Self Assessment Questionnaire Inrushes and Subsidence Major Hazard Standard

Transcription

1 WMC Environment, Health & Safety Management System Self Assessment Questionnaire Inrushes and Subsidence Major Hazard Standard MHS-09 DocsOpen : 57250, 11/07/2000 Uncontrolled copy check web for latest revision Revision Reviewed Description of Changes Date Approved 1 A Barfield Revised 11/07/2000 P Plavina 0 First Issue 19/06/1999 K Thomas WMC Resources Ltd WMC has developed this document for internal use, specific to circumstances and conditions within its operations. It is intended to provide general information and its applicability to external parties may therefore be limited. WMC makes no representations as to the applicability of the information for use by any party other than WMC and should not be relied upon as such. WMC provides no representation or warranty as to safety or business outcomes arising from application of this document and its requirements by third parties.

2 Major Hazard Standard Inrushes and Subsidence Self Assessment Questionnaire CONTENTS 1 Purpose and Scope 3 2 How to use the Assessment 3 3 Roles and Functions 3 4 Interview Questionnaire Senior Manager Operations Manager Operations Team Leader Operations Team Member Maintenance Manager Maintenance Team Leader Maintenance Team Member Support Manager Support Team Leader Support Team Member Docs Open 57250

3 Major Hazard Standard Inrushes and Subsidence Self Assessment Questionnaire Finally: Add comments relevant to the question and your circumstances. 1 Purpose and Scope This document is designed to allow each person in the organisation to understand what they are responsible for when planning, designing, constructing, operating, maintaining or disposing of the processes covered by the standard. The assessment covers all requirements of the standard for Senior Managers, Managers, Team Leaders and Team members in the Operations, Maintenance and Support functions. By using this questionnaire, each person should be able to judge whether they have adequate skills, tools or written procedures to safely carry out their responsibilities for Inrushes and Sunbsidence. The questionnaire is compiled from the Major Hazard Standard and the audit protocol. This self-assessment has no mandatory requirement to be used and how each site uses this questionnaire is to be decided by the site. 3 Roles and Functions The questionnaire is divided into different roles and functions. The aim has been to develop questions that explore how you are complying with the requirements of the standard while taking into account the different responsibilities and activities that are present on each site. Each site will need to define where their management structure fits with the generic roles as listed below. When this has been achieved, all personnel on site will understand which section of the questionnaire applies to them. Roles are defined as follows: Role Title Responsible for: Example Titles Senior Manager: Manager: The activities of the whole site The output of a number of teams General Manager, Site Manager, Project Manager, Mines Manager Metallurgical Manager, Underground Manager, Maintenance Manager 2 How to use the Assessment The questionnaire is divided into separate sections. Team Leader: Team Member The output of a single team Completing tasks so that the team will reach target outputs Shift coordinator, Shift Boss, Maintenance Coordinator, Drilling Crew boss Technician, Miner, Operator Each section is designed for a different role and function. These are explained in roles and functions below, together with a selection of examples. Steps: First: Select the section of the questionnaire that applies to you; Next: Read through each question answering with a Yes, No or N/A (Not Applicable); Functions are defined as follows; Operations Working on the processes that achieve output for sales. Maintenance Support Doing work that keeps Operations functioning so that they can make target output. Providing specialist knowledge and advice to Operations and Maintenance teams Docs Open 57250

4 4 Interview Questionnaire 4.1 Senior Manager Is there a procedure for a formal risk assessment prior to commencing work in areas exposed to landslides, flash floods, etc.? Is there a procedure for safe access to disused underground or surface workings that ensures: all entrances to workings are secured against unauthorised access? only competent persons or people accompanied by competent persons are authorised to access workings? that workings are de-watered to a safe level? access is conditional on the stability of backfill? Are inrushes, subsidence and airblasts considered at each decision making stage of a project? Is there a clearly defined process for project planning and evaluation and does this process nominate the position of the person with authority for approving each planning stage? Is there a Water Control Plan? Is a regular documented risk assessment of the potential for uncontrolled mass movement of material in existing and proposed mining areas conducted? Is there a procedure or a response plan for actions when changes in leading indicators are identified? e.g. cyclone warnings NA YES NO Documents that you should be able to access Do personnel selected for positions that involve assessment and control of mass movement of material have adequate competence? Are line management accountabilities and authorities nominated for the control of mass movement of material? Senior Manager Page 4 of 45

