SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
Occupational Health and Safety Regulations 2007
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
Occupational Health and Safety Regulations 2007
Contents
1.
About this tool ........................................................................................................................ 2
1.1 OHS Regulations 2007 relevant to risk management ..................................................... 3
1.2 References relevant to risk management ....................................................................... 4
2.
Risk management for all mining hazards............................................................................. 5
2.1 Getting started ................................................................................................................ 5
2.2 Identifying mining hazards .............................................................................................. 6
2.3 Assessing risks ............................................................................................................... 7
3.
Safety Assessment of major mining hazards ...................................................................... 9
3.1 Screening out the major mining hazards ........................................................................ 9
3.2 Safety Assessment ........................................................................................................10
3.3 Using appropriate methods ............................................................................................11
3.4 Identifying risk control measures ...................................................................................12
3.5 Documentation of the Safety Assessment .....................................................................14
4.
Reviewing the hazard identification and risk assessment ................................................16
5.
Employee involvement .........................................................................................................18
5.1 Safety role for employees ..............................................................................................18
5.2 Employee duties ............................................................................................................19
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
1.
About this tool
‘SA 1 – Risk management’ is part of the Self-assessment toolbox. This specific tool has been prepared to assist
operators of prescribed mines explore their risk management processes and identify opportunities for improvement. It
can be used as a stand-alone document or the content contained within this tool can be used to supplement existing
site procedures.
The Self-assessment toolbox is made up of core tools covering processes that are an essential part of day to day
safety management.
SA 1 – Risk management is based on Part 5.3 of the Occupational Health and Safety Regulations 2007 (OHS
Regulations) and covers topics such as hazard identification, Safety Assessment, identifying risk control measures, as
well as, employee involvement. There is space within each section of the tool to record your observations and
reference documents used to form your opinion. A compliance statement is also contained within relevant sections of
the tool to compare your findings against the regulatory standard. If you identify opportunities for improvement there is
space at the end of each section to record them and assign responsibilities and proposed completion date.
The Self-assessment toolbox
Core tools
SA 1 – Risk management
SA 2 – Managing risk control measures
SA 3 – Emergency management
SA 4 – Safety management systems
SA 5 – Consultation, information, instruction and training
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
1.1 OHS Regulations 2007 relevant to risk management
Regulation
Title
5.3.2
What is a mining hazard?
5.3.7
Identification of mining hazards and assessment of risk
5.3.8 (see note)
Control of risk
5.3.23
Safety Assessment of major mining hazards
5.3.9
Review by operator
5.3.25(1)(a)(b) & (2)
Safety role for employees
5.3.46(1)(c)
General duties – duty of employees to alert co-workers of mining hazards
5.3.47(c)
Major mining hazards in prescribed mines – duty of employees to inform
operator of major mining hazards
Note: the assessment criteria for regulation 5.3.8 are contained in self-assessment tool SA 2 – Managing risk control
measures.
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
1.2 References relevant to risk management
Reference
Relevant to
Location
National minerals industry safety
and health risk assessment
guideline – version 6, 2007
Section 4: Scoping / designing the
risk assessment – including formal
safety assessment development
Minerals Industry Health and Safety Centre,
University of QLD:
mishc.uq.edu.au
Minerals industry safety
handbook – NSW Department of
Minerals Resources, 2004
Section 1.5: Risk management –
including hazard identification and
risk assessment
Department of Primary Industries NSW:
dpi.nsw.gov.au
Hazard identification at a major
hazard facility – guidance note,
2011
Hazard identification
WorkSafe:
worksafe.vic.gov.au
AS/NZS ISO 31000:2009 Risk
management – principles and
guidelines
Risk management – overall
(systems focused)
Standards Australia:
standards.com.au
SA/SNZ HB 436:2013
(Guidelines to AS/NZS ISO
31000:2009) Risk management
guidelines – companion to
AS/NZS ISO 31000:2009
Risk management – overall
(systems focused)
Standards Australia:
standards.com.au
Safety Assessment for a major
hazard facility – guidance note,
2011
Safety Assessment
WorkSafe:
worksafe.vic.gov.au
Controlling OHS hazards and
risks – a handbook for
workplaces, 2007
Hazard identification, risk
assessment, risk control measures
WorkSafe:
worksafe.vic.gov.au
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SA-1 Risk Management
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2.
