PNR 00069 Critical Activities Requirements Rev06
PNR 00069 Critical Activities Requirements Rev06
PNR 00069 Critical Activities Requirements Rev06
Expected Results:
✓ To develop and improve existing requirements focusing on the pillar “Zero Lives Lost and Zero Lives
Changed”;
✓ To consolidate the Critical Activities Requirements as a high-level document and global standard for
application throughout Vale in all its business and processes;
Asssociation with VPS:
4 PERCEPTION AND RISK MANAGEMENT
13 STRATEGY DEPLOYMENT
5 HEALTH, SAFETY, ENVIRONMENT AND
COMMUNITY (HSEC) ROUTINE MANAGEMENT
14
6 PROJECTS AND CONSTRUCTION
15 PROCESSES AND STANDARDIZATION
7 OPERATION
PROBLEM SOLVING AND CONTINUOUS
16
IMPROVEMENT
8 MAINTENANCE
ASSESSMENT OF MANAGEMENT SYSTEM
17
9 CHANGE MANAGEMENT AND RESULTS
2 PEOPLE MANAGEMENT
3 ORGANIZATIONAL DESIGN
Purpose
To establish minimum requirements for performing critical activities in order to preserve people's lives.
Application
This document applies to Vale at a global level and must be adopted by its subsidiaries or entities where, by
shareholders' agreement, Vale is responsible for health and safety management.
Important Definitions
• Short term occasional access: Uncertain and/or casual event, related to an urgent/emergency, where there is
no prediction of recurrence.
• Critical Activity: Activity that presents risks with potential to generate fatality or lives changed.
• Mining Area: Mineral exploration and waste disposal area including machinery, equipment, accessories,
installations and civil works used in surface or underground areas in which the industrial exploitation of the mineral
deposit is carried out until processing. Administrative areas, cafeterias, accommodations, for example, are not
considered mining areas.
• Medical Contraindication: Medical term used to characterize the prohibition of exposure to a hazard due to an
individual health condition.
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Critical Activities Requirements - CAR
• Qualified Professional: Professional who has adequate experience and training to be considered competent to
perform their duties in critical activities, considering relevant laws and internal guidelines.
Premises
This document establishes mandatory requirements that must be complied with in all areas and organizational
processes, whether performed by Vale employees or by contractors, on the following subjects:
• CAR 01 - Working at heights
• CAR 02 - Light motor vehicles
• CAR 03 - Mobile equipment operation
• CAR 04 - Lockout, tagout and zero energy
• CAR 05 - Lifting of loads
• CAR 06 - Confined spaces
• CAR 07 - Machine guarding
• CAR 08 - Activities on the ground
• CAR 09 - Explosives
• CAR 10 - Working with electricity
• CAR 11 - Molten metal
The requirements in this document must be included in the control measures established within the area's risk
management. Therefore, the prevention of incidents related to critical activities is not limited to complying with this
document.
All requirements described in this document are mandatory, must be implemented by leadership in their
respective areas and are auditable.
It is essential to comply with the elements of Vale Production System (VPS), with attention to: Perception and
Risk Management (4); Change Management (9); Health, Safety, Environmental and Community; (5) and Emergency
planning (12).
Questions and questions related to this document should be forwarded to the Health, Safety and Operational
Risk department by email [email protected].
Exception criteria
In the event of the absolute impossibility to comply with any requirement in this document or the need to replace
this requirement with another practice, equipment or facility that is equivalent in risk reduction, the following must be
adopted, under the sole responsibility of the requesting department:
a) Preparation of technical study including, as a minimum, the description of the activity, justifications for non-
compliance or replacement, proposed control measures and documented risk analysis;
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c) Communication and submission of the study to Vale's Health, Safety and Operational Risks Department.
The HSOR Department must review the Technical Study and approve or decline the exception for non-
compliance or requirement substitution. Any cancellation of the non-compliance or replacement request must also be
formally reported to the Health, Safety and Operational Risks Department.
b) Preparation of a documented risk analysis, with the participation of those involved to discuss risk situations and
control measures.
Where applicable, employees must have training records that demonstrate compliance with local legislation.
This permission is not applicable for Vale employees.
General requirements
a) This document must be referenced and incorporated into procedures regarding local practices and safety
equipment and devices must be designed, installed, manufactured and/or purchased as prescribed by
legislation, technical standards and/or manufacturers specifications;
b) Modifications to equipment must be made upon approval by the manufacturer. When the manufacturer is not
commercially or technically available, modifications must be made according to a formal project by a qualified
professional. Modifications must follow the local management of change process;
c) The training required in the RACs must follow the Valer/HR Training Guidelines for the country concerned.
e) It must be implemented a health assessment program in accordance with local legislation, for employees
mapped to perform critical activities. The program must comply with local legislation and follow the standards
of the "PGS-003523 Corporate Guideline for Occupational Health Management".
I. Keep a list of requirements that the unit failed to comply with or replaced out of necessity, as per item
“Exception criteria” of this document;
II. Keep a list and quantity of employees who perform critical activities under this document;
III. Maintain an action plan for the implementation of new requirements under this document, considering the
implementation deadline of these new requirements.
I. Plan, coordinate and monitor the implementation, maintenance and compliance with Critical Activities
Requirements;
II. Support contract managers and leaders in the procurement and contracting processes of goods and services
related to the Critical Activities Requirements;
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II. Ensure that all employees involved in performing critical activities are competent professionals;
I. Provide technical assistance to Business Units in the implementation, compliance and monitoring of Critical
Activities Requirements;
II. Review the document and establish maximum deadlines for complying with the new critical activities
requirements.
a) CARs 01 to 05:
b) CARs 06 to 11: the requirements of RACs 06 to 11 are valid, but deadlines for implementation will be defined
from the GAP analysis to be carried out in 2022.
Note: Annexes III and IV of this document (Deadlines specified by requirement and treatment for non-compliance with
CAR requirements) are valid only for CARs from 01 to 05.
CAR adherence
Data on compliance to CARs come from adherence protocols available in SAP – IM. Through these protocols, the areas
must respond if the requirements are complied.
The Executive Management or Area Management protocol must be updated once a year to compose the official
adherence result.
It is strongly recommended, however, that the protocols are updated at least twice a year, once before the budget cycle
and the other before the end of the year.
Only data registered through these protocols will be considered official and will appear in the global dashboard for
adherence to CARs.
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Critical Activities Requirements - CAR
1.1 Foreword
A significant portion of fatalities and high-potential incidents at Vale had occurred during work at height. The
main contributing factors associated with these incidents were:
a) Failure to perceive the risk situation;
b) Work space for inadequate or congested work;
c) Defective / inadequate guards or barriers;
d) Undertaking the activity in an unsafe manner;
e) Defective / inappropriate tool or equipment;
f) Absence of barrier that prevents falling of person or object.
1.2 Purpose
Establish Health and Safety requirements to eliminate, control and minimize the risk of fatalities, injuries or
incidents involving work at heights.
1.3 Application
Work activity where there is a risk of falling people and objects due to a level difference equal to or greater than
1.80 meters.
1.4 Exceptions
Work activity where there is no risk of falling people and objects due to a level difference equal to or greater
than 1.80 meters.
• Anchorage Point: Certified point for installing an anchoring system such as pre-engineering devices and
connection elements for working at height.
• Body harness: A device worn on the body (from the hip area to the upper torso) that can prevent a worker from
falling vertically or nearly vertically.
• Connector: Device that opens and closes, developed to unite different components of a fall protection system.
Has versions with automatic closing, with manual lock and automatic lock.
• Collective fall protection elements: sections or parts of handrails (upper beam, intermediate beam and foot
wheel), including trapdoor, floor plate or railing guardrails and their structural support elements that typically
comprise the elements of walkways, platforms, safety net for working at heights and elevated areas.
• Coupled man basket: Bucket or platform attached to a vehicle crane for lifting people and performing work at
height, with or without electrical isolation, and it can also lift support material indispensable for the performance
of the service.
• Elevated work area and walkways: Access and work areas composed by floor and railing (toe board,
intermediate and upper handrail) and that follow engineering standards.
• Fall arrest protection: An assembly of components that when the assembly is connected to an anchor point, it
is capable of arresting a worker’s fall.
• Fall arrest system: System used to arrest a person in a fall from an elevation. It consists of an anchorage,
connectors and full-body harness, and may include a lanyard, deceleration device and/or lifeline.
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Critical Activities Requirements - CAR
1
In the absence of local standards that establish a minimum height for toe boards, another rule must be adopted with
the consent of Vale's Health, Safety and Operational Risks Board.
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Fixed Mobile
Suspended
Specific Requirements supported supported
scaffold
scaffold scaffold
Double
Simple Extendable Fixed cage
Specific Requirements dadder
ladder ladder ladder
(Opened)
2
Check the requirement of RAC 10, 10.7.1 (u) for assembling and disasembling scaffolds made of conductive material in
electrical work where they may meet energized surfaces.
3
Check and follow the requirement of RAC 10, 10.7.1 (t) for the use of metallic ladders in electrical work.
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1.7.7 Requirement for removing floors, railings, guard rails, trap doors and other elements of collective fall
protection:
a) During the planning stage, before carrying out a removal of these elements in order to offer exposure
to the risk of falling from height, one must analyze other safer ways of carrying out the activity without
carrying out such removal. If the need for the opening is confirmed, the requirements below must be
followed
b) Openings with the risk of falling must be previously planned and approved by the area owner by issuing
a Safe Work Permit (SWP) and containing a Risk Analysis for the activity
c) Before the start of the activity, the opening location must be adequately isolated with a physical, rigid
and fixed barrier to prevent unauthorized access and be clearly signaled informing the risks of the
location.
d) Every worker exposed to the risk of falling from the opening must be anchored in a fall protection
system, according to item 1.7.4.
e) The opening must be carried out by persons trained and authorized to work at heights (CAR01 and local
standards) and applicable procedures.
f) The opening caused by the removal of a floor, guardrail or hatch cover must be completely isolated with
a physical, rigid and fixed barrier to prevent unauthorized access and be clearly signaled informing the
risks of the place.
g) At the end of the activity, the opening must be closed immediately and the place must be regularized
with the assurance that the installation is in safe conditions for use.
h) Hatches must be inventoried and their use controlled by padlocks.
i) Collective fall protection elements should be periodically inspected taking into account, as a minimum,
the requirements of PGS – 004728 – Floor Gratings, Openings and Trap Doors.
a) Employees who perform activities at height, considering the applicability criteria of this RAC, should be trained
in:
I. RAC 01, including retraining, according to Valer guideline;
II. Training (s) for working at height required by local law.
b) The legally qualified professional responsible for the elaboration of a fall protection system should be
specifically trained in this subject, following the premises of the local legislation;
c) Employees operating aerial work platforms and personnel lifting equipment must be certified in the safe
operation of such equipment.