5 Have the appropriate recommendations from the risk assessment process been implemented by operations? Have the processes and procedures been reviewed in the last year? Have all issues identified in the risk assessment been included in the water control plan? Have relevant mine site personnel been made aware of the circumstances and consequences of significant past incidents involving uncontrolled mass movement of material and the potential for future events? Does the site receive external communication regarding experiences in uncontrolled mass movement of material and is this information used to review existing processes and procedures? Does the site send external communication regarding experiences in uncontrolled mass movement of material and the way this information was used to review existing processes and procedures? Are modifications that alter the current approved mining method or process subjected to a formal approval process that ensures identification and control of hazards involving uncontrolled mass movement of material? Does the site have an emergency response procedure that includes provisions for rescue and recovery of survivors following an uncontrolled mass movement of material? Is there a formally developed decommissioning and rehabilitation program that addresses the control of hazards involving mass movement of material? Have final surveys been conducted, and the plans updated, prior to the completion of decommissioning of any site? Are all plans of decommissioned areas (including mines) stored, as per the WMC Corporate archive guidelines, so that they may be recovered at any time in the future? Has the geotechnical stability of all crown pillars, other major pillars, existing stope voids, dams, dumps, embankments etc., been investigated and established prior to final de-commissioning and rehabilitation? Where practicable, has transfer of ownership ensured transfer of responsibility for hazards involving uncontrolled mass movement of material? For risks that cannot be transferred, have long term hazard management plans been developed and resourced? NA YES NO Documents that you should be able to access Senior Manager Page 5 of 45

6 NA YES NO Documents that you should be able to access Counts Senior Manager Page 6 of 45

7 4.2 Operations Manager Is there a procedure for a formal risk assessment prior to commencing work in areas exposed to landslides, flash floods, etc.? Are risk assessments conducted as per the procedure? Do procedures for working in these areas meet the specific requirements of the formal risk assessment? Is there a procedure for gathering relevant data during the exploration program for use in the later decision-making stages of the project? Are required competencies identified and are persons assessed as competent for gathering the information? Is there a procedure(s) for exploration activities that ensures: all drill holes are marked and their spatial position recorded for future location? survey information can be referenced to the world grid if required? Is there a procedure(s) for exploration activities that ensures: All drill holes are fully or partially grouted prior to any possible connection between any water source and underground workings? all drill holes are capped to prevent surface water entering the hole? Is there a procedure(s) for exploration activities that ensures: the avoidance of drilling into underground workings which could be occupied? The potential deviation of drill holes is considered? Is there a procedure for safe access to disused underground or surface workings that ensures: all entrances to workings are secured against unauthorised access? only competent persons or people accompanied by competent persons are authorised to access workings? that workings are de-watered to a safe level? access is conditional on the stability of backfill? NA YES NO Documents that you should be able to access or Further action Operations Team Member Page 7 of 45

8 Are inrushes, subsidence and airblasts considered at each decision making stage of a project? Is there a clearly defined process for project planning and evaluation and does this process nominate the position of the person with authority for approving each planning stage? Is there a documented process to manage the pre-feasibility stage of a project? Does the process ensure: the likelihood of an inrush, subsidence or airblast is considered when ranking options for mining methods? risks to people have priority before economic or other risks? there is a guideline that identifies the required critical information for inrush, subsidence and airblast hazards? recommendations are produced by competent persons who consider all relevant information? the completed pre-feasibility study is subject to peer review? Are completed pre-feasibility studies subject to an independent peer review? Is there a documented processs to manage the feasibility stage of a project? Does the process ensure: there is a formal risk assessment of uncontrolled mass movement of material that includes threats from changes over the life of the project? that the scope of the risk assessment above, includes the location, interaction and specification of underground access and surface facilities? appropriate standards are referred to when considering inrush/subsidence potential? factors outlined under pre-feasibility are considered in detail? the feasibility study is reviewed by persons who are familiar with uncontrolled mass movement of material hazards and their controls? a competent and authorised manager signs off the feasibility study? completed feasibility studies are subject to independent peer review? Are completed feasibility studies subject to independent peer review? NA YES NO Documents that you should be able to access or Further action Operations Team Member Page 8 of 45

