mines inspectorate compliance policy november 2009 · 2012. 12. 13. · 4. the mines inspectorate...

Mines Inspectorate Compliance Policy

November 2009

2

TABLE OF CONTENTS

1. PURPOSE / SCOPE...................................................................................................................................... 3

2. PERSONS WITH OBLIGATIONS............................................................................................................. 3

3. DICTIONARY .............................................................................................................................................. 4

4. COMPLIANCE PRINCIPLES.................................................................................................................... 5

4.1 PRINCIPLES........................................................................................................................................ 5

4.2 APPLICATION .................................................................................................................................... 6

4.3 TARGETING........................................................................................................................................ 6

4.4 CONSISTENCY.................................................................................................................................... 6

4.5 TRANSPARENCY ................................................................................................................................ 7

4.6 ACCOUNTABILITY............................................................................................................................. 7

4.7 INVESTIGATION................................................................................................................................. 7

4.8 LEVELS OF ADMINISTRATIVE RESPONSE..................................................................................... 8

4.9 GUIDE FOR DETERMINING APPROPRIATE ADMINISTRATIVE ACTION................................... 8

5. PROSECUTION ......................................................................................................................................... 10

5.1 INVESTIGATION TEAM’S RECOMMENDATION AND THE RECOMMENDATION FROM AN

INSPECTOR INVESTIGATING A FATAL ACCIDENT .................................................................... 11

5.2 INSPECTOR’S RECOMMENDATION – WHERE THE RECOMMENDATION IS NOT

ASSOCIATED WITH AN INVESTIGATION BY AN INVESTIGATION TEAM OR AN

INVESTIGATION INTO A FATAL ACCIDENT ................................................................................ 11

5.3 RECOMMENDATION FOR PROSECUTION BY A PERSON (OTHER THAN AN INSPECTOR)

EMPOWERED BY LEGISLATION AS BEING ABLE TO RECOMMEND PROSECUTIONS.......... 12

5.4 INITIATION OF PROSECUTIONS ................................................................................................... 13

6. PUBLICITY ................................................................................................................................................ 13

7. PENALTIES FOR SAFETY AND HEALTH OFFENCES .................................................................... 14

7.1 PENALTIES FOR SAFETY AND HEALTH OFFENCES UNDER COAL MINING SAFETY

AND HEALTH ACT 1999 .................................................................................................................. 14

7.2 PENALTIES FOR SAFETY AND HEALTH OFFENCES UNDER MINING AND QUARRYING

SAFETY AND HEALTH ACT 1999.................................................................................................... 18

7.3 PENALTIES FOR SAFETY AND HEALTH OFFENCES UNDER MINING AND QUARRYING

SAFETY AND HEALTH REGULATION 2001................................................................................... 22

8. APPROVAL ................................................................................................................................................. 22

3

1. PURPOSE / SCOPE

The purpose of this Compliance Policy is to:

1. Provide a document that will reassure the public that the Department of Employment, Economic Development and Innovation’s (DEEDI) Mines Inspectorate is administering the Coal Mining Safety and Health Act 1999 (CMSHA) and the Mining and Quarrying Safety and Health Act 1999 (MQSHA) in a way that meets the objects of the Acts.

2. To promote and achieve sustained compliance with Queensland mining safety and health legislation.

3. Ensure that persons with obligations take action to deal with unacceptable levels of risk.

4. Ensure that persons who have obligations under Queensland mining safety and health legislation who fail to discharge their obligations be held to account at the appropriate level.

The areas covered in this policy are confined to:

� Compliance principles

� Guides for controlling risk associated with non-compliance and determining the appropriate administrative response to take in cases of non-compliance

� Procedures for reviewing recommended administrative actions regarding non-compliance.

This policy contains:

1. The objectives of the policy and the principles to be applied following the discovery of a possible non-compliance with safety and health obligations.

2. A guide to assist in determining:

• Actions to be taken to ensure risk associated with the non-compliance is controlled

• The appropriate actions to be taken against persons or companies who fail to comply with legislative requirements – in this policy referred to as administrative responses.

2. PERSONS WITH OBLIGATIONS

Persons involved with the mining industry have legal obligations to comply with the requirements of safety and health legislation. For those involved with the coal mining industry this is the Coal Mining Safety and Health Act 1999; for those involved with the mining and quarrying industry it is the Mining and Quarrying Safety and Health Act 1999 (Act/Acts). The mines inspectorate has the function established by each piece of legislation, to enforce the legislation.