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1.9.3 Tool Shop Supervisor and/or Resources (Materials) Responsible (professionals in charge to manage
the work at height equipment and devices):
a) Ensure that all devices for work at height are inspected on receiving step, as well as, periodically;
b) Set the inspection plan including frequency according to related regulatory requirements. Segregate and send
for disposal all equipment and device in nonconformance condition.
1.9.4 Supervisor:
a) Provide support for risk analysis of activities involving work at height;
b) Support the engineering area to identify and define points to apply fixed or mobile anchorage systems (pre-
engineered devices);
c) Support the Vale scaffolding inspector;
d) Set all working at height scenarios and activities mapped and update;
e) Provide performance feedback of service for supply;
f) Perform risk analysis to define (if applicable) the rope access;
g) Keep all risk scenarios identified at working at height.
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2.1 Foreword
Several incidents with critical or catastrophic potential have occurred with the involvement of light motor
vehicles. The main causes of these events are:
a) Speed incompatible with the road conditions;
b) Vehicle instability;
c) Poor conditions of the vehicle;
d) Lack of visibility;
e) Driver fatigue;
f) Driver distraction;
g) Other risky driver behaviors.
2.2 Purpose
Establish requirements for the safe operation of motor vehicles at service of Vale.
2.3 Application
This RAC applies to the operation of Vale owned, leased and rental light motor vehicles, while at service of
Vale. The RAC also applies to service provider vehicles operated as part of a Vale contract in public or Vale roads
(including underground and surface mining areas).
Types of light motor vehicles covered in this document include: automobiles, sport utility vehicles, pick-up trucks,
minivans, full size vans, and buses (both compact and full size).
2.4 Exceptions
• Mine Area: areas used for mining activity, such as open pits, underground mines, permanent travel routes, shift
change areas, lookouts, maintenance workshop, where the access of vehicles, equipment and people is
controlled.
• Dedicated Vehicles: vehicles of permanent use or rented for more than three months.
• Mining Operations: areas where the following activities occur including drilling and blasting, mining, material
loading and unloading and dumping of waste rock.
• Operational Area: all internal areas of Vale's Sites (terminals, power plants, railways, mining areas, iinternal
parking areas, among others), where the access of motor vehicles, mobile equipment and people is controlled.
• Operational road: the roads, access roads and traffic routes in the operational area.
6
However, the specifications of these vehicles must comply with local legislation and drivers must obey the Site Traffic
Plan.
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• Rental vehicle: vehicles that are rented directly from approved car rental companies, at airports or agencies.
These contracts must not extend over 3 consecutive months, regardless of whether it is a single contract or
different contracts.
• Secondary auxiliary braking system (hydraulic retarder + electromagnetic): an auxiliary braking system
that works independently of, and in conjunction with, the service brakes and engine braking.
• Speed monitoring system (telemetry): wireless data transmission and reception technology designed to
remotely monitor vehicles.
2.6.1 Requirements for the operating roads and circulation of light motor vehicles:
a) All the operating roads must be identified in the Traffic Plan;
b) Physical barriers or protective devices (such as walkways, bumps or lights activated by pedestrians on
safe walking paths, among others). Must be installed, to segregate the interfaces between people and
motor vehicles as much as possible, where there is a significant risk of contact between vehicles and
people;
c) Speed road signs must be installed at regular intervals indicating maximum allowable speed on the
internal roads;
d) Parking areas must be designated for parking light motor vehicles the areas must allow a safe
separation from mobile equipment);
e) Traffic routes for the circulation of mobile equipment, vehicles and pedestrians must be clearly
identified;
f) The internal roads of permanent facilities must be preferentially paved. The mining areas must be
leveled;
g) In underground mining, cutouts must be designed for the parking of motor vehicles in a way that does
not interfere with the traffic in the main roads.
7
Where vehicles are manufactured with Anti-Rollover Devices (ROPs), it is recommended that this option be adopted
as a further protective barrier for the vehicle occupants.
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d) Front airbag for the driver and the front seat passenger X X X
2.6.4 Specific Requirements for light motor vehicles travelling in internal areas (operational or administrative):
Dedicated Micro
Specific Requirements11 Vehicles
Vans
buses
Buses
8
Light motor vehicles owned by Vale or at Vale's service do not need to use the reversing audible alarm on public roads,
administrative areas or close to Vale's neighboring communities
9
Consult requirement 2.7.c.v below
10
Buses with a Total Gross Weight greater than or equal to 17 tons must have Auxiliary System II (Hydraulic or Electromagnetic
Retarder). The non-applicability of this device on some buses with a Total Gross Weight greater than or equal to 17 tons must be
justified based on a risk analysis.
11
Where vehicles are manufactured with Anti-Rollover Devices (ROPs), it is recommended that this option be adopted
as a further protective barrier for the vehicle occupants.
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d) Front airbag for the driver and the front seat passenger X X
2.6.5 Specific Requirements according to light motor vehicle that access mining operation:
Dedicated
Specific Requirements14 Vehicles
Micro buses
b) Three-point seat belts for first row of seats and two point for other seats X
c) Headrest or high backed (bucket) seat with fixed head restraint for all
X X
passengers
12
Consult requirement 2.7.c.v below
13
Buses with a Total Gross Weight greater than or equal to 17 tons must have Auxiliary System II (Hydraulic or Electromagnetic
Retarder). The non-applicability of this device on some buses with a Total Gross Weight greater than or equal to 17 tons must be
justified based on a risk analysis.
14
Where vehicles are manufactured with Anti-Rollover Devices (ROPs), it is recommended that this option be adopted
as a further protective barrier for the vehicle occupants.
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d) Front airbag for the driver and the front seat passenger X
q) Visible pennant with LED light at the tip, installed according to the
X X
height of the highest equipment circulating in the mine
2.6.6 Specific Requirements for Utility Terrain Vehicles16 (UTV) and Snowmobiles:
Utility Terrain
Specific Requirements Snowmobiles
Vehicles (UTV)
a) Rollover Protection Structures (ROPs) X
b) Three-point seat belts X
c) Reflective striping X X
d) Roof Mounted flashing, rotating or strobe light X
e) Fire extinguishers X X
f) Laminated indshields with wipers X
g) Helmets X X
15
Consult requirement 2.7.c.v below
16The use of Utility Terrain Vehicle (UTV) and snowmobiles should only be used where light vehicles are unable to
access due to terrain and legal environmental restrictions for opening access roads.
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Critical Activities Requirements - CAR
a) All persons who drive vehicles at the service of Vale, inside or outside Vale property, must comply with the
following rules:
c) Local procedures must be implemented in all operational areas that have mobile equipment circulation and these
must include, in synergy with the operational area Traffic Plan:
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3.1 Foreword
Over the past 10 years, a number of potentially critical and catastrophic incidents involving mobile equipment
have occurred in Vale's operating areas. The main contributing factors of these events were:
a) Equipment operating conditions;
b) Equipment instability;
c) Equipment fires;
d) Speed incompatible with road conditions;
e) Lack of visibility;
f) Defective or inadequate protection barriers;
g) Operator fatigue;
h) Other risky operator behaviors.
The requirements contained in this document were consolidated and defined from the analysis of the
contributing factors of these events and constitute the main barriers and mitigation elements that must be implemented
in Vale's operating areas that have mobile equipment in order to prevent high potential incidents from occurring.
3.2 Purpose
3.3 Application
Operation of Vale's own, leased or rented surface and underground mining mobile equipment, as well as
equipment of service providers that are subject to the scope of Vale's contract and that circulate on public roads,
operating areas, mining areas and operational routes.
3.4 Exceptions
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• Anti-collision system with automatic braking of equipment: system installed on mobile equipment, motor
vehicles and/or people, for their georeferencing, and that acts automatically on the braking system of equipment
and vehicles when there is the risk of an imminent collision.
• Large mobile equipment: equipment with a tare of 45 tons or more.
• Mine Area: areas used for mining activity, such as open pits, underground mines, permanent travel routes, shift
change areas, lookouts, maintenance workshop, where the access of vehicles, equipment and people is
controlled.
• Mobile equipment without cabin: equipment without any type of protective structure for the physical integrity of
the operator.
• Mining Operations: areas where the following activities occur including drilling and blasting, mining, material
loading and unloading and dumping of waste rock.
• Mobile Equipment: motor-driven equipment used to move, transport, excavate, displace or push materials.
• Mobile underground mining equipment: loader, lorry, transporter, roof hoisting and throwing equipment,
motor grader, backhoe, drilling rig, scalers, rig - non exhaustive list.
• Operating routes: roads, accesses and traffic roads within the mining areas. It’s also considered operating
routes piers and its access.
• Operational Area: all internal areas of Vale's Sites (Terminals, Power Plants, Railways, Mining Areas, internal
arking Areas, among others), where the access of motor vehicles, mobile equipment and people is controlled.
• Other trucks: road truck, tipper truck, track truck, articulated truck, bucket truck, tank truck, road train truck,
stump truck, flatbed trailer truck and articulated truck mounted crane. The latter must also meet the requirements
of RAC-05 - Load Lifting.
• Proximity alert system between equipment: system installed on mobile equipment, motor vehicles and/or
people that allows georeferencing and triggers an alert if they are within a defined proximity limit.
• Restricted Areas (Exclusion Zones): operational areas where the access of people, vehicles and equipment
must be restricted and controlled, primarily to reduce the number of people exposed and the potential of
accidents.
• Safety distance: minimum distance from the equipment or vehicle in front, which allows the driver or operator
to stop the vehicle or equipment without causing a collision in the event of braking or sudden stopping of the
vehicle in front.
• Surface mobile equipment: motor grader, scraper, backhoe, excavator, tractor, forklift, tire handler, dump
trucks, other trucks, drilling rig, skid steer loader - non exhaustive list.
• Synchronized gearbox: mechanical device installed in the gearbox, which allows matching of the toothed
element speeds before gear engagement, allowing smooth shifts without jumps and without the need to stop
equipment.
• Telemetry: wireless data transmission and reception technology designed to remotely monitor mobile
equipment and motor vehicles.
