TMM Group CMSHA 99 Audit Tool

s30(1) Control and Risk Management:<br>Is there a management and operating system in place to achieve an acceptable level of risk on the mine site?

s30(2) Do these systems incorporate the appropriate risk management elements at the least to:<br>(a) Identify, analyse and assess risk?<br>(b) Avoid or reduce (remove) unacceptable risk?<br>(c) Monitor levels of risk and the adverse consequences of retained residual risk?<br>(d) Investigate and analyse the causes of serious accidents and high potential incidents with a view to preventing their recurrence?<br>(e) Regularly review the effectiveness of risk control measures, and where deficient, take appropriate corrective and preventive action?<br>(f) Mitigate (make less severe, moderate) the potential of adverse effects arising from residual risk?

s31(1) s31(2) s31(3) If a situation of unacceptable risk occurs, is there a system or process to:<br>(a) Evacuate persons to a safe location; and<br>(b) Bring the risk back to an acceptable level.<br><br>Action to reduce the risk to an acceptable level may including stopping the use of specified equipment or substance?<br><br>Have the action initiated by any person? The action may be taken by the CMO for the mine, the SSE for the mine, industry safety and health representatives, site safety and health representatives, coal mine workers, inspectors or inspection officers.

s32(b) Cooperation achieved at the Coal Mine level by:-<br>(i) election of site safety and health representatives; and<br>(ii) involving coal mine workers in the management of risk

s33(1)(2) Obligations for Health and Safety - Is there a system to ensure that following persons have, and appropriately discharge their statutory obligations:<br>(a) Coal mine workers<br>(b) Holders<br>(c) CMOs<br>(d) SSE<br>(e) Contractors <br>(f) Designers, manufacturers, importers and suppliers of plant for use at coal mines<br>(g) Erectors and installers of plant<br>(h) Manufactures, importers and suppliers of substances for use at coal mines<br>(i) Persons who supply a service at coal mines

s35 / s36 Obligations for Health and Safety<br><br>Are all persons aware that they may owe obligation in more than one capacity?<br><br>Are all persons aware that nothing in this Act that imposes a safety and health obligation on a person, relieves another person of their responsibilities under the Act?

s37 / s38 / s39 Are all persons aware that if a regulation prescribes a way of achieving an acceptable level of risk or prohibits exposure to risk, then their obligation can be discharged if they act in the prescribed way?<br><br>Where there is no relevant regulation or recognised standard, is there a guideline in place for persons to take ‘reasonable precautions and exercise due diligence” to ensure that their obligation is discharged?<br><br>Are persons aware of their obligations where they may affect the safety and health of others?

s41 Does the CMO comply with the Act by satisfactorily discharging their obligations?

s42 Does the SSE comply with the Act by satisfactorily discharging their obligations?<br>

s51 Has the SSE provided a copy of the management structure to the inspector prior to operations starting? (under Section 55)

s54(1) Has the CMO appointed only appointed one SSE for each mine, or the specified part of a mine that they are the nominated operator?

s54(2) Does the appointed SSE have responsibility for the one mine (or the specified part) only?

s54(4) Does the SSE maintain a record for each supervisory position, detailing names and competencies for each person required to carry out responsibilities of the position.

s55(1) Has the SSE:<br>(a) Developed and maintained a management structure in a way that allows for development and implementation of the safety management system?<br>(b) Documented the management structure?<br>

s55(2) Does the management structure documentation state:<br>(a) The responsibilities of the SSE?<br>(b) The responsibilities and competencies required for senior persons in the structure?<br>(c) The names of the persons holding what positions and a record of their competencies?<br>(d) Competencies required, and responsibilities for all supervisory positions at the mine.

s56 Competency of Supervisors<br>Prior to the SSE appointing and assigning a task to a supervisor, have they ensured that they:<br>(a) Are competent to perform the task assigned?<br>(b) Have the relevant safety and health competency recognised by the Council?

s57 Where the SSE is absent for more than 14 days, does the coalmine operator appoint “in writing” and submit the particulars to the relevant inspector, another person to act as SSE?<br>Is the acting SSE made aware that they are subject to all the obligations of the SSE?

s58(2) Is there a process in place for where the person appointed under Section 55 is temporally absent, that a similarly competent person (under Section 56) is appointed to conduct their duties during the period of absence?

s62(1) Does the mine have a safety and health management system?

s62(3)(a) Does the SHMS define the CMO's H&S policy?

s62(3)(b) Does the SHMS contain a plan to implement the CMO's H&S policy?

s62(3)(c) Does the SHMS detail how the CMO will develop the capabilities and support mechanisms necessary to achieve the policy?

s62(3)(d) Does the SHMS include PHMP's and SOP's?

s62(3)(e) (i) Does the SHMS contain a way for measuring, monitoring and evaluating the performance of the SHMS

s62(3)(e) (ii) Does the SHMS contain a way for taking the action necessary to prevent or correct matters that do not conform with the of the SHMS

s62(3)(f) Does the SHMS contain a plan to regularly review and continually improve the SHMS?

s62(3)(g) If there is a significant change to mining operations, does theSHMS have a system is in place for the immediate review of the safety and health management system to ensure that the coal mine safety and health is at an acceptable level?