The legislation places safety and health obligations on the following people:

a) persons in general

4

b) a mining tenement holder

c) a mine operator

d) a site senior executive

e) a contractor

f) a designer, manufacturer, importer, or supplier of plant for use at a mine or quarry

g) an erector or installer of plant at a mine

h) a manufacturer, importer or supplier of substances for use at a mine

i) a person who supplies a service at a mine

3. DICTIONARY

Administrative response is the action taken against a person or company by an officer for a failure to discharge legislated safety and health obligations. The level of administrative response varies in accordance with the circumstance and significance of the non-compliance. (see page 8)

The Commissioner for Mine Safety and Health is an appointment made by the Governor in Council. The duties and functions are undertaken by the Executive Director Safety and Health and include;

• Chairing Mining Advisory Councils

• Advising the Minister

• Monitor performance of the Mines Inspectorate and report to parliament annually

• Initiate prosecutions based on recommendations of the compliance committee

• Act as public advocate for improvement in mine safety generally

Substandard Conditions or Practice (SCP) is advice given by officers to mine operators, site senior executives and other obligation holders to manage an unacceptable level of risk.

Directive is a communication made by an officer as provided under the Acts to a mine operator, site senior executive or other person requiring a safety or health related action to be taken. Failure to comply with the directive is an offence under the appropriate Act.

Empowered persons are persons other than inspectors who are empowered by the Acts to recommend prosecutions. These are industry safety and health representatives, district workers representatives and site senior executives.

High Potential Incident of Especial Significance is a high potential incident which an inspector considers so significant that he/she investigates the circumstances of the incident with the possibility of making a recommendation that a person(s) with a safety and health obligation(s) should be prosecuted for failing to meet a safety and health obligation associated with the incident.

Principal Investigation Officers are officers in Safety and Health with investigation skills and the skills and ability to prepare a prosecution brief. Such persons are appointed under the provisions of section 129A of the Coal Mining Safety and Health Act 1999 and section 126A of the Mining and Quarrying Safety and Health Act 1999.

5

Non-compliance is a failure to meet the provisions of the Coal Mining Safety and Health Act 1999 and Regulation or the Mining and Quarrying Safety and Health Act 1999 and Regulation.

Officer includes inspectors, inspection officers and authorised officers.

Persons involved with the mining industry includes all persons with obligations under the mining safety and health Acts and includes holders of mining tenements, mine operators, workers, contractors, visitors to mines etc.

Review Committee is a committee to provide the Commissioner for Mine Safety and Health with an opinion on the appropriateness of an administrative response to an alleged major non-compliance. Review committee consists of both Chief Inspectors (alternative Chief Inspector is the Chair), independent industry expert not involved in promoting the mining industry and Legal Services representative.

Serious Accidents and High Potential Incidents are categories of accidents and incidents as defined in mining safety and health legislation.

Serious Accident of Especial Significance is a serious accident that results in bodily injury endangering or likely to endanger a person’s life or cause permanent injury to a person’s health which an inspector considers so significant that he/she investigates the circumstances of the accident with the possibility of making a recommendation that a person(s) with a safety and health obligation(s) should be prosecuted for failing to meet a safety and health obligation associated with the incident.

Chief Inspector of Coal Mines is an inspector appointed as Chief Inspector by the Chief Executive under the Coal Mining Safety and Health Act 1999 or the Mining and Quarrying Safety and Health Act 1999.

Chief Inspector is an inspector appointed as Chief Inspector by the Chief Executive under the Mining and Quarrying Safety and Health Act 1999.

4. COMPLIANCE PRINCIPLES

4.1 PRINCIPLES

The following principles form the basis of this Compliance Policy:

1. The principal means of meeting safety and health obligations is through compliance with legislation, or with directives issued under provisions of the legislation.

2. Safety and health obligations will also be met by following standards arising from the legislation; for example recognised standards or guidelines.

3. Responsibility for compliance with legislation is with those with obligations under the legislation.

4. The Mines Inspectorate is to monitor compliance and enforce the legislation. Monitoring compliance includes checking that where a method to achieve an acceptable level of risk is specified in the legislation, the requirement is met.

5. Investigations into non-compliance, determination of corrective actions and the selection of any administrative response will be made in an unbiased, transparent

6

and consistent manner. This will promote and preserve confidence in the integrity and professional competency of mines inspectorate officers.

6. Administrative responses are to be commensurate with the level of risk and escalated where previous measures have been ineffective.

7. The Mines Inspectorate is empowered by statute to require people with obligations under the Acts meet those obligations. Inspectorate officers will undertake this duty in an appropriate and independent manner consistent with the provisions of the legislation. Nothing in this Compliance Policy can or is intended to detract from the exercise of these powers in the performance of the functions stated in these Acts.