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Wheel Loaders
Tire Handlers
Other Trucks
Haul trucks
Excavators
Specific Requirements
Backhoes
Scrapers
Tractors
Graders
Forklifts
Drills
a) Safety belt 03 points. X(a) X
b) Safety belt 02 points. X X X X X X X X X
c) Rollover Protection Structure (ROPS). X X X X X(b) X X
d) Falling Object Protection Structure (FOPS). X X X X X(b) X X
e) Windshield Protection Grid (FOG). X(c) X(c) X(c)
f) Escape and landing alternatives in emergency
situations. X X X X X X X
g) Proximity alert system between equipment. X(e) X(e) X(e) X(e) X X(e)
h) Anti-collision system with automatic equipment
braking. X
i) Front video cameras. X
j) Rear video cameras. X(d) X(d) X(d) X(d) X(d)
k) Sides video câmeras. X(d) X(d) X(d) X(d)
l) Air-conditioned cabin. X X X X X X X(g) X X X X
m) Two-way communication radio. X X X X X X X X X X X(e)
n) Location and speed (telemetry) monitoring
systems. X X
o) Load monitoring systems. X
p) Tire pressure and temperature monitoring systems. X(d) X
q) Traction on at least two axes when there are 3 or
more axes. X(e)
r) Reflective stickers on sides and rear. X X X
s) Reverse warning light. X X X(f) X X X X
t) Speed limiting device. X X X
u) Operator presence detection system. X X
v) Fixed load table next to the commands. X X X X X
w) Primary auxiliary braking system speed retarding
(engine brake) and secondary auxiliary braking Xh
system (hydraulic retarder + electromagnetic)
x) Head rest. X
y) Tilt position indicator (visual and audible on panel). X *
z) Low tilt physical indicator. X
aa) Signaling devices (reflective triangles, cones, plastic
drums or stanchions). X
bb) Operator drowsiness detection system. X X(e)
cc) Hydraulic actuation of fork opening and closing. X(g)
(a) Mandatory for the operator
(b) Mandatory for 6 to 50 tons excavators
(c) Mandatory for mobile equipment used in vegetable clearance and demolition
(d) Required for large equipment
(e) Required for mining operations only
(f) Required for tire tractors
(g)Not required for electric pallet trucks and electric forklifts
(h) The Secondary Auxiliary Braking System (hydraulic retarder + electromagnetic) is mandatory for equipment with a total gross weight equal or
above 30 tons and its use on long and steep slopes.
(*) See item 3.6.3.– dd
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Underground Drills
Specific Requirements
Other trucks
Excavators
Graders
Scalers
trucks)
Rigs
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Local procedures must be implemented in all operational areas that have mobile equipment circulation and
these must include, in synergy with the operational area Traffic Plan:
a) Access control of mobile equipment, motor vehicles and people to the mining areas;
b) Definition of restricted areas (exclusion zones);
c) External circulation;
d) Operation outside the Vale site/area;
e) Telemetry management including:
I. System for periodic and routine verification of the information available;
II. Consequence Policy in cases of violations.
f) Management of drowsiness detection systems including:
I. System for periodic and routine verification of the information;
II. Reporting of abnormal cases;
III. Actions to be taken in case of deviations.
g) Tire pressure and temperature monitoring management, including:
I. System for periodic and routine verification of the information;
II. Actions to be taken in case of deviations.
h) Pre-use and periodic inspections;
i) Equipment checks and tests for release before first use and after maintenance, including brake testing according
to the manufacturer specifications;
j) Gas emission test in underground mining equipment;
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n) Mobile equipment removal, complying with local procedures that contain, at a minimum:
17
The use of chocks is not mandatory when the equipment is on the outrigger floats or when the implement is lowered
at ground level, which prevents its involuntary movement.
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a) Valid driver’s license for the type of mobile equipment they will operate, when required by local law;
d) Training in the operation of the automatic fire detection and suppression systems, evacuation
techniques and activation of the site emergency plan, if operating mobile equipment with such systems.
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4.1 Foreword
A significant proportion of harm to people and reporting of high-potential incidents occurring within Vale included
cases when the energy sources were not properly locked out. The main contributing factors were associated with:
4.2 Purpose
To define the Health and Safety requirements to be applied for effective control of the risk of harm to people
and eliminate involving the release of hazardous energies.
4.3 Application
Maintenance activities and services involving processes and equipment where procedures are required for
isolation and lockout / tagout of energy sources that ensure the control of potential release of hazardous energy.
4.4 Exceptions
• Chemical energy: Energy contained at a molecular level within a chemical substance. It is a measure of the
substance’s capacity to transform into another substance through a chemical reaction subsequently releasing,
or absorbing, energy.
• Electrical energy: Energy from flow of electrical current as a result of a potential difference between two points
in an electrical field.
• Energized: Connected to an energy source or containing residual or stored energy.
• Energy source: Any electrical, hydraulic, pneumatic, chemical, mechanical, nuclear, gravitational, residual,
thermal energy.
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a) Processes (including machinery) and equipment within an operating facility must be clearly identified,
formally documented and the energy isolation devices must be capable of being locked out;
b) Isolation devices must be clearly identified in area process and referenced in isolation procedures.
Isolation devices must be, preferentially, designed as permanent physical installations;
c) Process flow, instrumentation and electrical drawings must be up-to-date, so that isolation points can
be referenced and clearly identified in process isolation procedures;
d) Lockout devices must:
I. Be durable to withstand the environment in which they are used;
II. Be designed to directly enable the use of locks;
III. Have mechanical integrity that does not enable tampering;
IV. Meet format requirements of local standards.
e) Locks must:
I. Be designed for energy isolation lockout purposes and have at least 6 pins;
II. Be single keyed and combination locks are prohibited;
III. Be designed to retain the key when the lock is open;
IV. Be constructed of nonconductive material where there is the possibility of contact with electrically
energized surfaces.
f) Lockout tags must:
I. Be durable to withstand the environment in which they are used;
II. Be traceable;
III. Indicate the name of person, date, time and reason of lockout;
IV. Follow the format requirements of local standards.
g) Any process (including machinery) and equipment supplied by electrical energy where isolation
devices are located in sub stations, electrical rooms or motor control centers must have a formally
implemented system to manage the isolation and lockout of eletrical energy stages through the:
I. Identification of all energy paths connected to equipment that must be isolated;
II. Compliance with all requirements of lockout/tagout and of removal of locks.
a) Each location must have defined and implemented lockout and tagout procedures that include, at a minimum:
I. Identification of hazards and required controls;
II. Responsibilities, accountabilities and approvals;
III. Method(s) which the person(s) that working under the isolation will use to install his/her (their)
lockout and tagout devices, i.e., directly on the isolation devices themselves or in a box which
contains the key of the locks installed by the authorized person(s) who performed the lockout/tagout
in the isolation devices;
IV. Lockout process stages and steps to be taken including:
– Identification of equipment to be locked out;
– Process to check that all energy sources are properly identified;
– Isolation of energy sources;
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a) People involved in activities or tasks that require lockout/tagout must be trained in RAC 04, including retraining,
according to Valer guideline
4.9.2 Managers:
a) Approve safety operating procedures containing control measures that eliminate exposure to hazardous energy
when a zero energy state cannot be achieved on a given equipment, installation or system;
b) Formally approve employees authorized to perform hazardous energy lockout;
c) Formally designate one or more persons responsible for confirming that all necessary locks have been correctly
performed if there is more than one team involved in activities on the same locked equipment.
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5.1 Foreword
A significant proportion of critical incidents in Vale occurred during the lifting of loads. The main contributing
factors associated with these incidents were:
a) Use of inappropriate tool / equipment;
b) Inadequate position for the task;
c) Failure to alert / warn / communicate;
d) Improper loading / tethering;
e) Failure to identify and assess risks;
f) Unintentional deviation from working standards (error);
g) Lack of risk perception / awareness;
h) Defective / inappropriate tool / equipment;
i) Inadequate lifting / lifting;
j) Failure to perceive the risk situation.
5.2 Purpose
Establish requirements for lifting loads at Vale.
5.3 Application
Activities associated with the lifting of load by equipment owned, leased or rented by Vale, including service
provider lifting equipment that are part of a contract scope with Vale, from the following types of lifting equipment: cranes,
overhead cranes, monorail lifting systems, lifting booms, mobile cranes, hoist and any other lifting equipment or lifting
system18.
It is understood in the scope of the activity of lifting the preparation and modifications made to the equipment
and the load to be lifted.
5.4 Exceptions
The requirements of this RAC do not apply to:
a) Load transport activities by vehicles or equipment; Example: transport by trucks, trailers, forklifts, etc.
b) During the maintenance19 of load lifting equipment while not in use for lifting, except when, in the maintenance
activity there is load lifting;
c) Operation of vehicles designed for lifting loads without being in the lifting activity;
d) People lifting activity
18Even it is not listed in this document, any equipment for lifting of load (adapted excavators, for example) of load must
comply with the general requirements (not specified for a type of equipment) of this RAC.
19The responsible for the lifting equipment handling during the maintenance activity must be properly qualified to operate
the equipment, this qualification must enable the responsible for maintenance to ensure the minimum knowledge
required for handling and equipment tests.
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• Accessories: shackles, synthetic webbing slings, chain slings, wire ropes, forged fittings and special devices.
• Factor or utilization rate: is the ratio between the gross load of the crane to be hoisted and its capacity
according to its load chart and configuration.
• Critical Lifting: Any lifting that has at least one of the mandatory conditions for the elaboration of a Rigging
plan (see item 5.7 - Requirements for procedures, letter ´f´).
c) Top lights X
d) Grounded structures X X X X
n) Locking casters X
20 The requirements for the monorail are for the structure itself. Equipment (such as trolley with a hoist) that will be
supported on the monorail must comply with their specific requirements.
21 Except for fixed hoist.
22 Only for two or more overhead crane in the same interspace.
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Vehicle-
Tower Other Overhead Monorails Electric Manual
Specific Requirements mounted 20
Crane Cranes Crane Hoist Gantry
crane
o) Anemometer X X23
p) Emergency button X X X X X
25
Maintenance, infrastructure and projects.
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5.9.5 Tool shop supervisor and/or resources (materials) responsible (professionals in charge to manage the
work at height equipment and devices:
a) Ensure that all devices for work load lifting are inspected on receiving step, as well as, periodically;
b) Set the inspection plan including frequency according to related regulatory requirements.
c) Segregate and send for disposal all equipment and device in nonconformance condition.
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6.1 Foreword
A significant proportion of critical incidents in Vale occurred in confined spaces . The main contributing factors
associated with these incidents were:
6.2 Purpose
To establish minimum Health and Safety requirements to recognize, identify, assess, control, mitigate, and
monitor existing risks in jobs where workers directly or indirectly interact with these confined spaces, to eliminate and/or
minimize high-potential events, as well as develop responses to emergencies that may occur involving confined spaces.
6.3 Application
The requirements for this CAR are applicable for accessing and/or performing activities in confined spaces.
Access to confined spaces, as well as the activities to be carried out in these locations, are considered critical
in view of the risks related to the atmosphere in these areas, as well as the other risks inherent to the activities to be
performed.