9 Are the feasibility studies reviewed by persons who are familiar with uncontrolled mass movement of material hazards and their controls and are they signed off by a competent and authorised manager? Is there a Water Control Plan? Does it include appropriate diversion structures? Does it include minimisation of uncontrolled surface ponding near or above mine workings or populated areas? Does it include flow predictions? Does it include analysis of the consequences of control failures? Does it include a contingency plan? Does ore and waste pass design ensure that the risk of hang-ups are minimised? Does ore and waste pass design ensure that the risk of rushes are minimised? Does ore and waste pass design ensure that in the event of hang-ups, there is a safe method to clear them? Does ore and waste pass design ensure that provisions for access and inspection of passes take into account the effects of hang-ups and rushes of material? Where the selected mining method requires backfill, has the backfill system design, distribution system, fill drainage system and fill barricade design undergone a formal technical review by a backfill specialist? Where the selected mining method requires backfill, has the backfill material specification been based on adequate investigation that ensures the stability of the fill material and control of liquefaction? Where open stoping is being considered have the stope stability (relative to size, shape and orientation of the voids), potential failure modes and probability of collapse, subsidence and airblast been taken into account? Where caving is being considered has the caveability of the rock mass and the potential for voids, subsidence and airblast been taken into account? NA YES NO Documents that you should be able to access or Further action Operations Team Member Page 9 of 45

10 Is there a formal mine design and development process that ensures: mine designs take cognisance of additional updated information received from drilling, development, stoping and monitoring? design changes do not prejudice the long-term requirements for the control and elimination of inrush, subsidence or airblast hazards? all requirements of pre-feasibility and feasibility have been satisfied? pillar designs are assessed using accepted geotechnical formulae and take cognisance of time related effects? the undercutting methodology for cave initiation is designed to mitigate the risk of airblast? water retaining/draining structures are adequately designed and monitored to ensure integrity? Is there a formal mine design and development process that ensures all escape ways are located or otherwise protected so that: they are not a pathway for any potential inrush? they are not in an area of possible subsidence? all connections to an escape way are designed to prevent an inrush blocking it? Do ongoing drilling programs provide adequate information enabling the safe development and operation of the mine with regard to inrush and subsidence hazards? Is a procedure in place so that each proposed drillhole alignment including possible deviation is checked to ensure that it does not intersect current work areas unless precautions are in place? If the crown pillar is designed to be mined through to the base of an open pit/surface will it be mined last? If the crown pillar is not to be mined last, have provisions been made for a formal review that the open pit will not be subject to water inrushes? If the crown pillar is not to be mined last, have provisions been made for any water entering the pit being removed and controlled safely? If the crown pillar is not to be mined last, have provisions been made for flood control? NA YES NO Documents that you should be able to access or Further action Operations Team Member Page 10 of 45

11 Where the mining method results in large voids being created has the risk of subsidence, inrush or airblast into the void been assessed? Where there is an identified risk of uncontrolled mass movement of material is the accumulated void volume determined regularly? Are controls in place to ensure mass movement of material into the void cannot lead to damaging airblasts? Is a regular documented risk assessment of the potential for uncontrolled mass movement of material in existing and proposed mining areas conducted? Is a risk assessment conducted if there is an identified change of scope in operations? Are all accepted recommendations of the assessment implemented by means of an action plan? Has a set of leading indicators been identified that are to be monitored to identify significant change? Is there a procedure or a response plan for actions when changes in leading indicators are identified? e.g. cyclone warnings NA YES NO Documents that you should be able to access or Further action Do personnel selected for positions that involve assessment and control of mass movement of material have adequate competence? Are line management accountabilities and authorities nominated for the control of mass movement of material? Does the geotechnical review required by saf-mhs-01 underground ground control include consideration of hazards involving uncontrolled mass movement of material? Are there contingency plan(s) for situations involving an uncontrolled mass movement of material? Has there been a geotechnical investigation prior to drilling any permanent raise and have the results of the investigation been assessed for hazards involving uncontrolled mass movement of material? Is there a process for identifying the locations of inaccessible workings or suspected voids in the vicinity of an open pit or underground mine before developing towards them? Operations Team Member Page 11 of 45