4.2 APPLICATION

The Mines Inspectorate will:

1. Administer the legislation in accordance with the principles and procedures of the Compliance Policy.

2. Publish serious non-compliance events and the resulting actions undertaken.

Officers will:

1. Respond to alleged non-compliance in a timely and effective manner. Corrective action measures and directives will be followed up where possible to a pre-planned timetable and as quickly as the situation warrants.

2. Grade administrative responses in accordance with the seriousness of the non-compliance.

4.3 TARGETING

Targeting means making sure that mines and quarries are targeted primarily on those whose activities give rise to the most serious risks or where the hazards are least well controlled; and that action is focused on persons with obligations under legislation who are responsible for the risk and who are best placed to control it – whether employers, manufacturers, suppliers, or others.

The Mines Inspectorate has systems for deciding which inspections, investigations or other regulatory contacts should take priority according to the level and extent of risks at a mine. A relatively low hazard site poorly managed can entail greater risk to workers or the public than a higher hazard site where proper and adequate risk control measures are in place.

Where several obligation holders have responsibilities, the mines inspectorate may take action against more than one obligation holder when it is appropriate to do so in accordance with this policy.

4.4 CONSISTENCY

Consistency of approach does not mean uniformity. It means taking a similar approach in similar circumstances to achieve similar ends.

Persons with obligations managing similar risks expect a consistent approach from the Mines Inspectorate in the advice tendered in response to incidents; including the use of SCPs, Directives; and other administrative response, including prosecution.

7

The Mines Inspectorate recognises that in practice consistency is not a simple matter. Mines inspectors are faced with many variables including the degree of risk, the attitude and competence of persons with obligations, any history of incidents or breaches, previous compliance action, and the seriousness of any breach, which includes any potential or actual harm arising from a breach of the law. Decisions on compliance action involve a degree of judgement by the Inspector.

4.5 TRANSPARENCY

Transparency means helping persons with obligations to understand what is expected of them and what they should expect from the Mines Inspectorate. It also means making clear to not only what they have to do but, where this is relevant, what they don’t. That means distinguishing between statutory requirements and advice or guidance about what is desirable but not compulsory.

Transparency also involves the Mines Inspectorate in having arrangements for keeping employees, their representatives, and victims or their families informed. These arrangements must have regard to legal constraints and requirements.

This policy sets out the general policy framework within which Mines Inspectorate should operate. Persons with obligations, their representatives and others also need to know what to expect when an inspector calls and what rights of appeal are open to them.

4.6 ACCOUNTABILITY

The Mines Inspectorate is accountable to the public for their actions. This means that it must have policies and standards against which they can be judged, and an effective and easily accessible mechanism for dealing with comments and handling complaints.

4.7 INVESTIGATION

The Mines Inspectorate will investigate all deaths occurring at mines, including those which are eventually deemed to be death by natural causes and all complaints in accordance with the Acts. The Mines Inspectorate will use discretion in deciding whether other incidents, accidents or cases of ill health should be investigated.

Investigations are undertaken in order to determine:

• Nature and cause;

• Whether action has been taken or needs to be taken to prevent a recurrence and to secure compliance with applicable legislation;

• Lessons to be learnt and to influence review of legislation and guidance;

• What response is appropriate to a breach of legislation?

To maintain a proportionate response, most resources available for investigation of incidents will be devoted to the more serious circumstances. The mines inspectorate recognises that it is neither possible nor necessary to investigate all issues of non-compliance with legislation which are uncovered in the course of inspection / audit, or in the investigation of reported events.

In selecting which reports of incidents, injury or occupational ill health to investigate and in deciding the level of resources to be used, the Mines Inspectorate will take account of the following factors:

- The severity and scale of potential or actual harm;

- The seriousness of any potential breach of the law;

8

- Knowledge of the obligation holders past safety and health performance;

- The enforcement priorities;

- The practicality of achieving appropriate results;

- The wider relevance of the event, including serious public concern.

4.8 FIVE LEVELS OF ADMINISTRATIVE RESPONSE

Level 1. Advise obligation holder of opportunity for improvement, or where they are failing to comply with their obligations which may include issuing an SCP notice

Level 2. Advise obligation holder where they are failing to comply with their obligations which includes issuing a Directive

Level 3. Site management accountability meeting at regional office with Deputy Chief Inspector/Manager Safety and Health/Regional Inspector

Level 4. Senior company accountability meeting at Safety and Health Head Office with Commissioner for Mine Safety and Health, Chief Inspector, Deputy Chief Inspector/Manager Safety and Health/Regional Inspector

Level 5. Recommend prosecution

NB: In all cases, a mine record entry will be prepared and forwarded to the Site Senior Executive and the mine operator.