Confined space activities should be preceded by planning and, when possible, the adoption of alternative means
to avoid worker exposure to these environments. Therefore:
If possible, the location must opt for an engineering solution that eliminates the exposure of workers to hazards
in confined spaces. When planning entry into confined spaces, you must evaluate whether entry is absolutely necessary
or whether the activity can be performed without exposing workers to the risks inherent in confined spaces.
When the entry of people into confined spaces is mandatory due to technological limitations, the monitoring
process during entry must be carried out using highly reliable remote monitoring technologies.
6.4 Exceptions
Confined spaces must be classified according to the requirements and premises defined by local legislation.
Therefore, it is not a question of establishing exceptions, but of providing a pertinent characterization of confined spaces.
Locations that do not have local regulatory and legal requirements regarding confined spaces must define the alignment
of their requirements in accordance with the Vale Corporate Health, Safety and Operational Risk advise.
b) All devices, tools and equipment to be used in activities in confined spaces must be previously inspected,
including that support equipment that will not be inserted into them.
c) Maintenance and inspection plans must be implemented according to the specifications of the manufacturers
or Vale's maintenance areas to provide (a) the reliability and useful life of the atmospheric monitoring equipment,
(b) rescue in confined spaces, and (c) reliability of the individual specific protective equipment (e.g., supplied
air equipment) and collective protective equipment.
d) The equipment data and its inspection and maintenance plans, described in item “c”., must be registered and
kept updated in a system for user consultation.
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h) Emergency response equipment must be available, including a first aid kit, confined space rescue gear, height
rescue, and supplied air and autonomous breathing apparatus.
i) Use of safety devices for electrical equipment or devices (such as, for example, a residual current devices) must
be provided in accordance with local regulations.
j) In hazardous areas with explosion potential, electrical equipment and devices must be assigned and certified
for these areas.
b) Units must establish and maintain a system of periodic inspections providing for at least the maintenance of
identification plates, cleaning and maintenance of accesses to their inventoried confined spaces.
c) Areas of access to confined spaces must be isolated and signaled during work in order to aware and prevent
unauthorized access
6.7.3 Requirements for preparation procedures for entry into confined spaces
a) Entry into confined space must be carried out after the space has been adequately prepared following a specific
procedure to control all the risks that could impede activity there.
b) The confined space preparation procedure must be specific and elaborated in a checklist-like format.
c) The confined space preparation process must involve the steps of cleaning, decontaminating and ventilating
prior to any entry into the space.
d) The specific procedure for preparing for confined space entry should include:
I. Choose the method of isolating the equipment for entry into confined space from the options below
(and in the following order of preference):
• Physical disconnection,
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II. Ensure that all energy sources are isolated, blocked, tagged and verified according to CAR 4
requirements.
III. Monitor atmosphere/air quality (initial and periodic) to ensure airborne concentrations remain
within acceptable concentrations.
IV. Identify and calibrate the meter for monitoring the atmosphere (calibration procedure for air quality
measuring instruments).
V. Eliminate flammable / combustible materials in the area and verify this through pre-task inspection
and periodic cleaning.
VI. For external air supply/exhaust systems (with redundant fans), purge or vent spaces prior to entry
of workers to ensure contaminants are within acceptable concentrations.
VII. Prior communication to the rescue team regarding the confined space entry scenario to be
performed and the respective activities to be performed in these spaces.
VIII. Prior assessment of the rescue team regarding the confined space scenario (recognizing,
identifying, and addressing opportunities for prior implementation of devices or systems aimed at
rescue in an emergency).
6.7.4 Requirements for confined space entry procedures must be specific and include:
a) Permanent and durable signage on all confined space accesses to inform workers of the danger involved.
b) A communication system (tested and available) connecting the work team, Confined Space Entry Attendant
(safety observer) and rescue team.
c) Prior notification to ensure rescuers are available, on standby and aware that the confined space entry
procedure will commence.
d) Initial and continuous air quality monitoring to keep airborne contaminants within acceptable limits.
e) If mechanical ventilation is required to maintain acceptable atmospheric levels, an adequate warning system
and exit procedure must also be provided to ensure workers are adequately warned of ventilation failure and
are able to safely exit the confined space.
h) Installation and use of indoor lighting (intrinsically safe, water and explosion-proof.
i) Prior and continuous checking of systems, equipment and accessories to supply breathing air according to the
respiratory protection program.
k) Protocols for thermal stress, including a work rest regime (industrial hygiene).
IMPORTANT: It is important to emphasize that thermal stress must be evaluated considering aspects such as and
among others, heat/cold, humidity and wind. The respective control and mitigation actions should reflect the scenarios
where our operations and activities are present across the globe and, therefore, high and low temperature conditions.
m) A communication process to help the team working in a confined space to exit the space due to:
II. Any non-compliance detected that may impact the health and safety of workers or
26
It must be disregarded for locations where there are legal requirements that consider this option unacceptable.
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6.7.5 Requirements for task procedures and activities to be performed in confined spaces must be specific and
include:
a) A risk assessment and control/mitigation measures related to the task and to the possible interference with
other tasks.
b) Actual and potential impacts to the quality of the atmosphere in the confined space arising from the activity that
will be performed (for example, hot work, etc.) and respective prevention and mitigation controls.
c) Pre-use inspection of all devices, tools and equipment that will be used in the activity to be performed, and
disposal of all material or equipment that is defective or damaged.
e) Explosion-proof, lighting and anti-spark tool best practices (for example, brushless power tools, intrinsically safe
devices for hazardous areas as per PNR-000027 Plant Layout Hazardous Area Classification).
g) A communication process to help the team working in a confined space to exit the space due to any failure or
non-compliance that could impact the workers’ health and safety.
6.7.6 Requirements for emergency procedures in confined spaces must be specific and include:
a) Written instructions, including inspection of rescue equipment, rescue plan and test rescue plans.
b) A communication process to help the team working in a confined space to exit the space due to any failure or
non-compliance that could impact the workers’ health and safety.
c) An alert system and exit procedure to ensure workers have adequate warning of ventilation failure and are able
to safely exit the confined space.
e) Rescue for emergency scenarios involving confined spaces, as well as emergency scenarios associated with
activities carried out in confined spaces.
c) Confined space attendant (safety observer) must be trained in CAR 06 as well as local legal training
requirements for work in confined spaces.
d) Workers who will perform task within spaces must be trained in CAR 06, as well as in local legal training
requirements for work in confined spaces.
e) Workers who will perform the task within confined spaces must be trained in the specific procedures that involve
their activities, as well as in the CARs and relevant local legal demands.
f) Authorized employees, confined space attendant (safety observer) and supervisors (or equivalent, in
accordance with local legal requirements) must:
I. Designate the competent professionals who must approve the general local procedures (General
Procedures for Confined Spaces, Procedures for Preparation for Entry into Confined Spaces,
Procedures for Entry into Confined Spaces, Procedures for Tasks and Activities to be Performed in
Confined Spaces and Procedures for Emergencies in Confined Spaces).
II. Designate trained and competent professionals in the regulatory and legal requirements of your
location.
b) The Confined Space Rescue Team must be aware in advance of the activities that will be performed in confined
spaces.
c) Locations must ensure that records are retained in accordance with local regulatory and legal requirements of
all training and documents associated with confined space work activities (items a, b, c, d, e, f and g, above).
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7.1 Foreword
Some of the accidents at Vale have occurred during critical activities involving machines with unguarded moving parts.
The main contributing factors associated with these accidents were:
b) Absence of automatic protective devices (presence sensors, light curtain, interlocks, controllers, actuators, etc.),
d) Inadequate safeguarding,
f) New and existing machines not complying with technical standards for machinery safety.
7.2 Purpose
To establish minimum requirements on machine guarding for acquisition, installation, commissioning, operation and
maintenance activities to prevent accidents.
7.3 Applicabilty
This document applies to all new and existing machines at Vale's facilities and at those of our contractors/third parties,
such as:
a) Fixed or mobile machines and associated installations, both new designs and existing,
b) Standard machines purchased from suppliers, including those adapted for Vale,
c) Machines manufactured specifically for Vale, and
d) Modifications made to existing machines and associated installations.
7.4 Exceptions
The requirements of this CAR do not apply to:
a) Non-installed parts, components or pieces of interchangeable equipment that by themselves do not constitute
a machine (hydraulic units, robots, etc.),
b) Lifting accessories such as chains, ropes and steel cables,
c) Partly completed machinery, that are not yet in operation, and
d) Machinery designed for:
I. Nuclear and/or windmill power generation purposes,
II. Use onboard seagoing vessels and mobile offshore units, and
III. High-voltage electrical equipment (generators, transformers, etc.) .
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NOTE 1: Details of the requirements of this CAR are available in PGS-004951 – Machine Guarding Manual, which
describes the best implementation and safety practices.
a) Machines and safeguards must comply with technical standards and local legislation. Machine Guards must
have project developed by a qualified professional.
b) Machinery must be designed and constructed in such a way that prevents people being exposed to a hazard in
any level. To avoid or reduce exposure to the hazard, the criteria in this table must be met:
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Exposure level 1 2 3 4 5
to hazard
Work near
Work inside the
Task Work outside Work through hazardous No safeguards,
machine, behind
characteristics safeguards safeguards energy/ everything is off
safeguards
movements
Set-up,
Clearing jams /
adjustment,
Task Normal operation Tool change, Maintenance
process
etc.
monitoring, etc.
Key exchange /
trapped-key
interlock, Partial
Fixed guards Lockout, tagout
Protective multiple reset, lockout/tagout /
Safety measures or perimeter and zero energy
devices tag system, alternative
fencing (CAR 04)
partial measures
lockout/tagout,
etc.
c) Hazardous energy-isolating devices (CAR 04) must be installed in an easily accessible location with sufficient
space in which workers can stand when switching them on and off, allowing them to be locked out in the off
position.
d) All operating panels and components that require regular service must be located outside safeguards.
e) All systems, components and devices used to perform a safety function (e.g., an interlocked protection
interconnected to the safety relay that disables the operation of a motor) must be certified for use as a safety
system by the manufacturer or by a recognized testing body.
f) Where there is a risk of projecting or liquid or solid falling materials that could reach people, suitable guards
must be installed to prevent accidents.
g) The control systems of machines (e.g., start buttons, mode selectors, gate interlock systems connected to the
machine safety stop interface, emergency stop systems, etc.) must be designed and constructed in such a way
as to prevent the occurrence of hazardous situations. Control systems are detailed in item 7.1 of the
PGS-004951 – Machine Guarding Manual, with special attention to:
I. Prevention of unexpected start-up of machinery,
II. Prevention of uncontrolled changes,
III. Priority over other controls,
IV. Visibility of the operation, etc.
h) The control devices of machines (e.g., start buttons, mode selectors, gate switch systems interconnected to the
machine stop safety interface, emergency stop systems, etc.) must be designed and constructed in such a way
as to prevent the occurrence of hazardous situations. Control systems are detailed in item 7.2 of the
PGS-004951 – Machine Guarding Manual, with special attention to:
I. Operation in an accessible way,
II. Safe position,
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i) Fixed guards (fences, shields, covers, mesh, etc.), moveable guards (interlocked gates, guards fitted with
interlocking devices) and protective devices (light curtains, scanners, etc.) used to prevent access to hazardous
parts, movements and areas of the machine are detailed in item 7.6 of PGS-004951 – Machine Guarding
Manual.
