Self Assessment Tool Risk Control

Occupational Health and Safety Regulations 2007
SA-2 Managing Risk Control Measures

A Self Assessment Tool for Prescribed Mines
WorkSafe Victoria / SA-2 Managing Risk Control Measures
Edition 1 April 2008
Occupational Health and Safety Regulations 2007

Table of Contents
1.
About this Tool..........................................................................................................................2

1.1 Relevant OH&S Regulations for Managing Risk Control Measures.................................2
1.2 References Relevant to Managing Risk Control Measures..............................................3
1.3 Adopting Risk Control Measures Supporting Information..............................................4
2.
Adopting Risk Control Measures to Eliminate or Reduce Risk...........................................5

2.1 Eliminating Risk.................................................................................................................5
2.2 Using Substitution, Isolation or Engineering Controls to Reduce Risk.............................6
2.3 Using Procedures and Personal Protective Equipment to Reduce Risk..........................7
3.
Reviewing and Revising Risk Control Measures...................................................................9
4.
Testing Risk Control Measures..............................................................................................11
5.
Safety Role for Employees.....................................................................................................13
6.
Prohibitions.............................................................................................................................15

1.
About this Tool
SA-2 Managing Risk Control Measures is part of the Self Assessment Toolbox. This specific tool has been prepared
to assist operators of prescribed mines to explore their risk control measures and identify opportunities for
improvement. It can be used as a stand alone document or alternatively the content contained within this tool can be
used to supplement existing site procedures.
The Self Assessment The Self Assessment Toolbox is made up of core and supporting tools. The core tool section of
the toolbox covers processes which are an essential part of day to day safety management. The supporting tools were
written to assist operators to:
-
further explore their identified hazards,
identify risk control measures for adoption, and
develop safety management systems.
The scope of the supporting tools is intended to grow and change over time as needs within the industry are identified.
SA-2 Managing Risk Control Measures is based on part 5.3 of the Occupational Health and Safety Regulations 2007
and covers topics such as adopting, testing and reviewing risk control measures, as well as, employee involvement.
There is space within each section of the tool to record your observations and reference documents used to form your
opinion. A compliance statement is also contained within relevant sections of the tool to compare your findings against
the regulatory standard. If you identify opportunities for improvement there is space at the end of each section to
record these, assign responsibilities and propose a completion date.
The Self Assessment Toolbox
Core tools
Supporting tools
SA 1 Risk Management
SA 6 Managing Geotechnical Hazards
SA 2 Managing Risk Control Measures
SA 7 Ventilation and the Working Environment
SA 3 Emergency Management
SA 8 Contractor Management
SA 4 Safety Management Systems
SA 9 Mining Plant
SA 5 Consultation, Information, Instruction and Training
1.1 Relevant OH&S Regulations for Managing Risk Control Measures

Regulation
Title
5.3.8
Control of risk
5.3.9(1)(c) and 5.3.9(2)
Review by operator of risk control measures
5.3.24
Testing risk control measures for major mining hazards
5.3.33
Prohibitions

1.2 References Relevant to Managing Risk Control Measures

Reference
Relevant to
Location
National Minerals Industry Safety Section 4

and Health Risk Assessment
Identification of controls and
Guideline, Minerals Industry
performance measures
Safety and Health Centre, 2005
Minerals Industry Health and Safety Centre,

University of QLD
www.mishc.uq.edu.au
Guidance note MPV-GN-03 Risk

Assessment and Control,
Victorian Department of Primary
Industries
Risk control measures general
DPI Website
www.dpi.vic.gov.au
Guidance note MPV-GN-05

Safety Assessment
Victorian Department of Primary
Industries
Selection, evaluating and testing

control measures
DPI Website
www.dpi.vic.gov.au
AS 4360:2004 Risk
Management, Standards
Australia
Risk management overall

(systems focused)
Standards Australia
www.standards.com.au
HB 436:2004 Risk Management

Guidelines Companion to
AS/NZS 4360:2004
Risk management overall

(systems focused)
Standards Australia
www.standards.com.au
Minerals Industry Safety

Section 1.5
Handbook NSW Department of Risk control measures general
Minerals Resources 2004
DPI NSW Website

www.dpi.nsw.gov.au
General duty of care in Western

Australian mines- Guideline
Information on control hierarchy

and monitoring reviewing control
measures.
Department of Consumer and Employment

Protection (DOCEP)
www.docep.wa.gov.au/resourcessafety
Guide to positive performance

measurement
Section 4.2 Inspection, testing and

monitoring
The Chamber of Minerals and Energy WA

www.cmewa.com.au
Major Hazard Facilities

Guidance note 10 - Control
measures and performance
indicators WorkSafe Victoria
Selection, evaluating and testing

control measures
WorkSafe Website
www.worksafe.vic.gov.au
Controlling OHS hazards and

