DRAFT – MASTER REGISTERED INDUSTRY CODE OF … · Master Code – Consultation Draft V3 – Draft as at 17/02/2018 Not to be distributed without prior permission of Safe Trucking

Master Code – Consultation Draft V3 – Draft as at 17/02/2018

Not to be distributed without prior permission of Safe Trucking and Supply Chains Ltd

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DRAFT – MASTER REGISTERED INDUSTRY CODE OF PRACTICE (RICP) – CONSULTATION DRAFT V3

Drafting notes:

• The following sections to be expanded on as marked throughout the document:

o Inclusion of more real-world examples in Sections 6 to 8 (tracked – e.g. )

o Review and update the example risk assessments (in Appendix A – similar to that included for speed)

o Consideration of any feedback received

• Population of Appendix B upon finalisation of all content

• Final formatting and desktop publishing

Questions for consideration:

• Real-world examples – what known industry practices can be added as examples?

• How parties envisage using the example risk assessments and usefulness in current form?

Feedback:

• Email Peter Elliot at [email protected]



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Table of Contents

1 FOREWORD .................................................................................................. 5

1.1 Scope and application ................................................................................. 5

1.2 How to use this Registered Industry Code of Practice ............................... 6

2 INTRODUCTION ............................................................................................ 8

2.1 Purpose ........................................................................................................ 8

2.2 Shared responsibility ................................................................................... 8

2.3 Primary duty ............................................................................................... 10

2.4 Reasonably practicable ............................................................................. 10

2.5 Executive due diligence ............................................................................. 12

2.6 Business practices ..................................................................................... 15

2.7 Offences and penalties .............................................................................. 18

2.8 Key terms ................................................................................................... 19

3 RISK MANAGEMENT PROCESS ...................................................................... 22

3.1 Risk management approach ..................................................................... 22

3.2 How to develop a risk management process ............................................ 23

3.3 How to document the risk management process ...................................... 32

3.4 More Information........................................................................................ 33

4 ROLES AND RESPONSIBILITIES....................................................................... 34

4.1 Structure of the code ................................................................................. 34

4.2 The role of chain of responsibility parties .................................................. 34

4.3 Employer, Prime Contractor, Operator...................................................... 36

4.4 Scheduler ................................................................................................... 36

4.5 Driver.......................................................................................................... 36

4.6 Consignor and Consignee ......................................................................... 36



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4.7 Packer ........................................................................................................ 36

4.8 Loading Manager, Loader and Unloader .................................................. 37

4.9 Executive (of a legal entity) ....................................................................... 37

5 SPEEDING – RISK TYPES AND INDICATIVE CONTROL MEASURES ....................... 39

5.1 What is the risk of speeding? .................................................................... 39

5.2 What does the law say? ............................................................................ 40

5.3 What you can do and why ......................................................................... 40

5.4 More information ........................................................................................ 47

6 FATIGUE – RISK TYPES AND INDICATIVE CONTROL MEASURES ......................... 48

6.1 What is the risk of fatigue? ........................................................................ 48




7 MASS, DIMENSION AND LOADING – RISK TYPES AND INDICATIVE CONTROL MEASURES ......................................................................................................... 59

7.1 What are the risks associated with mass, dimension and loading? ......... 59




8 VEHICLE STANDARDS – RISK TYPES AND INDICATIVE CONTROL MEASURES ....... 72

8.1 What is the risk? ........................................................................................ 72




9 MAINTAINING THE CODE ............................................................................. 82

10 APPENDICES ............................................................................................... 83



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1 FOREWORD

This Registered Industry Code of Practice (RICP), the Code, has been developed in accordance with the Guidelines for industry codes of practice1 under section 705 of the Heavy Vehicle National Law (HVNL) and assessed as qualifying for registration by the National Heavy Vehicle Regulator (NHVR) under section 706 of the HVNL.

An approved RICP is a practical guide to achieving the standards of heavy vehicle safety and compliance required under the HVNL and the various Heavy Vehicle National Regulations (HVNR). A Registered Industry Code of Practice applies to anyone who has a duty of care in the circumstances described in the Code.

The Code has been developed by Safe Trucking and Supply Chains Limited, a joint venture company of the Australian Logistics Council (ALC) and Australian Trucking Association (ATA). The ALC and ATA are the peak industry bodies in Australia representing the major Australian logistics supply chain participants and trucking operators respectively. The Code has been developed in consultation with industry through various public forums involving a wide range of industry participants.

A draft of this Code of Practice was released for public consultation on day month 2018 and was endorsed by the National Heavy Vehicle Regulator for registration on day month 2018.

1.1 Scope and application

The Code applies to all parties in the supply chain of a heavy vehicle, known as the Chain of Responsibility (CoR). The Code applies to a person who is a party in the Chain of Responsibility including:

• employers of drivers

• prime contractors of drivers

• the operator of a vehicle

• schedulers of goods or passengers for transport in or on a vehicle, and the scheduler of its driver

• the driver of a vehicle

• consignors (senders) and consignees (receivers) of the goods for transport

• packers of goods for a heavy vehicle load

• loaders and unloaders of goods

• loading managers (the person who supervises loading and unloading or manages the premises where this occurs).

1 National Heavy Vehicle Regulator, Industry Codes of Practice – Guidelines for Preparing and Registering Industry Codes of Practice, 2017, accessed at the NHVR website www.nhvr.gov.au, issued pursuant to section 705 of the HVNL

http://www.nhvr.gov.au/



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The Code applies to all types of heavy vehicles and loads covered by the HVNL.

The Code also applies to responsible entities or persons of parties in the Chain of Responsibility including, but not limited to:

• corporations, partnerships, unincorporated associations or other body corporates

• employers, executive officers and company directors.

It should be noted the role of a party in the Chain of Responsibility may also be conducted by a corporation.

The Code, known as the Master Code, has been developed to address the four core obligations of CoR regulated under the HVNL:

• Speed compliance (chapter 1A),

• Fatigue management (chapter 1A and chapter 6),

• Mass, dimension and loading (chapter 4), and

• Vehicle safety standards (chapter 3).

And as such is applicable to all parties and industry participants in the supply chain of a heavy vehicle. It is anticipated where industry specific risks have been identified that are not covered by the circumstances described in the Code, supporting Registered Industry Codes of Practice may be developed to provide more specific guidance.

1.2 How to use this Registered Industry Code of Practice

Adoption of an RICP is not mandatory, but a voluntary choice by a party in the Chain of Responsibility as one way to take responsibility for the safety and compliance of their own business. However, it should be noted that a distinguishing feature of an RICP is its evidentiary role in court proceedings pursuant to chapter 10 of the HVNL.

While code compliance will not afford a defence as such, the contents of an RICP will be a means of admitting evidence of what is known about risks and controls and would be able to be used by a court to determine what is reasonably practicable in the circumstances to which the code relates (section 632A).

Using the Code to incorporate appropriate risk-based systems into their every-day business practices, CoR parties will not only improve the safety and legal compliance of their own activities, they will also be contributing to continuous improvement in best practice within their industry.2

2 Acknowledgement of use of National Heavy Vehicle Regulator (NHVR) Registered

Industry Codes of Practice Introduction, Fact Sheet 1 and Guidelines content throughout the Code



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In providing guidance, the word ‘should’ is used in the Code to indicate a recommended course of action, while ‘can’ is used to indicate an optional course of action.

This Code also includes various references to sections of the HVNL and Regulations which set out the legal requirements. These references are not exhaustive. The words ‘must’ or ‘mandatory’ indicate that a legal requirement exists and must be complied with.



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2 INTRODUCTION 2.1 Purpose

The main purposes of the Code are to support the object of the Heavy Vehicle National Law (HVNL) and provide practical guidance to help all parties in the Chain of Responsibility (CoR) in a way that:

Your corporate reputation and financial position can suffer if you’re directly or indirectly involved in a heavy vehicle incident or breaches of the HVNL that impact public safety, due to:

• adverse publicity in the media

• loss of productivity due to recovery, remediation and repairs

• loss of contracts due to damaged goods and equipment

• costs to repair road infrastructure and public amenity

• insurance excess payments increase in insurance premiums

• court proceedings and legal costs, fines and imprisonment.

This Registered Industry Code of Practice (RICP), the Code, offers a means of translating the requirements of the HVNL into a practical application incorporating best practice for the whole industry. The primary focus of an RICP is to propose control measures for addressing safety and compliance, and as such describes what you can do and why you should do it, but it does not require you to do it that way. You may be able to develop an approach that is equally as effective.

The Code takes a risk-based approach to managing safety that encourages all parties in the supply chain to design and develop control measures appropriate to the scale and nature of their own operations. The Code focuses on providing all parties with an understanding of the risk management process so that they can take steps to mitigate or control risks within their own business. (Refer Section 3 of the Code)

2.2 Shared responsibility

The HVNL adopts the common principles of ‘shared responsibility’ and concurrent duties (sections 26A and 26B). Furthermore, a duty under the HVNL may not be transferred. This means that multiple parties in the supply chain are responsible for the safety of transport activities of a heavy vehicle, and that those parties might have multiple, and potentially overlapping duties in the Chain of Responsibility for the vehicle.

Section 3 (a) promotes public safety; and (b) manages the impact of heavy vehicles on the environment, road

infrastructure and public amenity. (c) promotes industry productivity and efficiency in the road transport of goods

and passengers by heavy vehicles; and (d) encourages and promotes productive, efficient, innovative and safe

business practices.



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The philosophy of Chain of Responsibility laws means that any party in the chain who has the ability to control or influence over the transport activity is responsible for safety on the road. The level and nature of the party’s responsibility for a transport activity depends on their capacity to control, eliminate or minimise the risk (section 26A).

Safe and productive transport activities therefore require effective two-way consultation, cooperation and coordination of all parties along the supply chain, end-to-end. Furthermore, the primary WHS Law has a duty to consult with workers directly affected by a health and safety matter and all other persons who have a duty in relation to the same matter (sections 46 and 47 of the WHS Act). Examples of activities to be considered to encourage an integrated and consistent approach to safe transport activities include, but not limited to:

• Communication of CoR policies and procedures to other parties as relevant to ensure consistency in understanding and application

• Involvement of other parties in the supply chain about identified risks as relevant to ensure consistency in the awareness and control of the risk

• Identifying safety and compliance synergies across the supply chain to create common solutions and strategies

• Sharing of information to positively impact upon the activities of other parties – e.g. safety information and incident reporting

• Ways to alert and engage with other parties in the supply chain of CoR incidents and non-compliances to review the effectiveness of any remedial actions implemented – e.g. observe, record, report

• Alerts to prevent practices that are identified as having negative impacts, being unsafe practices, or requirements that may breach the HVNL.

All parties in the supply chain should engage and consult with other parties in the supply chain as relevant to foster productive, efficient, innovative and safe supply chain relationships. For example, a documented stakeholder engagement plan, or operational framework, that identifies:

• Who to engage – the key stakeholder groups and key contacts – e.g. other relevant parties in the supply chain

• The purpose of engagement – the why – e.g. relationships with other relevant parties in the supply chain including the compliance requirements

• How to influence the stakeholder – e.g. touch points with other relevant parties in the supply chain such as face-to-face meetings or by phone etc.

• Communication points – the what – e.g. topics of discussion or reasons the relationships exist with other relevant parties in the supply chain including two-way feedback and review mechanisms

• When to engage the stakeholder – e.g. the frequency of engagement with other relevant parties in the supply chain

• Who engages with the stakeholder – e.g. the relevant contacts between parties in the supply chain.

2.2.1 More information

Safe Work Australia, Model Code of Practice: Work health and safety consultation, co-operation and co-ordination, 6 Dec 2011



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2.3 Primary duty

The HVNL imposes obligations on all CoR parties as an overarching and positive duty of care. CoR laws are designed to deter all parties in the supply chain from causing or encouraging the driver or another person, directly or indirectly, to contravene the HVNL. In particular each party in the Chain of Responsibility has a primary duty of care to ensure the safety of their transport activities ‘so far as reasonably practicable’ (section 26C). Without limiting this general requirement, each party must, so far as is reasonably practicable eliminate or minimise public risks; and ensure the party’s conduct does not directly or indirectly cause or encourage the driver or another person, to contravene the HVNL or the driver to exceed a speed limit.3

For suggested activities of what you can do and why, to help ensure the safety of your transport activities, see Sections 5 to 8 of the Code.

Note: Risks to the health and safety of workers when undertaking transport activities in the workplace, for example packing, loading, restraining and unloading activities, and the repairs and maintenance of heavy vehicles, must also be managed in accordance with your duties under the primary WHS Law in the jurisdiction/s in which you operate. The primary duty of care under the HVNL is complementary to the health and safety duties under the primary WHS Law but focuses on the safety of road transport operations. In meeting a duty under the HVNL you may concurrently meet a duty under the primary WHS Law and vice versa. The duties under the primary WHS Law apply in addition to the HVNL and, to the extent of any inconsistency, the provision of the primary WHS Law prevails.4

2.4 Reasonably practicable

The HVNL adopts a standard of care of ‘so far as reasonably practicable’ for the primary duty, as shown in Figure 1. So far as is reasonably practicable refers to that which is reasonably able to be done to ensure health and safety, taking into account and weighing up all relevant matters, including:

• Likelihood – the likelihood of the risk occurring e.g. a safety risk or damage to road infrastructure happening;

• Harm – the degree of harm that could result from such a risk or damage;

• Knowledge – what the person knows, or ought reasonably to know, about the risk or damage;

• Solutions – the ways of removing or minimising (treating) the risk and whether they are feasible; and

• Cost – the costs associated with the available ways of risk treatment are proportional to the risk.5

3 Queensland Parliament, Heavy Vehicle National Law and Other Legislation Amendment Bill 2016 – Explanatory Notes, 09/12/2016, p.2. 4 Ibid, p.11. (Note: Ibid is Latin for in the same source – refers to the previous reference document) 5 Safe Work Australia, Guide – How to Determine what is Reasonably Practicable to meet a Health and Safety Duty, May 2013, p.4.



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Figure 1 So far as is reasonably practicable (SFAIRP) test

While cost is specified in section 5 of the HVNL as a matter to be taken into account and weighed up with other relevant matters to identify what is reasonably practicable, this should only be done after assessing the extent of the risk and the ways of eliminating or minimising it. It should be noted there is a clear presumption in favour of safety ahead of cost.6

Where the cost of implementing control measures is grossly disproportionate to the likelihood of risk or damage, it may be that implementing them is not reasonably practicable and therefore not required. This does not mean however that the duty holder is excused from doing anything to minimise the risk so far as is reasonably practicable. A less expensive way of minimising the likelihood or degree of harm must instead be used.7

For indicative activities of what you can do and why, to help ensure the safety of your transport activities, see Sections 5 to 8 of the Code.


Safe Work Australia, Guide – How to Determine what is Reasonably Practicable to meet a Health and Safety Duty, May 2013

Safe Work Australia, Interpretive Guideline - model Work Health and Safety Act - the meaning of 'reasonably practicable', 26 Sep 2011

6 Safe Work Australia, Guide – How to Determine what is Reasonably Practicable to meet a Health and Safety Duty, May 2013, p.6. 7 Ibid, p.15.

SFAIRP

Likelihood of risk

occuring

Harm that could result

Reasonable knowledge of the risk

Controls to remove the risk

Cost relative to

risk



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2.5 Executive due diligence

The HVNL imposes an executive due diligence obligation to ensure CoR parties comply with their primary duty of care (section 26D). The HVNL will contribute to improvements in safety outcomes in the road transport sector by requiring parties in the Chain of Responsibility, and executives, to focus on overall safety outcomes, and will enable parties to be more innovative in responding to safety concerns. Duties with a positive ‘must ensure’ obligation with a reasonable excuse defence will create diligence in activities.8

It is an offence for an executive of a legal entity with a primary duty to fail to use due diligence to ensure the legal entity complies with that duty. The executive may be convicted of an offence even if the legal entity has not been proceeded against for, or convicted of, an offence relating to the duty.

Due diligence includes the following requirements, as shown in Figure 2:

• taking reasonable steps to acquire, and keep up to date, knowledge about the safe conduct of transport activities;

• to gain an understanding of the nature of the legal entity’s transport activities and the hazards and risks associated with the activities;

• to ensure the legal entity has and uses appropriate resources to eliminate or minimise the hazards and risks;

• to ensure the legal entity has, and implements, processes for eliminating or minimising those risks, for responding in a timely way to information about the hazards and risks and any incidents and for complying with the legal entity’s primary duty; and

• to verify resources and processes are being provided, used and implemented.

8 Queensland Parliament, Heavy Vehicle National Law and Other Legislation Amendment Bill 2016 – Explanatory Notes, 09/12/2016, p.3.



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Figure 2 Due diligence cycle

Examples of the due diligence activities that could be undertaken include:9

• Knowledge – Be aware of your obligations under the HVNL and the compliance strategies, business practices and risk management processes for elimination or minimisation of public risks associated with your transport activities so far as is reasonably practicable.

• Understanding – Receive advice from a suitably qualified person, if required, to gain a general understanding of the core transport activities and business practices (operations) and the hazards and risks associated with those activities and practices.

• Resources – Gain an understanding of what procedures and resources are needed, and ensure they are used, to comply with your obligations under the HVNL and to eliminate or minimise public risks.

• Information – Have oversight of the reporting of incidents and emerging hazards and risks, identifying if any further action is required to eliminate or minimise the hazards or risks so far as is reasonably practicable and ensure measures are taken to take reasonably practicable steps.

• Compliance and Verification – Ensure active verification, for example through inspection or auditing processes, that the procedures and resources are in place and are being used.

9 Adapted from Safe Work Australia, Interpretive Guideline – model Work Health and Safety Act – the health and safety duty of an officer under section 27, 26 Sep 2011



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Executives need to understand CoR compliance and the effectiveness of their business practices. Board governance activities, including reporting on CoR is a good way of ensuring obligations are being complied with and also a good way of keeping safety issues a priority for businesses. Metrics for CoR board reporting should be developed that makes the information provided to executives meaningful, and capable of driving safety and business improvement.

See also Sections 5 to 8 of the Code for activities of what you can do to exercise due diligence in managing the safety and compliance risks associated with your transport activities and to help ensure public safety.