Risk management for all mining hazards
2.1 Getting started
The risk management process consists of a series of steps that, when undertaken in sequence, enable continual
improvement in decision-making.
Before you begin
Do you have access to the relevant information? Some key examples of this include: procedures which
define how you assess risk, maps of the mine, previous assessments, and relevant technical reports such as
fire safety studies or geological assessments.
Have you identified the specific regulations and legislation relating to risk management?
Have you identified what parts of the mine you want to risk assess?
Do you have a clear and organised way to collect all the data you will generate? Some key examples of this
include: registers, databases, or standardised document templates.
Have you made appointments with the relevant people and set aside time and a place to work where people
will not be distracted?
If using consultants to assist you in this work have you clearly defined the type of work to be performed, the
assessment methodology to be used, deliverables and timeframes?
Relevant documents and records
1.
2.
Observations and comments
Findings
No further work required
Opportunity for improvement identified
Opportunities for improvement identified
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Proposed completion date
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
2.2 Identifying mining hazards
Regulation
Sub-regulation
Regulation 5.3.7
(1)
The operator of a mine must so far as is reasonably practicable–
(a)
identify all mining hazards at the mine;
…
Before you begin
Do you have access to the relevant information? Some key examples of this include: previous hazard
identification information, internal and external checklist, information from relevant industry associations as
well as local, national, and global incident databases.
Have you chosen a hazID (hazard identification) process which is relevant for the process being considered?
An example of this would be a tailored checklist for geological hazards.
Have you consulted about the identification of mining hazards with employees at the mine who are likely to
be directly affected and their Health and Safety Representatives (HSRs)?
(Refer to self-assessment tool SA 5 – Consultation, information, instruction and training for more
information.)
Are the hazID processes documented and the reasons for selection of these processes documented? Does
the process avoid generic grouping of mining hazards that may lead to some risk control measures not being
identified?
In assessing whether all mining hazards have been identified, have you considered:
The types of hazards defined in regulation 5.3.2?
All surface and underground areas of the mine in use or disuse, and mine operation supporting functions
where mining hazards could occur? Some key examples include: surface material handling, ore treatment
facilities, waste dumps or slime settling facilities, transport routes, maintenance workshops offices,
underground access (in use, abandoned or being developed), ore handling, ventilation, ground support,
(including regional supports such as pillars and backfill, as well as local support such as rock bolting and
backfill), electricity, compressed air and water, and rock, ore or coal winning processes by the use of
explosives, machinery or plant.
All stages of the mining project life cycle and considered impact of mining hazards from previous stage on
the next stage of the mining project life cycle?
Who was involved and consulted with, and where this information is recorded?
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Relevant documents and records
1.
2.
Observations and comments
Compliance information
The operator can provide evidence to demonstrate that
all mining hazards have been identified.
Rating
Meets requirement
Does not meet requirement
Opportunities for improvement identified
Person responsible
Proposed completion date
2.3 Assessing risks
Regulation
Sub-regulations
Regulation 5.3.7
(1)
(2)
The operator of a mine must so far as is reasonably practicable–
…
(b)
assess the risks to health or safety associated with all mining hazards at
the mine.
In assessing the risks to health or safety associated with a mining hazard, the
operator must have regard to–
(a)
the nature of the mining hazard; and
(b)
the likelihood of the mining hazard causing, or contributing to, any harm to
any person; and
(c)
the severity of the harm that may be caused.
Before you begin
Do you have a documented process for assessing mining hazards? The process should take into account:
-
the nature of the hazards – that is the type of hazard and how it is best controlled
-
the likelihood of the hazard causing harm – how often is the hazard present. This is most likely to be
qualitative (ie not based on numbers) and should be based on experience and knowledge of the industry,
and
-
the severity of the harm that may be caused – this should consider the number of people exposed and
the type or extent of injury caused.
