GEOTECHNICAL SELF AUDIT

Introduction
This self-audit has been produced by a working group of QNJAC which comprises industry experts
from varied backgrounds, the Trade Unions and HSE.
The purpose of this document is to provide a structured framework to enable organisations to carry
out self-audits of geotechnical procedures to prove their effectiveness as well as identifying
weaknesses in the systems on site that could lead to serious injury or loss of life. It can be used and
adapted by any organisation that creates excavations and tips for the purposes of extraction and
quarrying and where the requirements of the Quarries Regulations 1999 apply.

Serious incidents can and do occur. There have been numerous serious incidents over the years,
many of which have had the potential to result in fatal injury. A recurring failure of the industry has
been in the inability to manage change correctly and this, coupled with deficiencies in inspections,
the lack of understanding around geotechnical assessment and the design process gives an ongoing
and fundamental cause for concern that the required improvements are not being made. A
geotechnical self-audit process is seen as a fundamental first step in identifying key issues on site and
providing a basis for following up and addressing such defects. Such an audit should cover the
following key activities:
● Management of the design process including change;
● Effectiveness and suitability of design documents;
● Site inspections;
● Training and competence of individuals;
● On the job assessment of knowledge;
● Supervision and refresher training;
● Accurate and representative documentation including notifications;
● Audit and review of effectiveness of control measures.

All elements combine to form a safe system of work. A failure of one or more critical elements may
lead to a failure of one or more designed slope features on site, and the consequences therefore can
be fatal. It is essential to consider all of the individual elements that make up the design of
excavations and tips and to routinely inspect their ongoing safety and stability. To help achieve that,
this audit sheet provides a useful set of questions to ask in order to check the soundness of the
combined elements of the site geotechnical system including consideration of the people who work
within those systems and procedures. Human error is a significant factor in many incidents. A
procedure in itself will not prevent an accident. Do not ignore the people who are required to
implement the operation of a robust site and particularly in regard to their competency and
confidence in discharging their roles.

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The findings of the audit can be recorded and used to write an action plan which is a record made of
all the actions required to be taken as a result of the audit. It is a good idea to assign responsibilities
and proposed dates for action to be completed as part of the action plan, to increase the likelihood
of the matters raised being addressed.
Scope
The self-audit is not exclusive to the quarrying and extractive industries. The same risks exist across
a wider range of industries including all those activities where stockpiling of granular material takes
place.
Carrying out the audit
Allow enough time to carry out the audit. At large sites it is likely that the audit will have to be carried
out over several days. Plan the time and stay to plan as far as possible. The audit does not have to be
done in one go, so be realistic. The audit process is part of the function of supervision and monitoring
so it is useful if it is seen to be a regular on-going process rather than a one-off event.
Remember that the purpose of the audit is to uncover weaknesses in the system. Finding weaknesses
is therefore to be considered a success and the action taken as a result of the audit may prevent
serious accidents or death.
Planning the audit is critical. The size of the site and complexity of excavation, tips, stockpiles and
lagoons is likely to be a significant factor in terms of the amount of planning required. However,
regardless of the size of the organisation there are key considerations at the planning stage. For
example;
● Involve the workforce. Ensure that the workforce is fully briefed on the purpose of any audit
and encourage them to become involved.
● Remember that it is often the workforce who are the most informed.
● Encouraging a ‘just culture’ will help you discover more.

People are critical to the audit:

● Decide who will carry out the audit, it may be an individual or teams.
● Take time to brief them and train them if necessary.
● Check their competence and understanding of the process.
● Make time available to them.

There are a number of ways the audit can be carried out. The questions move through a logical
sequence and follow under the headings of Quarry/Site, Processes and People. There is also flexibility
to split the task of auditing amongst members of a team with responsibilities for different areas of
the site, for example. It is not so important as to how the audit is carried out or over how long a
period, but rather it is the rigour and integrity that matters.