Frequency of
Guarding type Fixing Interlock device required
access
Weekly Fixed or moveable guards Bolted (if fixed) Yes (if moveable)
NOTE 2: For safety distance measurement, refer to the tables available in item 7.8 of PGS-004951 – Machine Guarding
Manual.
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I. Be equipped with protective and restraining systems by suitable means (adequate hose support, air
fuses, shielding, etc.) to avoid whiplash caused by hose or pipe failures, and
II. Have a performance level (PL), according to item 7.11 of PGS-004951 – Machine Guarding Manual.
p) Machines must be equipped with 1 (one) or more emergency stop devices to allow them to stop in an
emergency, removing the power from the machine actuators in the best possible conditions, according to item
7.10 of PGS-004951 – Machine Guarding Manual.
q) Safety control systems (e.g., interlocking connected to safety relays and actuators) must perform specified
functions to achieve or maintain a safety machine/process state when unacceptable or dangerous process
conditions are detected, according to guidelines in item 7.11 of the PGS-004951 – Machine Guarding Manual.
r) Safety control systems must allow for the achievement of performance levels (PL) in accordance with the risk
related to the safety function.
s) The required performance levels (PLR) of the safety functions must comply with the table below:
NOTE 3: ISO 13849-1 – Safety of machinery – Safety-related parts of control systems – Part 1: General principles for
design may alternatively be followed to determine the PLR.
t) All energy sources must be designed and installed so that they do not endanger the safety or health of persons
working on or nearby the machine, in accordance with the guidelines of item 7.12 of PGS-004951 – Machine
Guarding Manual.
u) Machinery must be provided with measures to prevent unexpected start-ups that can either be applied
automatically (e.g., via a control system) or manually (e.g., via the control of hazardous energies), in accordance
with item 7.13 of PGS-004951 – Machine Guarding Manual.
v) Warning devices (preferably audible or visual) must be provided whenever the presence of persons in hazard
zones of machines is difficult to notice. Such warning systems must alert personnel about the impending
machine start-up, according to item 7.3 of PGS-004951 – Machine Guarding Manual.
w) Warning signs (markings, pictograms, standardized colours, and written text in a local official language) must
be used to indicate residual risks remaining in the machine, according to item 7.15 of PGS-004951 – Machine
Guarding Manual.
x) Machines and installations must be provided with safe means of access (for operation, adjustment,
maintenance, cleaning, etc.), designed and built in accordance with item 7.14 of the PGS-004951 – Machine
Guarding Manual.
NOTE 4: Means of access to the machines must be protected with a guardrail where there is a risk of falling (into the
machine, or around the machine) over a height over 500 mm = 0.5 meters = 19.68in.
NOTE 5: Whenever the local legislation / standards are more restrictive with regards to means of access to machines,
the local legislation / standards must be adopted.
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NOTE 7: Details of the requirements of this CAR are available in the PGS-004951 – Machine Guarding Manual, which
describes the best implementation and safety practices.
a) Each location must have an inventory of its own machines and those of contracted companies.
b) Each location must be provided with an inspection or maintenance plan (for Vale's own machines) and/or an
inspection or maintenance procedure (for machines from contracted companies) for verifying the effectiveness
and reliability (TM – Time mission) of the machines' protective systems and safety components, in accordance
with the information from the manufacturer or most restrictive plan at Vale's discretion. The plan must include
at least:
I. Fixed guards – fences, shields, mesh guards, fastening, etc.,
II. Moveable guards – interlocked gates, fastening, logics, etc.,
III. Automatic protective devices – presence sensors, light curtains, interlocks, controllers, actuators, etc.,
and
IV. Emergency stop devices – pushbuttons, ropes, etc.
c) Activities that involve the removal of machine guards require a Safe Work Permit (PNR-000031 SWP).
d) Machine guards that are removed must be put back in place before the machine is returned to operation.
e) Safety devices that are removed or damaged and cannot be repaired and/or replaced during routine
maintenance must be managed through the change management process (PNR-0000101). Contingency safety
measures must be taken until the problem is permanently resolved. The permanent solution must be re-
established as soon as possible, regardless of the production processes and documented in the HRN risk
assessment.
a) A risk assessment must be carried out using the HRN methodology, on all new and existing machines, including
those owned by contracted companies within Vale, with information on the risk reduction methods applied and
recommended risk reduction measures.
b) The result of the risk assessments must be expressed as per the table below:
NOTE 8: The risk levels classified above must follow the governance strategy out of Table 5 of the standard NOR-0003-
G – Risk Management.
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b) The risk assessment of machines in operation must be reviewed after operational changes or design
modifications are made or an accident occurs (e.g., changes in operating parameters, newly introduced risks,
changes in risk estimation parameters), in accordance with PNR-0000101 – Management of Changes.
a) New machines must only be accepted upon presentation of a risk assessment report following the HRN
methodology and indication of the achieved PL (Performance Levels) of each safety function of the machine.
b) The manufacturer/supplier must provide a list of functional tests, focusing on safety aspects (e.g., static and
dynamic mechanical stress analysis, safety control system performance levels, electrical equipment safety,
ground continuity, noise levels, etc.).
c) Specific verification, validation and acceptance tests of safety systems and safeguards must be carried out for
each machine, including lockout of hazardous energy (e.g., isolation of hazardous energy – CAR 04, guards,
emergency stop devices, enabling devices, etc.).
d) The manufacturer / supplier must provide a machine safety layout containing at least the points indicated in item
6.f of the PGS-004951 – Machine Guarding Manual.
e) The manufacturer / supplier must provide all certificates required by the legislation of the country or region
where the machine will be installed.
f) The manufacturer / supplier must provide all documentation indicated in item 6.h of PGS-004951 – Machine
Guarding Manual.
g) The manufacturer / supplier must provide the list of PPE required to perform each task on the machine, including
machine usage signs and notices.
c) Employees working on projects and machine acquisition must be trained on the requirements of this CAR.
a) Must formally assign persons responsible for carrying out risk assessments of new, existing and modified
machines.
7.9.2 Managers:
a) Must comply with the requirements established in this document and in local procedures, and
b) Must activate the local help chain, in case any identified irregularity cannot be resolved.
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8.1 Foreword
In past years, Vale’s operations have experienced significant ground failures related to the instability of slopes,
underground openings, and uncontrolled water flows. Some important contributing factors associated with these events
have been:
a) Geometry incompatible with design.
b) Increase of saturation level (presence of water).
c) Inappropriate execution of the activity.
d) Use of inappropriate equipment type and/or size.
e) Lack and/or failure of the support/shoring system.
f) Lack and/or failure of protective barriers.
g) Lack and/or failure of area isolation.
h) Compromised or limited visibility.
i) Operator fatigue.
j) Failure in perceiving risks.
8.2 Purpose
The objective of CAR 08 is to establish minimum requirements that allow work near or on slopes as well as within
underground openings to be carried out safely. The requirements of this CAR must be adhered to during the various
phases of an asset’s life cycle, from planning to construction, operation, and closure (and, when applicable, post-
closure).
8.3 Application
The requirements of CAR 08 apply to all business units and operations managed by Vale, including new acquisitions.
8.4 Exceptions
The requirements of CAR 08 do not apply to excavations under 1,25 m.27 and do not apply to the management of
confined spaces.
27However, for excavations below 1.25 m, check whether there are buried structures in the area before the activity is
carried out.
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• Asset: A Vale-managed site that could be an exploration target, capital project, active operation, under care
and maintenance, or under post closure management.
• Asset life cycle: The components of the life cycle of an asset include: 1) the conception and planning phase,
2) the design phase, 3) the initial construction phase, 4) the operations and construction phase in progress,
5) the temporary interruption of operations, and 6) the closure and post closure phases.
• Checklist: A verification list that must be completed prior to work which relates to risk identification, including
a Safe Work Permit, Task Risk Assessment, or equivalent normative document.
• Design: The method, construction sequence/stages, and geometry of an asset to ensure a safe, efficient and
effective excavation. Mine plan and work instruction are also synonymous with this term.
• Emergency plan: A set of actions and measures to be adopted in case of an adverse situation (i.e., an
accident. incident, natural disaster, etc. ), aiming to protect lives and assets, as well as to reduce the
consequences of such a situation.
• Excavation: Removing soil or rock following design guidelines or another type of record or formal plan.
• Experienced Individual: An individual who is appropriately trained to complete the activity in question.
• Failure: Any unplanned movement of soil or rock that has a detrimental impact on the business.
• Qualified individual: A person who:
• Has a degree in mine engineering, geology, or a related earth science, specializing in geotechnics and/or
civil engineering.
• Has an appropriate professional registration, when applicable.
• Is a Senior Geotechnical Practitioner (or a rank above this) of Vale or an external consultant/contractor
who has a working knowledge of the operation of interest.
• A Qualified Individual must be specified in management plans and must have experience gained at an
underground or surface mining operation, ground engineering company or geotechnical consultancy
providing engineered underground designs, engineered slope designs, or hazard assessment services.
• Secured ground: Ground that has been scaled and/or reinforced to prevent failures that could result in injuries
to personnel.
• Slope: Any inclined surface made up of soil or rock. It may be:
• Natural: formed by nature with no human interference.
• Engineered: slope that underwent human interference through cuts or fills:
• Cut: An inclined surface resulting from excavation activities including roads and mining slopes).
• Fill: An inclined surface resulting from material fill/stacking activities.
• Trigger action response plan (TARP): Defined thresholds that, when exceeded, trigger specific actions to
mitigate risks
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c) The type, size and location of protection barriers must be installed according to designs and commensurate with
the potential hazard to ensure any ground failure is contained.
d) The types of barricades28 and signage used to isolate hazards must be stipulated in safe work procedures and must
be in line with local legislation and Vale standards.
III. Guarantee and quality control requirements for support elements, excavation development,
sequencing, and mining rate.
IV. Response actions regarding scenarios when specified limits have been exceeded.
b) An alert and communication system associated with slope and/or underground opening behavior monitoring must
be in place as per a design and a Trigger Action Response Plan (TARP) must be in place.
c) If ground failure is identified, work must stop and an assessment by an experienced or Qualified Individual must be
completed, as defined in local procedure requirements. Resumption of work in the area can only occur once
specified controls have been implemented.
d) A conformance measurement process must be developed and implemented for slopes and underground openings.