12 Is there a process for determining the safe distance a normal mining operation and infrastructure development may approach a suspected inrush, subsidence or airblast hazard? Does a procedure dictate actions to be followed when working within this distance? Is the distance, the procedure and checks on the hazard and its location appropriate for the size of the hazard and the accuracy of the data? Are all development and accessible stope excavations surveyed and recorded on mine plans before access is lost? Does open pit or underground excavation work only commence with an approved work plan? Have the appropriate recommendations from the risk assessment process been implemented by operations? Is only consolidated fill used behind lagging or barriers in or adjacent to shafts or raises? Are fill barricades designed and constructed to contain unconsolidated stope fill? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for each method of filling underground voids? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the design, construction and quality control of fill barricades or bulkheads (rearings)? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the specification and maintenance of backfill quality? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for design, construction and quality control of concrete sill/crown pillars? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for raise drilling and bogging of cuttings? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for mining under crown pillars? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the storage, controlled handling and disposal of mud, sump slimes, raise bore cuttings, shaft spillage etc.? NA YES NO Documents that you should be able to access or Further action Operations Team Member Page 12 of 45

13 Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the storage, handling and disposal of rock, road-base, sand and gravels. This procedure shall include guidelines for the design of dumps for different material types? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the regular inspection and maintenance of escape ways that ensures availability? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for control of water and mud entering the passes? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for the clearing of blockages? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for monitoring the material levels in passes? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for periodic inspections or monitoring of pass conditions? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for desired material size control? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the pass control mechanism including start-up and shutdown requirements? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the drawing of material from a shrink stope or cut and fill stope when persons are working in the stope that includes communications methods? ,4,3 Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the monitoring of any possible voids when using a caving method? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for monitoring the progress of the cave front when using a caving method? NA YES NO Documents that you should be able to access or Further action Operations Team Member Page 13 of 45

14 Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for draw control to minimise the possible generation of voids when using a caving method? Have the processes and procedures been reviewed in the last year? Does the mine water control plan include cover drilling for water? Does the mine water control plan include drilling through stand pipes and stop cocks? Does the mine water control plan include drilling through an aquifer into or from underground workings? Does the mine water control plan include grouting of drill holes? Does the mine water control plan include capping of surface drill holes? Does the mine water control plan include flow measurement? Does the mine water control plan include drainage and service network design and operation? Does the mine water control plan include start-up and shut-down requirements of water and tailings transfer systems? Does the mine water control plan include maintenance and monitoring requirements of water and tailings dams, underground stored water, pumps etc.? Does the mine water control plan include contingency plans for dealing with high inflows, flooding and pump failure? Does the mine water control plan include ventilation effects from stagnant or inflowing water? Have all issues identified in the risk assessment been included in the water control plan? Have relevant mine site personnel been made aware of the circumstances and consequences of significant past incidents involving uncontrolled mass movement of material and the potential for future events? Does the site receive external communication regarding experiences in uncontrolled mass movement of material and is this information used to review existing processes and procedures? NA YES NO Documents that you should be able to access or Further action Operations Team Member Page 14 of 45

15 Does the site send external communication regarding experiences in uncontrolled mass movement of material and the way this information was used to review existing processes and procedures? Are modifications that alter the current approved mining method or process subjected to a formal approval process that ensures identification and control of hazards involving uncontrolled mass movement of material? Does the site have an emergency response procedure that includes provisions for rescue and recovery of survivors following an uncontrolled mass movement of material? Is there a formally developed decommissioning and rehabilitation program that addresses the control of hazards involving mass movement of material? Have final surveys been conducted, and the plans updated, prior to the completion of decommissioning of any site? Are all spatial dimensions such that they can be referenced to the world grid at any time in the future? Are all plans of decommissioned areas (including mines) stored, as per the WMC Corporate archive guidelines, so that they may be recovered at any time in the future? Is the storage of these plans contained within a system that allows recovery regardless of media? Has the geotechnical stability of all crown pillars, other major pillars, existing stope voids, dams, dumps, embankments etc., been investigated and established prior to final de-commissioning and rehabilitation? For risks that cannot be transferred, have long term hazard management plans been developed and resourced? Counts NA YES NO Documents that you should be able to access or Further action 4.3 Operations Team Leader Are risk assessments conducted as per the procedure? NA YES NO Documents that you should be able to access Operations Team Member Page 15 of 45