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It is important to remember contractors, and they should be included in the audit process. Regular
contractors may be responsible for load & haul, drill & blast and other activities so involve them in
the audit process including any planning so that they can contribute their knowledge and
understanding. For other contractors check that procedures for managing excavations and tips are
in place, and that they are understood and effective.
Please also refer to other QNJAC Geotechnics Working Group-Publications either through
www.QNJAC.COM or via the QNJAC App:

GUIDANCE NOTE-Safe Face Management Operations in Quarries - Information Sheet 1

GUIDANCE NOTE- Excavation and Tip Rules in Quarries - Information Sheet 2

GUIDANCE NOTE-Quarry Design- Information Sheet 5

GUIDANCE NOTE-Managing Change-Information Sheet 3

GUIDANCE NOTE-Duties of the Operator -Information Sheet 4

TOOL BOX TALK-Inspections of Rock Faces

GUIDANCE NOTE-Abandonment or Ceasing of Operations at Quarries-Information Sheet 6

TOOL BOX TALK-Construction of Solid Tips

TOOL BOX TALK-Management of Stockpiles

TOOL BOX TALK-Blast Designs & Techniques to improve Quarry face stability

TOOL BOX TALK-Face Surveying

TOOL BOX TALK-Information & Engagement

TOOL BOX TALK-Overburden Stripping

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Note: The term “quarry” is used throughout the audit form and denotes all forms of open pit
extraction such as opencast sites, clay pit workings, chalk pits, sand & gravel extraction areas as
well as quarries.

Please answer Y, N or Not Applicable (N/A)

SITE GEOTECHNICAL– SELF AUDIT

QUARRY/SITE

General Questions Y N ACTIONS/COMMENTS or N/A

1) Is there an appointed Geotechnical
Specialist for the quarry? (see
Regulation 33)

2) Have all the

excavations/tips/stockpiles been
subject to a geotechnical appraisal by a
competent person under Regulation
32 to determine if there are any
significant hazards requiring a
geotechnical assessment? (see
Regulation 32)
3) Is there a current and applicable
Geotechnical Assessment available for
the quarry? (see Regulation 33)
4) Does the Geotechnical Assessment
contain conclusions regarding the
design and the operation of
excavations and tips at the quarry?
(see Regulation 33)

5) Is the quarry being developed and

managed in accordance with an
approved Design or Designs as outlined
in the Geotechnical Assessment? (see
Regulation 33)

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 6) Do all excavations, tips, stockpiles and
lagoons at the quarry have an
approved design?(see Regulation 30)
7) Does the quarry have a set of
Excavations & Tips Rules which are
relevant to all of the existing or
planned excavations, tips, stockpiles
and lagoons at the quarry? (see
Regulation 31)

8) Are all daily, weekly/monthly, post

blast and other inspections being
completed and recorded in accordance
with the frequency recommended by
the Geotechnical Specialist? (see
Regulation 12)

9) Are there any new excavation, tip,

lagoon or stockpile features planned
for the next 12-24 months?

If the answer to question 9) is Yes, will

the Regulation 32 Appraisal process
be used to manage the change and
the design process to determine
whether the new feature is a
significant hazard? (see Regulation
32)

10) Are there any closed or dormant

features (e.g. Low Risk Tips) that will
become active during the next 12-24
months?

If the answer to question 10) is Yes,

will the Regulation 32 Appraisal
process be used to manage the
change and the design process to
determine whether the active

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 feature is a significant hazard? (see
Regulation 32)

11) Has the quarry been affected by

unexpected occurrences such as
geological anomalies, rockfall or
ingress of groundwater and is there a
possibility of the quarry being affected
by such events in the future?

If the answer to question 11) is Yes,

has/ will the Regulation 32 Appraisal
process be/been used to manage the
change and determine whether the
anomaly represents a significant
hazard?(see Regulation 32)

12) Does the Quarry Boundary Plan show

a boundary which accurately reflects
the area of the quarry where the
Quarries Regulations need to be
applied? (see Regulation 16)

13) Does the geotechnical assessment for

the site consider and take account of
hazards which impact persons,
property and apparatus located
beyond the site boundary? (Including
underground and overhead utilities/
services). (see Regulation 33)
If the answer to question 13) is Yes,
does the Geotechnical Assessment
provide practical design
information as to mitigating the
risk of failure in such
circumstances?
14) Does the quarry have Risk Assessments
in place for the activities covered by
the Excavations & Tips Rules and other
key design documentation? (see
Regulation 12)

