_Mobile_Equipment_Open_Data-GMG-DUA-v01-r03 Mobile equipment open data consensus guideline SUBMITTED BY VERSION DATE APPROVED BY EDITED BY

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1 _Mobile_Equipment_Open_Data-GMG-DUA-v01-r03 Mobile equipment open data consensus guideline SUBMITTED BY Data Usage and Access Working Group VERSION DATE 31 Aug 2015 APPROVED BY 06 Apr 2016 EDITED BY Janice M. Burke 03 Mar 2016 PUBLISHED 27 Apr 2016 DATE DOCUMENT TO BE REVIEWED 06 Apr 2021 PREPARED BY THE MOBILE EQUIPMENT OPEN DATA SUB-COMMITTEE OF THE DATA ACCESS AND USAGE WORKING GROUP Group leaders: Matt Miller and Lance Fountaine, OSIsoft Tim Skinner, SMART Solutions

2 Mobile equipment open data consensus Guideline i ORGANIZATIONS INVOLVED IN THE PREPARATION OF THESE GUIDELINES Representing organizations from the Data Usage and Access Working Group include: Agnico Eagle Mines Ltd., Anglo- Gold Ashanti Ltd., ArcelorMittal, Atlas Copco, Barrick Gold Corp., BHP Billiton Ltd., Caterpillar Inc., Endevea Pty Ltd., Fortescue Metals Group Ltd. (FMG), Freeport-McMoRan Inc. (FMI), GE Mining, Gibraltar Mine (Taseko Mines Ltd.), Goldcorp Inc., Gold Fields Ltd., Government of Western Australia Department of Mines and Petroleum (DMP), Haultrax, Hitachi, Indago Partners, io Solutions Inc., Joy Global Inc., KGHM International Ltd., Komatsu Ltd., Liebherr, OSIsoft LLC, Peabody Energy Corp., Peck Tech Consulting, Remote Control Technologies (RCT), Rio Tinto Group, Roy Hill Project, Sandvik Group, Shell Canada Ltd., SMART Systems Group, Symboticware Inc., Teck Resources Ltd., The Electrum Group, Vale, Wenco International Mining Systems Ltd., and Westmoreland Coal Company.

3 Mobile equipment open data consensus Guideline ii DISCLAIMER Although these guidelines and other documents or information sources referenced at are believed to be reliable, we do not guarantee the accuracy or completeness of any of these other documents or information sources. Use of these guidelines or the above documents or information sources is not intended to replace, contravene or otherwise alter the requirements of any national, state, or local governmental statutes, laws, regulations, ordinances, or other requirements regarding the matters included herein. Compliance with these guidelines is entirely voluntary.

4 iii Mobile equipment open data consensus Guideline COPYRIGHT NOTICE This document is copyright-protected by the. Working or committee drafts can be reproduced and used by GMG participants during guideline development. GMG hereby grants permission for interested individuals/organizations to download one copy. Written permission from GMG is required to reproduce this document, in whole or in part, if used for commercial purposes. To request permission, please contact: Global Mining Guidelines Group Heather Ednie, Managing Director Reproduction for sales purposes may be subject to royalty payments or a licensing agreement. Violators may be prosecuted.

5 Mobile equipment open data consensus Guideline iv TABLE OF CONTENTS DISCLAIMER COPYRIGHT NOTICE TABLE OF CONTENTS ii iii iv 1. FOREWORD 1 2. DEFINITIONS OF TERMS, SYMBOLS, AND ABBREVIATIONS 1 3. KEYWORDS 1 4. INTRODUCTION AND BACKGROUND 1 5. SCOPE 1 6. OTHER USEFUL DOCUMENTS 1 7. OVERVIEW 1 8. PURPOSE AND PROBLEM STATEMENT Data Classes and Value Rationale 3 9. DESCRIPTION OF EQUIPMENT AND DATA GROUPS Surface Mining Equipment Underground Mining Equipment GUIDELINE REVISIONS (FUTURE VERSIONS) Autonomous Equipment Additional Equipment Types Undecided Data Groups Additional Datasets RESOURCES, REFERENCES, AND RECOMMENDED READING ANNEXES 7 Annex A: Surface Equipment 7 Annex B: Underground Equipment 47