The results of such a process must be communicated to all those directly involved in the activity.
e) The performance and conformance data of slopes and underground openings must be routinely reconciled with the
design, which must be updated as required.
28The following types of barricades are considered: trestles, cones, chains. Barricades alone can not be used as barriers
for protection purposes.
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8.7.2 General requirements for management plans, change management and emergency planning:
a) Each asset must develop a management plan which is reviewed and approved by a Qualified Individual, as
determined by local legislation, local procedures, risk assessment or a significant geotechnical incident. This plan
must have:
I. Actions and accountabilities for managing slope and underground opening geotechnical risks, including
effective communication and verification of geotechnical risk management strategies.
II. Actions and accountabilities to set design and executive methodology specifications.
III. Engineered slopes and underground openings must be based on adequate geological, geotechnical and
hydrogeological data.
IV. Plans and accountabilities must be determined governing the way engineered slopes and underground
openings are designed and constructed.
V. Plans and accountabilities must be determined governing the way natural slopes and underground openings
are assessed and managed.
VI. Standards and accountabilities must be determined governing the way an Experienced or Qualified
Individual must assess and validate mine designs so as to guide the team towards actions that must be
implemented to mitigate geotechnical risks.
VII. Standards and accountabilities must be determined governing the way engineered slope and underground
opening designs must meet, or exceed, specified minimum design acceptance criteria using industry
accepted design techniques.
VIII. Standards and accountabilities must be determined governing the way experienced individuals directly
involved in an activity, or their supervisors, must check work area information with regards to the main risks
already mapped, the history of previous ground failures, and uncontrolled water flows.
IX. Standards and accountabilities must be determined governing the way an experienced or Qualified
Individual must be responsible for natural slope and underground opening geotechnical hazard
management strategies as well as engineered slope and underground opening designs.
X. A safe work procedure must be in place and adhered to governing the detonation of explosives and the re-
entry of areas where explosives have been detonated.
XI. Standards and accountabilities must be determined governing the way all forms of ground failure will be
investigated, addressed and recorded.
XII. Work area information must be provided with regard to the main risks already mapped, the history of
previous ground failures, and uncontrolled water flows will be checked.
XIII. If geotechnical conditions encountered in the field are significantly different than assumptions used for
designs, standards and accountabilities must be determined governing the way the geotechnical team will
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29
Those who can be assigned as responsible for the activity are a contract inspector and/or a third-party agent.
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9.1 Foreword
Some of the critical accidents at Vale have occurred during explosives handling and transport. The main contributing
factors associated with these incidents were:
a) Inadequate handling and transport of explosives and accessories causing impacts and activation,
9.2 Purpose
To set the minimum requirements for critical activities related to transporting, storing, manufacturing, handling, charging,
and blasting explosives, including safe practices and distancing.
9.3 Application
Critical activities related to transporting, storing, manufacturing, handling, loading and blasting explosives in open pit
and underground mines and construction projects (to open roads and tunnels and remove obstacles).
9.4 Exceptions
CAR 09 does not cover handling of explosives related to demolition of structures (buildings, bridges), and external
transport of explosives by third parties.
• Blasting influence area: The area where the effects of the blasting can be felt or cause damage by vibration,
airblast, fly rock, fumes, and dust.
• Blaster: The person responsible for handling explosives and accessories, who is responsible for organizing,
distributing, and connecting the initiation system, isolating the area, and supervising the rock blasting.
• Blasting exclusion zone (area isolation): The area determined by a risk assessment process in which to
assure that all expected / foreseen effects of the blasting are kept within a controlled area. The blasting exclusion
zone can be subdivided into subzones, with an inner sector defined as an equipment exclusion area and a wider
area defined as a people exclusion area.
• Bench face: Exposed surface of the rock where the mining work is progressing.
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• Deck: Material placed in the borehole to separate explosive charges, such as an intermediate stem, made of
inert material (such as gravel) or an air bag, used for the blasting control.
• Electronic detonator: A device formed by a fuse coupled to an electronic circuit that allows delays to be
programmed (activation timed). It is activated by a set of programming and detonation equipment specific for
this purpose.
• Environmental emergency kit: A set of materials necessary to contain and remove spills involving emulsion
and ANFO.
• Fly rock: A condition in which a rock fragment is propelled beyond defined limits of the blasting safety area.
• Free face: The face of the bench without rock from the previous blasting.
• Hangfire: Burning explosives pursuant to a misfire of any kind. It usually results from an interruption in the
explosives column caused by debris and drilling dust or loose material in the hole, which create separations,
offsets or compressions of the hole due to the rock movement or other factors that decrease or interrupt the
steady state speed of the explosive charge. Hangfire might result in explosion, especially if the burning explosive
is confined in the blast hole.
• Misfire: A charge, or part of an explosive charge, which for some reason did not blast as planned.
• Magazine: A building intended to store explosives and their accessories, ammunition or other controlled
products. It can be permanent or temporary.
• MMU: Mobile manufacturing unit. This is a truck developed to carry out multiple mixtures to produce ANFO, or
heavy ANFO, and an emulsion and to pump or dump these products by means of a screw conveyor directly into
the holes in rock blasting operations.
• MPU: Mobile pumping unit. This is a truck developed to transport and apply oxidizing emulsion and gasification
additive.
• Open flame: A mixture of incandescent gases which emit energy, also called open flame, flame or fire.
• Overbreak: Fractured/broken rock that travels beyond the planned extent of the rock blasting.
• Primer: A set of explosives, basically composed of a booster and a detonator or explosive sensitive to the
detonator and a detonator used to start the main column charged with emulsion or ANFO.
• Stemming: Inert material used to confine gasses generated during explosives detonation.
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b) To assure the minimum requirements necessary for safety while transporting, storing and handling accessories,
explosives, matrix emulsion and ammonium nitrate, these guidelines must be followed:
c) The tools and accessories used in the activities covered in this CAR must be anti-spark.
d) The storage and handling instructions for each product stated in the respective MSDS must be followed
(incompatibility of materials, static energy, temperature, etc.)
e) There must be informative and warning signs in the internal and external areas of the magazine (prohibition to
use cell phones, metal tools, lighters, matches, etc.).
f) Permanent or temporary explosive storage areas must be locked and segregated from other vulnerable areas
(electrical and mechanical installations, evacuation areas, fuel storage areas, etc.).
g) Vehicles for transporting explosives and accessories must be used exclusively for this purpose, must comply
with local legislation and the requirements of CARs 02 and 03, and must be provided with:
I. Open-pit mines must use an electronic fuse in 100% of the blast plan, in the development and
production phases. If identifies the need to use 2 (two) detonators per hole, the second detonator must
be electronic or conventional (non-electric), according with the local risk analysis.
II. Underground mines must use an electronic fuse in 100% of the blast plan in the production phase. If
identifies the need to use 2 (two) detonators per hole, the second detonator must be electronic or
conventional (non-electric), according with the local risk analysis. In the development phase or mining
methodology chambers and pillars, the activation must be remote and may use a non-electric system.
III. The electronic fuse must have extra protection against electromagnetic pulse, and proof by the
manufacturer through a certificate.
NOTE 1: If allowed by local legislation, pre-splitting can be performed using a detonating cord, with electronic initiation.
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i) An anti-static protection device must be guaranteed at the entrance of the magazine, according to the
manufacturer's guidelines contained in the Material Safety Data Sheets (MSDS).
a) The safety guidelines of the explosives and accessory manufacturers stated in the MSDS must be followed.
b) It is forbidden to handle explosives and accessories on surface before and during storms when the possibility and/or
occurrence of electrical discharge (lightning strike) exists.
c) To perform hot work near the explosives storage areas (deposit and factory), the following must be applied PNR-
000031 Safe Work Permit (SWP) Guidelines
d) It is prohibited to smoke, use an open flame, and carry lighters, tools or material that may produce sparks in places
where explosives are stored or handled.
e) It is prohibited to use electronic devices that are not intrinsically safe in places where explosives are stored or
handled and that are classified as a restricted or flammable area.
f) It must be ensured that information and blasting schedules reach those involved (internal and external).
g) It must be assured that information about and notice and rescheduling of blasting times will reach all people involved,
internally and externally.
h) Excess explosives and accessories must be returned to the magazine.
i) Explosives that are in an impaired state of conservation, defective, or non-conforming, including explosives from
misfire, must be identified, segregated and destroyed, according to regulations in force and manufacturer's
instructions, PNR-000124 – Magazine – Handling of Dangerous Products – Explosives – Magazine and PGS-
00004640 – Handling and recovery of holes with electronic detonator failure.
a) In the loading and unloading activity, explosives and accessories must be placed directly on the transport vehicles
positioned in previously marked locations.
b) The vehicles must be grounded while explosives and accessories are being loaded and unloaded.
c) Transshipping explosives and accessories to other vehicles outside the magazine is forbidden, except in emergency
(vehicle breakdown, sticking, rain, etc.).
d) If accessories and explosives are transported simultaneously, a (shielded) compartmentalized boxes must be used
to prevent contact between the accessories and explosives.
Note 3: If Vale needs to carry out external transport of explosives, comply with PNR-000124 – Magazine Handling of
Dangerous Products – Explosives – Magazine and local legislation.
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a) In the area to be blasted, signaling must be applied at the entrance of the mine with boards containing the blaster's
(the person responsible for the blasting) radio band and telephone number, blasting times and locations.
b) The person responsible for the activities must assure that all people have been evacuated from the area and the
vicinity that can be affected before releasing the area for blasting.
c) An audible alarm system must be activated before detonation, according to PNR-000060.
a) A georeferenced system must be used (GPS, maps, etc.) to encircle these areas.
b) The explosives loading area must be blocked, respecting the safety distance defined in risk analysis and local
procedure. Where technology is available, perform electronic blocking of autonomous mobile equipment (trucks,
etc.).
c) A physical block must be carried out in the detonation influence area. Where technology is available, perform
electronic blocking of autonomous mobile equipment (trucks, etc.).
d) The fire plan should establish measures to protect people and nearby communities, including distance and
protective barriers.
a) The explosives loading area must be blocked, respecting the safety distance defined in risk analysis and local
procedures.
b) To carry out the detonation, personnel must be evacuated from the detonation influence area (where there may be
gases, dust, material projections, or seismic vibration that may affect the stability of the landform).
c) An effective process to control the entry and exit of the area of influence of the detonation (where there may be
gases, dust, material projections, or seismic vibration that affects the stability of the land form) must be available
(example: the use of label frames).