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 15) Are all persons who are required to
have competency in the management
of geotechnical issues at the quarry,
aware of all of the Significant Hazards
which have been defined for the
quarry? (see Regulation 9)

16) Is there a periodic review of Health &

Safety measures in place? Specifically
in relation to geotechnical matters.
This may take the form of a
Geotechnical Audit conducted by the
Operator. (See Regulation 11)

If the answer to question 16) is Yes,

are there review mechanisms in
place for the quarry to consider
lessons arising from experience
gained within by other relevant
operators or industries?

17) Are engineered rockfall slope/

protection installations present on at
the quarry? (e.g. netting, bolting,
fence, retaining structures, drainage
systems etc)-As applying to hard rock
sites. If the answer to question 17) is
Yes,please also answer the questions
below if relevant to your quarry:

Are close out installation

reports available at the
quarry?
Do the reports specify lifespan,
inspection, maintenance
requirements, purpose etc?
Are specialist inspections being
carried out in accordance with
the recommended frequency?

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 Have any recommendations
arising from the last specialist
inspection been completed?
QUARRY/SITE

Excavation/ Faces

18) Does the Geotechnical Assessment and

other design documents for the quarry
contain design information giving the
required slope angles for individual quarry
faces and for the overall face angle taken
from the crest of the quarry at surface to the
toe of the face at the base of the
excavation? Such design information is
required for all extractive operations which
are deemed a significant hazard and includes
both Hard Rock and Sand (&Gravel)
environments. (see Regulation 33)
19) Does the Geotechnical Assessment and other
design documents for the quarry contain
design information giving the required bench
levels (above datum) together with the
required minimum widths of those benches?
The stipulated bench widths should also
cover the required horizontal width of any
bench stand-off at base of overburden. Such
design information is required for all
extractive operations which are deemed a
significant hazard and includes both Hard
Rock and Sand (&Gravel) environments. (see
Regulation 33)
20) Is the excavation profile which includes faces
and benches based on designs arising from
an appropriate analysis of the stability of the
slopes as they are being worked within the
quarry? (see Regulation 30)
21) If applicable, Is the site in possession of a
recent discontinuity survey? (Discontinuities
are fractures, joints, faults and bedding
planes which can be instrumental in inducing

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 rock slope failure). These surveys are often
used by the geotechnical specialist as a basis
for calculating the stability of the materials to
be worked within the quarry. Please state the
date of the last applicable discontinuity
survey for the quarry. (see Regulation 33)
22) Does the Geotechnical Assessment and any
other design documentation give
recommendations as to mitigating the
prevention of accidents due to instability of
the materials being worked or the operation
of machinery? Such recommendations can
include the design criteria required to
construct and maintain rock traps, toe-bunds
and edge protection bunding. (see
Regulation 33)
23) Does the quarry suffer from regular or
periodic rockfall or failure of loose material
close to the crest of the face in any particular
area or locality within the quarry? If so please
detail how this is managed and reported.
24) Does the quarry suffer from instability
induced by weather events such as high
rainfall, strong wind or freezing
temperatures? If so, please detail how this is
managed and reported.
25) Does the quarry have property and
equipment belonging to third parties such as
dwellings, utilities, pipes and cables either
crossing the site or adjacent to the site
boundary and which could be potentially at
risk from quarry operations? If so, please
detail how this is managed and the risk
mitigated. Please consider the impact of any
blasting in your response. (see Regulation
33)
26) Does the quarry have adequate fencing and
signage to reasonably prevent the entry of
any persons who could then be exposed to
the hazards inherent in the quarry face and
void operations. (see Regulation 16)