6 Mobile equipment open data consensus Guideline 1 1. FOREWORD The is a global, multi-stakeholder community to advance the availability and use of standards and guidelines for the international mining industry. This GMG document was prepared by a GMG working group. Draft documents are checked and approved by working group members, prior to approval by the GMG Governing Council. Formed as part of the Canadian Institute of Mining, Metallurgy and Petroleum (CIM), GMG is supported by CIM and three other Partner Organizations: the Australasian Institute of Mining and Metallurgy (AusIMM), the Southern African Institute of Mining and Metals (SAIMM), and the Surface Mining Association for Research and Technology (SMART), as well as its Member Companies and participants. Please note: if some of the elements of this document are subject to patent rights, the GMG and CIM are not responsible for identifying such patent rights. 2. DEFINITIONS OF TERMS, SYMBOLS, AND ABBREVIATIONS IP Intellectual Property OEM Original Equipment Manufacturer 3. KEYWORDS Analytics, Autonomous vehicles, Connected vehicles, Connectivity, Data, Future of mining, Mobile assets, Mobile equipment, Open data, Operational intelligence, Supply chain integration, Vehicle integration 4. INTRODUCTION AND BACKGROUND This guideline was developed by the Data Usage and Access Working Group from GMG, which comprises mining professionals from leading mine operating companies, and product and subject matter experts from leading mining equipment companies. Data and input for the guideline were developed over the course of more than six in-person workshops spanning several years, and included nearly 100 individuals who contributed their experience and insight. Even though we have not acknowledged them individually, this guideline would not have been possible without their effort and support. The GMG Mobile Equipment Open Data Consensus Guideline identifies onboard datasets (see Annexes A and B) that should be openly available to equipment owners in a real-time, read-only format. As with any complex control system, making unauthorized additions or modifications to the datasets is strongly discouraged and might present significant safety and financial risks to the owner and operator. The list was developed to represent many pieces of mobile equipment that are common in surface and underground mining operations, including (Table 1): Table 1. List of onboard datasets for surface and underground mines Surface Mines (see Annex A) Underground Mines (see Annex B) Haul Trucks LHD (Load, Haul, Dump) Trucks Drills Drills Loaders Scoops, Trams and Loaders Dozers Rock Bolters Hydraulic Diesel Excavators Shotcrete Trucks Graders Lifts/Fork Lifts Electric Rope Shovels Chargers Scrapers Longwalls The initial guideline is not intended to be complete or cover all equipment types and use cases for mining equipment data. It is intended to evolve and expand over time to include additional equipment and use cases as needed. Data defined as closed or undecided will be revisited in future guideline releases, along with new data items. 5. SCOPE The scope is to identify and develop guidelines to create a common vision for the seamless access and use of mobile equipment data across the mine cycle, including both open pit and underground, for the purpose of increasing operational efficiencies. The scope also includes identifying an initial list of the open data elements for onboard mobile mining equipment. Many operators embrace the idea of collecting and storing as much data as possible to empower knowledge worker innovation. This guideline is intended to support this idea by defining a starting point for those who follow a model of specifying requirements, building to requirement, and delivering. It can also serve as a reference for future equipment specification purchasing requirements. 6. OTHER USEFUL DOCUMENTS The documents listed in Section 11 are indispensable for the application of this document. Related GMG guidelines will be added to that section as they are published. 7. OVERVIEW The open data dataset was developed between original equipment manufacturers (OEMs) and their customers and the mine operators/owners, and is based on their need to extract value from the data. This guideline outlines the onboard data groups that should be made available and open to the equipment owner, in a read-only format. Data