2.5.1 Assurance

One way to provide confidence and certainty of the compliance and verification obligations of due diligence is to establish an active assurance program. Assurance tests the effectiveness of business practices to ensure they are working as designed. Assurance involves monitoring operating policies and procedures, measuring safety performance and compliance, and managing change in order to continuously improve business practices. Assurance is a means of giving parties in the Chain of Responsibility confidence and certainty the business practices are working as planned. This in turn will help ensure transport-related activities are safe and prevent breaches of the HVNL, manage risk and maintain a safe road environment.

All parties in the supply chain should implement documented reporting and notification processes as part of their business practices to address and remedy any safety incidents or risks relating to CoR, including breaches of policies and procedures, breaches of the NHVL, system non-conformances and unplanned delays. Having a process to resolve safety issues, particularly those relating to CoR obligations, will help to ensure problems are reported and rectified to prevent or reduce potential harm or loss (risks).

All parties in the supply chain should have a way to alert and engage with other parties in the supply chain of CoR incidents and non-compliances to review the effectiveness of any remedial actions implemented. This will help to ensure parties in the supply chain work together to develop sustainable solutions for issues raised to achieve improved safety outcomes.

To help ensure compliance and manage safety all parties in the supply chain should implement an internal review mechanism to monitor, review and test the effectiveness of your business practices – to confirm processes and protocols have been done and are being done in the manner intended. This would include a process to record and remedy any non-conformances identified. Internal reviews should be conducted on a regular basis by a person independent of the procedures and process wherever possible. Internal reviews can also be complemented by external reviews and or accreditation schemes such as NHVAS or TruckSafe where practicable.



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Comcare, Guidance for officers in exercising due diligence, November 2016

Safe Work Australia, Interpretive Guideline – model Work Health and Safety Act – the health and safety duty of an officer under section 27, 26 Sep 2011

2.6 Business practices

The HVNL imposes a primary duty of care to ensure the safety of transport activities (sections 26C and 26D). Transport activities, means activities, including business practices and making decisions, associated with the use of a heavy vehicle on a road (section 5). Business Practices refer to a person's practices in running a business associated with the use of a heavy vehicle on the road, including:

• operating policies and procedures,

• human resource management arrangements, and

• contract management arrangements, and

• the arrangements for preventing or minimising public risks (refer Section 3 of the Code).

2.6.1 Operating policies and procedures

All parties should develop and implement documented operating policies and procedures such that all parties understand their duties and obligations in the chain of responsibility and know that it is unacceptable to directly or indirectly cause or encourage the driver or another party in the supply chain to breach the HVNL. These operating policies and procedures, known as ‘CoR management and assurance policies and procedures’ are referred to throughout the Code as:

• Speed management and assurance policies and procedures – to manage high risk behaviours such as speeding

• Fatigue management and assurance policies and procedures – to manage the fatigue of the driver

• Mass, dimension and loading management and assurance policies and procedures – to manage risks associated with heavy vehicle mass, dimension and loading requirements

• Vehicle standards management and assurance policies and procedures – to manage the risks associated with vehicle safety standards and roadworthiness.

The CoR management and assurance policies and procedures are the processes and protocols that should be developed and documented to describe your business practices that help to ensure the safety of your transport activities and compliance to the HVNL. CoR policies should include, for example, the roles, functions and responsibilities in your supply chain, how you will comply, how you expect others to comply, how you will share and act on information about non-compliance and what you will do in the event that your supply chain parties don’t comply with their obligations.



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CoR working procedures sit under your compliance policy and should provide work instructions to employees and other supply chain parties with whom you deal about how you and they are to conduct the transport activities over which you have control. For example, and in relation to loading, what information is to be exchanged prior to loading, who is to do what, what pre-departure checks and sign-off is to be provided?

Having documented procedures that are applied in practice will help achieve compliance and manage safety by making sure that unsafe conditions and practices do not endanger public safety (for example, a heavy vehicle that is unsafe or defective is not used on a road).

CoR management and assurance policies and procedures should be regularly reviewed to ensure they reflect operational practice – the way work is done and communicated to other parties as relevant to ensure consistency in understanding and application. There needs to be adequate supervision, monitoring and management oversight of business practices to give the confidence and certainty that policies and procedures are followed. And a way to recognise adherence to business practices or to review and addresses any non-conformances to policies and procedures.

CoR management and assurance policies and procedures should be documented to help ensure consistent understanding and application of business practices, demonstrate commitment to safe transport activities, and to build an evidence log of compliance in the event of any safety incidents or breaches of the HVNL. Having documented policies and procedures provides practical evidence that business practices are in place and are actively working and also allows the effectiveness of the business practices to be measured.

2.6.2 Human resource management

Human resource management includes education and processes for inducting and training personnel in safety-critical areas, and effective two-way communication between managers and workers, and supply chain parties, to create a positive safety culture. Furthermore, the primary WHS Law has a duty to provide any information, training, instruction or supervision that is necessary to protect all persons from risks to their health and safety arising from work carried out (section 19 of the WHS Act).

All parties in the supply chain must provide training and awareness of CoR management and assurance policies and procedures to all parties, including their contribution to the safety of the transport activity. This will help ensure all parties understand documented processes and protocols, and their duties and obligations under the HVNL so as not to directly or indirectly cause or encourage the driver or another party in the chain to breach the HVNL.

Training should include the potential risks of breaches and the human factors that may lead to risk taking behaviours – e.g. issues affecting how people do their jobs, including social and personal factors, especially in relation to speeding and driving while impaired by fatigue.



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All parties in the supply chain should provide education and awareness of delay management processes and the steps that can be taken so as not to directly or indirectly cause or encourage the driver or another party in the chain to breach the HVNL. For example, it is important drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit or drive while impaired by fatigue due to unplanned delays. Drivers and other parties should be positively recognised for proactively managing CoR compliance – e.g. adhering to speed limits or taking unplanned rest breaks to avoid driving while impaired by fatigue.

In keeping with good human resource management practices all parties in the supply chain should implement a training management system, as shown in Figure 3, that:

• Identifies the training needs – e.g. a training needs analysis

• Identifies any gaps in training – e.g. a training register

• Maintains records of training provided and content

• Reviews the effectiveness of training

• Conducts ongoing and regular refresher training.

Figure 3 Training management system framework

Another important aspect of human resource management, is organisational culture, often referred to as “the way we do things around here” based on shared basic assumptions about of the importance of how things work. An organisational culture can also be focussed on safety and compliance. The safety culture of an organisation is said to be the collective values and behaviours that determine the commitment to an organisation’s health and safety management.10

The HVNL is designed to contribute to improvements in safety outcomes in the road transport sector by requiring all parties in the Chain of Responsibility, and

10 Borys. D., (2014). Organisational Culture. In Safety Institute of Australia, The Core Body of Knowledge for Generalist OHS Professionals. Tullamarine, VIC. Safety Institute of Australia, pp.6-8.



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executive officers, to focus on overall safety outcomes and facilitate compliance cultures within companies.11

Organisations with a positive safety culture are characterised by:

• leadership commitment to safety,

• accountability of line managers,

• involvement of all employees,

• open communication founded on mutual trust,

• demonstration of care and concern for all those affected by the business, and

• by confidence in the effectiveness of preventive measures.12

Having proactive and positive safety and compliance cultures that focus on changing business practices that have an immediate and direct impact on risk control13 and encourage continuous improvement will help to facilitate better overall safety and compliance outcomes.

2.7 Offences and penalties

The HVNL includes significant penalties for offences under the HVNL and breaches of the primary safety duties (Part 1A.3). There are three categories of offences for failing to comply with the duty:

• Category 1 offence – for a person who is reckless as to the risk o Maximum $300,000 or 5 years imprisonment, or both for an

individual o Maximum $3,000,000 for a corporation

• Category 2 offence – for exposure to risk of death or serious injury o Maximum $150,000 for an individual o Maximum $1,500,000 for a corporation

• Category 3 offence – for breaches of the safety duty o Maximum $50,000 for an individual o Maximum $500,000 for a corporation

By incorporating appropriate risk-based activities into their every-day business practices, operators and CoR parties will not only improve the safety and compliance of their transport activities, they will also reduce their legal exposure to such significant penalties.

11 Queensland Parliament, Heavy Vehicle National Law and Other Legislation Amendment Bill 2016 – Explanatory Notes, 09/12/2016, p.3. 12 Borys. D., (2014). Organisational Culture. In Safety Institute of Australia, The Core Body of Knowledge for Generalist OHS Professionals. Tullamarine, VIC. Safety Institute of Australia, pp.9-11. 13 Ibid, p.30.



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2.8 Key terms

Assurance is a part of corporate governance in which management provides accurate and current information to stakeholders about the efficiency and effectiveness of its operating policies and procedures, and the status of its business practices compliance with statutory obligations.

ATM (aggregate trailer mass), of a heavy trailer, means the total maximum mass of the trailer, together with its load and the mass imposed on the towing vehicle by the trailer.

Australian Design Rules (ADRs) contain mandatory requirements for the safe design, construction and maintenance of vehicles and for the control of emissions and noise.

Business Practices refer to a person's practices in running a business associated with the use of a heavy vehicle on the road, including operating policies and procedures, human resource and contract management arrangements and the arrangements for preventing or minimising public risks.

Consequence is the outcome of an event affecting the objectives of an organisation (objectives can include financial, health and safety, and environmental goals for example).

Control measures are the activities undertaken to modify (control) risk.

Fatigue-regulated heavy vehicle is a motor vehicle with a GVM of more than 12t; a combination with a GVM of greater than 12t; a fatigue-regulated bus.

GVM (Gross Vehicle Mass), of a vehicle, means the maximum loaded mass of the vehicle.

Heavy Vehicle means a vehicle or combination with a GVM or ATM of more than 4.5t.

Human Factors is about understanding human behaviour and performance. When applied to business operations, Human Factors knowledge is used to optimise the fit between people and the systems in which they work in order to improve safety and performance.

Likelihood is the chance of something happening (sometimes called probability).

Load includes the transport of goods or passengers using a heavy vehicle – e.g. truck, combination or bus.

OEM means Original Equipment Manufacturer.

Primary WHS Law for a participating jurisdiction, means the law that is declared by a law of that jurisdiction to be the primary WHS Law for the purposes of the HVNL.



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Policies are clear, simple statements of how your organisation intends to conduct its business practices. They provide a set of guiding principles to help with decision making.

Procedures describe how policies will be put into action in your organisation. Procedures outline who will do what, the steps they need to take, and the documents or forms to use.

Process (method or mechanism) is a series of actions or steps taken in order to achieve a particular end, objective or outcome.

Public safety means the safety of persons or property, including the safety of the drivers of, and passengers and other persons in, vehicles and combinations; and persons or property in or in the vicinity of, or likely to be in or in the vicinity of, road infrastructure and public places; and vehicles and combinations and any loads in them.

RICP means Registered Industry Code of Practice, an RICP establishes standards and procedures for parties in the chain of responsibility to identify, analyse, evaluate and mitigate general risks associated with meeting obligations under the HVNL.

Risk is the effect of uncertainty on objectives (an effect can be a positive or negative deviation from the expected outcome).

Risk assessment is the overall process of identifying risks, analysing risks and evaluating risks.

Risk treatment is the process to modify risk, and can include controlling, eliminating or minimising the risk.

System is a set of resources and activities integrated in a business that all work together efficiently as a system to help improve safety and other business imperatives. The system details the required documentation of policies, procedures and operational records associated with business practices.

The Code means this Registered Industry Code of Practice, titled the Master Registered Industry Code of Practice (the Master Code).

Transport Activities encompasses the ‘business practices’ and components of a transport business (e.g. physical, management, labour and service), and the associated activities for which the parties in the chain of responsibility are expected to be responsible, for example driving, directing, employing or contracting drivers, or consigning, scheduling, packing, loading, unloading and receiving goods. Transport activities also include carrying out other activities associated with the use of a heavy vehicle (such as maintaining or repairing the vehicle).

Vehicle Standards, or Heavy Vehicle Safety Standards, the standards used to guide Heavy Vehicle Inspections which have been derived from Australian



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Design Rules, HVNL and Heavy Vehicle (Vehicle Standards) National Regulation.

WHS stands for Work Health and Safety, also known as Occupational Health and Safety (OHS) in one participating jurisdiction.



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3 RISK MANAGEMENT PROCESS 3.1 Risk management approach

The HVNL is designed to improve safety through a proactive, outcomes-focused approach to managing the risks associated with the transport task.14 The key hazards and risk types under the HVNL that are addressed by the Code relate to the four core obligations of CoR and include:

• Breaches of speed compliance obligations and incidents caused by speeding heavy vehicles

• Breaches of fatigue management obligations and incidents caused by drivers being impaired by fatigue

• Breaches of mass, dimension and loading obligations and incidents caused by incorrectly positioned or restrained loads and overloaded heavy vehicles

• Breaches of vehicle standards obligations and incidents caused by unsafe or defective heavy vehicles.

As a consequence of these risks, if a heavy vehicle loses control this can have significant impacts on public safety through serious injuries and fatalities to drivers or passengers, other road users and the general public. Heavy vehicles in breach of these obligations, regardless if they are involved in an incident or not, can also cause damage to road infrastructure, public amenity and the environment.

Contributing factors to the realisation of these risks may be the business practices of other parties in the Chain of Responsibility. All parties in the supply chain should use a risk management process to identify, assess and treat risks within their own business. The risk assessment should consider your operational risks and how your business influences, directs or requires other parties in the Chain of Responsibility to undertake their transport activities. The risk management process should be documented and monitored for compliance and reviewed and updated based on feedback received. Refer following sections for more information on how to develop and use a risk management process for your business to proactively manage risk and help ensure safety of transport activities.

The Code has been developed using a risk management process in accordance with AS/NZS ISO 31000:2009 Risk Management – Principles and Guidelines. The Code identifies, analyses, evaluates and treats the general risks relevant to whole sectors of the heavy vehicle industry. The Code identifies the types of risk, rather than specific instances of a risk, and identifies and addresses the risks associated with each activity and responsibility within the industry that is covered by HVNL. For each type of risk identified, appropriate control measures have been indicated. And as applicable, specific control measures have been included as examples only.




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See Sections 5 to 8 of the Code for more detail on risk types and indicative control measures. It is the code adopter’s responsibility to assess the suggested range of control measures and choose the most appropriate one/s, if not all, depending on their role in the Chain of Responsibility, the scale and nature of their transport activities, and the outcomes of their own risk management process.

Technical standards and other guidance material about potential control measures, which are readily and freely available, have been included as reference materials. See the ‘More information’ topic in each section of the Code.

3.2 How to develop a risk management process

Risk management is the best way to build and protect your business and other road users and help ensure the safety throughout the transport activity. All parties in the supply chain should develop a risk management process consistent with AS/NZ ISO 31000:2009 Risk Management — Principles and Guidelines. The risk management process consists of five key steps, as shown in Figure 4, which are:

• Step 1 – Establishing the context

• Step 2 – Risk identification

• Step 3 – Risk analysis

• Step 4 – Risk evaluation

• Step 5 – Risk treatment



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Figure 4 Risk management process15

The risk management process is supported by ongoing ‘communication and consultation’ and ‘monitoring and review’, as shown in Figure 4. These are the ‘book ends’ that bind the risk management process together and make it complete, refer Section 3.2.1 and Section 3.2.3 respectively.

A core part of the risk management process is the risk assessment, which consists of the three steps of risk identification, risk analysis and risk evaluation (steps 2, 3, and 4 respectively). Risk assessment provides an understanding of risks, their causes, consequences and likelihood. This provides input into decisions about:

• whether an activity (e.g. transport activity) should be undertaken;

• how to maximise opportunities;

• whether risks need to be treated or controlled;

• choosing between options with different risks;

• prioritising risk treatment options and control measures;

• the most appropriate selection of risk treatment options that will bring unacceptable risks to a tolerable level.

15 Cross. J., (2012). Risk. In Safety Institute of Australia, The Core Body of Knowledge for

Generalist OHS Professionals. Tullamarine, VIC. Safety Institute of Australia.

Step 1

Step 2

Step 3

Step 4

Step 5



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Each of these key steps and concepts will be described in more detail in the following sections of the Code.

3.2.1 Communication and consultation

Successful risk assessment is dependent on effective communication and consultation with stakeholders. (Refer also Section 2.2 of the Code). A stakeholder is a person or organisation that can influence your business practices and transport activities or be impacted by them. Stakeholders can include both internal stakeholders, such as managers and staff – e.g. schedulers, drivers, loaders etc., and external stakeholders, such as customers, suppliers, regulators and members of the public.

Involving stakeholders in the risk management process will assist in:

• developing a communication plan and defining the context appropriately,

• ensuring that the interests of stakeholders are understood and considered,

• ensuring that risks are adequately identified,

• bringing together different areas of expertise for analysing risk,

• ensuring that different views are appropriately considered in evaluating risks,

• seeking endorsement and support for a treatment plan (eliminating or minimising the risk).

Communication and consultation is an overarching process that occurs at every step of the risk management process and is ongoing as things change or continuously improve.

All parties in the supply chain should engage and consult with other parties in the supply chain about identified risks as relevant to ensure consistency in the awareness and control of the risk.

3.2.2 The risk management process

STEP 1 – ESTABLISHING THE CONTEXT

Establishing the context is the “first step” in the risk management process and is a key part of effective risk management. Context is defined as the (internal and external) environment in which the organisation seeks to achieve its objectives, for example, the operating conditions in which a party in the Chain of Responsibility seeks to achieve efficient and productive, safe and compliant transport activities.

The internal context includes information on the internal business practices and decision making of the organisation, including its structure, roles and responsibilities, capacity and capability of resources, internal policies and procedures, internal stakeholders, and the organisation’s culture.



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The external context includes such things as the:

• social, cultural and political agenda – e.g. the impact of incidents involving heavy vehicles on the community

• legal and regulatory frameworks – e.g. amendments to legislation and enforcement regimes

• financial and economic impacts – e.g. the growing freight task in Australia

• technological advancements – e.g. telematics, autonomous vehicles

• natural and competitive environments – e.g. road, rail and shipping modes of transport

• emerging risks and opportunities that may impact on the organisations objectives – e.g. operator licencing schemes

• views of external stakeholders – e.g. public perception of the safety of the Australian heavy vehicle industry.