62(4) Does the SSE make a copy of the SHMS and principal hazard management plan available for inspection by mineworkers employed at the coal mine?

s64 Does the SSE conduct a review of the PHMP and SOP in consultation with those coal mine workers affected by them:<br>(a) For a new mine as soon as practicable after the start of coal mining operations?<br>(b) For a change in an existing coal mine, prior to that change taking place?

s63 Does the PHMP:<br>(a) identify, analyse and assess risk associated with principal hazards; and<br>(b) include standard operating procedures and other measures to control risk.

s65 Does the SSE give notification in writing of (permanent) changes in the management structure to the inspector within 14 days of occurrence?

s66 Has the SSE entered into the mine record details of:<br>(a) The management structure positions and names of person holding these positions?<br>(b) Any changes that have been made?<br>Has the mine record entry been made within 7 days of their establishment or any subsequent changes?

s67(1) Does the SSE keep plans of the mine workings <br>Do the mine plans show the extent of the mine workings and the position of current workings?

67(2) Does the SSE submit the mine plans to the Chief Inspector prior to 31 December in each year?

67(3) Does the SSE have a system in place to readily provide relevant plans to an inspector, inspection officer or industry safety and health representative upon request?

s67(5) Does the SSE have a system for providing information mentioned in subsection 67(1)(c) or (d) to the SSE of an adjoining mine: <br>(a) if asked by the SSE of the adjoining mine; or<br>(b) if the information is relevant to the safety of the adjoining mine.

67(6) The accuracy of the plans mentioned in this section must be certified by:<br>(a) for a surface mine—a person having the competencies for surface mining surveying recognised by the council, or registered as a surveyor or surveying associate under the Surveyors Act 2003

68(1) Mine Record:<br>Does the CMO keep at the mine a document nominated as the mine record?<br>Does the mine record include:<br>(a) Reports of all statutory inspections, investigations and audits carried out ?<br>(b) Directives issued under the Act? (to the CMO and the operator’s agents or representatives)<br>(c) Any remedial actions taken as a result of issued directives?<br>(d) Reports of serious accidents and high potential incidents that have occurred?<br>(e) Any other reports or information that may be required by a regulation or standard operating procedure?

68(2) Is the required information, or content of the mine record (including that input under the previous Act), kept for at least a seven year period?

68(4) Is the content of the mine record for at least the previous six months made available, on a reasonable basis, for inspection by mineworkers?

s68(5) Is there a system in place to keep the content of the mine record secure?

s69 Has a system been put in place by the SSE to display on relevant noticeboards (or other) a copy of directives and reports of inspections carried out under the Act?<br>Is this display made within 5 days after the SSE being notified of their election?

s69A Does the SSE have a system in place for providing records of training and assessment for a CMW at another site that has been requested by the SSE/CMO of another site?

s99(2) Do the SSE and supervisors at a coal mine ensure that reasonable help is given to a site safety and health representative in carrying out the representative's function

s99(3) Does the SSE or their representative accompany the SSHR/IHSR during an inspection? [Note: This is optional]

s99(4) At the completion of their inspection, does the SSE receive from the SSHR the following:<br>(a) A copy of their written report<br>(b) Immediate notification of an actual or possible danger (can be via a supervisor)?

s106 Does the SSE tell the SSHR about the following information: <br>(a) an injury or illness to a person from coal mining operations that causes an absence from work of the person;<br>(b) a high potential incident happening at the coal mine;<br>(c) any proposed changes to the coal mine, or plant or substances used at the coal mine, that affect, or may affect, the safety and health of persons at the mine;<br>(d) the presence of an inspector or inspection officer at the coal mine if the representative is at the mine;<br>(e) a directive given by an inspector, inspection officer or ISHR about a matter.

s107 Does the SSE display a notice advising the identity of each SSHR for the mine?

s198(1) Does the SSE immediately notify an inspector and an ISHR (either orally or in writing) on becoming aware of a serious accident, high potential incident or death?

s198(3) Does the SSE, as soon as possible after becoming aware of an accident, incident or death, by notice or orally notify an inspector and an ISHR about the accident, incident or death, provide the the primary information stated in s198(3A)?

s198(4) If the SSE makes an oral report under s198(1) or (3), do they confirm the report by notice within 48 hours?

s198(5) If the oral report relates to a death, does the SSE confirm the oral report by notice within 24 hours?

s198(6) Does SSE as soon as practicable after receiving a report of a disease prescribed under a regulation as a disease that must be reported under this section, give an inspector and an ISHR notice about the disease?

s200 Does the SSE have a system to ensure that a person does not interfere with a place that is the site of a serious accident or high potential incident, without the permission of an inspector?

s201(1) Does the SSE have a system in place if there is a serious accident or high potential incident, to do the following:<br>(a) carry out an investigation to decide the causes of the accident or incident; and<br>(b) prepare a report about the accident or incident that includes recommendations to prevent the accident or incident happening again; and<br>(c) if the accident or incident is a type prescribed by regulation—forward the report to an inspector within 1 month after the accident or incident.

s201(2) The site senior executive must ensure that the place of the accident or incident is not interfered with until:<br>(a) all relevant details about the accident or incident have been recorded and, if possible, photographed; and<br>(b) sufficient measurements have been taken to allow the development of an accurate plan of the site; and<br>(c) a list of witnesses to the accident or incident has been compiled.

s273(10) Does SSE have a system to notify the inspector of any action taken under s273 immediately after the action is taken?

s274(3)(4) In the case where a person has refused to undertake a task due to their belief that they may be placed in a situation of personal danger, does the mine operator or operators representative (normally the SSE), advise any subsequent worker who is asked to do the job, that the original worker exercised their rights under Section 274(1)?

s275AA Does the SSE ensure that a person must not cause, or attempt or conspire to cause, detriment to another person because, or in the belief that, the other person:<br>(a) has made a complaint, or in any other way has raised, a coal mine safety issue; or<br>(b) has contacted or given help to an official in relation to a coal mine safety issue?