7 2 Mobile equipment open data consensus Guideline that are defined as closed, which also includes undecided, will be revisited in future guideline releases along with new data items. Although many OEMs embrace open equipment data, it should be understood that it may take time to incorporate these ideas into production equipment. This guideline intentionally does not address the technical or commercial details of how these data are made available. Readers should verify with their OEM the physical availability and specifics of open data from their equipment and understand associated terms of use. The GMG Onboard Technology and Connectivity Working Group is addressing this topic. Several common beliefs provide a framework for this guideline: Operators and OEMs are in the best position to lead the market regarding identification, availability, and use of open equipment data. Data can be used for mine operations, equipment operation, and building visibility in optimizing the value chain. Equipment data/information will significantly improve mine operations across many areas, including productivity, availability, sustainability, and safety. More equipment data will be required in the future to support advanced automation and autonomous vehicles. All data from mobile mining equipment needs to be real time and read only, and must not interfere with on- or off-board control systems. Tampering with the control systems presents significant risks to personnel health and safety, equipment, and the environment, and financial risks to the owner and operator. There is a difference between buying equipment and buying equipment intellectual property (IP). Fundamentally, information about the use and application of the equipment belongs to the operator, whereas information about how the equipment controls achieve functional performance belongs to the OEM (unless IP is purchased). There is a difference between the data and the services and application systems they enable (dependencies) competitive advantage is at the services and application layer. Where potential environmental, health, or safety impacts exist, regulatory and standards committees will often mandate requirements if the industry is not taking independent action. Proactive industries tend to shape regulation instead of being subjected to the uncontrollable outcomes. To meet specific requirements, data will need to be available in different contexts and formats. Thus, establishing open data principles and access will support these efforts by the owners and operators. This guideline should help avoid gaps in expectations and facilitate the risk-sharing relationship between owners and OEMs. Perfection is the enemy of the very good: this guideline identifies an initial set of data but it is expected that the dataset will continue to expand as additional revisions to the guideline provide a continuous improvement path forward. 8. PURPOSE AND PROBLEM STATEMENT Most leading enterprise mine operators are driving 21st Century operational excellence by enhancing visibility and management of continuous mine-to-mill operation, reducing operating variance, and adopting an ongoing focus on continuous improvement innovation. This requires a significant amount of technology and information, including source data related to the real-time and historical performance of mobile mining equipment. In addition to open access to mobile equipment data for value-added internal operator use, many mine operators are looking for advanced services to support the ongoing health, condition, and performance of equipment. OEMs also require effective real-time and historical data integration of the mobile equipment in the field to support these and other services. Thus, both mine operators and OEMs need increasing data access to drive continual improvement in mining efficiencies. In the current relationship model, robust, secure, and cost effective access to these data is elusive as owners/operators, third-party solution providers, and OEMs struggle with how to preserve their IP, define value-added service opportunities, and manage priorities in a diverse and ever-changing technical landscape. Before any industry-wide, technical equipment connectivity standards can emerge, a common industry vision of what data are required and why they are needed should be established between the operators and OEMs. This understanding will become the foundation for evolving the current relationships and driving continued improvements. It is important to understand that although operators want and need to have access to equipment data they have not necessarily purchased the IP around how the OEM uses the data to configure and control their equipment systems. Some data have not been included in the open data list, not because they are closed, but because further discussion is needed to reach agreement as to whether it exposes OEM IP. Missing data should not be interpreted as definitively closed at this time.

8 Mobile equipment open data consensus Guideline Data Classes and Value Rationale As part of the workshops conducted to develop this guideline, owners and operators were asked to highlight the value use cases driving a given data requirement. Below is a summary analysis of their feedback, based on the specific classes of data identified (Table 2). This analysis is not meant to justify any specific data point, but instead generally indicate why the data in each class are important to each of the parties of interest. Please consider the workshop content in Table 2 as a qualitative directional reference, whereby dark blue indicates a high value business driver, light blue indicates a low-value business driver, and white indicates no value as a business driver. 9. DESCRIPTION OF EQUIPMENT AND DATA GROUPS Mining equipment names often differ among vendors, companies, and mine sites. Therefore, a short description of the equipment is included in this guideline to clarify the names used. Annexes A and B logically identify, consolidate, and categorize data value names, descriptions, and attributes in an attempt to provide a dataset for all major OEM equipment. This hierarchical approach loosely follows ISA95 standards (International Society for Automation, 2016) for describing automated equipment, but is not intended to be a definitive model. The data details vary by OEM and may not be available on all equipment, based on the model and features of a specific piece of equipment. They are given as general descriptions for common equipment and features, so that an industry-wide expectation can be established for each equipment category. Although additional data may also be available from your suppliers, an effort was made to capture the most requested data as a baseline, and to define the categories. Future efforts for this guideline may address this issue by proposing a common naming convention. 9.1 Surface Mining Equipment Haul Trucks Off-highway, rigid dump trucks or bottom dump haulers specifically engineered for use in high-production mining and heavy-duty construction environments. Drills Used for production blast-hole drilling in the mining production cycle. The size of drilling rigs for rock blasting for surface mines depends on the size of the desired hole, typically classified into smaller pre-split and larger production holes. Table 2. Heat map illustrating the outcomes of the 2015 workshops (not a definitive consensus on the full use and value of various onboard datasets) Equipment Data Class Process Productivity Asset Health & Condition Quality & Genealogy Asset/Equipment Information Brake Systems Drive Train/Transmission(s) Electrical Systems Engines Frame & Suspension Systems Health Conditions / Faults & Events Hydraulic / Pneumatic Work Systems Navigation Systems Operator/Console Systems Payload Trip Information Wheels/Tracks/Tires Implement best practices across locations Improve vehicle cycle times Reduce idle time Improve overall equipment effectiveness Increase asset utilization Optimize haul weights Owner Operator Value Drivers Increase asset availability Obtain lowest total cost of ownership Reduce unplanned downtime Predictive analytics - failure prevention Condition monitoring - Condition-based maintenance Optimize mine operations based on geological parameters Improve product grading & production planning Map payload to stockpile / blending