For a specific risk assessment, establishing the context should include the definition of the external and internal context, as above, and classification of risk criteria. The classification of risk criteria includes:

• the nature and types of causes – e.g. safety, environment, financial, reputation

• consequences that can occur and how they will be measured,

• how likelihood will be defined, and

• the timeframe(s) of the likelihood and/or consequence(s),

• how the level of risk is to be determined, and

• the level at which risk becomes acceptable or tolerable.

The consequence and likelihood, and level of risk and tolerance, will be discussed further in steps 3 and 4 respectively.

Risk criteria are used to determine the significance of risks to the organisation and provide the basis for comparisons of risk level (or severity) across the entire organisation and over time. In order to make consistent decisions on risk treatment it is important that decisions on the level of risk are based on common, clear and accepted criteria.

STEP 2 – RISK IDENTIFICATION

Risk identification is the process of finding, recognising and describing risks. A good starting point is to consider the external and internal contexts information outlined above and a review of historical information such as:

• experience from past performance – e.g. weaknesses or opportunities for improvement in a certain area of the transport activity or business practices,

• findings from hazard and incident reports or near miss events – e.g. recurring incidents of a similar type or cause, for example poorly packaged or inadequately secured goods

• compliance breaches or failures e.g. premature mechanical failures of vehicle components,



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• inspection and audit findings – e.g. deficiencies in a certain area of the transport activity or business practices

• emerging trends and patterns – e.g. a pattern of over speeding events occurring in a similar location or frequent delays on a certain route etc.

In addition to the above approaches, there are numerous options for the more formal identification of risks and it is important to choose an approach that fits the scale and nature of your transport activities. Some simple examples include:

• Brainstorming – a facilitated group discussion of individuals with the experience and knowledge of the organisations business practices.

• Checklists – a list of known control weaknesses or failures for your organisation or industry sector – e.g. the heavy vehicle industry.

• Interviews – formal and informal interviews of internal and external stakeholders with the experience and knowledge of the organisations business practices.

• What-if techniques – A facilitated group discussion prompted in the form of a question that begins with “What if…?” For example, “What if goods are inadequately restrained in a freight container for transport by a heavy vehicle?”

Risk identification should include the consideration of the “knock-on” effects of particular consequences. For example, goods that are inadequately restrained in a freight container could shift during transport by a heavy vehicle on a road. The load shifting in the container could cause the heavy vehicle to lose control. The heavy vehicle could rollover and crush a passing vehicle and seriously injure or kill the occupants of that vehicle. What is clearly a safety risk could also result in environmental, financial and reputational risk types from damages to equipment and infrastructure, environmental impacts and adverse publicity in the media.

STEP 3 – RISK ANALYSIS

Risk analysis is the process of understanding the nature of the risk (e.g. safety, environment, financial, reputation) and to determine the level (severity) of risk. The level of a risk is the severity of a risk expressed in terms of the combination of the consequence (outcome of an event) and likelihood (chance of something happening). There are numerous methods and approaches to determine the severity of a risk, the most common and simplest approach is use a qualitative severity matrix (see example consequence, likelihood and severity Tables 1, 2 and 3).



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Table 1 Example consequence scale

Consequence Description of Outcome

4 Critical Possible or actual critical risk breach and or death or serious injury or illness e.g. fatality or permanent disability

3 Severe Possible or actual severe risk breach and or significant injury or illness e.g. lost time > one week16

2 Substantial Possible or actual substantial risk breach and or moderate injury e.g. medical treatment

1 Minor Possible or actual minor risk breach and or minor injury or illness e.g. first aid treatment

Note: The consequence levels and outcomes may vary depending on the scale and nature of your business. For example, a large multinational business may want to include a catastrophic consequence level involving multiple fatalities, whereas a single fatality may be in effect a catastrophic event for a small to medium enterprise. As such you may use an alternative table tailored to the scale and nature of your business.

Table 2 Example likelihood scale

Likelihood Description Probability 5 Almost certain Is expected to occur in most cases >80%

(or 1 per year)

4 Likely Will probably occur in most cases 50% to 80% (or 1 in 10 years)

3 Possible Might occur at some time 20% to 50% (or 1 in 100 years)

2 Unlikely Could occur at some time 5% to 20% (or 1 in 1,000 years)

1 Rare May occur, but only in exceptional circumstances

<5% (or 1 in 10,000 years)

Table 3 Example risk severity matrix

Conseque

nce

4 (highest)

High Extreme Extreme Extreme Extreme

4 Moderate High High Extreme Extreme

3 Low Moderate Moderate High High

1 (lowest)

Low Low Low Moderate Moderate

1 (lowest)

2 3 4 5

(highest)

Likelihood

16 Significant injury or illness aligned with national workers compensation statistics ‘serious claims’ which relate to where the injury or disease resulted in one week or more off work.



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The magnitude (number) of consequence and likelihood levels may vary depending on the scale and nature of your operations. For a small organisation a 3 or 4-level matrix may be considered appropriate, whereas for a large organisation a 5 or 6-level matrix may be more practical, but there is no right or wrong answer. Qualitative analyses are considered subjective and imperfect but provide a reasonable approximation of the risk severity if applied consistently.17 Using a group approach with a broad range of individual experiences and knowledge can help overcome these imperfections.

STEP 4 – RISK EVALUATION

The purpose or risk evaluation is to decide if the risk is acceptable or tolerable, and if not deciding what course of action needs to be taken. For example, should additional controls be put in place, or existing controls be modified, to reduce the severity of the risk. The decisions made, and actions taken will depend on the level of risk an organisation is willing to accept, known as risk attitude. Depending on the nature of the risk, an organisation may choose to accept or take a risk, especially if it is seen as an opportunity, or turn away from the risk if it is considered too “risky”. When it comes to the safety of transport activities all parties need to bear in mind it is a legal requirement of the HVNL so far as is reasonably practicable eliminate or minimise public risks (section 26C).

Table 4 Example risk evaluation

Risk Severity Priority of Action

Extreme risk Immediate Priority – do not start the transport activity under these at-risk conditions. Risk requires urgent and immediate action to eliminate or minimise the risk, so far as is reasonably practicable.

High risk High Priority – controls should be put in place as soon as practicable e.g. within one month, to ensure that exposure to the risk is managed effectively and the is risk monitored on an ongoing basis.

Moderate risk Medium priority – assess risk control measures to determine the extent to which the risk can be eliminated or minimised and take appropriate action e.g. within one month to one year.

Low risk Minimise risk so far as is reasonably practicable – should be able to be effectively managed through routine procedures, training and supervision.

If the risk is evaluated to be unacceptable or intolerable, then risk treatment is required, refer step 5 following.

17 International Organization for Standardization, ISO 31000 Risk Management – A practical guide for SMEs, 2015, p.91.



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STEP 5 – RISK TREATMENT

Having completed a risk assessment, risk treatment involves removing the risk source (eliminating the risk) or selecting and agreeing to one or more relevant options for changing the likelihood or consequences, or both (minimising the risk), and implementing these options. Risk treatment options can also include avoiding the risk by not starting or stopping an activity that creates risk, sharing the risk with another party or parties, or retain the risk based on sound decision making.

For example, a consignor may decide to contract the transport task to a prime contractor as they have the capacity and capability to manage the transport of their goods. In this example both parties have a shared responsibility for the transport activity and associated risks, depending on their capacity to control, eliminate or minimise the risk (section 26A of the HVNL).

When determining how to prevent or minimise risks, all parties should work through the hierarchy of risk control, as shown in Figure 5. The ways of controlling risks are ranked from the most effective (highest) level of protection and reliability to the least effective (lowest) level. You should always aim to eliminate risk, which is the most effective control, but this may not always be reasonably practicable. In this event it is recommended the risk is minimised by working your way through the other options in the hierarchy. For example, speed limiting devices fitted to heavy vehicles help to minimise the risk of heavy vehicle speeding over 100km/h are a form of engineering control.

Figure 5 An example of the hierarchy of risk controls18

18 Safe Work Australia, Model Code of Practice: How to manage work health and safety risks, December 2011, p.13.



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Risk treatment is a cyclical process of reassessing the new level of risk, with a view to determining its tolerability, in order to decide whether further treatment is required.

All parties in the Chain of Responsibility should conduct a risk assessment of their obligations under the HVNL, following the steps outlined above, including but not limited to:

• Speed compliance obligations – see Section 5 of the Code for risk types and indicative control measures and Appendix A.1 for an example speed risk assessment.

• Fatigue management obligations – see Section 6 of the Code for risk types and indicative control measures and Appendix A.2 for an example fatigue risk assessment.

• Mass, dimension and loading obligations – see Section 7 of the Code for risk types and indicative control measures and Appendix A.3 for an example mass, dimension and loading risk assessment.

• Vehicle standards obligations – see Section 8 of the Code for risk types and indicative control measures and Appendix A.4 for an example vehicle standards risk assessment.

All parties need to assess and select the appropriate control measures to eliminate or minimise each risk within their business and within business compliance systems.

3.2.3 How to establish a system for monitoring and review

A good risk management process is never complete. As part of the risk management process, risks and controls should be monitored and reviewed on a regular basis to verify that expected results are being achieved and the control measures are effective and working as planned.

All parties should incorporate compliance monitoring, feedback loops and regular reviews into their risk management process so that it remains responsive to change and is continually improved.

• Monitoring enables the code adopter to measure how well their risk controls are implemented, and to record obstacles to compliance and the incidence of near misses – e.g. the use of GPS tracking, or other means, to monitor the speed compliance.

• Analysing this information allows them to discover weaknesses in controls or gaps in procedures, which can then be corrected – e.g. tampering of speed limiting devices.

• Establishing two-way feedback mechanisms with staff enables new circumstances or changed operating conditions to be reported and addressed as required – e.g. impacts from road works and changes to advisory speed limits which may impact schedules.

• Reviewing the risk management process at regular intervals ensures parties are able to adapt to changes in legislation, new technical innovations or testing methods – e.g. the use of telematics.



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All parties should re-train staff each time the risk management process is changed and seek and incorporate within their risk management process new information that will help identify emerging (new) risks or to assess their consequence or likelihood – e.g. the potential benefits of new technologies in managing speed compliance and driver fatigue. This could come from technical bodies, research organisations, industry associations, reports, or even other businesses or parties in the supply chain.

Accountability for monitoring and performing reviews should be established to provide confidence and certainty of the suitability, effectiveness and efficiency of control measures. For example:

• Identifying risk owners that have the accountability and authority to manage risks – e.g. a loading manager who manages the premises where loading or unloading occurs, may own the risks associated with loading and unloading a heavy vehicle.

• Identifying responsibilities of people at all levels in the organisation for the risk management process – e.g. all workers are responsible for following reasonable instructions, reporting hazards and stopping work if it is deemed unsafe or they are not fit for duty.

• Establishing performance measurement and reporting and escalation points – e.g. speed compliance monitoring, reporting and alerts based on frequency and severity.

• Providing appropriate levels of recognition – e.g. positively recognising drivers who declare themselves unfit for duty or take an unscheduled break if impaired by fatigue.

3.3 How to document the risk management process

All parties should document their risk management process and make it available to staff for detailed advice and for use in staff inductions, training, and regular retraining. The risk management process may also be referenced in an employment agreement. There is no required format so long as the document is consistent with AS/NZ ISO 31000:2009 Risk Management — Principles and Guidelines, as outlined in the previous sections.

Risk treatments and the control measures implemented as an outcome of the risk management process, which help to form your business practices, should be documented in your CoR management and assurance policies and procedures to help ensure they become embedded operational practices (the way things are done).



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3.4 More Information

NHVR, Introduction to Risk Management – A Heavy Vehicle Industry Guide, Version 1.0, September 2017

Standards Australia, AS/NZS ISO 31000:2009 Risk Management – Principles and Guidelines, 20 November 2009

International Organization for Standardization, ISO 31000 Risk Management – A practical guide for SMEs, 2015

Safe Work Australia, Model Code of Practice: How to manage work health and safety risks, December 2011

Australian Standards Risk Handbook (pending release date as currently in development)

Cross. J., (2012). Risk. In Safety Institute of Australia, The Core Body of Knowledge for Generalist OHS Professionals. Tullamarine, VIC. Safety Institute of Australia.



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4 ROLES AND RESPONSIBILITIES 4.1 Structure of the code

The Code identifies the types of risk for the four core obligations of the Chain of Responsibility (CoR), as outlined in Sections 5 to 8. For each obligation and risk type, the Code is structured to identify and address the risks associated with each activity and responsibility that is covered by Heavy Vehicle National Law (HVNL), and by the role of the party in the Chain of Responsibility.

The proceeding Sections 5 to 8 of the Code are structured as follows:

A NOTE ON SELECTING CONTROL MEASURES:

It is the code adopter’s responsibility to assess the suggested range of controls contained in the Code and select the appropriate control measures. Which control measures you select will depend on your role or roles in the Chain of Responsibility, the scale and nature of your transport activities, and the outcomes of your own risk management processes. Not all the indicative control measures may be required to be put in place and or you may be able to develop other control measures that are as equally effective.

The use of examples in the Code are used for explanatory purposes, they are not prescriptive and are intended to highlight possible methods based upon known industry practices and real-world examples.

4.2 The role of chain of responsibility parties

To help determine your role in the Chain of Responsibility refer to the National Heavy Vehicle Regulator (NHVR) CoR Gap Assessment Tool accessed on the NHVR website at www.nhvr.gov.au. It may be possible that you have more than one role in the Chain Responsibility, for example, if you send and receive goods you may be both a consignor and consignee.

• What is the risk? – The general risks relevant to whole sectors of the heavy vehicle industry.

• What does the law say? – The relevant duties under the HVNL.

• Why do it – The risks to be managed by each part in the supply chain.

• What you can do – The indicative control measures identified for each type of risk available to each party in the supply chain. (See notes below)

• Examples – Specific control measures that have been included as EXAMPLES ONLY.

• More information – Technical standards and other guidance material about potential control measures included as references.



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Once you know your role or roles in the Chain of Responsibility see Table 5 below for the relevant sections of the Code that apply to your role or roles which suggest the indicative control measures to help ensure the safety of your transport activities and conduct.

A NOTE ON SUPPLY CHAINS AND SUPPLY CHAIN PARTIES:

Supply chains can often be complex in nature and do not always follow a linear or traditional relationship, for example, a consignor may or may not be a packer, loading manager, loader or unloader. For this reason, code adopters need to consider their relationships with other parties in the supply chain including differing consignment arrangements when assessing and selecting the appropriate control measures suggested in the Code or develop other control measures that are as equally effective.



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Table 5 Chain of Responsibility role (refer also section 5 of the HVNL)

Section of the Code

4.3 Employer, Prime Contractor, Operator

4.3.1 Employer

In general terms the employer responsible for controlling or directing the use of a heavy vehicle.

4.3.2 Prime Contractor

In general terms a person responsible for engaging a driver of a heavy vehicle by contract etc.

4.3.3 Operator

In general terms a person responsible for controlling or directing the use of a heavy vehicle.

5.3.1 6.3.1 7.3.1 8.3.1

4.4 Scheduler

In general terms a person who plans the transport of goods or schedules the work and rest times of a driver.

5.3.2 6.3.2 7.3.2 8.3.2

4.5 Driver

The driver of a heavy vehicle or combination.

5.3.3 6.3.3 7.3.3 8.3.3

4.6 Consignor and Consignee

4.6.1 Consignor

In general terms the named sender of goods by road transport for commercial purposes.

4.6.2 Consignee

In general terms the named receiver of goods after their completion of road transport.

5.3.4 6.3.4 7.3.4 8.3.4

4.7 Packer

In general terms a person engaged in the process of packaging goods for a heavy vehicle load.

5.3.5 6.3.5 7.3.5 8.3.5



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Table 5 Chain of Responsibility role (refer also section 5 of the HVNL)

Section of the Code

4.8 Loading Manager, Loader and Unloader

4.8.1 Loading Manager

In general terms a person who supervises loading or unloading or manages the premises where this occurs.

4.8.2 Loader and Unloader

In general terms a person engaged in the process of loading or unloading a heavy vehicle.

5.3.6 6.3.6 7.3.6 8.3.6

4.9 Executive (of a legal entity)

In general terms a director or a person concerned with the management of a corporation responsible for controlling or directing the use of a heavy vehicle.

5.3.7 6.3.7 7.3.7 8.3.7

A NOTE ON DRIVERS:

While the driver of a heavy vehicle is not a named party in the Chain of Responsibility under the HVNL, it is clear they have responsibilities under the HVNL and other road laws, and as such play a pivotal role in ensuring the safety of the transport activities of a heavy vehicle. The driver is effectively the last line of defence in the supply chain of a heavy vehicle, and often it is their decisions or choices, that may or may not allow a breach of the HVNL.

This is a significant responsibility for one person and the reason why the HVNL adopts the common principle of ‘shared responsibility’ which means that multiple parties in the supply chain (not just the driver) are responsible for the safety of transport activities of a heavy vehicle and as such CoR laws are designed to deter all parties in the supply chain from causing or encouraging the driver or another person, directly or indirectly, to contravene the HVNL.19

It is for these reasons that drivers need to be empowered and encouraged to

speak up and stop work if the activity is deemed unsafe or in breach of the

HVNL. But not all drivers will not feel comfortable speaking the truth if they are

aware of the ramifications or it impacts their livelihood. So, drivers that do have

the courage to speak up need to be recognised and rewarded for their bravery,

rather than disciplined or labelled as trouble makers. It should be noted that




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organisations with high performing safety cultures are said to be inquisitive, open

to, and go looking for, bad news.20

In addition to fostering a safety and compliance culture of reporting and learning as above, other options to help remove the stigma of reporting include:

• Having a written agreed issue resolution procedure that outlines the steps for resolving issues and responsibilities for implementing measures to resolve the issue. The procedure needs to be explained to all parties, including drivers. (Refer part 5 of the primary WHS law)

• Establishing a just and fair culture consequence model – a culture with a clear line between the acceptable and the unacceptable with clear consequences, a culture where people are rewarded for doing the right thing (such as raising concerns) and blame is reserved for truly recklessness and malicious behaviour21,22

• Establishing a whistle-blower policy under which a driver or another person can alert an independent party about concerns without fear of being punished, and

• Failing all else, encouraging all parties, including drivers, to directly contact the relevant regulatory body or enforcement agency within the relevant jurisdiction.