9

4.9 GUIDE FOR DETERMINING APPROPRIATE ADMINISTRATIVE ACTION

Step 1

Mine history

Non-compliance

record

Safety record

Step 2

Deliberate

NegligentAccidental

Non Compliance Detected

Examine factors for deciding appropriate administrative response

Depending on which of the above factors, adopt a selection of the following options

Consequence non-complianceCircumstances of non-

compliance

Administrative

non-

compliance

Minor

Injury

High

potential

incident

Debilitating

injury or

disease

1 2 3 4 5

Advise obligation

holder of

opportunity for

improvement, or

where they are

failing to comply

with their

obligations

which may

include issuing

an SCP notice

Advise obligation

holder where

they are failing to

comply with their

obligations

which includes

issuing a

Directive

Site management

accountability

meeting at regional

office with Regional

Inspector/Manager

Safety and

Health/Deputy Chief

Inspector of Mines

Senior company

accountability

meeting at Safety

and Health Head

Office with

Commissioner for

Mine Safety and

Health, Chief

Inspector, Deputy

Chief

Inspector/Manager

Safety and

Health/Regional

Inspector

Prosecution

Step 3

Minor Major

Options may be initiated singly, combined, or varied according to specific circumstances

Administrative Response Options

Note: In all cases, a mine record entry will be prepared and forwarded to the Site Senior Executive. The

mine operator will be notified of all Level 2 - Level 4 responses.

10

5. PROSECUTION

While the primary purpose of the Mines Inspectorate is to ensure that persons with obligations manage and control risks effectively, thus preventing harm, prosecution is an essential part of compliance. In the course of an investigation where the Mines Inspectorate has collected sufficient evidence to provide a realistic prospect of conviction and has decided, in accordance with this policy, that it is in the public interest to prosecute, then a recommendation to prosecute should proceed.

The decision to proceed with a prosecution rests with the Commissioner for Mine Safety and Health. The Mines Inspectorate must use discretion in deciding whether to recommend a prosecution.

No prosecution may go ahead unless Crown Law finds there is sufficient evidence to provide a realistic prospect of conviction.

Where the circumstances warrant it and the evidence to support a case is available, the Mines Inspectorate may prosecute without prior warning or recourse to alternative sanctions.

Prosecutions initiated under the CMSHA and MQSHA are dealt with in the Industrial Magistrates Court, which is under the control of an Industrial Magistrate - usually a magistrate acting in the capacity of an Industrial Magistrate. The issues brought before an Industrial Magistrate are quasi-criminal and the standard of proof is beyond a reasonable doubt.

The Mines Inspectorate expects that, in the public interest, they should normally recommend prosecution, where, following an investigation or other regulatory contact, one or more of the following circumstances apply. Where:

• Death was a result of a breach of the legislation or failure to work at an acceptable level of risk. However, there will be occasions where the public interest does not require a prosecution, depending on the nature of the breach and the circumstances surrounding the death;

• The gravity of an alleged offence, taken together with the seriousness of any actual or potential harm, or the general record and approach of the offender warrants it;

• There has been reckless disregard of safety and health requirements;

• There have been repeated breaches which give rise to significant risk, or persistent and significant poor compliance;

• The person with obligation’s standard of managing safety and health is found to be far below what is required by health and safety legislation and gives rise to an unacceptable level of risk;

• False or misleading information has been supplied wilfully, or there has been an intent to deceive, in relation to a matter which gives rise to an unacceptable level of risk;

• Inspectors have been intentionally obstructed in the lawful course of their duties.

Recommendations to prosecute fall into three categories and a separate procedure is used for each. All three categories require assessment of recommendations to prosecute as made by:

11

1. Inspectors

2. Industry Safety and Health Representatives and District Workers Representatives

3. Site Senior Executives

This does not limit the Commissioner for Mine Safety and Health’s power to prosecute.

5.1 RECOMMENDATION FROM AN INSPECTOR INVESTIGATING A FATAL ACCIDENT OR OTHER TYPE OF SERIOUS ACCIDENT OR HIGH POTENTIAL INCIDENT

The process is initiated as a result of a fatal accident or another type of serious accident or high potential incident. It ends after due process: either the recommendation is rejected, endorsed or modified.

An inspector will lead an investigation team that will include a Principal Investigation Officer in the case of a fatality. The inspector will produce a nature and cause report, while the Principal Investigation Officer will produce a compliance matrix and compliance report. An inspector will make the recommendation on the appropriate administrative response. The investigation should follow the instructions in the Investigation Process Manual.