9 4 Mobile equipment open data consensus Guideline Table 2. (continued) Equipment Data Class Safety Ensure equipment used within design limits Reduce risky behaviors Identify training needs Manage interaction between people & equipment Eliminate site events Owner Operator Value Drivers Regulatory Compliance Energy & Water & Reporting Management Assess water quality & levels Spill, recycle, reclaim incidents Water treatment & usage Dust & wind levels (blasting) Noise levels Optimize fuel Conserve water Monitor & manage power Renewables & microgrids Asset/Equipment Information Brake Systems Drive Train/Transmission(s) Electrical Systems Engines Frame & Suspension Systems Health Conditions / Faults & Events Hydraulic / Pneumatic Work Systems Navigation Systems Operator/Console Systems Payload Trip Information Wheels/Tracks/Tires Equipment Data Class Asset/Equipment Information Brake Systems Drive Train/Transmission(s) Electrical Systems Engines Frame & Suspension Systems Health Conditions / Faults & Events Hydraulic / Pneumatic Work Systems Navigation Systems Operator/Console Systems Payload Trip Information Wheels/Tracks/Tires Product Improvement (OEM) New equipment options Improve account management with OEMs Resolve warranty claims quickly Feature usage vs cost OEM Value Drivers Aftermarket Services (OEM) Condition maintanance services Performance optimization services Finance / lease services Refurbish / replace recommendations Third-Party Value Drivers Third-Party Technology & Applications Dispatch applications Geospatial (GIS) Geotechnical services Telemetry services Scheduling & planning Site modelling

