: 4.1Require the production of a quarterly compliance report, and detail the form of this report. 4.2Include 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. 4.3Retain evidence of non-conformance and the action taken for correction. This must be documented in a Non-Conformance Register.

98. Auditor Information Session – 2015 98 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 non- conformance is 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 Load Management System procedures? Do you have a Non-Conformance register

99. Auditor Information Session – 2015 99 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

100. Auditor Information Session – 2015 100 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.

101. Auditor Information Session – 2015 101 Criteria: To satisfy this standard an operators Load Management System must: 5.1Identify what training in relation to load management is required for each person associated with load management activities. 5.2Include 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. 5.3Include what training in load management is given to all new drivers, contractors or employees as part of their induction process. 5.4Ensure the regular review of training and detail this process, the staff responsible for training and the frequency. 5.5Ensure all relevant staff (including subcontractors and any third parties) are provided with information on the Load Management System, including revisions.

102. Auditor Information Session – 2015 102 Your Checklist for Standard 5 : Has training been provided to all relevant staff including any sub- contractors 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?

103. Auditor Information Session – 2015 103 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.

104. QUESTIONS

105. Auditor Information Session – 2015 105 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.

106. Auditor Information Session – 2015 106 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.auwww.mainroads.wa.gov.au

107. Auditor Information Session – 2015 107 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.

108. Auditor Information Session – 2015 108 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.

109. Auditor Information Session – 2015 109 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.

110. Auditor Information Session – 2015 110 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. 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;

111. Auditor Information Session – 2015 111 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-management- commercial-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.http://www.commerce.wa.gov.au/worksafe/fatigue-management- commercial-vehicle-driver 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).

112. Auditor Information Session – 2015 112 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.

113. Auditor Information Session – 2015 113 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.

114. Auditor Information Session – 2015 114 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.

115. Auditor Information Session – 2015 115 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.

116. Auditor Information Session – 2015 116 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.

117. Auditor Information Session – 2015 117 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 ).

118. QUESTIONS