Under this procedure, the opinion of a Review Committee is sought. The Chief Inspector or another officer charged with the task arranges for a Review Committee to provide a second opinion on the recommendations received. The Review Committee will include a least one safety and health industry based person who is seen as independent from the Mines Inspectorate. The Chief Inspector provides the Review Committee with the investigation report and compliance reports, including recommendations regarding prosecutions and any legal advice obtained.

The Review Committee considers all relevant matters and provides a written opinion on the actions recommended in response to any non-compliance. The Chief Inspector or other officer charged with the task must prepare a review of the information, including the reports from the officers who investigated the event and the opinion of the Review Committee. His recommendation will be forwarded to the Commissioner for Mine Safety and Health who will then make the final decision on whether a prosecution should be initiated or not.

The Chief Inspector or other officer charged with supervising the prosecution process ensures any necessary documents are completed. He/she obtains any necessary legal assistance and ensures all the necessary documentation for the prosecution is completed and delivered to the court. He/she liaises with the Coroner, where a fatal accident is involved, to ensure proceedings under the safety and health legislation do not conflict with proceedings in the Coroner’s Court.

5.2 INSPECTOR’S RECOMMENDATION – WHERE THE RECOMMENDATION IS NOT ASSOCIATED WITH AN INVESTIGATION BY AN INVESTIGATION TEAM OR AN INVESTIGATION INTO A FATAL ACCIDENT

The process is initiated by an inspector reaching a conclusion that a person or organisation has failed in a significant way to meet the requirements of the legislation (the trigger) and recommends prosecution. It ends after due process: either the recommendation is, rejected, modified or endorsed, leading to the initiation of legal proceedings.

A recommendation for prosecution should be based on evidence of failure to meet safety and health obligations or some other legislative requirement/s.

12

The inspector, after obtaining the necessary information, must decide what administrative response should be initiated as a result of the non-compliance(s). If after due consideration an inspector decides to recommend a prosecution, the inspector must forward two reports to the Chief Inspector: one report containing a compliance matrix, which includes the evidence and justifications for making the recommendation and the other containing the recommendations.

The Chief Inspector or other officer charged with the task must prepare a review of the information. This review will include the reports from the inspector, results of any further investigations and legal opinion, if obtained. The review must contain a recommendation for the consideration of the Commissioner for Mine Safety and Health whether a prosecution should be initiated or not. This review and all necessary documentation should be forwarded to the Commissioner for Mine Safety and Health

After receiving the report, the Commissioner for Mine Safety and Health will decide whether further action is justified. Once that decision is made, the Commissioner for Mine Safety and Health will inform the Chief Inspector, who will inform the officers involved in making the recommendations.

The Chief Inspector or other officer charged with supervising the prosecution process ensures any necessary documents are completed and obtains any necessary legal assistance to carry out the prosecution.

5.3 EMPOWERED PERSONS RECOMMENDATION TO PROSECUTE -RECOMMENDATION FOR PROSECUTION BY A PERSON (OTHER THAN AN INSPECTOR) EMPOWERED BY LEGISLATION

Persons empowered by legislation as being able recommend prosecution other than an inspector are Industry Safety and Health Representatives (CMSHA), District Workers Representatives (MQSHA) and Site Senior Executives.

The procedure is commenced with a recommendation to the Commissioner for Mine Safety and Health from an empowered person based on an incident or series of incidents (trigger events). It ends after due process: either the recommendation is rejected or, where endorsed, the initiation of legal proceedings.

A recommendation from an empowered person may be referred to a relevant officer for examination/investigation. To ensure that recommendations are dealt with expeditiously, any allegations should be first directed to the inspectors in the regions for investigation.

Before an empowered person considers a recommendation to prosecute, that person is advised to refer to 1.1 of Compliance Policy Implementation Guide. If the person is still of the opinion that non-compliance exists that should result in a prosecution, he/she should forward a written recommendation to the Commissioner for Mine Safety and Health or Chief Inspector, outlining the grounds for making the recommendation. Any information that supports the recommendation should be included. The recommendation should address the non-compliance, be specific on the nature of the non-compliance and include evidence of the non-compliance.

Once the report is received by the Chief Inspector, he/she will inform the inspector in the relevant region and the Commissioner for Mine Safety and Health of the recommendation.

Where the Commissioner for Mine Safety and Health considers it appropriate, the Commissioner for Mine Safety and Health will obtain the opinion of a Review Committee.