If you are using a risk matrix, is it calibrated for the low frequency/high consequence events which make up
the mines hazard profile? Does the frequency scale go low enough?
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Did you assess yourself against self-assessment tool SA 5 – Consultation, information, instruction and
training in consulting with people at the mine who are or are likely to be directly affected and their HSRs?
Some key examples of this include: mine management, technical staff, maintenance, and operators who
work in the area being considered.
Assessing the risk
Have you risk assessed all identified mining hazards?
Have you recorded an outcome for both likelihood and consequence for all identified mining hazards?
Have you recorded who was involved and who you consulted with?
Relevant documents and records
1.
2.
Observations and comments
Compliance information
The operator has risk assessed all identified mining
hazards and in undertaking the risk assessment has had
regard to:
- the nature of the mining hazard
-
the likelihood of the mining hazard causing harm,
and
-
the severity of the harm caused.
Opportunities for improvement identified
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Rating
Meets requirement
Does not meet requirement
Person responsible
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Proposed completion date
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
3.
Safety Assessment of major mining hazards
3.1 Screening out the major mining hazards
Note: whilst not explicitly stated within the OHS Regulations, operators of prescribed mines should identify major
mining hazards (MMH) before they can begin their Safety Assessment.
Regulation
Definition
Regulation 1.1.5
Major mining hazard means a mining hazard that has the potential to cause an incident
that would cause, or pose a significant risk of causing, more than one death.
Before you begin
Do you have access to the relevant information? Some key examples of this include: lists of all mining
hazards, maps of the mine, as well as information on where people work/visit and the activities they perform?
Do you have a documented process and criteria to screen out those mining hazards that are also MMHs?
This should include consideration of:
-
areas in the prescribed mine where multiple fatalities can occur, and
-
activities where more people may be present than usual such as non-routine operations, break downs,
audits, visitors, tours.
Have you consulted with people at the mine who are or are likely to be directly affected and their HSRs?
Screening out the major mining hazards
Have you screened out the MMHs? Are you aware which mining hazards require a full Safety Assessment?
Note: are MMHs identified based on only the severity or consequence assessment of a mining hazard? Screening
MMHs on likelihood may result in controls not being identified for all MMHs.
Relevant documents and records
1.
2.
Observations and comments
Findings
No further work required
Opportunity for improvement identified
Opportunities for improvement identified
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Proposed completion date
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
3.2 Safety Assessment
Regulation
Sub-regulations
Regulation 5.3.23
(1)
(2)
In order to assess the risks associated with major mining hazards, the operator of
a prescribed mine must conduct a comprehensive and systematic Safety
Assessment in accordance with this regulation.
A Safety Assessment must involve an investigation and analysis of the major
mining hazards in order to provide the operator with a detailed understanding of
all aspects of risks to health or safety associated with major mining hazards.
…
Before you begin
Do you have access to the relevant information? Some key examples of this include procedures relating to
how to conduct the Safety Assessment, input and source data relating to the Safety Assessment, and details
on the type of information you need to generate.
Do you have access to personnel who understand the Safety Assessment process which you have chosen
for your mine?
Have you considered that you may require more than one type of Safety Assessment method to ensure
detailed understanding of MMHs?
Do you intend to conduct the assessment with employees at the mine who are likely to be directly affected
and their HSRs?
Do you have a way to collect and store all the data you will generate during the assessment?
If you are using a consultant to assist with conducting the Safety Assessment, have you clearly defined their
role, the methodology to be used, the deliverables, and the timeframe on those deliverables?
Conducting a Safety Assessment
Have you conducted a comprehensive and systematic Safety Assessment for all MMHs?
Does the Safety Assessment build on the hazID and the risk assessments conducted earlier for all mining
hazards?
Does the Safety Assessment have sufficient description of the hazards, risk and controls to provide the mine
with an understanding of the nature, likelihood of control measures failure, and severity of the harm that may
be caused by each MMH? Is information obtained from the Safety Assessment used to work out the range
of response required for emergency planning?
Have you recorded who was involved and who you consulted with?
Relevant documents and records
1.
2.