16 Do procedures for working in these areas meet the specific requirements of the formal risk assessment? Is there a procedure(s) for exploration activities that ensures: all drill holes are marked and their spatial position recorded for future location? survey information can be referenced to the world grid if required? Is there a procedure(s) for exploration activities that ensures: All drill holes are fully or partially grouted prior to any possible connection between any water source and underground workings? all drill holes are capped to prevent surface water entering the hole? Is there a procedure(s) for exploration activities that ensures: the avoidance of drilling into underground workings which could be occupied? The potential deviation of drill holes is considered? Is there a procedure for safe access to disused underground or surface workings that ensures: all entrances to workings are secured against unauthorised access? only competent persons or people accompanied by competent persons are authorised to access workings? that workings are de-watered to a safe level? access is conditional on the stability of backfill? Does the Water Control Plan include a contingency plan? Does ore and waste pass design ensure that the risk of hang-ups are minimised? Does ore and waste pass design ensure that the risk of rushes are minimised? Does ore and waste pass design ensure that in the event of hang-ups, there is a safe method to clear them? Does ore and waste pass design ensure that provisions for access and inspection of passes take into account the effects of hang-ups and rushes of material? Where the selected mining method requires backfill, has the backfill system design, distribution system, fill drainage system and fill barricade design undergone a formal technical review by a backfill specialist? NA YES NO Documents that you should be able to access Operations Team Member Page 16 of 45

17 Where the selected mining method requires backfill, has the backfill material specification been based on adequate investigation that ensures the stability of the fill material and control of liquefaction? Where open stoping is being considered have the stope stability (relative to size, shape and orientation of the voids), potential failure modes and probability of collapse, subsidence and airblast been taken into account? Where caving is being considered has the caveability of the rock mass and the potential for voids, subsidence and airblast been taken into account? Do ongoing drilling programs provide adequate information enabling the safe development and operation of the mine with regard to inrush and subsidence hazards? Is a procedure in place so that each proposed drillhole alignment including possible deviation is checked to ensure that it does not intersect current work areas unless precautions are in place? If the crown pillar is designed to be mined through to the base of an open pit/surface will it be mined last? If the crown pillar is not to be mined last, have provisions been made for a formal review that the open pit will not be subject to water inrushes? If the crown pillar is not to be mined last, have provisions been made for any water entering the pit being removed and controlled safely? If the crown pillar is not to be mined last, have provisions been made for flood control? Where the mining method results in large voids being created has the risk of subsidence, inrush or airblast into the void been assessed? Where there is an identified risk of uncontrolled mass movement of material is the accumulated void volume determined regularly? Are controls in place to ensure mass movement of material into the void cannot lead to damaging airblasts? Is a risk assessment conducted if there is an identified change of scope in operations? NA YES NO Documents that you should be able to access Are all accepted recommendations of the assessment implemented by means of an action plan? Operations Team Member Page 17 of 45

18 Has a set of leading indicators been identified that are to be monitored to identify significant change? Is there a procedure or a response plan for actions when changes in leading indicators are identified? e.g. cyclone warnings NA YES NO Documents that you should be able to access Are there contingency plan(s) for situations involving an uncontrolled mass movement of material? Has there been a geotechnical investigation prior to drilling any permanent raise and have the results of the investigation been assessed for hazards involving uncontrolled mass movement of material? Is there a process for identifying the locations of inaccessible workings or suspected voids in the vicinity of an open pit or underground mine before developing towards them? Is there a process for determining the safe distance a normal mining operation and infrastructure development may approach a suspected inrush, subsidence or airblast hazard? Does a procedure dictate actions to be followed when working within this distance? Is the distance, the procedure and checks on the hazard and its location appropriate for the size of the hazard and the accuracy of the data? Are all development and accessible stope excavations surveyed and recorded on mine plans before access is lost? Does open pit or underground excavation work only commence with an approved work plan? Have the appropriate recommendations from the risk assessment process been implemented by operations? Is only consolidated fill used behind lagging or barriers in or adjacent to shafts or raises? Are fill barricades designed and constructed to contain unconsolidated stope fill? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for each method of filling underground voids? Operations Team Member Page 18 of 45