The Chief Inspector is to provide the Review Committee with the recommendations regarding prosecution, the results of any further investigation, and any legal advice obtained. After

13

receiving this information, the Review Committee is to consider all the issues and provide a written opinion on the actions recommended in response to any non-compliance.

Once the Chief Inspector or other officer charged with the task has received the opinion of the Review Committee, he/she must prepare a review of the information. This review should include the report and recommendation from the empowered person, results of any further investigations and the opinion of the Review Committee. The review must also contain a recommendation for the consideration of the Commissioner for Mine Safety and Health whether a prosecution should be initiated or not.

The Chief Inspector or other officer charged with supervising the prosecution process ensures any necessary documents are completed, obtains any necessary legal assistance and ensures all the necessary documentation for the prosecution is completed and delivered to the court. He/she liaises with the Coroner, where a fatal accident is involved, to ensure proceedings under the safety and health legislation do not conflict with proceedings in the Coroner’s Court.

If the Commissioner for Mine Safety and Health decides not to prosecute, the Chief Inspector or other officer delegated to undertake the task must inform both the empowered person and the inspector in the relevant region of this decision.

5.4 INITIATION OF PROSECUTIONS

The Coal Mining Safety and Health Act 1999 and the Mining and Quarrying Safety and Health Act 1999 limit the power to initiate prosecutions to the Commissioner for Mine Safety and Health. A prosecution starts when a complaint is lodged in an Industrial Magistrates Court.

For prosecutions involving fatalities, close liaison should be maintained with the Coroner. Consideration should also be given to the possibility of a Board of Inquiry. Legal advice should be taken if the Minister is considering using powers under the mining safety and health legislation to establish such a body.

6. PUBLICITY

The Mines Inspectorate will maintain a prosecutions page on the DEEDI website which lists all prosecutions undertaken since the enactment of the mining safety and health legislation in March 2001. At the completion of each prosecution a News Update will be prepared by the relevant Chief Inspector for circulation to industry and publishing on the DEEDI website.

The Mines Inspectorates Annual Safety and Health Statistics report will also detail each prosecution action completed during the reporting year. This report will also include directives issued in relation to the offences.

The Mines Inspectorate should also consider in all cases drawing media attention to factual information about charges which have been laid before the courts, but great care must be taken to avoid any publicity which could prejudice a fair trial. They should also consider publicising any conviction which could serve to draw attention to the need to comply with health and safety requirements, or deter anyone tempted to disregard their obligations.

7. PENALTIES FOR SAFETY AND HEALTH OFFENCES

7.1 PENALTIES FOR SAFETY AND HEALTH OFFENCES UNDER COAL MINING SAFETY AND HEALTH ACT 1999

Section Description Penalty

14

34 A person on whom a safety and health obligation is imposed must discharge the obligation.

Maximum penalty—

(a) if the contravention caused death or grievous bodily harm

—800 penalty units or 2 years imprisonment; or

(b) if the contravention involved exposure to a substance that is likely to cause death or grievous bodily harm

—500 penalty units or 1 year’s imprisonment; or

(c) if the contravention caused bodily harm

—500 penalty units or 1 year’s imprisonment; or

(d) otherwise

—400 penalty units.

40 Obligations of Holders (2)(a)(i)(ii)(b)(i)(ii) 100

49 Notices by Holder (1)(a)(b)(c) 40

50 Notices by Coal mine Operator (1)(2)(a)(b)(3) 40

51 Notice of Management Structure 40

52 Notice about Exploration Activities 40

54 Appointment of Site Senior Executive (1)(2) 500

55 Management structure for Safe Operations of Coal Mines (1)(a)(b) (2)(a)(b)(c)

40

56 Competencies of Supervisors (a)(b) 100

57 Appointment of another site senior executive during temporary absence (1)

100

58 Other appointments during absences (2) 40

59 Additional requirements for management of surface mines 200

60 Additional requirements for management of underground mines (2)(4)(5)

400

60 Additional requirements for management of underground mines (6)(7)(8)(9)(10)(11)

200

61 Appointment of ventilation officer (2)(8) 200

62 Safety and health management system (4)(5) 100

63 Principal hazard management plan (2) 200


64 Review of principal hazard management plans and standard operating procedures (2)

200

65 Changes in management structure to be reported to an inspector

50

15

66 Management structure to be recorded in the mine record (1)(a)(b)

50

67 Plans of coal mine workings (1)(2)(3)(4)(6) 100

67 Plans of coal mine workings (5) 200

68 Mine record (1)(4) 200

68 Mine record (5) 400

69 Display of reports and directives 100

70 Responsibility for protecting abandoned coal mines (1)(2)(3) 800

95 Person must be qualified to act as site safety and health representative (1)(3)

40

99 Functions of site safety and health representatives (2) 40

102 Effect of report 200

103 Site senior executive not to restart operations until risk at

an acceptable level

200

104 Site safety and health representative not to unnecessarily

impede production

200

105 Protection of site safety and health representatives

performing functions

200

106 Site senior executive to tell site safety and health

representatives about certain things (1)(a)(b)(c)(d)(e)