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Lagoons
27) Does the Geotechnical Assessment and other
design documents at the quarry contain
detailed information giving the required
design for constructing, operating and
maintaining the lagoons at the quarry? (see
Regulation 33)
28) Are the lagoons inspected by persons with
the required competence and in accordance
with a regular cycle of inspections as
determined by the Geotechnical Specialist?
(see Regulation 12)
29) Does the quarry have an up to date record
of the volumes/ quantities of materials being
deposited in the lagoons? (see Regulation
36)
30) Do the quarry lagoons have adequate fencing
and signage in place to reasonably prevent
the egress of any persons from being exposed
to the hazards inherent in the presence of the
lagoons? (see Regulation 16)
31) Do the quarry lagoons have adequate life
rings/ rescue ropes/ flotation devices to
reasonably provide means of escape should
any persons fall into the one or other of the
lagoons at the quarry? (see Regulation 15)
32) Is the design profile for the lagoons on site
based on an appropriate analysis of the
construction materials used together with an
assessment of the impact of cycles of use
(including draw- down rate) and the
maximum holding capacity of the lagoons?
(see Regulation 33)
33) Has a minimum freeboard been determined
for each lagoon? (The freeboard is the
highest level that the contents of the lagoon
are allowed to reach as defined by the
design). (see Regulation 33)
34) Are the lagoons regularly inspected for
defects including malfunctioning or blocked

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 pipework and any signs of unexpected
outflow or seepage? (see Regulation 12)
35) Is the lagoon constructed above original
ground? (Lagoons of this type can be
particularly hazardous and require specific
design and inspection regimes) (see
Regulation 33)
If the answer to question 35) is Yes, has
the potential impact upon all of the
surrounding persons and property been
fully considered in the design and
operation of the lagoon?

36) Will the Regulation 32 Appraisal process be

used to manage the required change and the
design process in respect of any capping or
desilting operations required for the lagoons
at the quarry?(see Regulation 32)

Tips
37) Does the Geotechnical Assessment and other
design documents at the quarry contain
detailed information giving the required
design for constructing, operating and
maintaining the tips at the quarry? Such
design information is required for all
extractive operations which are deemed as a
significant hazard and includes both Hard
Rock and Sand (&Gravel) environments.
(see Regulation 33)

38) Are the designs for the tips on the site based
on appropriate analysis of the potential of
the materials being stored in the tip to
remain stable during the duration of quarry
operations? (see Regulation 33)
39) Does the quarry keep an appropriate record
of the nature, quantity and location of the
material being tipped on-daily basis during
active tipping operations so that the stability
of the tip can be fully assessed. (see
Regulation 36)

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Stockpiles
40) Are all stockpiles being managed in
accordance with the approved design? Please
note that such design information is given in
the geotechnical assessment? (Also please
note that all stockpiles can present a hazard
depending on material type, the height and
construction of the stockpile and the way in
which vehicles and personnel interact with
the stockpile. All stockpiles must have a set of
design criteria which must not be exceeded
or disregarded) (see Regulation 33)
41) Will the Regulation 32 Appraisal process be
used to manage the required change and the
design process in respect of any
requirements to the height, slope and
footprint of the stockpiles at the quarry?(see
Regulation 32)

42) Are all stockpiles adequately demarcated and

signposted so as to avoid any confusion or
mis-identification which could lead to
increased hazard? (see Regulation 4)
QUARRY/SITE-GEOTECHNICAL PROCESSES
43) Has the Operator for the quarry been
identified and appointed as the person in
overall control of the quarry as required by
the Quarries Regulations (1999)? (see
Regulation 2)

44) Has the Operator appointed a Competent

Individual to be in charge of the operation of
the quarry at all times as required by
Regulation 8 of the Quarries Regulations?
(see Regulation 8)

45) Is there an understanding on the site as to

who is competent to carry out an Appraisal at
the quarry? (See Regulation 32)

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 46) Is there an understanding as to who is
appointed by the operator to complete
Geotechnical Assessments at the quarry?
(See Regulation 33)

47) Do the Geotechnical Assessments for the

quarry contain a CLEAR conclusion as to the
SAFETY & STABILITY of the excavations,
lagoons, stockpiles and tips?(See Regulation
33)

48) Is the quarry provided with clear and concise

recommendations following a visit by a
Geotechnical Specialist?(See Regulation 33)