Observations and comments
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SA-1 Risk Management
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Compliance information
The prescribed mine operator has conducted a
comprehensive and systematic Safety Assessment for
MMHs that:
- considers all MMHs identified from the initial
hazID and risk assessment, and
-
Rating
Meets requirement
Does not meet requirement
defines a clear and detailed risk description of
each MMH.
Opportunities for improvement identified
Person responsible
Proposed completion date
3.3 Using appropriate methods
Regulation
Sub-regulation
Regulation 5.3.23
…
(3)
In conducting a Safety Assessment under this regulation, the operator must–
(a)
consider the major mining hazards cumulatively as well as individually; and
(b)
use assessment methods (whether quantitative or qualitative, or both) that
are appropriate to the major mining hazards being considered.
…
Before you begin
Do you have access to all the relevant information? Some key examples include procedures which describe
your chosen method and your list of MMHs.
Do you understand the reasons why you have chosen the methods you are adopting and have you recorded
how the methods will consider MMHs cumulatively as well as individually?
Have you considered the benefits and limitations of the methods chosen?
Using an appropriate methodology
Does your documented Safety Assessment show that you have considered MMH cumulatively as well as
individually?
For example, cumulative effects include:
-
common sources of failures
-
incident escalation (domino effects), and
-
elevated risk in particular areas of the site due to the number of mining hazards present in the area.
Does your Safety Assessment show that you have completed your assessment using an appropriate
method?
Points to note include:
-
risks that are predominantly controlled using human intervention are best assessed with a qualitative
approach (eg risk matrix with text description of risk level)
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-
quantitative (or semi-quantitative) approaches are best used where there is sufficient research or history
to justify that approach (eg chemical processing areas)
-
the methodology should be accessible to all employees on the mine to assist understanding, and
-
involvement and understanding of employees should be incorporated into the methodology.
Avoid methodologies that can only be understood by consultants or corporate head office. For small and uncomplicated
mining operations a qualitative approach (using experienced personnel) for the full assessment is acceptable.
Relevant documents and records
1.
2.
Observations and comments
Compliance information
A methodology has been defined and used that
considers MMHs cumulatively as well as individually.
Consideration has been given to the appropriateness of
the assessment methodology.
Rating
Opportunities for improvement identified
Person responsible
Meets requirement
Does not meet requirement
Proposed completion date
3.4 Identifying risk control measures
Note: whilst not explicitly stated within the OHS Regulations, operators of prescribed mines should identify risk control
measures for all mining hazards. Operators of prescribed mines must document and describe all measures considered
for the control of risks associated with MMHs as required under regulation 5.3.23(4)(d) and discussed in further detail in
Section 3.5 of this tool.
Before you begin
Do you have access to the relevant information? Some key examples of this include: relevant company,
national or international standards, learnings from past incidents (local, national and global), control measure
registers, information about new technology, previous audit results, performance monitoring, and change
registers.
Do your procedures define how you identify risk controls, who needs to be involved and the type of
information you will use to identify control measures?
Do your procedures define criteria to assist you in identifying alternate control measures? Some key
examples of this include: hierarchy of control, benchmarking, and technology reviews.
Do you have a transparent way of recording the outcomes of the identification sessions?
Does this process identify both preventative and mitigative risk controls?
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SA-1 Risk Management
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Identifying risk control measures
Have you identified all possible risk control measures which can be considered for adoption?
Have you recorded who was involved and who you consulted with?
Relevant documents and records
1.
2.
Observations and comments
Findings
No further work required
Opportunity for improvement identified
Opportunities for improvement identified
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Proposed completion date
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
3.5 Documentation of the Safety Assessment
Regulation
Sub-regulation
Regulation 5.3.23
…
(4)
The operator must document all aspects of the Safety Assessment, and the
documentation must–
(a)
describe the methods used in the investigation and analysis; and
(b)
state–
(i)
the nature of each major mining hazard; and
(ii)
the likelihood of the major mining hazards causing, or contributing to
causing, any harm to any person; and
(iii)
the severity of the harm that may be caused; and
(c)
contain reasons for the decisions reached about the matters referred to in
paragraphs (b)(ii) and (b)(iii); and
(d)
describe all the measures considered for the control of risks associated
with major mining hazards; and
(e)
describe the reasons for adopting, or rejecting all risk control measures
considered; and
(f)
be set out and expressed in a way that is readily comprehensible to all who
use it; and
(g)
be kept available for inspection on request under the Act.