40

107 Site senior executive to display identity of site safety and

health representatives (1)

40

116 Site senior executive to display identity of site safety and

health representatives

40

117 Industry safety and health representative restricted to

safety and health purposes

40

119 Powers of industry safety and health representatives (2)(3) 100

120 Industry safety and health representative not to

unnecessarily impede production

100


123 Failure to return identity card 40

131 Failure to return identity card 40

140 Failure to help inspector or inspection officer 100

16

141 Failure to answer questions (1) 40

142 Site senior executive must help inspector or inspection

Officer

100

145 Tampering with things subject to seizure 100

146 Powers to support seizure (3) 100

151 Inspector may stop and secure plant and equipment (3) 200

153 Failure to give name or address (1) 40

155 Failure to produce document (1) 200

156 Failure to certify copy of document 100

158 Failure to comply with requirement about attendance (1) 40

159 Person must answer question about serious accident or

high potential incident (1)(2)(3)

40

174 Directives (2) 800

2 yrs Imprisonment

174 Directives (3)(4) 40

179 False or misleading statements (1) 100

180 False or misleading documents (1)(3) 100

181 Obstructing inspectors, inspection officers or industry

safety and health representatives (1)

100

194 Examiners to be qualified 100

195 Obtaining certificates of competency by fraud (1) 400

196 Return of certificate of competency 400

198 Notice of accidents, incidents or diseases (1)(3)(4)(6) 40

198 Notice of accidents, incidents or diseases (5) 80

200 Site not to be interfered with without permission (1) 200

201 Action to be taken in relation to site of accident or incident (1)(2)

100


216 Offences by witnesses (1)(2)(3) 30

217 Contempt of board 30

225 Provision of a mines rescue capability 100

17

One penalty point is equal to $100 as of June 2009

7.2 PENALTIES FOR SAFETY AND HEALTH OFFENCES UNDER MINING AND QUARRYING SAFETY AND HEALTH ACT 1999

226 Mine not to be used if ss 223–225 contravened 50

234 Reporting to Minister (1)(3) 100

234 Reporting to Minister (4) 500

268 Person not to encourage refusal to answer questions (1) 40

269 Impersonating inspector or inspection officers and

Others

40

270 Protection for officers 500

271 Contraband must not be taken into an underground mine (6) 100

272 Children under 16 not to be employed underground 100

273 Withdrawal of persons in case of danger (1)(3)(9) 100

273 Withdrawal of persons in case of danger (10) 200

274 Where coal mine worker exposed to immediate personal

Danger (2)(4)

200

275 Representations about safety and health matters (5) 40

275A Disclosure of information (1) 100

279 Notices about coal industry statistics or information (3) 40

Section Description Subsection(s) Maximum Penalty in units

18

(a) if the contravention caused multiple deaths

2000 or

3 years imprisonment;

(b) if the contravention caused death or grievous bodily harm

1000 or

2 years imprisonment;

(c) if the contravention caused bodily harm

750 or

1 year’s imprisonment;

(d) If the contravention involved exposure to a substance that is likely to cause death or grievous bodily harm

750 or

1 year’s imprisonment;

31 Discharge of obligations

(e) otherwise

500 or

6 months imprisonment

37 Obligations of Holders (2)(a)(i)(ii)(b) 100

(1)(a)(b) 40 46 Notices by Holder

(3) 40

(1)(a)(i)(ii)(b)(i)(ii) 40

(3) 40

(4)(a)(b) 40

47 Notices by Operator

(5) 40

(1) 500 49 Appointment of Site Senior Executive

(2) 500

(1)(a)(b) 40 50 Management structure for Safe Operations at Mines

(2)(a)(b)(c)(d) 40

51 Competencies of Supervisors (a)(b) 100

52 Appointment of another site senior executive during temporary absence

(1) 100

(1) 400

(3)(a)(b) 400

(4) 200

53 Additional requirements for management of underground mines

(5) 40


54 Appointment of another underground mine manager during temporary absence

(1) 100

56 Review of Safety and health (2)(a)(b) 200

19

management system

57 Management structure to be recorded in the mine record

(1)(a)(b) 50

(1)(a)(i)(ii)(b) (c)(i)(ii)(d)