49) Is the Geotechnical Assessment for the

quarry reviewed and updated on a regular
basis as agreed with the appointed
Geotechnical Specialist? (See Regulation 33)

50) Are the Geotechnical Assessments for the

quarry used to communicate hazards and
risks to operatives, supervisors and
contractors? (See Regulation 33)

51) Is the relevant design information for all

excavations, tips, stockpiles and lagoons
readily available and accessible within the
Geotechnical Assessment documents for the
quarry. (See Regulation 33 & Schedule 1)

52) Are the Excavation & Tips Rules for the

quarry site reviewed and amended on a
periodic basis? (see Regulation 31)

53) Are the Excavation & Tips Rules specific and

relevant to the quarry operations? (see
Regulation 31)

54) Are the excavation and tips rules used to

communicate site working arrangements and
design criteria to operatives, supervisors and

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 contractors? Can they demonstrate
understanding of the parts which are relevant
to them?

55) Have all the current Significant Hazards on

the quarry identified by the Geotechnical
Specialist in the Geotechnical Assessment
been reported or notified in writing on an
hazard-by-hazard basis to the Health & Safety
Executive? (HSE) (see Regulation 37)
56) Is there an Appraisal completed for every
hazard on the site?. (see Regulation 32)

PEOPLE

Inspections Y N ACTIONS
57) Have all of the Significant Hazards which have
been defined for the quarry been explained
to all personnel working on the quarry who
have responsibilities? Is there evidence of
this?-Please discuss this requirement with all
personnel and determine their awareness of
such information. (see Regulation 7)

58) Are all people responsible for carrying out

daily / weekly inspections adequately trained
and competent in geotechnical matters such
that they can effectively carry out all
inspections? (see Regulation 12)

59) Are those persons who are assigned to carry

out inspections competent to identify
defects? (see Regulation 9 & 12)

If the answer to question 59) is Yes, is there

a clear procedure in place for reporting the
defects identified during an inspection and
escalating if required?

60) Is the inspection regime at the quarry

considered to be robust in

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 identifying,reporting and rectifying defects?
Do the inspections reflect conditions
observed in the quarry?(see Regulation 12)

61) Do all persons making significant physical

changes to the quarry, e.g shotfirers,
explosives supervisors, excavator and shovel
drivers, dozer drivers, have a good
understanding of the design parameters and
control measures put in place for theirs and
others safety? Is there evidence of this?
Please discuss this requirement with all
personnel and determine their awareness of
such information. (see Regulation 30)

62) Do persons who are assigned to conduct

inspections have sufficient time and resource
to carry out all required inspections and to
identify and report defects correctly?Is there
evidence of this?- Please discuss this
requirement with all personnel and identify if
there are any restrictions regarding time
allowed for such inspections. (see
Regulation 12)

63) Does the appointed Geotechnical Specialist

participate in the process of formulating the
periodic inspection regime for the quarry?
(see Regulation 12)

Training
64) Has the Competent Individual received
geotechnical competency training to a
recognised qualification level?
(Please provide details) (see Regulation 9)

65) Have the geotechnical issues and hazards

specifically relating to the quarry been
explained to all personnel? Is there evidence
of this? Please discuss this requirement with
all personnel and determine their awareness

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 of such issues and hazards. (see Regulation
9)

66) Does the appointed Geotechnical Specialist

deliver site-specific geotechnical training to
all personnel? (see Regulation 9)

If the answer to question 66) is Yes, does

the site-specific geotechnical training
include provision for operatives to receive
such training?

ALL ‘NO’ RESPONSES SHOULD BE ASSIGNED AN

IMPROVEMENT ACTION. WHERE THIS IS NOT FELT
POSSIBLE, THE ISSUE SHOULD BE ESCALATED TO
THE MANAGEMENT TEAM AND HEALTH & SAFETY
SPECIALIST. WHERE REQUIRED THE APPOINTED
GEOTECHNICAL SPECIALIST SHOULD BE CONSULTED

Signed:

Print Name:
Job Title of Person Completing Audit
Date of Audit Completion:

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