20 Attributed to Professor Patrick Hudson, Energy Institute – “Hearts and Minds” Design Philosophy, www.energyinst.org.uk/heartsandminds 21 Ibid 22 Reason, J. (2004). Roadmap to a Just Culture: Enhancing the Safety Environment, First Edition, September 2004, pp.6-7.

http://www.energyinst.org.uk/heartsandminds



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5 SPEEDING – RISK TYPES AND INDICATIVE CONTROL MEASURES

5.1 What is the risk of speeding?

Speeding is considered a high-risk behaviour – speeding heavy vehicles are at a greater risk of being involved in a motor vehicle incident and statistics show more fatal crashes occur on roads where the speed limit is greater than or equal to 100 km/h23. As the speed increases, so too does the time and distance required to stop a heavy vehicle.

Speeding can also affect the heavy vehicles stability, steering and braking performance resulting in the driver losing control of the vehicle. In particular excessive or inappropriate speed when cornering or negotiating a roundabout, even at lower speeds, increases the risk of the heavy vehicle losing control and rolling over. Other risk factors include not driving at a safe speed for the conditions or failing to follow advisory and variable speed limits.

Motor vehicle incidents involving speeding heavy vehicles can result in serious injuries and fatalities to drivers and other road users, damage to road infrastructure and the environment.

Some of the contributing factors that may cause or encourage high-risk behaviours such as heavy vehicle speeding may include but is not limited to:

• Lack of policy and procedures, and or non-compliance reporting systems

• Ineffective two-way consultation, cooperation and coordination of all parties along the supply chain

• Inadequate information, training, instruction and or supervision of speed management obligations and associated policies and procedures

• Conflicting commercial arrangements or employment terms between parties

• Poorly planned trip schedules and driver rosters and or inadequate oversight to verify suitability

• Inflexible loading and unloading schedules

• Non-compliance with speed-limiting requirements and or inadequate maintenance of speed monitoring components

• Deliberate actions of drivers or other parties

• Inadequate monitoring and or due diligence by all parties to ensure safety and compliance of transport activities.

A dedicated risk assessment of your speed management obligations under the HVNL can identify where these risks can arise in your business. Refer Section 3 of the Code for further information on how to conduct these risk assessments and Appendix A.1 for an example speed risk assessment.

23 Bureau of Infrastructure, Transport and Regional Economics (BITRE), Australian Road

Deaths Database: Fatal Crashes, Fatal Crash Data Index 1) 2011-2017, https://bitre.gov.au/statistics/safety/fatal_road_crash_database.aspx, August 2017

https://bitre.gov.au/statistics/safety/fatal_road_crash_database.aspx



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5.2 What does the law say?

Refer also Vehicle Standard (Australian Design Rule 65/00 – Maximum Road Speed Limiting for Heavy Goods Vehicles and Heavy Omnibuses) 2006. The Vehicle Standard and HVNL both require vehicles more than 4.5 tonnes Gross Vehicle Mass to be speed limited at 100 km/h.

5.3 What you can do and why

All parties in the supply chain should implement a risk-based approach to manage safety and ensure compliance with all requirements of the HVNL including speed management. For indicative control measures to manage at-risk behaviours such as speeding, see the following sections of the Code based on the roles in the Chain of Responsibility.

The outcomes of the risk assessment of your speed compliance obligations under the HVNL need to be considered when developing and implementing systems and control measures appropriate to the scale and nature of your operations (refer Section 3). In undertaking the risk assessment consider any unique or different circumstances of your operations and treat the risks accordingly, for example, in relation to speed compliance, other risk factors may include but is not limited to urgent, express or overnight deliveries, time sensitive freight such as perishable items or fast-moving consumer goods etc.

It is considered good practice to apply these speed management principles and practices to other at-risk behaviours such as: harsh braking and cornering which can be indicators of speeding; reckless driving including tailgating; and in cab distractions including mobile device/phone use, for example using voice to text activated dialling.

Section 26C; 26E

Each party must ensure, so far as is reasonably practicable, the safety of the party’s transport activities including ensuring the party’s conduct does not directly or indirectly cause or encourage the driver of the heavy vehicle to exceed a speed limit applying to the driver.

A person must not ask, direct or require (directly or indirectly) the driver of a heavy vehicle or a party in the chain of responsibility to do or not do something the person knows, or ought reasonably to know, would have the effect of causing the driver to exceed a speed limit applying to the driver.

A driver must not drive at a speed over the speed limit applying to the driver for the length of road where the driver is driving. (Australian Road Rules Part 3 Speed-limits – refer respective state and territory road rule laws).

ARRs Part 3



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5.3.1 Employer, Prime Contractor and Operator

Why do it

To ensure:

• Business practices will not cause a driver to exceed the speed limit

• Terms of consignment, contracts and agreements will not cause the driver to exceed speed limit

• Demands are not made of the driver that may result in the driver exceeding the speed limit

• Driver’s schedule will not cause the driver to exceed the speed limit

• Drivers’ adhere to sign posted speed limits.

What you can do

• Conduct a risk assessment of your speed compliance obligations under the HVNL (refer Section 3 of the Code)

• Document your speed management and assurance policy and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Confirm drivers are licenced for the heavy vehicle or combination they are operating and are expected to adhere to Australian Road Rules in the state/s and or territory of operation – e.g. inclusion in employee and subcontractor agreements, driver declarations and inductions

• Make sure terms of consignment, contracts and agreements do not contain rate structures or incentives (for early delivery) or penalties (for late delivery) or associated performance measures that may reward or encourage the driver to exceed the speed limit. Commercial arrangements should include, for example, requirements to comply with legal obligations and disincentives to breach these provisions such as rewards when full compliance is achieved.

• Be alert when consignment arrangements are identified as having the potential to cause a driver to speed and take remedial action – e.g. urgent, express or overnight deliveries, time sensitive freight such as perishable items or fast-moving consumer goods, short lead times, increased volumes or seasonal demands, “stock outs” or backlog orders etc.

• Obtain an explanation from other parties’ on how speed is managed within their business – e.g. seek a copy of their speed management risk assessment and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties’ speed management systems and adherence to speed management practices – e.g. contract performance reviews or similar arrangements

• Plan schedules with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit. For example, schedule journeys with sufficient time for them to be completed safely and according to applicable speed limits along the route and allowing for contingencies such as steep ascents and descents, traffic



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congestion, major roadworks, adverse weather conditions, curfews and loading/unloading delays etc.

• Adjust and or manage changes to schedules including delays so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit – e.g. provide timely communication and advance notification to drivers and other supply chain parties wherever possible

• Monitor drivers speed and review regularly. (If possible in real time and at any sign posted speed limit, including ‘low speed zones’, with automatic notifications of breaches). For example, GPS-based telematics systems or engine management systems / engine control module data downloads

• Reporting of vehicles exceeding the speed limit and take action to address any speeding breaches – e.g. consider developing a speed compliance matrix with the frequency and severity of speeding and corrective action to be taken (or performance management steps)

• Measure the accuracy of speed data and implement remedial actions when inaccuracies are detected – e.g. testing methods include:

o Roadside testing – plugging a computer into the vehicle and accessing the engine control system

o GPS matching – accessing GPS records vs speedo readings, or compare different sources of speed data such as GPS records of hauling and trailing units, to detect any inconsistencies

o Engine management system data – download the vehicle’s speed records data.

• Check and confirm heavy vehicles that are fitted with fit for purpose, maintained, calibrated, speed limiting devices and that these have not been adjusted or tampered with – e.g. daily checks by drivers or other nominated person and periodic maintenance (refer Section 8.3.1 of the Code), testing the accuracy of speed data as above.

5.3.2 Scheduler

Why do it

To ensure:

• Schedules will not cause the driver to exceed speed limit.

What you can do

• Plan drivers’ schedules with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit. For example, schedule journeys with sufficient time for them to be completed safely and according to applicable speed limits along the route and allowing for contingencies such as steep ascents and descents, traffic congestion, major roadworks, adverse weather conditions, curfews and loading/unloading delays etc.

• Adjust and or manage changes to schedules including delays so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit – e.g. provide timely communication and advance notification to drivers and other supply chain parties wherever possible.



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• Regularly review business practices including scheduling arrangements in consultation with drivers and other impacted parties in the supply chain – e.g. review schedules to monitor if they are completed to plan, and or adjust as required if there are deviations.

5.3.3 Driver

Why do it

To ensure:

• Drivers adhere to sign posted speed limits and avoid high-risk behaviours

such as speeding which could endanger public safety, including the driver

• The practices of other parties (such as terms of consignment, demands,

schedules) will not cause drivers to exceed the speed limit.

What you can do

• Drive within the speed limit, including variable and low speed zones. For

example, using the vehicles speed limiting devices and cruise control

features where fitted, using the vehicles transmission (gears) and braking

systems to maintain speed limits including steep descents and runoffs.

Note: If it is suspected that a vehicle’s speed limiter is defective or non-

compliant, drivers should stop driving, report the problem and attempt to

resolve it prior to resuming the journey.

• Follow reasonable instructions of other parties in the supply chain, such

as the employer or scheduler, in managing speed compliance, including

documented policies and procedures

• Alert other parties in the supply chain of practices that may directly or

indirectly encourage or pressure drivers to exceed the speed limit, for

example, direct requests to make a pick-up or drop-off as quickly as

possible, or being repeatedly told a delivery is urgent (an indirect

request), or inflexible pick-up and delivery times, timeslots, or loading and

unloading times etc.

• Report any non-compliances (over speed events) or breaches (speeding

fines or infringement notices) to the employer, prime contractor or

operator of the vehicle and cooperate with any investigation and remedial

actions.



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5.3.4 Consignor and Consignee

Why do it

To ensure:

• Business practices will not cause a driver to exceed the speed limit


• Demands are not made of the driver or other parties that may result in the driver exceeding the speed limit

• Delivery schedule will not cause the driver to exceed the speed limit.

What you can do

• Conduct a risk assessment of your speed compliance obligations under the HVNL (refer Section 3 of the Code)

• Document your speed management and assurance policy and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Ensure terms of consignment, contracts and agreements do not contain rate structures or incentives (for early delivery) or penalties (for late delivery) or associated performance measures that may reward or encourage the driver to exceed the speed limit. Commercial arrangements should include, for example, requirements to comply with legal obligations and disincentives to breach these provisions such as rewards when full compliance is achieved.

• Initiate alerts when consignment arrangements are identified as having the potential to cause a driver to speed – e.g. urgent, express or overnight deliveries, time sensitive freight such as perishable items or fast-moving consumer goods, short lead times, increased volumes or seasonal demands, “stock outs” or backlog orders etc.

• Obtain an explanation from other parties’ on how speed is managed within their business – e.g. seek a copy of their speed management risk assessment and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties’ speed management systems and adherence to speed management practices – e.g. contract performance reviews or similar arrangements

• Plan deliveries with appropriate time for the required route so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit – e.g. steep ascents and descents, traffic congestion, major roadworks, adverse weather conditions, curfews and loading/unloading delays etc.

• Parties in the supply chain sending and receiving goods aim to adhere to scheduled delivery windows and minimise delays for drivers, however, if delays occur operators and drivers are advised in advance – e.g. provide timely communication and advance notification to drivers and other supply chain parties wherever possible so schedules can be adjusted accordingly



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• Allow flexibility in pick-up and delivery times where there are changes to the schedule, so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit. The early or late arrival of a load is reported as this can be a potential indicator of speed. For example, the prioritisation of drivers of fatigue-regulated vehicles or make alternative arrangements for the loading and unloading of the vehicle with the driver’s employer, prime contractor or the operator

• Regularly review business practices including consignment arrangements, delivery times, time spent on site, loading and unloading times and delays, in consultation with drivers and other impacted parties in the supply chain. For example, monitor and review truck turnaround times including the time the vehicle arrives at site, the time taken to load or unload the vehicle and the time the vehicle departs the site to establish average work times and trigger alerts when there are anomalies or deviations (delays).

5.3.5 Packer

Why do it

To ensure:

• Packing practices will not cause the driver to exceed speed limit.

What you can do

• Document speed management and assurance policy and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Adhere to packing times and scheduled pickup times to minimise delays for drivers, however, if delays occur operators and drivers are advised in advance and steps taken so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit – e.g. identify potentially impacted parties in the supply chain and provide timely communication and advance notification wherever possible so schedules can be adjusted accordingly

• Regularly review business practices including packing times and delays in consultation with drivers and other impacted parties in the supply chain – e.g. review packing times to monitor if they are completed to plan, and or adjust as required if there are deviations such that they do not adversely impact other parties in the supply chain.



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5.3.6 Loading Manager, Loader and Unloader

Why do it

To ensure:

• Loading and unloading practices will not cause the driver to exceed speed limit


• Delays are minimised or managed so drivers are not directly or indirectly pressured to exceed the speed limit.

What you can do

• Parties sending and receiving goods aim to adhere to scheduled delivery windows and minimise delays for drivers, however, if delays occur operators and drivers are advised in advance – e.g. provide timely communication and advance notification to drivers and other supply chain parties wherever possible so schedules can be adjusted accordingly

• Allow flexibility in pick-up and delivery times where there are changes to the schedule, so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit, for example, the prioritisation of drivers of fatigue-regulated vehicles or make alternative arrangements for the loading and unloading of the vehicle with the driver’s employer, prime contractor or operator

• Regularly review business practices including loading and unloading times and delays in consultation with drivers and other impacted parties in the supply chain– e.g. review loading and unloading times to monitor if they are completed to plan, and or adjust as required if there are deviations such that they do not adversely impact other parties in the supply chain.

5.3.7 Executives (of all Parties)

Why do it

To ensure:

• Speed management policies and procedures are in place and effective



• Driver’s / delivery schedules will not cause the driver to exceed the speed limit

• Processes are in place to prevent delays, so drivers are not directly or indirectly pressured to exceed the speed limit

• Appropriate resources and processes are used to eliminate or minimise risks in relation to speed compliance requirements.



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What you can do

• Exercise due diligence to: o acquire and keep up to date knowledge about speed management

policies and procedures, o gain an understanding of the nature of the transport activities, the

hazards and risks of speeding, o ensure that appropriate resources are obtained and used to

address the risk of speeding and that appropriate speed management processes are implemented

o have oversight of reporting of breaches and incidents and emerging risks to identify if any further actions or reasonable steps are required to be taken, for example, including a whistle-blower policy under which an officer or employee can alert an independent party about concerns without fear of being punished, and

o monitor speed management and speeding assurance policies and procedures to verify that the resources and processes are provided, used and implemented.

• An overarching governance process that verifies the effectiveness of speed management and speeding assurance policies and procedures, including reporting and assurance. For example: (note this is not an exhaustive list)

o number of over speed events / alerts (by severity level) o number of breaches (speeding infringements, fines and

prosecutions) (by severity level) o number of fleet fitted with speed limiting devices and percentage

serviced/calibrated to schedule o number of incidents (and near misses) where speed was a

contributing factor (by severity level) o status of incidents (open/closed) – which can be an indicator of

management commitment and availability of resources o summary reports of key findings from incidents and audits,

including corrective action taken / control measures implemented.

Refer Section 2.5 of the Code for the framework of due diligence activities that should be undertaken.

5.4 More information

Australian Road Rules (national model law), 6 November 2015, Australasian Parliamentary Counsel’s Committee (PPC), National uniform legislation – Official versions, assessed on PPC website at www.pcc.gov.au – Refer respective state and territory road rule laws.

Transport Certification Australia (tca), Intelligent Speed Management (ISM) operating requirements to accurately measure and report vehicle speeds using GPS – For operators that choose to use GPS-based telematics systems

https://tca.gov.au/images/ISM%20Brochure%20Website%20Version.pdf



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6 FATIGUE – RISK TYPES AND INDICATIVE CONTROL MEASURES

6.1 What is the risk of fatigue?

The main purpose of the fatigue management obligations is to provide for the safe management of the fatigue of drivers of fatigue-regulated heavy vehicles while they are driving on a road. Fatigue is when you feel sleepy, physically or mentally tired, weary or drowsy, exhausted and/or lacking in energy. The main causes of fatigue or drowsy driving are too little sleep, driving at times when you would normally be asleep and/or working or being awake for very long hours.24

Examples of the signs of fatigue, as defined in section 221 of the HVNL, include:

• lack of alertness

• inability to concentrate

• reduced ability to recognise or respond to external stimuli

• poor judgment or memory

• making more mistakes than usual

• drowsiness, or falling asleep, at work (including microsleeps)

• finding it difficult to keep eyes open

• needing more frequent naps than usual

• not feeling refreshed after sleep

• excessive head-nodding or yawning

• blurred vision

• mood changes, increased irritability or other changes to the person’s mental health

• changes to the person’s health or fitness.

It has been demonstrated that after 17 hours of wakefulness performance decrements were comparable to a blood alcohol concentration of .05, the legal limit for driving a car in Australia. After 24 hours of wakefulness, performance was impaired to a level comparable to a BAC of twice the legal limit (.10).25 (Note

the BAC legal limit for driving a heavy vehicle in Australia is typically .02).26

A driver impaired by fatigue may be subject to momentary lapses in alertness, often known as a micro sleep. A fatigued driver experiencing a micro sleep

24 NTC http://www.ntc.gov.au/heavy-vehicles/safety/fatigue/

25 Dawson, Drew & Reid, Kathryn. (1997). Fatigue, alcohol and performance impairment. Nature. 388. 235. 10.1038/40775

26 BAC legal limits are based on a full (unrestricted) driver licence. Refer state and territory legislation for specific requirements or variations.



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travelling at 80km/hr can travel close to 90m with their eyes closed in a span of 4 seconds, entirely unaware of what is happening.27

When a driver falls asleep at the wheel there is a risk the vehicle will leave the roadway or cross onto the other side of the road in the path of oncoming traffic which can result in serious injuries and fatalities to drivers and other road users, damage to road infrastructure and the environment.

Some of the contributing factors that may cause or encourage a driver to drive a heavy vehicle whilst impaired by fatigue or in breach of their work/rest hours may include but is not limited to:



• Inadequate information, training, instruction and or supervision of fatigue management obligations and associated policies and procedures

• Conflicting commercial arrangements or employment terms between parties

• Poorly planned trip schedules and driver rosters and or inadequate oversight to verify suitability

• Inflexible loading and unloading schedules and or monitoring of time spent on site

• Inadequate work records and or inadequate oversight to ensure compliance


• Inadequate monitoring by all parties to ensure compliance.