19 Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the design, construction and quality control of fill barricades or bulkheads (rearings)? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the specification and maintenance of backfill quality? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for design, construction and quality control of concrete sill/crown pillars? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for raise drilling and bogging of cuttings? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for mining under crown pillars? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the storage, controlled handling and disposal of mud, sump slimes, raise bore cuttings, shaft spillage etc.? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the storage, handling and disposal of rock, road-base, sand and gravel. This procedure shall include guidelines for the design of dumps for different material types? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the regular inspection and maintenance of escape ways that ensures availability? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for control of water and mud entering the passes? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for the clearing of blockages? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for monitoring the material levels in passes? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for periodic inspections or monitoring of pass conditions? NA YES NO Documents that you should be able to access Operations Team Member Page 19 of 45

20 Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for desired material size control? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the pass control mechanism including start-up and shutdown requirements? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the drawing of material from a shrink stope or cut and fill stope when persons are working in the stope that includes communications methods? ,4, Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the monitoring of any possible voids when using a caving method? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for monitoring the progress of the cave front when using a caving method? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for draw control to minimise the possible generation of voids when using a caving method? Have the processes and procedures been reviewed in the last year? Does the mine water control plan include cover drilling for water? Does the mine water control plan include drilling through stand pipes and stop cocks? Does the mine water control plan include drilling through an aquifer into or from underground workings? Does the mine water control plan include grouting of drill holes? Does the mine water control plan include capping of surface drill holes? Does the mine water control plan include flow measurement? Does the mine water control plan include drainage and service network design and operation? Does the mine water control plan include start-up and shut-down requirements of water and tailings transfer systems? Does the mine water control plan include maintenance and monitoring requirements of water and tailings dams, underground stored water, pumps etc.? NA YES NO Documents that you should be able to access Operations Team Member Page 20 of 45

21 Does the mine water control plan include contingency plans for dealing with high inflows, flooding and pump failure? Does the mine water control plan include ventilation effects from stagnant or inflowing water? Have all issues identified in the risk assessment been included in the water control plan? Have relevant mine site personnel been made aware of the circumstances and consequences of significant past incidents involving uncontrolled mass movement of material and the potential for future events? Does the site receive external communication regarding experiences in uncontrolled mass movement of material and is this information used to review existing processes and procedures? Does the site send external communication regarding experiences in uncontrolled mass movement of material and the way this information was used to review existing processes and procedures? Are modifications that alter the current approved mining method or process subjected to a formal approval process that ensures identification and control of hazards involving uncontrolled mass movement of material? Does the site have an emergency response procedure that includes provisions for rescue and recovery of survivors following an uncontrolled mass movement of material? Have final surveys been conducted, and the plans updated, prior to the completion of decommissioning of any site? Counts NA YES NO Documents that you should be able to access 4.4 Operations Team Member Is only consolidated fill used behind lagging or barriers in or adjacent to shafts or raises? NA YES NO Documents that you should be able to access Operations Team Member Page 21 of 45

22 NA YES NO Documents that you should be able to access Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for each method of filling underground voids? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the design, construction and quality control of fill barricades or bulkheads (rearings)? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the specification and maintenance of backfill quality? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for design, construction and quality control of concrete sill/crown pillars? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for raise drilling and bogging of cuttings? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for mining under crown pillars? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the storage, controlled handling and disposal of mud, sump slimes, raise bore cuttings, shaft spillage etc.? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the storage, handling and disposal of rock, road-base, sand and gravel. This procedure shall include guidelines for the design of dumps for different material types? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the regular inspection and maintenance of escape ways that ensures availability? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for control of water and mud entering the passes? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for the clearing of blockages? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for monitoring the material levels in passes? Operations Team Member Page 22 of 45

23 NA YES NO Documents that you should be able to access Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for periodic inspections or monitoring of pass conditions? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for desired material size control? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the pass control mechanism including start-up and shutdown requirements? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the drawing of material from a shrink stope or cut and fill stope when persons are working in the stope that includes communications methods? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the monitoring of any possible voids when using a caving method? ,4,3 Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for monitoring the progress of the cave front when using a caving method? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for draw control to minimise the possible generation of voids when using a caving method? Have relevant mine site personnel been made aware of the circumstances and consequences of significant past incidents involving uncontrolled mass movement of material and the potential for future events? Counts Operations Team Member Page 23 of 45