10 Mobile equipment open data consensus Guideline 5 Loaders (bucket loader, front loader, front-end loader, payloader, scoop, skip loader, or wheel loader) Heavy equipment machines used to move aside or load material into or onto another type of machinery (i.e., dump truck, conveyor belt, feed-hopper, or railroad car). Dozers Crawlers (continuous tracked tractor) equipped with a blade to push large quantities of soil, sand, rubble, or other material during mining operations or conversion work. This category also includes rubber-tired dozers. Hydraulic Diesel Excavators Hydraulic heavy equipment consisting of a boom, stick, bucket, and cab on a rotating platform known as the house. The house sits atop an undercarriage with tracks or wheels, which is operated through hydraulic fluid with hydraulic cylinders and hydraulic motors. Graders (road grader, blade, maintainer, or motor grader) Heavy machines with a long blade to create a flat surface during grading. Typical models have three axles: the engine and cab are situated above the rear axles at one end of the vehicle, and a third axle is at the front end of the vehicle with the blade in between. Electric Rope Shovels (electric cable shovel, stripping shovel, front shovel, or electric mining shovel) Bucketequipped machines, usually electrically powered, operated by cables, winches, and steel for digging and loading earth or fragmented rock and for mineral extraction. Scrapers Wheel tractor-scrapers are heavy equipment used for earthmoving. The rear part has a vertically moveable hopper with a sharp, horizontal front edge. The hopper can be hydraulically lowered and raised to cut into soil or clay like a plane and fills the hopper. 9.2 Underground Mining Equipment LHD Trucks Heavy equipment machines used in conjunction with scoops, trams, and loaders to move aside or load materials into or onto another type of machinery (i.e., dump truck, conveyor belt, or lift) or material dumping location. Drills Several types of drill rigs depend on the desired purpose, such as production, bolting, cabling, and tunneling. Scoops, Trams, and Loaders Heavy equipment used in conjunction with LHD trucks to move aside or load materials into or onto another type of machinery (i.e., dump truck, conveyor belt, or lift) or material dumping location. Rock Bolters (roof bolter) Hydraulically driven heavy equipment used to install rock bolts in mines, tunnels, and storage facilities. Shotcrete Trucks Driven heavy equipment used to deliver and agitate cement (shotcrete or Gunite) for use by spraying equipment. Lifts/Fork Lifts Vehicles used for roof reinforcement works, explosive charging, and installation of cables, pipes, and ventilation equipment. Typical options include sideshift platform, platform tilt, crane, pipe installing equipment, air compressors, and an electrically driven power pack for platform hydraulics. Chargers Heavy equipment that delivers and inserts explosive charges for blasting operations. Longwall Complex underground heavy equipment used to support the roof, slice panels of material, and crush and convey it away, all while moving along the rock face. 10. GUIDELINE REVISIONS (FUTURE VERSIONS) During guideline development, the team worked to develop strong consensus from the overall group at every stage in the process. When strong alignment could not be reached, points were tabled for subsequent discussion and versions of the guideline. The second version of this guideline has already been initiated, with the topic of autonomous equipment, additional equipment types, and undecided data groups. Data that are defined as closed, which also includes undecided, will be revisited in future guideline releases, along with new data items Autonomous Equipment The same dataset available from manned equipment should also be available from autonomous equipment. Additional information from the autonomous control system is also needed. To include these data groups, there needs to be a stronger industry vision and models for the autonomous equipment segment. A separate GMG initiative has begun to address this need, and will provide a framework to include autonomous control system data in a future guideline version Additional Equipment Types Several other categories of mobile mining equipment were recommended for inclusion in future revisions of this guideline, including mobile ventilation equipment and rock breakers Undecided Data Groups Undecided data groups did not have the strong consensus needed for initial inclusion (e.g., electrical data).

11 6 Mobile equipment open data consensus Guideline 10.4 Additional Datasets Additional data for consideration were identified during the process including: Transmission type Expected fuel range Instantaneous fuel consumption Tire temperature Tire flex (sidewall deflection) Vibration Payload calibration date (last) Emissions Operating time Cabinet dust/dirt Idle time (trip information) Data groups that are identified as closed will be reviewed for the next revision. Rationales will be provided for data groups that remain closed, and alternatives may be explored to address important use cases. 11. RESOURCES, REFERENCES, AND RECOMMENDED READING International Rock Excavation Data Exchange Standard (IREDES). (2016). International Rock Excavation Data Exchange Standard IREDES. Retrieved on February 19, 2016, from eswhitepaper.pdf International Society for Automation (2016). ISA95, Enterprise- Control System Integration. Retrieved from OpenXC (2016) OpenXC Data Set (2016). Retrieved 19 February 2016 from Rachovides, M. (2013, October). The mining industry of the future: The European Innovation Partnership on Raw Materials. Presented at the Annual Conference of the Norwegian Mining and Quarrying Industries, Trondheim, Norway. Retrieved from -future.pdf Rio Tinto PLC and Rio Tinto Ltd. (2014). Next-generation mining: People and technology working together [Brochure]. Retrieved on February 19, 2016, from /documents/mine_of_the_future_brochure.pdf W3C (2016). Vehicle data. W3C working draft, 19 January Retrieved on February 19, 2016, from /2016/WD-vehicle-data

12 Mobile equipment open data consensus Guideline 7 ANNEXES The following Surface Equipment (Annex A) and Underground Equipment (Annex B) annexes are sample datasets created at the time of the 2015 workshops. They are continually evolving, and are not intended as a prescriptive dictionary or standard for onboard datasets. Annex A: Surface Equipment (- indicates the data are not relevant to that equipment category)

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