A dedicated risk assessment of your fatigue management obligations under the HVNL can identify where these risks can arise in your business. Refer Section 3 of this Code for further information on how to conduct these risk assessments and Appendix A.2 for an example fatigue management risk assessment.


27 Fatigue Science https://marketing.fatiguescience.com/acton/attachment/27084/f-0069/1/-/-/-/-/FRMS%20Transportation%20Brochure.pdf

Section 26C; 26E

A person must not ask, direct or require (directly or indirectly) the driver of a heavy vehicle or a party in the chain of responsibility to do or not do something the person knows, or ought reasonably to know, would have the effect of causing the driver to drive a fatigue-regulated heavy vehicle while impaired by fatigue; or to drive a fatigue-regulated heavy vehicle while in breach of the driver’s work and rest hours option; or to drive a fatigue-regulated heavy vehicle in breach of another law in order to avoid driving while impaired by fatigue or while in breach of the driver’s work and rest hours option



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Refer also the Heavy Vehicle (Fatigue Management) National Regulation to provide for the safe management of the fatigue of drivers of fatigue-regulated heavy vehicles while they are driving on a road.

Note: A fatigue-regulated heavy vehicle, as defined in section 7 of the HVNL, is a motor vehicle or a combination with a GVM of more than 12t, or a fatigue-regulated bus.


All parties in the supply chain should implement a risk-based approach to manage safety and ensure compliance with all requirements of the HVNL including fatigue management. For indicative control measures to manage the fatigue of the driver of a fatigue regulated heavy vehicle, see the following sections of the Code based on the roles in the Chain of Responsibility.

The outcomes of the risk assessment of your fatigue management obligations under the HVNL need to be considered when developing and implementing systems and control measures appropriate to the scale and nature of your operations (refer Section 3). In undertaking the risk assessment consider any unique or different circumstances of your operations and treat the risks accordingly, for example, in relation to fatigue management, other risk factors may include but is not limited to urgent, express or overnight deliveries (driving at times when a person would normally be asleep), long distance journeys or operating across different time zones, time sensitive freight such as perishable items or fast-moving consumer goods etc.

It is considered good practice to apply these fatigue management principles and practices to other contributing factors that can affect the fatigue of a driver such as the driver’s health and wellbeing, and drug and alcohol use. Section 5 of the HVNL defines for a person to be fit to drive a heavy vehicle they must be apparently physically and mentally fit to drive the vehicle and not apparently affected by either or both alcohol or a drug that affects a person’s ability to drive a vehicle.

Some examples of the noticeable physical signs that someone is affected by alcohol or drugs include:

• Glassy or bloodshot eyes

• Smell of alcohol or drugs (e.g. marijuana) on the breath or clothes

• Slurred or incoherent speech and talking too loud or too fast

• Lowered inhibitions – doing or saying inappropriate things

• Impaired coordination or motor skills – poor balance and clumsiness

• Sense of confusion, appears lethargic or “spaced out”

• Memory problems or problems concentrating

• General personality changes or mood swings, irritability or outbursts, and

• Additionally, for drugs: o Periods of hyperactivity (“wired”), agitation or giddiness o Appears fearful, anxious or paranoid.



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It is also considered good practice to apply these fatigue management principles and practices to drivers of non-fatigue regulated heavy vehicles. Note section 26C of the HVNL requires all parties to in effect to safely manage the fatigue of drivers of all heavy vehicles of more than 4.5t. It is an additional requirement for heavy vehicles of more than 12t (known as a fatigue-regulated heavy vehicle) to manage the fatigue of the driver in accordance with the applicable work and rest hours option (s243 of the HVNL) and in doing so maintain a work diary (s293 of the HVNL).


Why do it

To ensure:

• Business practices will not cause the driver to drive whilst fatigued or breach their work/rest hours

• Demands by another parties do not result in the driver driving whilst impaired by fatigue

• Driver fitness for duty is assessed and the fatigue of the driver is managed

• The scheduler has complied with scheduling arrangements that will not cause the driver to drive in breach of their work/rest hours option

• Driver work and rest times are recorded and reviewed, and fatigue levels monitored.

What you can do

• Conduct a risk assessment of your fatigue management obligations under the HVNL (refer Section 3 of the Code)

• Document your fatigue management and assurance policies and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Ensure terms of consignment, contracts and agreements do not contain rate structures or incentives (for early delivery) or penalties (for late delivery) or associated performance measures that may reward or encourage the driver to drive whilst fatigued or breach their work/rest hours. Commercial arrangements should include, for example, requirements to comply with legal obligations and disincentives to breach these provisions such as rewards when full compliance is achieved.

• Initiate alerts when consignment arrangements are identified as having the potential to cause a driver to drive while impaired by fatigue or breach their work/rest hours – e.g. urgent, express or overnight deliveries, time sensitive freight such as perishable items or fast-moving consumer goods, short lead times, increased volumes or seasonal demands, “stock outs” or backlog orders etc.

• Monitor drivers fatigue levels, work and rest times (in real time if possible) and review regularly for effectiveness and accuracy – e.g. telematics or electronic work diaries

• Assist drivers to self-manage fatigue and other persons to aid the welfare of drivers – e.g. train all employees including drivers with awareness of



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the signs of fatigue, and education of the importance of quality rest and lifestyle factors etc. Note there is nationally recognised training for truck drivers and schedulers in fatigue management strategies (see Section 6.4 for more information)

• Empower employees to act if impaired by fatigue (refer Section 4.2 of the Code) – e.g. self-declaration and self-reporting if feeling sleepy, physically or mentally tired, weary or drowsy, exhausted and/or lacking in energy

• Assess the fatigue of the driver, before, during and after driving duties, for example, a check-in process including a thorough visual observation of the driver by a Supervisor or other nominated person to confirm the driver is fit to drive to the best of their knowledge and training (see Section 6.1 of the Code of things to look for)

• Obtain an explanation from other parties’ on how fatigue is managed within their business – e.g. seek a copy of their fatigue management risk assessment and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties’ fatigue management systems and adherence to fatigue management practices – e.g. contract performance reviews or similar arrangements

• Drivers receive regular medical checks at prescribed intervals, including drug and alcohol testing, and are provided with education, advice and resources to manage their personal health and wellbeing, both physical and mental – e.g. refer to Austroads Assessing Fitness to Drive, for information on health assessments and measures to support drivers’ health

• Regularly check and verify drivers are fit to drive, both physically and mentally fit, and not affected by drugs or alcohol or both. For example:

o A driver declaration of fitness for duty – a signed checklist completed by drivers declaring they are fit to drive and as such are feeling okay, have had sufficient rest, have sufficient hours to perform the task, are not impaired by drugs or alcohol etc.

o A check-in process including a thorough visual observation of the driver by a Supervisor or other nominated person to confirm the driver is fit to drive to the best of their knowledge and training (see Section 6.1 and Section 6.3 of the Code for things to look for)

o A fitness for duty assessment sheet – some simple questions that a driver can be asked before commencing work (along the lines of the driver declaration above)

o Regular drug and alcohol testing programs including random testing where practicable

• Plan schedules with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to drive whilst fatigued or breach their work/rest hours. For example, schedule journeys with sufficient time for them to be completed safely and according to applicable rest breaks required along the route and allowing for contingencies such as traffic congestion, major roadworks, adverse weather conditions, missed curfews and loading/unloading delays etc.

• Manage changes to schedules including delays so drivers are not directly pressured, or feel indirectly pressured, to drive whilst fatigued or breach their work/rest hours – e.g.

• Ensure rosters (schedules of the driver’s work and rest times) are planned with appropriate timeframes so drivers are not directly pressured, or feel



53

indirectly pressured, to drive whilst fatigued or breach their work/rest hours. For example, roster drivers taking into consideration maximum work times and minimum rest times according to their work/rest hours option.

• Consult other parties as relevant in the planning of journeys and pick-up and delivery times – e.g.

• EXAMPLE ONLY – Where practical innovative technology solutions are used / fitted to vehicles to monitor drivers fatigue levels and risk factors – e.g. predictive wearable technology, facial recognition systems, lane departure warning and lane keep assist systems etc.

6.3.2 Scheduler

Why do it

To ensure:

• Schedules and rosters will not cause the driver to drive whilst fatigued or breach their work/rest hours

• Schedules and rosters will not result in, encourage, or provide an incentive to a relevant party to cause the driver to drive whilst fatigued

• Driver’s fatigue levels, work and rest times are monitored to manage the fatigue of the driver.

What you can do

• Plan schedules with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to drive whilst fatigued or breach their work/rest hours. For example, schedule journeys with sufficient time for them to be completed safely and according to applicable rest breaks required along the route and allowing for contingencies such as traffic congestion, major roadworks, adverse weather conditions, missed curfews and loading/unloading delays etc.

• Plan rosters (schedules of the driver’s work and rest times) with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to drive whilst fatigued or breach their work/rest hours. For example, roster drivers taking into consideration maximum work times and minimum rest times according to their work/rest hours option.

• Consult with drivers and other parties as relevant in the scheduling of journeys and rostering of drivers that considers the contingencies (outlined above) and manages changes including delays as applicable.

• Monitor a driver’s fatigue levels, work and rest times (in real time if possible) are in place and reviewed regularly for effectiveness and accuracy – e.g. telematics or electronic work diaries.

• Take positive action if a driver declares or is deemed unfit to drive. For example, take care of the driver’s welfare by making alternative arrangements including provisions for the driver to have an additional rest break.



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6.3.3 Driver

Why do it

To ensure:

• Drivers do not drive a fatigue-regulated heavy vehicle on a road while

impaired by fatigue (s228 of the HVNL) which could endanger public

safety, including the driver

• Drivers adhere to work/rest hours option (as applicable) to help manage

fatigue management compliance

• The practices of other parties (such as terms of consignment, demands,

schedules) will not cause drivers to drive while impaired by fatigue or

breach their work/rest hours option.

What you can do

• Alert the employer, prime contractor, operator or scheduler if feeling

fatigued (e.g. feeling sleepy, physically or mentally tired, weary or drowsy,

exhausted and/or lacking in energy) and cooperate with any reasonable

instructions and remedial actions. Stop work immediately if feeling

fatigued while driving.

• Notify the employer, prime contractor, operator or scheduler of any at-risk

factors that may affect fitness to drive – e.g. too little sleep, being awake

for very long hours, any medical conditions or prescription medications

that exclude driving or operation of heavy machinery, recent drug use or

alcohol consumption.

• Drive in compliance work/rest hours option (as applicable) by taking

scheduled rest breaks and getting enough rest (quality sleep) on long

breaks.


as the employer or scheduler, in managing fatigue, including documented

policies and procedures.


indirectly encourage or pressure drivers to drive while impaired by fatigue

or breach their work/rest hours option, for example, direct requests to

make a pick-up or drop-off as quickly as possible, or being repeatedly told

a delivery is urgent (an indirect request), or poorly planned schedules, or

inflexible pick-up and delivery times, timeslots, or loading and unloading

times, poor management of queues and delays etc.

• Report any non-compliances (e.g. inadequate rest breaks) or breaches

(fines or infringement notices) to the employer, prime contractor or

operator of the vehicle and cooperate with any investigation and remedial

actions.



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Why do it

To ensure:

• Business practices will not cause the driver to drive whilst fatigued or breach their work/rest hours.

What you can do

• Conduct a risk assessment of your fatigue management obligations under the HVNL (refer Section 3 of the Code)

• Document your fatigue management and assurance policies and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Ensure terms of consignment, contracts and agreements do not contain rate structures or incentives (for early delivery) or penalties (for late delivery) or associated performance measures that may reward or encourage the driver to drive whilst fatigued or breach their work/rest hours. Commercial arrangements should include, for example, requirements to comply with legal obligations and disincentives to breach these provisions such as rewards when full compliance is achieved.

• Initiate alerts when consignment arrangements are identified as having the potential to cause a driver to drive while impaired by fatigue or breach their work/rest hours – e.g. urgent, express or overnight deliveries, time sensitive freight such as perishable items or fast-moving consumer goods, short lead times, increased volumes or seasonal demands, “stock outs” or backlog orders etc.

• Train key personnel, including but not limited to Loading Managers, Packers, Loaders and Unloaders, who can assess the fatigue of the driver, with awareness of the signs of fatigue – e.g.

• Assess the fatigue of the driver, before, during and after loading or unloading – e.g.

• Take preventative action and report incidences of driver fatigue to the driver’s employer or the operator – e.g.

• Obtain an explanation from other parties on how fatigue is managed within their business – e.g. seek a copy of their fatigue management risk assessment and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties fatigue management systems and adherence to fatigue management practices – e.g. contract performance reviews or similar arrangements

• Plan deliveries with appropriate time for the required route so drivers are not directly pressured, or feel indirectly pressured, to drive whilst fatigued or breach their work/rest hours – e.g. steep ascents and descents, traffic congestion, major roadworks, adverse weather conditions, curfews and loading/unloading delays etc.

• Consult with other relevant parties in the supply chain in relation to the planning of journeys and pick-up and delivery times – e.g.



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• Accommodate and communicate delays in the transport task including adjusting or reprioritising loading or unloading times as required – e.g.

• Provide access to rest facilities in the event of loading or unloading delays to assist drivers manage their work/rest hours and fatigue levels – e.g.

• Monitor adherence to delivery windows, truck turnaround times and delays and take remedial action as required – e.g.

• Review loading/unloading arrangements and practices that may cause, encourage or lead to fatigued driving on a regular basis involving all relevant parties in the supply chain – e.g. .

6.3.5 Packer

Why do it

To ensure:

• Packing processes will not cause the driver to drive whilst fatigued or breach their work/rest hours.

What you can do

• Documented fatigue management and assurance policies and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Train packers, who may be able to assess the fatigue of the driver, with awareness of the signs of fatigue – e.g.

• Take preventative action and report incidences of driver fatigue – e.g.


• Review loading/unloading arrangements and packing practices that may lead to delays in loading on a regular basis involving relevant parties in the supply chain – e.g. .


Why do it

To ensure:

• Loading or unloading practices will not cause the driver to drive whilst fatigued or breach their work/rest hours

• Delays are minimised or managed so drivers are not directly or indirectly pressured to drive whilst fatigued or breach their work/rest hours.

What you can do

• Train loaders and unloaders, who may be able to assess the fatigue of the driver, with awareness of the signs of fatigue – e.g.

• Take preventative action and report incidences of driver fatigue to the Loading Manager and or the drivers’ employer or the operator – e.g.



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• Assess the fatigue of the driver, before, during and after loading or unloading – e.g.

• Consult with loaders or unloaders and other parties in the supply chain in relation to the planning of loading and unloading times including potential delays – e.g.

• Accommodate and communicate delays in the transport task including adjusting or reprioritising loading or unloading times as required – e.g.

• Provide access to rest facilities in the event of loading or unloading delays to assist drivers manage their work/rest hours and fatigue levels – e.g.


• Review loading/unloading arrangements and practices that may cause delays on a regular basis involving all relevant parties in the supply chain – e.g. .


Why do it

To ensure that a system is in place to ensure:

• fatigue management policies and procedures are in place and effective

• business practices will not cause the driver to drive whilst fatigued or breach their work/rest hours

• driver fitness for duty is assessed and the fatigue of the driver is managed

• driver work and rest times are recorded

• processes are in place to prevent delays so drivers are not directly or indirectly pressured to drive whilst fatigued or breach their work/rest hours

• appropriate resources and processes are used to eliminate or minimise risks in relation to the fatigue management requirements.

What you can do

• Exercise due diligence to: o acquire and keep up to date knowledge about fatigue

management policies and procedures, o gain an understanding of the nature of the transport activities, the

hazards and risks of the driver driving while impaired by fatigue or in breach of their work/rest hours,

o ensure that appropriate resources are obtained and used to address the risk of fatigue and that appropriate fatigue management processes are implemented

o have oversight of reporting of breaches and incidents and emerging risks to identify if any further actions or reasonable steps are required to be taken, and

o monitor fatigue management and fatigue assurance policies and procedures to verify that the resources and processes are provided, used and implemented.

• Implement an overarching governance process that verifies the effectiveness of fatigue management and fatigue assurance procedures



58

and processes, including reporting and assurance. For example: (note this is not an exhaustive list)

o number of fatigue events / alerts (by severity level) o number of breaches (of work/rest hours options) (by severity level) o fitness for duty checks and pass levels (including drug and alcohol

testing) o number of incidents (and near misses) where fatigue was a

contributing factor (by severity level) o status of incidents (open/closed) – which can be an indicator of

management commitment and availability of resources o summary reports of key findings from incidents and audits,




Australian Government, training.gov.au, TLI – Transport and Logistics Training Package, accessed at www.training.gov.au

Austroads, Assessing Fitness to Drive, For Employers and Heavy Vehicle Operators, accessed on the Austroads website at www.austroads.com.au

Heavy Vehicle (Fatigue Management) National Regulation, 6 February 2016, accessed on the QLD Government Queensland Legislation website at www.legislation.qld.gov.au

Main Roads Western Australia, Western Australia Heavy Vehicle Accreditation Scheme, Fatigue Management Module Standards, Document No: D16#582360, September 2016

National Heavy Vehicle Regulator (NHVR), Safety, accreditation and compliance, Fatigue management, accessed on the NHVR website at www.nhvr.gov.au

National Heavy Vehicle Regulator (NHVR), Basic Fatigue Management (BFM) Accreditation Guide, February 2014 (201402-0002)

National Heavy Vehicle Regulator (NHVR), Advanced Fatigue Management (AFM) standards (NHVR0146-1)

National Transport Commission (NTC), Guidelines for Managing Heavy Vehicle Driver Fatigue, August 2017

National Transport Commission (NTC), Heavy vehicle driver fatigue reference library, accessed on the NTC website at www.ntc.gov.au



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7 MASS, DIMENSION AND LOADING – RISK TYPES AND INDICATIVE CONTROL MEASURES

7.1 What are the risks associated with mass, dimension and loading?

The main purposes of the mass, dimension and loading obligations is to improve public safety by decreasing risks to public safety caused by excessively loaded or excessively large heavy vehicles; and to minimise any adverse impact on road infrastructure or public amenity. Loads that are not positioned or restrained correctly, or a heavy vehicle that is overloaded, can affect the heavy vehicles stability, steering and braking performance resulting in the driver losing control of the vehicle.