A blast plan and an executed blast plan must be established, including at least:
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Return to the blasting site must occur only after the fumes and dust have dissipated and misfire has been verified
and authorized by the person responsible for the activities as below:
a) Open pit and underground mines: The minimum time for return after blasting must be established.
a) Underground mines: The minimum time for return after blasting and atmospheric monitoring must be established.
9.7.6 Misfire:
a) In case of suspicion or finding of a misfire, the PGS-00004640 – Handling and recovery of holes with failure in the
electronic detonator must be complied with.
b) In case of a failed fire initiation, wait at least 30 minutes before to take any action, in addition to checking the
characteristics of each location.
c) If a misfire in the muckpile is detected or suspected after the blasting area is released, the work must be stopped
immediately, the area must be evacuated, and the situation must be reported to the person responsible for the
activities who will adopt the appropriate measures to control the risk.
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a) Formally designate one or more people to be responsible for developing and maintaining the following
processes/procedures/controls:
9.9.2 Management:
b) Formally approve the employees authorized to carry out activities with explosives and accessories.
9.9.3 Employees and contractors involved in activities with explosives and accessories must:
a) Comply with the requirements set forth in this document and local procedures, and
b) Call the local help chain if any identified irregularity cannot be resolved.
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10.1 Foreword
Several serious and/or potentially serious events took place in the last 10 years, involving the exposure of people to
electrical hazards. The main factors associated to these events were:
a) Work within the Electrical Shock Hazard Distance and/or within the Electrical Arc Flash Hazard Distance without
the appropriate barriers/ protections;
b) Lack or deficiency in systems, devices or identification of electrical protection;
c) Lack or deficiency in Personal Protective Equipment;
d) Lack or deficiency in the proven voltage absence test;
e) Lack or deficiency in the identification of equipment/components;
f) Lack or deficiency of technical documentation (single line diagrams, project specifications, etc.);
g) Lack of criteria to select measuring instruments to perform electrical tests;
h) Use of inadequate tools/ equipment;
i) Lack or deficiency of procedures to perform electrical work;
j) Not complying with procedures to perform electrical work;
k) Lack or deficiency of training of people performing electrical work activities;
l) Lack or deficiency of professional qualification of the personnel who perform the electrical work activities;
m) Failure to lockout electrical energy (CAR04 – Lockout, Tagout and Zero Energy);
n) Failure to correctly apply the clearance distance for the circulation of mobile /lifting equipment near overhead
energized electrical lines (CAR01 – Elevated Work, CAR03 – Mobile Equipment Operations and CAR05 – Lifting
of Loads);
o) Lack or deficiency of protection barriers to avoid the contact of metallic structures with energized surfaces;
p) Failure or deficiency in the protective measures that prevent the re-energization of lines, equipment and
components after an automatic trip.
10.2 Purpose
To establish Safety and Health requirements to eliminate, control or mitigate the hazards of fatalities, injuries or
incidents involving electrical work
10.3 Application
All works in electrical installations containing equipment/systems with voltages above 50 V AC (Alternating Current) or
120 V DC (Direct Current).
The requirements in this CAR apply to the following works, but are not limited to the examples below:
a) Preventive or Corrective maintenance or electrical switching in electrical switchgear, connection and lighting
panels, automation panels, switchgear and distribution panels, junction boxes, Cubicles and Cabinets,
frequency Inverters and generators;
b) Tests in industrial outlets;
c) Sensitive and predictive inspections in panels or equipment in the field;
d) Preventative maintenance in rectifiers, chargers and battery banks;
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10.4 Exceptions
The requirements in this CAR do not apply to the following works:
a) Manual positioning of excavator electrical power cables (CAR 03 – Operation of Mobile Equipment);
b) Maintenance and use of electric power driven tools (drillers, sanders, saws, chainsaws, grinders, etc.);
c) Maintenance of laboratory equipment (chromatographs, analyzers, ovens, etc.);
d) Maintenance in office machinery (computers, copying machines, TV sets, vending machines, etc.);
e) Work near electrical equipment or installations, such as: installation of telephone or data wiring, grass and tree
cutting activities, cleaning and housekeeping inside electrical rooms and substations, etc.;
f) Operation or circulation of mobile/lifting equipment near overhead energized electrical lines (CAR’s 01, 03 and
05);
g) Excavation work on the proximity of underground electrical lines;
h) Work performed by the local power distribution company.
Damp location – locations protected from weather and not subject to saturation with water and other liquids but subject
to moderate degrees of moisture.
De-energized Electrical Work - Work performed on an equipment or component that is part of the electrical system
which is disconnected from any source that may generate a difference in potential and electrical charge, with no potential
difference in relation to the grounding system.
Diagnostic work – work that does not require any physical change to the equipment/component, such as readings,
measurements, and tests.
Electric Power Systems – Set of installations and equipment aimed to generate, transmit and distribute electrical power
including the measurement device.
Electrical equipment and installations – sets of equipment and components described in the objective and application
of PNR-000053 – Electrical Systems – General.
Electrical Switching – manual or automatic change in the electrical settings or a circuit, by means of an adequate
device designed for this purpose.
Energized Electrical Work - Work performed on an equipment or component that is part of the electrical system which
is connected to any source that may generate a potential difference or electrical charge.
High Voltage, Low Voltage, single line diagram (item 6.4.1 – Operation – Item i) – definitions are available at PNR-
000053.
Personal Protection Safety Barriers – means used between the energy source and the worker to prevent the contact
with electrical energy in case it is released and/or to interrupt its flow when it is released. Examples of safety barriers
for electrical energy include arc flash and electrical shock PPEs, blankets and matting for electrical shock protection,
among others.
Repair work – work that requires physical alteration of the equipment/component, such as tightening connections,
cleaning, removing, or replacing components.
Wet location – installations underground or in concrete slabs or masonry in direct contact with the earth or locations
subject to saturation with water or other liquids. Installations and locations not protected from weather.
a) Identification of incident energy as per requirements of PNR-000051 – Incident Energy, for the equipment
included at Table 2 of the document.
e) Residual Current Devices (RCD) or Ground Fault Protection or similar as per critical analysis defining the
application of such devices, based on the hazards of electrocution, on the local legislation and technical
standards and on the project specifications.
a) The electrical work where the worker enters the Electrical Arc Flash Hazard Distance or where there is
interaction of the worker with equipment, conductors or parts of circuits, with the probability of injuries to the
worker due to electrical arc flash or electrical shock must adopt the electric de-energization by means of the
following steps, except in the situations covered in item 10.7.3:
I. isolating;
II. lockout (impediment to re-energize);
IV. temporary grounding installation with equipotentialization of the circuit conductors at the intervention
point;
V. protection of the energized parts present at the Electrical Arc Flash Hazard Distance Zone, when
applicable;
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c) It is prohibited to perform any electrical work on high voltage power circuits, including cleaning, which requires
entry into cubicles compartments, without the complete de-energization of all inlet and outlet points of the panel
that could result in electrocution and/or exposure the workers to incident energy levels capable of causing burns
and/or more serious consequences.
d) The workers must be authorized to perform electrical work as per local legislation. The authorization must be
documented in the work contract records of the company.
e) It is prohibited to perform any electrical work without specific formal authorization for the activity.
f) The electrical works must have a Safe Work Permit as per PNR-000031.
h) Local criteria must be defined to establish the situations which require that low voltage energized electrical work
must not be performed individually.
i) Studies of incident energy must be prepared and implemented for electrical equipment as established in PNR-
000051.
j) The work on energized panels with incident energy above 40 cal/cm2 is prohibited as established in PNR-
000051.
k) The Personal Protective Equipment must be defined in local procedures and compatible with the voltage and
incident energy levels of the electrical installation, with the use of PPE with minimum value of 10 cal/cm2, being
mandatory, as per PNR-000051.
l) For works inside the Electrical Arc Flash Hazard Distance (EAFHD) a personal voltage detector type “helmet”
or “wrist” (or similar device) compatible with the involved voltages must be used as an individual protective
measure to alert against a non intentional proximity of parts of the body to energized surfaces.
m) The Personal Protective Equipment – PPE, the equipment, instruments, and tools to be used in electrical work
must be inspected before each use.
n) The use of personal ornaments (watches, rings, earrings, necklaces, among others) is prohibited while
performing electrical work.
o) The Personal Protective Equipment and the collective protections used as barriers (examples: rubber gloves,
blankets, matting, temporary grounding systems, etc.) and the tools used in high voltage electrical work must
be periodically tested complying with the manufacturers’ instructions and local legislation, and the maximum
interval between the tests must not exceed 12 (twelve) months. The tests results must be properly recorded.
p) The measuring equipment / test meters used to perform electrical work must be inspected, calibrated and tested
complying with the manufacturers’ instructions and local legislation, and the maximum interval between tests
must not exceed 24 (twenty-four) months. The tests results must be properly recorded.
q) The reset of electrical devices after an automatic trip must comply with local criteria which include the definition
of personnel authorized to reset the device, as well as the confirmation that there is no failure in the system
and/or exposure of other workers to the associated hazards.
r) Criteria must be established to authorize the access to distribution panels and substation.
s) In high voltage panels, the temperature measurement in busbars and connections must be performed without
opening the panel doors complying with the requirements of PNR-000131. In low voltage panels, the
temperature measurement in busbars and connections must be performed in such a way that the workers do
not exceed the working distance as defined in the incident energy study and in a specific procedure in
accordance with item 10.7.3 of this document.
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The local procedures to perform de-energized electrical work must be approved by a qualified professional and must
contemplate as a minimum:
c) The identification and control/isolation measures for all parts and/or circuits which remain energized and
exposed around the work area;
i) Personal Protective Equipment compatible with the voltage levels and incident energy;
j) Steps, specific hazards and control measures to perform the job, also considering the Hazard Management
Plan developed in compliance with PNR-000051 when applicable;
k) Additional control measures if the electrical work takes place in hazardous classified areas, wet/damp areas,
underground areas, confined spaces or restricted areas.
The local procedures to perform energized electrical work must be approved by a qualified professional and must
contemplate as a minimum:
c) Area Manager Approval, based on a job risk analysis, testifying that the de-energization of the equipment or
installation introduces additional or increased hazards or is unfeasible due to the equipment design or limitations
of the equipment or type of job to be performed;
d) The identification and control measures of all parts and/or circuits which remain energized and exposed around
the work area;
h) The requirements for continuous communication during the execution of energized electrical work;
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j) Personal Protective Equipment compatible with the voltage levels and incident energy;
l) Steps, specific hazards and control measures to perform the job, also considering the Hazard Management
Plan developed in compliance with PNR-000051 when applicable;
m) Additional control measures if the electrical work takes place in hazardous classified areas, wet/damp areas,
underground areas, confined spaces or restricted areas.