Before you begin
Do you have access to all the relevant information? Some key examples of this include: hazard and control
measure registers, detailed technical studies undertaken as part of the Safety Assessment, the Safety
Assessment, and information about the source data used.
Check if your databases, registers or templates capture all the information required by the OHS Regulations.
Check whether your procedure defines how Safety Assessments must be performed on your site.
Are you aware who uses the Safety Assessment information and how they locate it?
As part of good practice do your records contain a practical example to ensure reproducibility in the future?
Documenting the Safety Assessment
Do you document the outcomes of your Safety Assessment and who was involved in the Safety
Assessment?
When reviewing the documentation does it contain:
-
descriptions of the MMHs
-
assessments of the nature, likelihood and severity of the hazards
-
information on the identified risk control measures adopted and considered for adoption, and
-
the reasoning behind decisions.
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Do your reasons for not adopting control measures consider the so far as is reasonably practicable (SFARP)
test? Section 20(2) of the Occupational Health and Safety Act 2004 (OHS Act) requires the following factors
to be taken into account in determining whether a control measure is reasonably practicable:
-
the likelihood of the hazard or risk concerned eventuating
-
the degree of harm that would result if the hazard or risk eventuated
-
what the person concerned knows, or ought reasonably to know, about the hazard or risk, and any ways
of eliminating or reducing the hazard or risk
-
the availability and suitability of ways to eliminate or reduce the hazard or risk
-
the cost of eliminating or reducing the hazard or risk.
Do your employees understand the Safety Assessment?
How do you know that your document is available to and understood by all those who use it?
Is the documentation available for inspection by the WorkSafe or an Inspector?
Relevant documents and records
1.
2.
Observations and comments
Compliance information
The operator has described the methodology used and it
is transparent and understood by all employees who use
it.
AND
The content of the Safety Assessment contains:
- results from the outcomes of the Safety
Assessment
-
description on the range of control measures
considered for adoption
-
the reasons for adopting and rejecting control
measures, and
-
details of assumptions, used when determining
risk.
Rating
Meets requirement
Does not meet requirement
AND
The document is available for inspection under the OHS
Act.
Opportunities for improvement identified
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SA-1 Risk Management
A Self Assessment Tool for Prescribed Mines
4.
Reviewing the hazard identification and risk assessment
Regulation
Sub-regulations
Regulation 5.3.9
(1)
(2)
In order to ensure that an operator of a mine is complying with regulation 5.3.8(1)
by adopting appropriate risk control measures, the operator must review and, if
necessary, revise–
(a)
the identification of mining hazards; and
(b)
the assessment of risks to health or safety associated with mining hazards;
and
…
A review under sub regulation (1) must be conducted–
(a)
before any mine modification is made; or
(b)
after any incident involving a mining hazard occurs at the mine; or
(c)
if the operator has removed a person from the person’s work or assigned
the person to alternative work in the circumstances described in regulation
5.3.16(2); or
(d)
after receiving a request from a health and safety representative–
and in any event at least once every 3 years.
…
Before you begin
Have you clearly defined what you want to review and by when?
Do you have a copy of all the information you may need? Some key examples of this include: previous risk
assessments, hazID or control measure registers, change registers, and documents where you recorded any
previous assumptions.
Does your procedure for risk assessment define when you will complete a review and at a minimum lists the
circumstances specified in the OHS Regulations?
Does you procedure define how you complete your review and what tools or process you will use?
Do you intend to complete the review with employees at the mine who are likely to be directly affected and
their HSRs?
Reviewing the hazID and Safety Assessment
Have you reviewed the hazID and Safety Assessment under the specific circumstances listed in the OHS
Regulations?
Have you documented the outcome of the review?
Have you recorded who requested the review, who was involved, and who you consulted with?
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Relevant documents and records
1.
2.