In particular unevenly distributed loads, loads with a high centre of gravity, or loads that shift when cornering due to poor packing and restraint (e.g. poorly secured goods in freight containers), increases the risk of the heavy vehicle losing control and rolling over. This can result in serious injuries and fatalities to drivers’ other road users and pedestrians, damage to road infrastructure and the environment.

Protruding loads, or an inappropriately restrained load that falls off the vehicle, endangers the lives of other road users and pedestrians through a direct collision or by causing other drivers to swerve to avoid it. If the load moves forward it can pierce the cabin and injure or kill the driver or passenger.28

Over size or over mass loads can cause damage to road infrastructure and resultant traffic congestion, for example over height loads colliding with bridges, tunnels and overhead powerlines. If the heavy vehicle is not fit for the task, this can cause damage to road infrastructure, the equipment and adversely affect the heavy vehicles performance as outlined above, for example suspension damage and degradation of structural integrity.

If a load is poorly restrained or has shifted in transit, there is a risk of serious injury or fatalities when loading and unloading such loads. The load could fall from the vehicle and strike or crush persons in the immediate vicinity if appropriate control measures are not in place. A load that is poorly restrained or has shifted in transit should never be allowed back onto the road (or returned to sender) without first remedying the situation, due to the risk factors outlined above.

All these events can lead to lost productivity and increased costs to the operator and other parties in the supply chain.

Note: The risks associated with loading, restraining and unloading of goods or containers in heavy vehicles in the workplace (when the “wheels are stopped”)

28 National Transport Commission (NTC), Load Restraint Guide, 2017



60

must also be managed in accordance with your duties under the primary WHS Law in the jurisdiction/s in which you operate. (Refer Section 2.3).

Some of the contributing factors that may cause or encourage breaches of heavy vehicle mass, dimension and loading requirements may include but is not limited to:



• Inadequate information, training, instruction and or supervision of mass, dimension and loading obligations and associated procedures

• Conflicting commercial arrangements between parties

• Poorly planned loads and or inadequate oversight to verify suitability

• Inflexible loading and unloading practices, including re-adjustment of loads

• Non-compliance with vehicle and equipment requirements and or inadequate maintenance of equipment



A dedicated risk assessment of your mass, dimension and loading obligations under the HVNL can identify where these risks can arise in your business. Refer Section 3 of this Code for further information on how to conduct these risk assessments and Appendix A.3 for an example mass, dimension and loading risk assessment.


Refer also the Heavy Vehicle (Mass, Dimension and Loading) National Regulation to ensure vehicles comply with mass, dimension and loading requirements applicable to the vehicle under the Regulations (or mass, dimension and route requirements contained in exemptions notices, permits or PBS vehicle approvals).

Section 26C

Each party must, so far as is reasonably practicable ensure the party’s conduct does not directly or indirectly cause or encourage the driver of the heavy vehicle to contravene this Law; or another person, including another party in the chain of responsibility, to contravene this Law. Including, but not limited to:

• A person who drives, or permits another person to drive, a heavy vehicle on a road must ensure the vehicle, and the vehicle’s components and load, comply with the mass requirements applying to the vehicle.

• A person who drives, or permits another person to drive, a heavy vehicle on a road must ensure the vehicle, and the vehicle’s components and load, comply with the dimension requirements applying to the vehicle.

• A person who drives, or permits another person to drive, a heavy vehicle on a road must ensure the vehicle, and the vehicle’s components and load, comply with the loading requirements applying to the vehicle.

Section 96

Section 102

Section 111



61


All parties in the supply chain should implement a risk-based approach to manage safety and ensure compliance with all requirements of the HVNL including mass, dimension and loading requirements. For indicative control measures to manage risks associated with mass, dimension and loading requirements, see the following sections of the Code based on the roles in the Chain of Responsibility.

The outcomes of the risk assessment of your mass, dimension and loading obligations under the HVNL need to be considered when developing and implementing systems and control measures appropriate to the scale and nature of your operations (refer Section 3). In undertaking the risk assessment consider any unique or different circumstances of your operations and treat the risks accordingly, for example, in relation to mass, dimension and loading, other risk factors may include but is not limited to uniformly dense and heavy loads, large indivisible loads including over size and over mass loads, non-specific or specialised load types such as awkwardly shaped items or prefabricated components, or loads with a high centre of gravity etc.


Why do it

To ensure:

• The vehicle or combination is fit for task

• Accuracy of the load weights to avoid overloading

• Compliance with applicable gross and axle weights

• Accuracy of load positioning to maintain stability

• Loads are properly restrained to prevent movement that would cause the load to come off or stick out of the vehicle, or negatively impact the stability of the vehicle.

What you can do

• Conduct a risk assessment of your mass, dimension and loading obligations under the HVNL (refer Section 3 of the Code)

• Document your mass, dimension and loading management and assurance policies and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Ensure terms of consignment, contracts and agreements do not contain rate structures or incentives or associated performance measures that may reward or encourage parties or the driver to breach mass, dimension and loading requirements directly or indirectly – e.g. overloading. Commercial arrangements should include, for example, requirements to comply with legal obligations and disincentives to breach these provisions such as rewards when full compliance is achieved.

• Initiate alerts when consignment arrangements are identified as having the potential to cause a driver to breach mass, dimension and loading requirements – e.g. uniformly dense and heavy loads, large indivisible



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loads including over size and over mass loads, non-specific or specialised load types such as awkwardly shaped items or prefabricated components, or loads with a high centre of gravity etc.

• Obtain an explanation from other parties’ on how mass, dimension and loading requirements are managed within their business – e.g. seek a copy of their mass, dimension and loading risk assessments and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties’ mass, dimension and loading systems and adherence to mass, dimension and loading practices – e.g. contract performance reviews or similar arrangements

• Schedule vehicles or combinations that have the capability, capacity and equipment to match the mass, dimension and loading requirements, including mass management accreditation schemes, mass and dimension permits, access permits or dangerous goods requirements i.e. the vehicle or combination is fit for purpose – e.g.

• Identify the gross and axle weights, dimension and loading requirements, applicable to each vehicle or combination and communicate the same to relevant parties in the supply chain – e.g. OEM specifications, mass management accreditation scheme documentation, Common Heavy Freight Vehicle Configurations (accessible on the NHVR website at www.nhvr.gov.au) etc.

• Provide drivers with accurate load weights and dimensions prior to or at the point of loading – e.g. load plans, consignment notes, despatch documents, container weight declarations etc. Note: Load weights may need to take into consideration the weight of the goods and any packaging materials, pallet, stillage or dunnage etc.

• Verify and review the accuracy of weights and dimensions provided and a means to address any discrepancies – e.g.

• Measure load weights and monitor compliance with gross and axle/axle group mass limits, container maximum limit (for containerised goods) – e.g.

o access to onsite or offsite weighbridges, for heavier/larger or unevenly distributed loads that may be required to be weighed prior to every journey,

o use of vehicles or combinations or loading equipment fitted with on-board scales,

o cubic capacities and waterlines for contained, evenly distributed or lighter weight loads,

o sampling programs for loads that are consistent in type and frequency,

o calculations or modelling of mass (based on batch weights) etc. o Note: For some of these methods an initial verification of

physically weighing the load may be required to confirm compliance.

• Ensure accuracy of positioning and distribution of the load, including its stability, in accordance with loading instructions – e.g. documented load distribution plans, load planning tools etc.

• Communicate load positioning to drivers, consignors and loaders – e.g. documented load distribution plans and diagrams, procedures and work instructions, task specific training etc.

http://www.nhvr.gov.au)/



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• Verify the transport of dangerous goods is undertaken per the requirements of the Australian Dangerous Goods Code (refer separate legislation) – if a dangerous goods class label is present, there may be specific loading and load restraint requirements

• Verify loads are placed, secured and restrained to withstand the forces specified in the Performance Standards in the NTC Load Restraint Guide, for example:

o For advice on specific load types refer to the Loads module in the NTC Load Restraint Guide. It should also be noted that load restraint applies to restraint of goods within freight containers

o For tie-down restraint, work out how much load restraint you need using the Working Out Load Restraint module and tie-down lashing tables in the NTC Load Restraint Guide

o For direct restraint, to determine what strength lashings you need use the Working Out Load Restraint module or load tables in the NTC Load Restraint Guide

o Note: if required, have an appropriately skilled, experienced and qualified person (e.g. a certified engineer) certify the load restraint system used as per the Certification and Technical Advice modules in the NTC Load Restraint Guide

o For non-specific or specialised load types (e.g. large, heavy or awkwardly shaped items or prefabricated components that are difficult to load and restrain) have a certified engineer design and select the load restraint system used, or as applicable refer to certified load restraint systems provided by other supply chain parties e.g. industry specific load restraint guidelines.

• Check equipment used in the loading process, including mass management (e.g. scales) and load restraint (e.g. lashings etc.), is fit for purpose, regularly inspected and maintained, or calibrated as required – e.g. refer to relevant Australian Standards, or manufacturers operations and maintenance manuals or equivalent. A plant and equipment inspection and testing register can be a useful tool to keep track of these things, or an ‘off the shelf’ computerised maintenance management system.

• Maintain mass, dimension and loading requirements during pick-up and delivery of part loads and in transit i.e. compliance with axle weights, vehicle and load stability, and proper restraint – e.g. load checks are carried out periodically throughout the journey to ensure the load has not shifted and the load is secure

• Check route permits and conditions will be met prior to a journey commencing and notification to relevant supply chain parties – e.g. compliance to over size (dimension) and over mass requirements

• Monitor mass, dimension and loading requirements and reviewed regularly for both inbound and outbound loads – e.g. mass sampling programs, load restraint inspections etc.



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7.3.2 Scheduler

Why do it

To ensure:

• Schedules and routes will not cause the driver to breach the HVNL.

What you can do

• Schedule the right truck with the right equipment for the right load to suit the mass, dimension and loading requirements – e.g. written confirmation from the consignor as part the load consignment of mass, dimension loading requirements including any special conditions or equipment required

• Make sure route (journey) plans take into consideration mass and dimension requirements to ensure the route/infrastructure is suitable for the load and complies with any route permits or conditions as applicable – e.g. for over height loads any low height bridges, tunnels or infrastructure such as overhead powerlines, similarly for wide loads etc.

• Check route permits and conditions will be met prior to a journey commencing and notify relevant supply chain parties – e.g. compliance to over size (dimension) and over mass requirements.

7.3.3 Driver

Why do it

To ensure:

• Drivers do not drive a vehicle or combination in breach of the mass,

dimension and loading requirements applying to the vehicle which could

endanger public safety, including the driver

• Loads are properly restrained to prevent movement that would cause the

load to come off or stick out of the vehicle, or negatively impact the

stability of the vehicle

• The practices of other parties will not cause drivers to breach the heavy

vehicles mass, dimension and loading requirements.

What you can do

• Load the vehicle in accordance with its mass (gross and axle weights)

and dimension specifications, or permit conditions, for example, use load

distribution plans, or confirm weights using weighbridges or vehicle scales

etc.

• Verify the load is adequately restrained, for example, refer to the NTC

Load Restraint Guide, or certified load restraint guidance materials and

associated training provided by other parties.


as the employer, scheduler or a loading manager, in managing mass,



65

dimension and loading requirements, including documented policies and

procedures. Stop work if the load is deemed unsafe or in breach of mass,

dimensions or loading requirements.


indirectly encourage or pressure a driver to breach mass, dimension and

loading requirements, for example, direct requests to overload the vehicle

or combination, or inadequate or inaccurate load mass and dimension

information which may lead to indirect breaches, or poorly planned loads

and inflexible load positioning practices, or insufficient packaging or

improperly secured goods etc.

• Report any non-compliances (e.g. over mass or over dimension events,

load movement etc.) or breaches (fines or infringement notices) to the

employer, prime contractor or operator of the vehicle and cooperate with

any investigation and remedial actions.


Why do it

To ensure:

• The vehicle or combination is fit for task

• Accuracy of the load weights to avoid overloading




What you can do

• Conduct a risk assessment of your mass, dimension and loading obligations under the HVNL (refer Section 3 of the Code)

• Document your mass, dimension and loading management and assurance policies and procedures that outline the control measures implemented (refer Section 2.6.1 of the Code)

• Ensure terms of consignment, contracts and agreements do not contain rate structures or incentives or associated performance measures that may reward or encourage the driver to breach mass, dimension and loading requirements directly or indirectly – e.g. overloading. Commercial arrangements should include, for example, requirements to comply with legal obligations and disincentives to breach these provisions such as rewards when full compliance is achieved.

• Initiate alerts when consignment arrangements are identified as having the potential to cause a driver to breach mass, dimension and loading requirements – e.g. uniformly dense and heavy loads, large indivisible loads including over size and over mass loads, non-specific or specialised load types such as awkwardly shaped items or prefabricated components, or loads with a high centre of gravity etc.



66

• Obtain an explanation from other parties’ on how mass, dimension and loading requirements are managed within their business – e.g. seek a copy of their mass, dimension and loading risk assessment and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties’ mass, dimension and loading systems and adherence to mass, dimension and loading practices – e.g. contract performance reviews or similar arrangements

• Provide Employers / Operators / Drivers with accurate load weights and dimensions prior to or at the point of loading – e.g. load plans, consignment notes, despatch documents, container weight declarations etc. Note: Load weights may need to take into consideration the weight of the goods and any packaging materials, pallet, stillage or dunnage etc.

• Note: for sealed loads, Employers / Operators / Drivers are provided with a load declaration, akin to container weight declaration etc.

• Verify the appropriate vehicle or combination with the capability, capacity and equipment to match the mass, dimension and loading requirements is provided i.e. the vehicle or combination is fit for purpose – e.g.








• Verify the accuracy of positioning and distribution of the load, including its stability, in accordance with loading instructions – e.g. documented load distribution plans, load planning tools etc.

• Communicate load positioning details to operators, drivers and loaders – e.g. documented load distribution plans and diagrams, procedures and work instructions, task specific training etc.






67



o Note: if required, have an appropriately skilled, experienced and qualified person (e.g. a certified engineer) certify the load restraint system used as per the Certification and Technical Advice modules in the NTC Load Restraint Guide

o For non-specific or specialised load types (e.g. large, heavy or awkwardly shaped items or prefabricated components that are difficult to load and restrain) have a certified engineer design and select the load restraint system used, or as applicable, based on risk or complexity, develop and provide industry specific guidance on load positioning and restraint.

• Check equipment used in the loading process, including mass management (e.g. scales) and load restraint (e.g. lashings etc.), is fit for purpose, regularly inspected and maintained, or calibrated as required – e.g. refer to relevant Australian Standards, or manufacturers operations and maintenance manuals or equivalent. A plant and equipment inspection and testing register can be a useful tool to keep track of these things, or an ‘off the shelf’ computerised maintenance management system.

• Maintain mass, dimension and loading requirements during pick-up and delivery of part loads i.e. compliance with axle weights, vehicle and load stability, and proper restraint – e.g. load checks are carried out at the pick-up and delivery points to ensure the load has not shifted and the load is secure

• Monitor mass, dimension and loading requirements and review regularly for both inbound and outbound loads – e.g. mass sampling program, load restraint inspections etc.



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7.3.5 Packer

Why do it

To ensure:

• Accuracy of the packaged good’s weights including container weights to avoid overloading

• Accuracy of itemisation/identification of packaged goods

• Packaged goods are properly secured to prevent movement

• Packaging remains operative and serviceable.

What you can do

• Document mass, dimension and loading management and assurance policies and procedures (refer Section 2.6.1 of the Code)

• Provide drivers with accurate packaged goods/load weights and dimensions prior to or at the point of loading – e.g. consignment notes, despatch documents, container weight declarations etc. Note: Load weights may need to take into consideration the weight of the goods and any packaging materials, pallet, stillage or dunnage etc.

• Verify and monitor packaged goods or loads do not exceed the vehicle or combination mass and dimension requirements – e.g.

• Communicate the way goods are packed in the load and details of load positioning to operators, drivers and other relevant parties in the supply chain, to maintain load stability and integrity – e.g.

• Verify packaged goods, unitising and containment systems are capable of supporting the weight of the load, withstanding the forces specified in the Performance Standards in the NTC Load Restraint Guide and are robust enough to withstand handling (e.g. being handled by forklifts). For example,


Why do it

To ensure:

• Accuracy of the packaged good’s weights including container weights to avoid overloading




What you can do

• Provide drivers with accurate load weights and dimensions at the point of loading – e.g. consignment notes, despatch documents, container weight declarations etc.



69

• Note: for sealed loads, Employers / Operators / Drivers are provided with a load declaration, akin to container weight declaration etc.

• Verify the appropriate vehicle with the capability, capacity and equipment to match the mass, dimension and loading requirements is provided – e.g. written confirmation from the prime contractor or operator as part the load consignment and acceptance, cross-checked with the driver at the point of loading








• Make sure loads are suitably prepared to prevent breaches of the HVNL, manage risk and maintain a safe road environment – e.g. unitised loads are appropriately secured, welfare of livestock, containment of hazardous waste etc.

• Verify the accuracy of positioning and distribution of the load, including its stability, in accordance with loading instructions – e.g. documented load distribution plans, load planning tools etc.

• Communicate load positioning details to operators, drivers and loaders – e.g. documented load distribution plans and diagrams, procedures and work instructions, task specific training etc.






o Note: if required, have an appropriately skilled, experienced and qualified person (e.g. a certified engineer) certify the load restraint



70

system used as per the Certification and Technical Advice modules in the NTC Load Restraint Guide

o For non-specific or specialised load types (e.g. large, heavy or awkwardly shaped items or prefabricated components that are difficult to load and restrain) have a certified engineer design and select the load restraint system used, or as applicable, based on risk or complexity, develop and provide industry specific guidance on load positioning and restraint.

• Monitor adherence to mass, dimension and loading requirements and take remedial action as required – e.g. mass sampling program, load restraint inspections etc.

• Review loading arrangements and practices to confirm methods are appropriate and effective – e.g.

• Maintain mass, dimension and loading requirements during pick-up and delivery of part loads i.e. compliance with axle weights and proper restraint – e.g. load checks are carried out at the pick-up and delivery points to ensure the load has not shifted and the load is secure.