24 4.5 Maintenance Manager NA YES NO Documents that you should be able to access Is there a formal mine design and development process that ensures: mine designs take cognisance of additional updated information received from drilling, development, stoping and monitoring? design changes do not prejudice the long-term requirements for the control and elimination of inrush, subsidence or airblast hazards? all requirements of pre-feasibility and feasibility have been satisfied? pillar designs are assessed using accepted geotechnical formulae and take cognisance of time related effects? the undercutting methodology for cave initiation is designed to mitigate the risk of airblast? water retaining/draining structures are adequately designed and monitored to ensure integrity? Where the mining method results in large voids being created has the risk of subsidence, inrush or airblast into the void been assessed? Where there is an identified risk of uncontrolled mass movement of material is the accumulated void volume determined regularly? Are controls in place to ensure mass movement of material into the void cannot lead to damaging airblasts? Has a set of leading indicators been identified that are to be monitored to identify significant change? Is there a procedure or a response plan for actions when changes in leading indicators are identified? e.g. cyclone warnings Do personnel selected for positions that involve assessment and control of mass movement of material have adequate competence? Are line management accountabilities and authorities nominated for the control of mass movement of material? Have the processes and procedures been reviewed in the last year? SAF-MHSAQ-09 Rev 1 Issued:11/07/00 Maintenance Manager Page 24 of 45

25 NA YES NO Documents that you should be able to access Does the mine water control plan include maintenance and monitoring requirements of water and tailings dams, underground stored water, pumps etc.? Does the mine water control plan include contingency plans for dealing with high inflows, flooding and pump failure? Have all issues identified in the risk assessment been included in the water control plan? Have relevant mine site personnel been made aware of the circumstances and consequences of significant past incidents involving uncontrolled mass movement of material and the potential for future events? Does the site receive external communication regarding experiences in uncontrolled mass movement of material and is this information used to review existing processes and procedures? Does the site send external communication regarding experiences in uncontrolled mass movement of material and the way this information was used to review existing processes and procedures? Are modifications that alter the current approved mining method or process subjected to a formal approval process that ensures identification and control of hazards involving uncontrolled mass movement of material? Does the site have an emergency response procedure that includes provisions for rescue and recovery of survivors following an uncontrolled mass movement of material? Is there a formally developed decommissioning and rehabilitation program that addresses the control of hazards involving mass movement of material? For risks that cannot be transferred, have long term hazard management plans been developed and resourced? Counts SAF-MHSAQ-09 Rev 1 Issued:11/07/00 Maintenance Manager Page 25 of 45

26 4.6 Maintenance Team Leader Has a set of leading indicators been identified that are to be monitored to identify significant change? Is there a procedure or a response plan for actions when changes in leading indicators are identified? e.g. cyclone warnings NA YES NO Documents that you should be able to access Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the regular inspection and maintenance of escape ways that ensures availability? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for monitoring the material levels in passes? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for periodic inspections or monitoring of pass conditions? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the operation of ore and waste passes for desired material size control? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the pass control mechanism including start-up and shutdown requirements? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the drawing of material from a shrink stope or cut and fill stope when persons are working in the stope that includes communications methods? ,4, Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for the monitoring of any possible voids when using a caving method? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for monitoring the progress of the cave front when using a caving method? Is there a documented process, Standard Work Procedure or is a Job Safety Analysis completed for draw control to minimise the possible generation of voids when using a caving method? Maintenance Team Leader Page 26 of 45

27 Have the processes and procedures been reviewed in the last year? Does the mine water control plan include drainage and service network design and operation? Does the mine water control plan include start-up and shut-down requirements of water and tailings transfer systems? Does the mine water control plan include maintenance and monitoring requirements of water and tailings dams, underground stored water, pumps etc.? Does the mine water control plan include contingency plans for dealing with high inflows, flooding and pump failure? Have all issues identified in the risk assessment been included in the water control plan? Have relevant mine site personnel been made aware of the circumstances and consequences of significant past incidents involving uncontrolled mass movement of material and the potential for future events? Does the site receive external communication regarding experiences in uncontrolled mass movement of material and is this information used to review existing processes and procedures? Does the site send external communication regarding experiences in uncontrolled mass movement of material and the way this information was used to review existing processes and procedures? Are modifications that alter the current approved mining method or process subjected to a formal approval process that ensures identification and control of hazards involving uncontrolled mass movement of material? Does the site have an emergency response procedure that includes provisions for rescue and recovery of survivors following an uncontrolled mass movement of material? Counts NA YES NO Documents that you should be able to access Maintenance Team Leader Page 27 of 45