Observations and comments
Compliance information
The mine operator can provide evidence that revision of
the hazID and Safety Assessment has taken place in the
circumstances required by the OHS Regulations.
Rating
Opportunities for improvement identified
Person responsible
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Does not meet requirement
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5.
Employee involvement
5.1 Safety role for employees
Regulation
Sub-regulations
Regulation 5.3.25
(1)
(2)
The operator of a prescribed mine must develop a role for the operator’s
employees, including the specific procedures employees are required to follow to
assist the operator to–
(a)
identify mining hazards at the mine under regulation 5.3.7;
(b)
conduct a Safety Assessment under regulation 5.3.23;
…
The operator of a prescribed mine must review the role of the employees
developed under this regulation if there is any change of circumstances, including
a mine modification, that would require additional or different knowledge of skills
on the part of the employees to perform the role.
Before you begin
Do you have access to all the relevant information? Some key examples of this include: position descriptions,
organisational charts, responsibility/role matrix, and contract specifications.
Do you have a copy of the procedure which defines how your employees assist you in risk management
processes, such as identifying mining hazards and conducting Safety Assessments?
Does this procedure include what will trigger a review of safety roles? Some key examples of this include:
change in legislation, mine modification, and change in organisational structure.
Have you developed and reviewed safety roles in consultation with employees at the mine who are likely to
be directly affected and their HSRs?
Developing and reviewing a safety role
Do you have safety role descriptions for your employees? Senior management, technical personnel,
supervisory personnel, operators, contractors and other employees may require safety role descriptions.
Do these descriptions detail the types of safety related activities that the role undertakes and where relevant
do these mention identifying mining hazards and conducting Safety Assessments?
Are you aware if employees are participating in hazID and Safety Assessment sessions as defined by their
role?
Do you review the skills and knowledge required to do the role when there has been a modification to the
mine?
Have you recorded who was involved in the development and/or review of the safety roles?
Have you recorded who you consulted with during the development and review?
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Relevant documents and records
1.
2.
Observations and comments
Compliance information
Safety roles have been defined and include hazID and
Safety Assessment activities for all relevant personnel at
the prescribed mine.
Specific procedures have been developed regarding
safety roles, including procedures for identifying hazards
and participating in the Safety Assessment.
A review of the skills and competencies required occurs
when modifications are made to the mine.
There is evidence that employees are participating in risk
management processes as defined by their role.
Rating
Opportunities for improvement identified
Person responsible
Meets requirement
Does not meet requirement
Proposed completion date
5.2 Employee duties
Regulation
Sub-regulation
Regulation 5.3.46
(1)
Regulation 5.3.47
An employee at a prescribed mine must–
…
(c)
immediately inform the operator of any circumstance of any kind that the
employee considers might be a major mining hazard.
An employee of an operator at a mine must–
…
(c)
alert immediate co-workers to any mining hazard of which he or she
becomes aware;
…
Before you begin
Do you have access to the relevant information? Some key examples of this include: shift log book entries,
hazard reports, risk/Safety Assessments, pre-start checklists, and procedures which define how employees
are to inform others of hazards.
Does your induction or training contain information on how employees are to raise an alert regarding (major)
mining hazards and to whom?
Does this extend to relevant contractors whom you are responsible for?
Do you use this information to update risk/Safety Assessments where relevant?
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SA-1 Risk Management
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Employee Duties
Are your employees informing management and/or co-workers immediately after becoming aware of mining
hazards, including MMHs?
Are you aware of what mining hazards are being reported on a daily basis? Is this information handed over
as part of the shift change over processes?
Relevant documents and records
1.
2.
Observations and comments
Compliance information
There is evidence that employees are informing
co-workers/operator immediately of (major) mining
hazards.
Rating
Opportunities for improvement identified
Person responsible
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Meets requirement
Does not meet requirement
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Proposed completion date
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Phone ....................... 03 9641 1444
Toll-free .................... 1800 136 089
Email ..... info@worksafe.vic.gov.au
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Phone ....................... 03 9641 1555
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support the purpose and intent for
which this publication was developed.
WorkSafe / SA-1 Risk Management
NEW Date
21