Why do it

To ensure that a system is in place to ensure:

• Mass, dimension and loading policies and procedures are in place and effective

• Accuracy of the load weights


• Accuracy of load positioning

• Loads are properly restrained

• Appropriate resources and processes are used to eliminate or minimise risks in relation to the mass, dimension and loading requirements.

What you can do

• Exercise due diligence to: o acquire and keep up to date knowledge about mass, dimension

and loading policies and procedures, o gain an understanding of the nature of the transport activities, the

hazards and risks of mass, dimension and loading, o ensure that appropriate resources are obtained and used to

address the risks of mass, dimension and loading and that appropriate processes are implemented


o monitor mass, dimension and loading management and assurance policies and procedures to verify that the resources and processes are provided, used and implemented.

• Implement an overarching governance process that verifies the effectiveness of mass, dimension and loading management and



71

assurance procedures and processes, including reporting and assurance. For example: (note this is not an exhaustive list)

o Number of mass, dimension and loading events / alerts (by severity level)

o Number of mass, dimension and loading breaches (infringements, fines and prosecutions) (by severity level)

o Number of mass, dimension and loading inspections and pass levels

o Number of incidents (and near misses) where mass, dimension and loading were a contributing factor (by severity level)

o Status of incidents (open/closed) – which can be an indicator of management commitment and availability of resources

o Summary reports of key findings from incidents and audits, including corrective action taken / control measures implemented.



Heavy Vehicle (Mass, Dimension and Loading) National Regulation, 6 February 2016, accessed on the QLD Government Queensland Legislation website at www.legislation.qld.gov.au

National Transport Commission (NTC), Load Restraint Guide, 2017 – accessed on the NTC website at www.ntc.gov.au

National Transport Commission (NTC), Australian Code for the Transport of Dangerous Goods by Road & Rail (Australian Dangerous Goods Code), 2017, Edition 7.5 – accessed on the NTC website at www.ntc.gov.au

National Heavy Vehicle Regulator (NHVR), Mass Management Accreditation Guide, January 2013 (0001|01/2013)

Main Roads Western Australia, Western Australia Heavy Vehicle Accreditation Scheme, Dimension and Loading Management Module Standards, June 2016

Main Roads Western Australia, Western Australia Heavy Vehicle Accreditation Scheme, Mass Management Module Standards, April 2016



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8 VEHICLE STANDARDS – RISK TYPES AND INDICATIVE CONTROL MEASURES

8.1 What is the risk?

The main purpose of the vehicle standards obligations is to ensure the safe operation of a heavy vehicle and that heavy vehicles used on roads are of a standard and in a condition that prevents or minimises safety risks. A heavy vehicle that is unsafe or defective, for example a heavy vehicle with faulty brakes, will affect its performance and in turn cause serious injuries and fatalities to drivers and other road users, damage to road infrastructure and the environment, if involved in a resulting motor vehicle incident.

Several of the safety critical components on a heavy vehicle are the:29

• Brakes – the brakes operate effectively and are correctly adjusted, including serviceable airlines,

• Couplings – fifth wheel and other towing devices are in a serviceable condition and provide the necessary load carrying capacity,

• Steering and Suspension – is in good working order and allows the driver to effective control of the vehicle, and

• Wheels, Tyres and Hubs – are of a suitable type and condition and provide the necessary load carrying capacity, speed rating and control of the vehicle, including inflation, tread integrity and wheel security.

Defective brakes, steering, suspension and tyres are risks that can severely affect the vehicles stability, braking and steering performance and result in the driver losing control of the vehicle. If a heavy vehicle loses control this can have significant impacts on public safety through serious injuries and fatalities to drivers or passengers, other road users and the general public.

The condition of the fifth wheel coupling (turntable) and other towing devices are also important items to prevent trailers decoupling or detaching and being damaged. If a trailer comes free from the hauling vehicle when moving it endangers the lives of other road users and pedestrians through a direct collision or by causing other drivers to swerve to avoid it.

Other components that can affect heavy vehicle roadworthiness and impact the safety of drivers, other road users and the general public include the:30

• Structure and Body Condition,

• Seats and Seatbelts,

• Lights and Reflectors

• Mirrors

• Windscreen and Windows, and

29 NHVR, National Heavy Vehicle Inspection Manual (NHVIM), Version 2.2, July 2017 30 Ibid



73

• Engine, Driveline and Exhaust.

Having an effective system of inspection, fault finding, and recording, maintenance and repair are all critical elements of a safe trucking operation and to help ensure the safety of transport activities, as outlined in the following sections.

Some of the contributing factors that may cause or encourage a party in the Chain of Responsibility to operate heavy vehicles that are unsafe or defective may include but is not limited to:



• Inadequate information, training, instruction and or supervision of vehicle standards obligations and associated procedures

• Conflicting commercial arrangements between parties

• Poorly planned or executed maintenance and repairs and or inadequate oversight to verify suitability

• Poor workmanship and or inadequate oversight to verify suitability



A dedicated risk assessment of your vehicle standards obligations under the HVNL can identify where these risks can arise in your business. Refer Section 3 of this Code for further information on how to conduct these risk assessments and Appendix A.4 for an example vehicle standards risk assessment.


Points of clarification:

Vehicle Standards, or Heavy Vehicle Safety Standards, are the standards used to guide Heavy Vehicle Inspections which have been derived from Australian Design Rules, HVNL and Heavy Vehicle (Vehicle Standards) National Regulation.

Vehicle standards apply to the vehicle, vehicle components and equipment, including all of the equipment fitted to, or forming part of, the vehicle. Vehicle components and equipment include for example, such things as truck bodies and trailers, cranes and other loading/unloading devices, load restraint equipment etc.

Section 26C

Each party must, so far as is reasonably practicable ensure the party’s conduct does not directly or indirectly cause or encourage the driver of the heavy vehicle to contravene this Law; or another person, including another party in the chain of responsibility, to contravene this Law. Including, but not limited to:

• A person must not use, or permit to be used, on a road a heavy vehicle that contravenes a heavy vehicle standard applying to the vehicle.

Section 60



74

Transport activities also include carrying out other activities associated with the use of a heavy vehicle (such as maintaining or repairing the vehicle). Therefore, maintenance and repairs have been included under the umbrella of vehicle standards as these activities can affect the condition and roadworthiness of a heavy vehicle.


All parties in the supply chain should implement a risk-based approach to manage safety and ensure compliance with all requirements of the HVNL including vehicle standards. For indicative control measures to manage the risks associated with vehicle standards requirements, see the following sections of the Code based on the roles in the Chain of Responsibility.

The outcomes of the risk assessment of your vehicle standards obligations under the HVNL need to be considered when developing and implementing systems and control measures appropriate to the scale and nature of your operations (refer Section 3). In undertaking the risk assessment consider any unique or different circumstances of your operations and treat the risks accordingly, for example, in relation to vehicle safety standards, including maintenance and repairs, other risk factors may include but is not limited to heavy vehicles frequently operating on unsealed roads, or regularly transporting over size over mass loads, or exposure to harsh environments, either within or external to the heavy vehicle during loading, driving or unloading etc.

An effective vehicle maintenance management system involves the following steps as shown in Figure 6.

Figure 6 Maintenance management system

Step 1: Daily check

Step 2: Fault recording and reporting

Step 3: Fault prioritisation and repair

Step 4: Scheduled maintenance

Step 5: Records and documentation

Step 6: Responsibilities, training and education

Step 7: Internal review



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Why do it

To ensure:

• Heavy vehicles are safe, roadworthy and maintained correctly

• That a heavy vehicle used on a road complies with heavy vehicle standards

• That a heavy vehicle that is unsafe is not used on a road and drivers are not asked to operate an unsafe vehicle.

What you can do

• Conduct a risk assessment of your vehicle standards obligations under the HVNL (refer Section 3 of the Code)

• Document your vehicle standards management and assurance policies

and procedures that outline the control measures implemented (refer

Section 2.6.1 of the Code)

• Confirm heavy vehicles and combinations are registered and meet the heavy vehicle standards applying to the vehicle and its components

• Ensure terms of consignment, contracts and agreements do not reward or encourage a party in the Chain of Responsibility to operate vehicles that are unsafe or defective. Commercial arrangements should include, for example, requirements to comply with legal obligations and disincentives to breach these provisions such as rewards when full compliance is achieved.

• Initiate alerts when consignment arrangements are identified as having the potential to cause a driver to operate an unsafe or defective vehicle – e.g. heavy vehicles frequently operating on unsealed roads, or regularly transporting over size over mass loads, or exposure to harsh environments, either within or external to the heavy vehicle during loading, driving or unloading etc.

• Obtain an explanation from other parties’ on how vehicle standards requirements, maintenance and repairs, are managed within their business – e.g. seek a copy of their vehicle standards risk assessment and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties’ vehicle standards systems and

adherence to vehicle standards practices – e.g. contract performance

reviews or similar arrangements

• Inspect and record, correct and review the effectiveness of any findings

from inspections of heavy vehicles – e.g.

• Report and prioritise, repair and review the effectiveness of any faults

reported – e.g. documented fault reports or repair request forms, or a

maintenance management system

• Assess faults for severity, track their correction or monitor until rectified –

e.g. a manual register to track progress and completion, or a maintenance

management system



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• A preventative (or periodic) maintenance program including regular

servicing of vehicles, components and equipment – e.g.

o Refer service schedules recommended by the manufacturer or

supplier. Note: Service periods may vary based on the operating

conditions and may need to be more frequent than the

manufacturers recommendations. For example, heavy vehicles

frequently operating on unsealed roads, or regularly transporting

over size over mass loads, or exposed to harsh environments etc.

o The maintenance schedule should include identified service

periods that describe the tasks to be undertaken.

o Note: Maintenance and repairs should be carried out by a person

with appropriate skills, experience and qualifications.

• Confirm the vehicle is fit for use and identify a vehicle that is unsafe

before operation – e.g. daily check – a documented instruction for basic

visual safety checks to detect problems with critical safety components

• Record and report any unsafe vehicles, faults or defects before, during or

after operation (as soon as possible) – e.g. documented repair request

form. Note: Any major or serious faults, including safety related faults,

need to be fixed immediately

• Identify a vehicle that does not comply with heavy vehicle standards and

prevent any non-compliant or faulty vehicle from being used by a driver –

e.g. tag out and remove from service or keep the vehicle keys in a secure

location such as a locked key box or lockout trailing equipment airlines.

8.3.2 Scheduler

Why do it

To ensure:

• Scheduling practices will not directly or indirectly cause or encourage a

party in the Chain of Responsibility to operate vehicles that are unsafe or

defective

• Drivers are scheduled to operate roadworthy vehicles and loads are not

allocated to vehicles that are unsafe or defective.

What you can do

• Engage with the operator and other parties in the Chain of Responsibility

to report on any unsafe or defective vehicles – e.g.

• Record and report any observations of unsafe or defective vehicles – e.g.

• Verify action has been taken by the relevant party to repair or replace an

unsafe or defective vehicle prior to scheduling for use, for example, get

written confirmation the vehicle is safe for use.



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8.3.3 Driver

Why do it

To ensure:

• Drivers do not drive a vehicle or combination that is unsafe or defective

which could endanger public safety, including the driver

• The practices of other parties will not cause drivers to drive a vehicle that

is unsafe or defective.

What you can do

• Conduct a daily check of the vehicle or combination to make sure it is

roadworthy and in a safe condition – e.g. a documented or electronic

checklist for basic safety checks. Stop work if the vehicle is deemed

unsafe or defective or in breach of the vehicle safety standards.

• Record and report any unsafe vehicles, faults or defects before, during or

after operation (as soon as possible) – e.g. complete and submit a

documented fault report or repair request form. Note: Any major or

serious safety faults will need to be fixed immediately.


as the employer, prime contractor or operator of the vehicle in managing

vehicle safety standards and roadworthiness, including documented

policies and procedures.


indirectly encourage or pressure drivers to breach vehicle safety

standards, for example, direct requests to use a vehicle or combination

that is known to be faulty, defective or unsafe, or inadequately maintained

or repaired vehicles etc.

• Report any non-compliances (e.g. incomplete maintenance and repairs

etc.) or breaches (fines or defect notices) to the employer, prime

contractor or operator of the vehicle and cooperate with any investigation

and remedial actions.



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Why do it

To ensure:

• Terms of consignment, contracts and agreements will not cause or

encourage a party in the Chain of Responsibility to operate vehicles that

are unsafe or defective

• Vehicles that are observed to be unsafe or defective are not loaded and

corrective action taken.

What you can do

• Conduct a risk assessment of your vehicle standards obligations under the HVNL (refer Section 3 of the Code)

• Document your vehicle standards management and assurance policies

and procedures that outline the control measures implemented (refer

Section 2.6.1 of the Code)

• Ensure terms of consignment, contracts and agreements do not reward or

encourage a party in the Chain of Responsibility to operate vehicles that

are unsafe or defective. Commercial arrangements should include, for

example, requirements to comply with legal obligations and disincentives

to breach these provisions such as rewards when full compliance is

achieved.

• Initiate alerts when consignment arrangements are identified as having

the potential to cause a driver to operate an unsafe or defective vehicle –

e.g. heavy vehicles frequently operating on unsealed roads, or regularly

transporting over size over mass loads, or exposure to harsh

environments, either within or external to the heavy vehicle during

loading, driving or unloading etc.

• Obtain an explanation from other parties’ on how vehicle standards requirements, maintenance and repairs, are managed within their business – e.g. seek a copy of their vehicle standards risk assessment and associated policies and procedures that outline the control measures implemented

• Monitor the effectiveness of other parties’ vehicle standards systems and

adherence to vehicle standards practices – e.g. contract performance

reviews or similar arrangements




• Verify action was taken by the relevant party to repair or replace an

unsafe or defective vehicle prior to use, for example, get written

confirmation the vehicle is safe for use.



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8.3.5 Packer

Why do it

To ensure:

• Packing practices will not cause or encourage a party in the Chain of

Responsibility to operate vehicles that are unsafe or defective



What you can do








Why do it

To ensure:

• Loading and unloading practices will not cause or encourage a party in

the Chain of Responsibility to operate vehicles that are unsafe or

defective



What you can do









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Why do it

To ensure:

• Vehicle standards management policies and procedures are in place and effective

• Appropriate resources and processes are used to eliminate or minimise risks in relation to the vehicle standards requirements, maintenance and repair of vehicles.

What you can do

• Exercise due diligence to: o acquire and keep up to date knowledge about vehicle standards

policies and procedures, o gain an understanding of the nature of the transport activities, the

hazards and risks associated with vehicle standards, o ensure that appropriate resources are obtained and used to

address the risks of vehicle standards and that appropriate processes are implemented


o monitor vehicle standards management systems to verify that the resources and processes are provided, used and implemented.

• Implement an overarching governance process that verifies the effectiveness of vehicle standards management system i.e. vehicle standards management and assurance procedures and processes, including reporting and assurance. For example: (note this is not an exhaustive list)

o Number of vehicle standards events / alerts (by severity level) o Number of vehicle standards breaches (infringements, fines and

prosecutions) (by severity level) o Number of vehicles overdue for scheduled maintenance o Number of overdue non-scheduled fault repair/maintenance

requests o Number of incidents (and near misses) where vehicle standards

was a contributing factor (by severity level) o Status of incidents (open/closed) – which can be an indicator of

management commitment and availability of resources o Summary reports of key findings from incidents and audits,





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Australian Design Rules (ADRs), accessed on the Australian Government Federal Register of Legislation at www.legislation.gov.au

Heavy Vehicle Competency Based Assessment (HVCBA) – Pre Operational Checks – Refer respective state and territory Heavy Vehicle Driver Handbooks

Heavy Vehicle (Vehicle Standards) National Regulation, 6 February 2016, accessed on the QLD Government Queensland Legislation website at www.legislation.qld.gov.au

NHVR Performance-Based Standards (PBS) https://www.nhvr.gov.au/road-access/performance-based-standards

NHVR, Vehicle Standards Bulletin 6 (VSB6), accessed on the NHVR website at www.nhvr.gov.au

NHVR, Vehicle Standards Guides (VSG series), accessed on the NHVR website at www.nhvr.gov.au

NHVR, National Heavy Vehicle Inspection Manual (NHVIM), Version 2.2, July 2017

Generic maintenance schedules published by the Australian Government Department of Infrastructure and Regional Development in criteria 4 of its fuel tax credits guidelines [PDF] https://infrastructure.gov.au/roads/environment/fuel_tax_credit/files/Guidelines-for-Environmental-Criteria-Fuel-Tax-Credit-for-Heavy-Diesel-Vehicles.pdf

NHVR, Maintenance Management Accreditation Guide, January 2013 (0003|01/2013)

Main Roads Western Australia, Western Australia Heavy Vehicle Accreditation Scheme, Maintenance Management Module Standards, Document No: D16#580468, September 2016

TruckSafe® standards and accreditation guide, August 2017, Version 4.1-01082017

http://www.legislation.qld.gov.au/

https://www.nhvr.gov.au/road-access/performance-based-standards

https://www.nhvr.gov.au/road-access/performance-based-standards

https://infrastructure.gov.au/roads/environment/fuel_tax_credit/files/Guidelines-for-Environmental-Criteria-Fuel-Tax-Credit-for-Heavy-Diesel-Vehicles.pdf

https://infrastructure.gov.au/roads/environment/fuel_tax_credit/files/Guidelines-for-Environmental-Criteria-Fuel-Tax-Credit-for-Heavy-Diesel-Vehicles.pdf



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9 MAINTAINING THE CODE

(Drafting note: To be completed) Pursuant to section 706 of the HVNL the Code

that the Industry Code of Practice is maintained, and updated (section 706(2)(b)), and that the Industry Code of Practice must be updated following changes to the Guidelines (section 706(2)(c)).