100

(2) 100

(3) 100

58 Plans of mine workings

(4)(a)(b) 100

(1)(a)(b)(c)(d)(e) 200

(4) 200

59 Mine record

(5) 400

60 Display of reports and directives 100

(1) 800

(2) 800

61 Responsibility for protecting abandoned mines

(3) 800

85 How site safety and health representatives are selected or elected

(2) 40

86 Site safety and health representative must obtain qualifications

40

87 Site safety and health representative must perform functions and exercise powers appropriately

40

92 Functions of site safety and health representative

(2)

(site senior executive and supervisors at the mine must give reasonable help to a Site safety and health representative)

40

95 When operations may be restarted 200

96 Site safety and health representative not to


200

97 Protection of site safety and health representatives performing functions

200

98 Site safety and health committees (1)(a)(b) 100

103 Minutes to be made available 40

104 Provision for help to representatives and committees

(a)(b)(c)(i)(ii) 40


105 Site senior executive to tell site safety and health representatives about certain things

(1)(a)(b)(c)(d)(e) 40

106 Site senior executive to display (1) 40

20

identity of site safety and health representatives

113 Persons not to pretend to be district workers’ representative if not appointed

40

114 District workers representatives restricted to safety and health purposes

40

(2) 100 116 Powers of district workers representatives

(3) 100

117 District workers representative not to


200

120 Failure to return identity card (by DWR) 40

128 Failure to return identity card (by inspector etc.) 40

137 Failure to help officer 100

138 Failure to answer questions (1) 40

139 Site senior executive must help officer

(2) 100

142 Tampering with things subject to seizure 100

143 Powers to support seizure (3) 100

148 Officer may stop and secure plant and equipment

(3) 200

150 Failure to give name or address (1) 40

152 Failure to produce document (1) 200

153 Failure to certify copy of document 100

155 Failure to comply with requirement about attendance

(1)(a)(b) 40

156 Person must answer question about serious accident or high potential incident

(3) 40

(2) 800 or

2 yrs Imprisonment

(3) 40

171 Directives

(4) 40

176 False or misleading statements (1) 100

(1) 100 177 False or misleading documents

(3) 100

178 Obstructing inspectors, officers or district workers’ representatives

(1) 100

191 Examiners to be qualified 100


192 Obtaining certificates of competency by fraud

(1) 400

193 Return of certificate of competency (a)(b) 400

21


7.3 PENALTIES FOR SAFETY AND HEALTH OFFENCES UNDER MINING AND QUARRYING SAFETY AND HEALTH REGULATION 2001

(1) 40

(3) 40

(3B)(a)(b) 40

(4) 40

(5) 80

195 Notice of accidents, incidents deaths or diseases

(6) 40

195A Requirement to give primary information

(3) 40

197 Site not to be interfered with without permission

(1) 200

(1)(a)(b)(c) 100 198 Action to be taken in relation to site of accident or incident

(2)(a)(b)(c) 100

(1)(a)(b) 30

(2) 30

213 Offences by witnesses

(3)(a)(b) 30

214 Contempt of board (a)(b)(c) 30

247 Person not to encourage refusal to answer questions

(1) 40

248 Impersonating inspector officers or representatives 40

249 Protection for officers (1) 500

250 Person must not employ underage persons underground 100

251 Workers may request information 100

(1) 100

(2)(a)(b) 100

(3)(a)(b) 100

(4) 100

(5)(a)(b) 100

252 Action where risk is unacceptable

(6)(a)(b) 100

(2) 200 253 Where worker exposed to immediate personal Danger

(4) 200

254 Representations about safety and health matters

(5) 40

255 Disclosure of information (1)(a)(b)(c)(d)(e) 100

259 Notices about industry statistics or information

(3) 40

22


8. APPROVAL

Approving Authority:

Date Approved:

Division Responsible:

Branch/Unit Responsible:

Contact Officer:

Phone Enquiries:

Version history

Version Date Comments

1.0 5 November 2009

2

Section Description Subsection(s)

Maximum Penalty

11C Payment of safety and health fee (5) 100

(1) 100 11D Safety and health census to be given at the end of each quarter

(3) 100

60B Notifying Chief inspector if mine is a major hazard facility or a possible hazard facility

(1) 200

60C Notifying Chief inspector of certain upgrades of mines

(2) 200

87 Assessing workers to decide fitness level

(5) 30

120 Confidentiality of worker’s medical record

(2) 30

131 Health assessment of workers (6) 30

138 Health surveillance (3) 30

mines inspectorate compliance policy november 2009 · 2012. 12. 13. · 4. the mines inspectorate...

Documents