The local procedures to perform electrical switching must be approved by a qualified professional and must contemplate,
as a minimum:
g) The on-off switching and the insertion and extraction of circuit-breakers and contactors in electrical panels must
be done remotely with the worker(s) not exceeding the safe approaching distances when the panels are not
resistant to internal arc and the switching cannot be performed with the working and adjacent doors or drawers
closed.
h) Personal Protective Equipment compatible with the voltage levels and incident energy;
i) Steps, specific hazards and control measures to perform the job also considering the Hazard Management Plan
developed in compliance with with PNR-000051 when applicable.
a) The workers who perform electrical work must be trained in Hazard Prevention in electrical works.
b) The workers who perform activities in Electrical Power Systems must have specific training according to local
legislation.
c) The workers who perform electrical work in hazardous classified areas according to PNR000027 must have
specific training.
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II. Develop and maintain training programs and evaluation of employees who perform electrical work, as
described in sections 10.7.1 and 10.8 of this CAR;
III. Develop a program to check the effectiveness of implementation of the requirements of this CAR;
IV. Guarantee the necessary resources to comply with the requirements of this CAR.
a) Designate the qualified professionals who must approve the local general procedures, the procedures for de-
energized works, the procedures for energized works and the procedures for electrical switching.
b) Formally approve the workers authorized to perform electrical work as per requirement 10.7.1.b of this CAR;
c) Aprove the Risk Management Plan in case the calculated incident energy of the equipment where work will be
performed is above 8 cal/cm2;
d) Aprove energized electrical work based on Risk Job Analysis testifying that the de-energization of equipment,
installation or machine introduces additional or increased hazards or is unfeasible due to the equipment design
or limitations of the equipment or type of job to be performed.
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11.1 Foreword
Several serious and/or potentially serious events have occurred in the last 10 years, involving exposure of
people to molten metal.
11.2 Purpose
Tostablish Health and Safety requirements to eliminate, control and minimize the risk of fatalities, injuries or
incidents involving activities with molten metal.
11.3 Applicability
Activities involving molten metal, including but not limited to:
• Furnace;
• Converter ;
• Granulator;
• Transportation of molten metal (by heavy equipment and by crane);
a) Fire Protection and Suppression of the Furnace must be designed according to specific PNR (PNR 000016-
Protection and Fire Fighting System – Tanks- Flammable and Combustible Liquid).
b) Water based extinguishers shall not made be provided near the molten metal facility.
c) Design of the building must consider escape/ emergency routes in case of the emergency situation.
d) Building shall be designed with adequate floor drainage directing any water towards the side of the building, not
allowing water accumulation.
e) Lounder must be designed to prevent the potential effects of a spill or splash of molten metal or must have
temporary containment means.
f) Transfer lounder and molten material containment vessels must be designed in a way that provides a process
for diversion of the material in the event of a possible spillage.
g) The gas analyzer (e.g. CO and SO2) must be installed around the building and audible and visual alarm must
be activated when the presence of the gas is above the limit defined in local procedure.
h) Exhaust ventilation must be provided around the building to reduce dust particle and presence of toxic gas at
the critical areas.
i) General Inspection program/ walkthrough must cover the presence of water on the building to avoid the risk of
water contact with molten metal.
j) When applicable, leak detection system must be installed in the cooling water system. The monitoring system
must be sensitive enough to indicate water leakage however small it is, avoiding its contact with molten metal.
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l) Where applicable, temperature sensor/ transmitter shall be installed in the converter and furnace shell/ end wall
refractory to enable early detection of hot spot (refractory failure).
m) Equipment used in molten metal activities must have an emergency stop, where applicable.
n) An emergency cooling water supply must be available in case of main cooling system failure. It must be also
independent of power supply in case of power outage.
o) Intake and other feeding systems must be designed or automated in such a way as to keep people at a safe
distance from charging points.
p) Furnaces and converters must have a monitoring and control system to reduce gases that can be generated
during the process, such as CO, CO2, NOx, hydrogen or others.
q) The monitoring rooms must be endorsed with concrete protections resistant to impacts and to high
temperatures.
s) Where applicable, a level sensor/ indicator must be adopted to avoid overloading of molten metal into the
convertor.
t) A monitoring level system must be applied to avoid overcharging of molten metal into the furnaces and to define
the position of slag and matted inside the furnace.
a) Personal and collective protection equipment (e.g. aluminized suite, gloves, hood, boots, etc.) must be
purchased from registered manufacturers, in accordance with existing standards, approved and certified by the
competent authorities. The protective equipment must be maintained and used in accordance with standard
established by manufacturers.
b) Splashing shield must be installed to protect the worker from molten metal splash during the execution of tasks
with risks of splashing.
c) The sampling tools must have adequate length to allow the sampling operator to perform the task from a safe
distance.
d) When applicable, the personal gas detector (pocket detector) can be applied.
e) Workers who are working directly with molten metal or within the range of molten metal exposure must wear
protective clothing (aluminized suite).
f) Employees working with molten metal must wear special protective goggles to visualize the baths of molten
materials, avoiding visual fatigue or potential vision damage.
g) Tools applied for removal of slag, drilling, and leakage of molten metal must be free of rust and moisture before
to use.
h) Other employees who are working or visiting molten metal area (but not working directly with molten metal)
must wear fire retardant clothes.
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a) Where applicable, hot metal transfer equipment must contain location/ positioning sensors connected to the
tilting sensor of the equipment in order to ensure that the unloading of the molten metal is in the correct location.
b) Transfer routes of molten metal by road (haul master or other heavy equipment) must be well defined to
minimize the risk of spillage during the road transport.
c) Overhead crane must be equipped with visual and audible alerts that indicating that molten metal transport and
hot metal crane maneuver is taking place.
d) When applicable, hot metal cranes must have anti-collision sensors/ proximity alert to prevent collision among
cranes.
e) Vehicle cabs, where practicable, which has potential exposure to splashing, explosion, or projection of molten
metal must be protected with appropriate material (protective barriers).
f) Surfaces of equipment that come into contact with molten metal must be coated in such a way as to prevent
exothermic reactions or leakage
I. Composition of the generated gas (to monitor the percentage of H2, CO, CO2 and O2 and provide adequate
alarms /interlocks).
II. Gas flow and temperature.
III. Gas washer water level alarm.
IV. Interlocking for excessive fan vibration.
V. Temperature of the filter sleeves.
VI. Pressure monitoring.
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a) Purpose:
I. Purpose of the internal traffic plan.
b) Responsibilities:
I. Describe the responsibilities under the internal traffic plan.
c) Traffic Rules - Describe local rules from/to:
I. Traffic (general) and circulation, including overtaking;
II. Speed limits, considering adverse weather conditions;
III. Safety distances and restricted areas (exclusion zones);
IV. Parking lots (position, distance, etc.);
V. Approaching mobile equipment or mobile equipment areas;
VI. Access of Truck/cargo, use of spotters/observers Traffic of special cargo (chemicals, explosives, liquid
metals);
VII. Emergency situations (e.g. collision, rollover, fire, explosion, projection of materials, crushing and running
over) and towing;
VIII.Abnormal situations in motor vehicles and mobile equipment;
IX. Interaction between vehicles and equipment, including guidelines on the use of communication devices;
X. Communication between pedestrians, vehicles and equipment;
XI. Road block;
XII. Priority to the right between vehicle/equipment and pedestrian types;
XIII.Instructions on drilling, disassembly and disassembly siege areas, where applicable.
d) Parking Areas:
I. Describe the parking areas by vehicle type and parking position;
e) Roads - Describe the process for defining and reviewing roadways (design, layout, directions, slopes, surface,
traffic control). The roads must be defined to:
I. Maximize the segregation of vehicles/equipment from other objects, including pedestrians, buildings,
sidewalks, safe paths and other vehicles/equipment;
II. Consider paths and/or routes in case of emergencies;
III. For the transport of liquid metals, consider the possibility of exclusive internal roads and request the
approval of traffic agencies for circulation on public roads.
f) Pedestrian Safety and Internal Road Control Measures:
I. Describe the process for defining and maintaining pedestrian safety and internal road control measures
(vehicle types, traffic, distances, guardrails, insulation barriers, sidewalks, among others);
g) Lighting:
I. Describe the process for defining and maintaining the traffic lighting and operation roads;
h) Signs:
I. Describe the process for defining and maintaining traffic signs (speed limits, directions, permissions and
prohibitions, parking areas, crosswalks, intersections or roundabouts, level crossing, among others).
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Critical Activities Requirements - CAR
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Critical Activities Requirements - CAR
1.1 -Requirements that have had the extended deadlines (Annex IV):
For requirements that, due to the need for adaptations or acquisition of equipment and installations, had an extension
of deadline, interim measures were defined (Annex IV) for the execution of the activity without the requirement until
the expiration of the deadline.
1.1.1 - Non-compliance with the interim measures for requirements that had extended deadlines:
In case of non-compliance with the interim measures defined in the Annex IV, must follow the exceptional approval
flow and adopt at least the conditions below in the period of 1 (one) month from the date of publication of this annex.
In case of non-compliance with the interim measures and no implementation of the conditions below the activities
must be stopped.
a) Identification of all equipment and installations that do not comply with the interim measures/requirements;
b) Development of an action plan to comply with the requirements/ interim measures;
c) Definition of temporary control measures, which must be reflected in risk analyzes (JHA/JSA);
d) Presentation of the items above for formal and documented approval by the Executive Manager of HSOR and
Executive Manager of Operations/Construction.
The area must have local procedures for critical activity in accordance with the PNR 000069.
The procedural requirements comply including requirements for critical activity in local procedures and training
of the executors.
Critical activities that do not comply the procedural requirements after the date of publication of this annex must
be stopped.
In case of non-compliance with the equipment and installation requirements that did not have the due date
extended in the Annex IV, must follow the exceptional approval flow and adopt at least the conditions below:
a) Identification of all equipment and installations that do not comply with the interim measures/requirements;
b) Development of an action plan to comply with the requirements/ interim measures;
c) Definition of temporary control measures, which must be reflected in risk analyzes (JHA/JSA);
d) Presentation of the items above for formal and documented approval by the Executive Manager of HSOR
and Executive Manager of Operations/Construction.
The items above must be completed in the period of 1 (one) month from the date of publication of this annex and are
valid until 30/06/2021, that is the deadline for the implementation of the requirements. In case of non-compliance with
the items above or of non-compliance with the requirements until the deadline, activities must be stopped.
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Critical Activities Requirements - CAR
In case of non-compliance with the expired requirements of Annex IV, the executive management must register an
action plan in the official protocol (CAR SAP – IM) for the expired requirements. The IDs of these protocols can be
requested from the area by the 2ª Line of Defense at any time.
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