Statutory conditions imposed on every RICP that is registered are:

• the RICP must be reviewed after the stated period

• a person must be appointed to maintain the RICP and ensure it is updated following changes to best practice methods for the industry to which it relates

• the RICP must be updated following changes to the Guidelines for preparation and content of the RICP in force under Section 705



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10 APPENDICES

Appendix A.1 – Example speed risk assessment

RISK ASSESSMENT Transport activity risk assessment – SPEED

Review Date: “One year from date of assessment & after each event” Assessor/s: “insert names”

RISK SEVERITY MATRIX Priority of action Legend

Co

nse

qu

en

ce (

C)

Critical 4

(highest)

High Extreme Extreme Extreme Extreme

Extreme Immediate priority – stop and control

El = Elimination

Severe 3 Moderate High High Extreme Extreme

High High priority – treat within 1 mth

Su = Substitution

Substantial 2 Low Moderate Moderate High High

Moderate Moderate priority – treat within 1 yr

Is = Isolation

Minor 1

(lowest)

Low Low Low Moderate Moderate

Low Low priority – control SFAIRP

Ad = Administration

1

(lowest)

2 3 4 5

(highest)

PPE = Personal Protective Equipment

Rare Unlikely Possible Likely

Almost certain

RL = Risk level

Likelihood (L) SFAIRP So far as is reasonably practicable

Cause / Hazard INITIAL RISK

Controls in Place Controls Required REVISED RISK

SFAIRP Y/N



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C L RL (Note: as based on the indicative control measures suggested in the Code)

(Note: based on your selection of appropriate control measures)

C L RL

Ineffective risk management processes for elimination or minimisation of public risks associated with transport activities including speed compliance

• Develop a risk management process consistent with AS/NZ ISO 31000:2009

• Conduct a risk assessment of your speed compliance obligations under the HVNL to identify, assess and treat risks within your business

• Consider your operational risks and how your business influences, directs or requires other parties in the Chain of Responsibility to undertake their transport activities

• Documented and monitor the risk management process for compliance and review and update based on feedback received

•

Lack of policy and procedures, and or non-compliance reporting systems

• Business practices cause a driver to exceed the speed limit

• Speed management policies and procedures are ineffective

• Document your speed management and assurance policy and procedures that outline the control measures implemented

• Reporting of vehicles exceeding the speed limit and take action to address any speeding breaches

• Report any non-compliances (over speed events) or breaches (speeding fines or infringement notices) to your employer, prime contractor or operator of the vehicle and cooperate with any investigation and remedial actions

•



85

• Have oversight of reporting of breaches and incidents and emerging risks to identify if any further actions or reasonable steps are required to be taken

• An overarching governance process that verifies the effectiveness of speed management and speeding assurance policies and procedures, including reporting and assurance

Ineffective two-way consultation, cooperation and coordination of all parties along the supply chain

• Engage and consult with other parties in the supply chain as relevant to foster productive, efficient, innovative and safe supply chain relationships including compliance with speed management obligations

• Engage and consult with other parties in the supply chain about identified risks as relevant to ensure consistency in the awareness and control of the risk

•

Inadequate information, training, instruction and or supervision of speed management obligations and associated policies and procedures

• Provide training and awareness of CoR management and assurance policies and procedures to all parties, including their contribution to the safety of the transport activity

• Provide adequate supervision, monitoring and management oversight of business practices to give the confidence and

•



86

certainty that policies and procedures are followed

Conflicting commercial

arrangements or employment

terms between parties

• Terms of consignment, contracts and agreements cause the driver to exceed speed limit

• Ensure terms of consignment, contracts and agreements do not contain rate structures or incentives (for early delivery) or penalties (for late delivery) or associated performance measures that may reward or encourage the driver to exceed the speed limit

• Be alert when consignment arrangements are identified as having the potential to cause a driver to speed and take remedial action

•

Poorly planned trip schedules and driver rosters and or inadequate oversight to verify suitability

• Drivers’ schedules cause the driver to exceed the speed limit

• Delivery schedule causes the driver to exceed the speed limit

• Plan schedules with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit

• Adjust and or manage changes to schedules including delays so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit

• Regularly review business practices including scheduling arrangements in consultation with drivers and other impacted parties in the supply chain

•



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Inflexible loading and unloading schedules

• Poor loading and unloading practices cause the driver to exceed speed limit

• Poor packing practices cause the driver to exceed speed limit

• Delays cause drivers to exceed the speed limit

• Ensure parties in the supply chain sending and receiving goods aim to adhere to scheduled delivery windows and minimise delays for drivers, however, if delays occur operators and drivers are advised in advance

• Adhere to packing times and scheduled pickup times to minimise delays for drivers, however, if delays occur operators and drivers are advised in advance and steps taken so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit

• Allow flexibility in pick-up and delivery times where there are changes to the schedule, so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit. The early or late arrival of a load is reported as this can be a potential indicator of speed

• Regularly review business practices including consignment arrangements, delivery times, time spent on site, loading and unloading times and delays, in consultation with drivers and other impacted parties in the supply chain

•

Non-compliance with speed-limiting requirements and or inadequate maintenance of

• Check and confirm heavy vehicles that

are fitted with fit for purpose, maintained, calibrated, speed limiting devices and that

•



88

speed monitoring components

these have not been adjusted or tampered with

• Measure the accuracy of speed data and implement remedial actions when inaccuracies are detected

Deliberate actions of drivers or other parties

• Drivers do not adhere to sign posted speed limits

• The practices of other parties’ cause drivers to exceed the speed limit

• Confirm drivers are licenced for the heavy vehicle or combination they are operating and are expected to adhere to Australian Road Rules in the state/s and or territory of operation

• Drive within the speed limit, including variable and low speed zones

• Follow reasonable instructions of other parties in the supply chain, such as your employer or scheduler, in managing speed compliance, including documented policies and procedures

• Alert other parties in the supply chain of practices that may directly or indirectly encourage or pressure you to exceed the speed limit

•

Inadequate monitoring and due diligence by all parties to ensure safety and compliance of transport activities

• Demands are made of the driver that result in

• Obtain an explanation from other parties’ on how speed is managed within their business

• Monitor the effectiveness of other parties’ speed management systems and adherence to speed management practices

•



89

the driver exceeding the speed limit

• Resources and processes used to manage speed compliance risks are ineffective

• Monitor drivers speed and review regularly

• Acquire and keep up to date knowledge about speed management policies and procedures

• Gain an understanding of the nature of the transport activities, the hazards and risks of speeding

• Ensure that appropriate resources are obtained and used to address the risk of speeding and that appropriate speed management processes are implemented



90

Appendix A.2 – Example fatigue risk assessment



91

Appendix A.3 – Example mass, dimension and loading risk assessment



92

Appendix A.4 – Example vehicle standards risk assessment



93

Appendix B – Summary table of ‘What you can do’ by role

EMPLOYER, PRIME CONTRACTOR AND OPERATOR

CoR obligation What you can do

Speed compliance •

Fatigue management •

Mass, dimension and loading

•

Vehicle standards •

Drafting note: To be completed as part of final drafting – refer example for Scheduler on next page



94

SCHEDULER


Speed compliance • Plan drivers’ schedules with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit. For example, schedule journeys with sufficient time for them to be completed safely and according to applicable speed limits along the route and allowing for contingencies such as steep ascents and descents, traffic congestion, major roadworks, adverse weather conditions, curfews and loading/unloading delays etc.

• Adjust and or manage changes to schedules including delays so drivers are not directly pressured, or feel indirectly pressured, to exceed the speed limit – e.g. provide timely communication and advance notification to drivers and other supply chain parties wherever possible.

• Regularly review business practices including scheduling arrangements in consultation with drivers and other impacted parties in the supply chain – e.g. review schedules to monitor if they are completed to plan, and or adjust as required if there are deviations.

Fatigue management • Plan schedules with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to drive whilst fatigued or breach their work/rest hours. For example, schedule journeys with sufficient time for them to be completed safely and according to applicable rest breaks required along the route and allowing for contingencies such as traffic congestion, major roadworks, adverse weather conditions, missed curfews and loading/unloading delays etc.

• Plan rosters (schedules of the driver’s work and rest times) with appropriate timeframes so drivers are not directly pressured, or feel indirectly pressured, to drive whilst fatigued or breach their work/rest hours. For example, roster drivers taking into consideration maximum work times and minimum rest times according to their work/rest hours option.

• Consult with drivers and other parties as relevant in the scheduling of journeys and rostering of drivers that considers the contingencies (outlined above) and manages changes including delays as applicable.



95

• Monitor a driver’s fatigue levels, work and rest times (in real time if possible) are in place and reviewed regularly for effectiveness and accuracy – e.g. telematics or electronic work diaries.

• Take positive action if a driver declares or is deemed unfit to drive. For example, take care of the driver’s welfare by making alternative arrangements including provisions for the driver to have an additional rest break.


• Schedule the right truck with the right equipment for the right load to suit the mass, dimension and loading requirements – e.g. written confirmation from the consignor as part the load consignment of mass, dimension loading requirements including any special conditions or equipment required

• Make sure route (journey) plans take into consideration mass and dimension requirements to ensure the route/infrastructure is suitable for the load and complies with any route permits or conditions as applicable – e.g. for over height loads any low height bridges, tunnels or infrastructure such as overhead powerlines, similarly for wide loads etc.

• Check route permits and conditions will be met prior to a journey commencing and notify relevant supply chain parties – e.g. compliance to over size (dimension) and over mass requirements.

Vehicle standards • Engage with the operator and other parties in

the Chain of Responsibility to report on any

unsafe or defective vehicles – e.g.

• Record and report any observations of unsafe

or defective vehicles – e.g.

• Verify action has been taken by the relevant

party to repair or replace an unsafe or

defective vehicle prior to scheduling for use,

for example, get written confirmation the

vehicle is safe for use.



96

DRIVER

A NOTE ON DRIVERS:

While the driver of a heavy vehicle is not a named party in the Chain of Responsibility under the HVNL, it is clear they have responsibilities under the HVNL and other road laws, and as such play a pivotal role in ensuring the safety of the transport activities of a heavy vehicle. The driver is effectively the last line of defence in the supply chain of a heavy vehicle, and often it is their decisions or choices, that may or may not allow a breach of the HVNL.

This is a significant responsibility for one person and the reason why the HVNL adopts the common principle of ‘shared responsibility’ which means that multiple parties in the supply chain (not just the driver) are responsible for the safety of transport activities of a heavy vehicle and as such CoR laws are designed to deter all parties in the supply chain from causing or encouraging the driver or another person, directly or indirectly, to contravene the HVNL.

It is for these reasons that drivers need to be empowered and encouraged to

speak up and stop work if the activity is deemed unsafe or in breach of the

HVNL. But not all drivers will not feel comfortable speaking the truth if they are

aware of the ramifications or it impacts their livelihood. So, drivers that do have

the courage to speak up need to be recognised and rewarded for their bravery,

rather than disciplined or labelled as trouble makers. It should be noted that

organisations with high performing safety cultures are said to be inquisitive, open

to, and go looking for, bad news.


Speed compliance • Drive within the speed limit, including variable

and low speed zones. For example, using the

vehicles speed limiting devices and cruise

control features where fitted, using the

vehicles transmission (gears) and braking

systems to maintain speed limits including

steep descents and runoffs. Note: If it is

suspected that a vehicle’s speed limiter is

defective or non-compliant, drivers should stop

driving, report the problem and attempt to

resolve it prior to resuming the journey.

• Follow reasonable instructions of other parties

in the supply chain, such as the employer or

scheduler, in managing speed compliance,

including documented policies and procedures

• Alert other parties in the supply chain of

practices that may directly or indirectly

encourage or pressure drivers to exceed the

speed limit, for example, direct requests to

make a pick-up or drop-off as quickly as

possible, or being repeatedly told a delivery is



97

urgent (an indirect request), or inflexible pick-

up and delivery times, timeslots, or loading

and unloading times etc.

• Report any non-compliances (over speed events) or breaches (speeding fines or infringement notices) to the employer, prime contractor or operator of the vehicle and cooperate with any investigation and remedial actions.

Fatigue management • Alert the employer, prime contractor, operator

or scheduler if feeling fatigued (e.g. feeling

sleepy, physically or mentally tired, weary or

drowsy, exhausted and/or lacking in energy)

and cooperate with any reasonable

instructions and remedial actions. Stop work

immediately if feeling fatigued while driving.

• Notify the employer, prime contractor, operator

or scheduler of any at-risk factors that may

affect fitness to drive – e.g. too little sleep,

being awake for very long hours, any medical

conditions or prescription medications that

exclude driving or operation of heavy

machinery, recent drug use or alcohol

consumption.

• Drive in compliance work/rest hours option (as

applicable) by taking scheduled rest breaks

and getting enough rest (quality sleep) on long

breaks.


in the supply chain, such as the employer or

scheduler, in managing fatigue, including

documented policies and procedures.



encourage or pressure drivers to drive while

impaired by fatigue or breach their work/rest

hours option, for example, direct requests to

make a pick-up or drop-off as quickly as

possible, or being repeatedly told a delivery is

urgent (an indirect request), or poorly planned

schedules, or inflexible pick-up and delivery

times, timeslots, or loading and unloading

times, poor management of queues and

delays etc.

• Report any non-compliances (e.g. inadequate rest breaks) or breaches (fines or infringement notices) to the employer, prime contractor or



98

operator of the vehicle and cooperate with any investigation and remedial actions.


• Load the vehicle in accordance with its mass

(gross and axle weights) and dimension

specifications, or permit conditions, for

example, use load distribution plans, or

confirm weights using weighbridges or vehicle

scales etc.

• Verify the load is adequately restrained, for

example, refer to the NTC Load Restraint

Guide, or certified load restraint guidance

materials and associated training provided by

other parties.


in the supply chain, such as the employer,

scheduler or a loading manager, in managing

mass, dimension and loading requirements,

including documented policies and

procedures. Stop work if the load is deemed

unsafe or in breach of mass, dimensions or

loading requirements.



encourage or pressure a driver to breach

mass, dimension and loading requirements, for

example, direct requests to overload the

vehicle or combination, or inadequate or

inaccurate load mass and dimension

information which may lead to indirect

breaches, or poorly planned loads and

inflexible load positioning practices, or

insufficient packaging or improperly secured

goods etc.

• Report any non-compliances (e.g. to work or rest hours etc.) or breaches (fines or infringement notices) to the employer, prime contractor or operator of the vehicle and cooperate with any investigation and remedial actions.

Vehicle standards • Conduct a daily check of the vehicle or

combination to make sure it is roadworthy and

in a safe condition – e.g. a documented or

electronic checklist for basic safety checks.

Stop work if the vehicle is deemed unsafe or

defective or in breach of the vehicle safety

standards.

• Record and report any unsafe vehicles, faults

or defects before, during or after operation (as



99

soon as possible) – e.g. complete and submit

a documented fault report or repair request

form. Note: Any major or serious safety faults

will need to be fixed immediately.


in the supply chain, such as the employer,

prime contractor or operator of the vehicle in

managing vehicle safety standards and

roadworthiness, including documented policies

and procedures.



encourage or pressure drivers to breach

vehicle safety standards, for example, direct

requests to use a vehicle or combination that

is known to be faulty, defective or unsafe, or

inadequately maintained or repaired vehicles

etc.

• Report any non-compliances (e.g. incomplete

maintenance and repairs etc.) or breaches

(fines or defect notices) to the employer, prime

contractor or operator of the vehicle and

cooperate with any investigation and remedial

actions.



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CONSIGNOR AND CONSIGNEE





•


Drafting note: To be completed as part of final drafting



101

PACKER





•





102

LOADING MANAGER, LOADER AND UNLOADER





•





103

EXECUTIVES





•





104

CODE DEVELOPMENT SCHEDULE

Version Date Parties Consulted:

Consultation pre-development of V1 (Prior to 27/10/17)

21-23/06/17 24-25/08/17

ATA Trucking 2017, Darwin Safe Trucking and Supply Chains Ltd Technical Writers Workshop, Melbourne – AFCA, ALC, ALRTA, ATA, BlueScope, Chemistry Aust., Coates Hire, DP World, GTA, Linfox, Metcash, OneSteel, Origin Energy, Qube, RWTA, SARTA, Woolworths

05-06/09/17 ALC 2017 Supply Chain Safety & Compliance Summit participants, Sydney

16-18/10/17 ATA/ARTSA Technical and Maintenance Conference 2017 participants, Melbourne

Consultation Draft V1 27/10/17 AFRA (Furniture), Canberra

Version 1.1 – 28/10/17 02/11/17 03/11/17

ALC Safety Committee, Sydney ALRTA (Livestock), Canberra

Version 1.2 – 03/11/17 03/11/17 (Internal only)

Version 1.3 – 04/11/17

07/11/17 First progress review with NHVR, Canberra Forestry (Stacey), Canberra

Version 1.4 – 13/11/17 14/11/17 14/11/17 15/11/17 16/11/17

IPWEA (Council Engineers), Melbourne VTA, Melbourne IPWEA (Council Engineers), Adelaide SARTA (SA Operators), Adelaide

Consultation Draft V2 – 17/11/17

22/11/17 23/11/17 07/12/17 12/12/17

AFCA (Forest Operators), Gympie QTA (QLD Operators), Brisbane Grain Transport Safety Network (GTSN), Melbourne TruckSafe, Canberra Feedback received from: ATA QTA SARTA TruckSafe Board (including TruckSafe Directors: Nathan Cecil, Holding Redlich Lawyers; Karlie Easter, Easters Group Pty Ltd; Paul Fellows, Fellows Bulk Transport) ALC Safety Committee Chain of Compliance (Auditor group) Brian Rowe (Auditor) SafeWork NSW Hope Law, Urunga, NSW JKR Training for Business Yarra Ranges Council Air CTI



105

Woolworths Limited Grain Trade Australia (GTA)

Version 2.1 – 20/01/18 24/01/2018 Second progress review with NHVR, Brisbane

Version 2.2 – 30/01/18 31/08/18 31/08/18 01/02/18

CICA (Cranes) VTA (feedback received) ANZIGA (Industrial Gas)

Version 2.3 – 03/02/18 12/02/18 14/02/18

Feedback received from: ATA NHVR

Consultation Draft V3 – 17/02/18 (used for gap analysis) (this document)

Etc. (plus, anyone consulted)

Version 3.1 Etc. Etc.


Consultation Draft V4 (used for final stress testing of the Code)

Etc. (plus, anyone consulted)



Draft V5 (presented to NHVR for registration)

Version 5.1 (if any) Etc. Etc.


Documents

DRAFT – MASTER REGISTERED INDUSTRY CODE OF … · Master Code – Consultation Draft V3 – Draft as at 17/02/2018 Not to be distributed without prior permission of Safe Trucking