risks A handbook for
workplaces
Information on effectiveness and

reliability of controls and review of
controls.
WorkSafe Website
How WorkSafe applies

the law in relation to
Reasonably Practicable
Information on applying Division

20(2) of the OH&S Act 2004
WorkSafe Website

1.3 Adopting Risk Control Measures Supporting Information

Hierarchy of controls
A key aspect of this regulation is that in adopting appropriate risk
control measures you must have considered that some risk control
measures are more effective than others. In other words, ways of
controlling risks can be ranked from the highest level of protection
and reliability to the lowest. This approach is known as the control
hierarchy, is illustrated in the accompanying diagram.
So far as is reasonably practicable (SFARP)
You must have regard for the following matters in determining what
is reasonably practicable when adopting risk control measures.
Division 20(2) of the Occupational Health and Safety Act 2004
defines reasonably practicable as:
a)
The likelihood of the hazard or risk concerned eventuating;
b)
The degree of harm that would result if the hazard or risk eventuated;
c)
What the person concerned knows, or ought reasonably to know, about the hazard or risk and any ways of
eliminating or reducing the hazard or risk;
d)
The availability and suitability of ways to eliminate or reduce the hazard or risk;
e)
The cost of eliminating or reducing the hazard or risk.
For more information, refer to How WorkSafe applies the law in relation to Reasonably Practicable.
Layers of protection
In some instances a number of different controls can together provide the best reduction in risk. As illustrated by the
diagram below.

2.
Adopting Risk Control Measures to Eliminate or Reduce Risk
2.1 Eliminating Risk

Regulation
Title
Regulation 5.3.8
(1)
The operator of a mine must adopt risk control measures that

(a)
eliminate so far as is reasonably practicable risks to health or safety
associated with any mining hazards at the mine; or;
(b)
if it is not reasonably practicable to eliminate those risks, reduce those risks
so far as is reasonably practicable.
Before you begin

Do you have access to all the relevant information you need? Some key examples include: register of
existing adopted control measures, hazard register, and documents which list the reasons for the adoption or
rejection of control measures.
Do you intend to consult about the adoption of risk control measures with employees at the mine who are
likely to be directly affected and their Health and Safety Representatives (HSR)s?
(Refer to Self-assessment tool 5 Consultation, information, instruction and training for more information.)
Adopting control measures to eliminate risk
Have you considered that the best control option is to remove a mining hazard completely so that its
associated risks to health and safety are eliminated? An example of this would be eliminating the risk
associated with Load Haul and Dump (LHD) equipment operators being exposed to broken and unsupported
ground in draw points by using remotely controlled LHD equipment.
Have you adopted risk control measures which eliminate risk? If so, have you considered what systems you
need to have in place to ensure these control measures survive and are reliable? Control measures include:
management sign off of design standards and management of change systems.
Have you recorded who was involved and who you consulted with?
Relevant Documents & Records

1.
2.
Observations and Comments
Compliance Information
All reasonably practicable means have been taken for
eliminating mining hazards or risks to health and safety.
Rating
Meets requirement
Does not meet requirement
Opportunities for improvement identified
Person responsible
Proposed completion date

2.2 Using Substitution, Isolation or Engineering Controls to Reduce Risk

Regulation
Title
Regulation 5.3.8
(2)
For the purpose of complying with sub regulation (1), the operator must, so far as
is reasonably practicable, use one or any combination of the following risk control
measures
(a)
the substitution of a new activity, procedure, plant, process or substance for
that which is related to the relevant mining hazard;
(b)
the isolation of persons from the mining hazard;
(c)
engineering controls.
Before you begin

Do you have access to all the relevant information you need? Some key examples of this include: register of
existing adopted control measures, hazard register, documents which list the reasons for the adoption or
rejection of control measures.
likely to be directly affected and their HSRs?
Using Substitution, Isolation or Engineering Controls to Reduce Risk
If you are unable to eliminate the risk, have you considered that the next best control option is to change the risk using
substitution, isolation or engineering controls?
Substitution - That is, if you cant eliminate the hazard or risks, have you substituted the hazard with a new
activity, procedure, plant, process or substance that is less of a risk? An example of this would be substitute
the use of electric detonators by using NONEL detonators.
Isolation - That is, if you cant reduce the risk by substitution, have you separated the people from the
hazard? An example of this would be isolating underground workings from potential inrush of water or inflow
of mine gases from old workings.
Engineering Controls - That is, if the risk cannot be substituted or isolated, have you reduced the risk by
engineering methods such as using mechanical or engineering devices or changing work processes? An
example of this would be engineering fit for purpose backfill bulkhead seals to dam waters.
Have you adopted risk control measures which change the risk? If so, have you considered what systems
you need to have in place to ensure these control measures survive and are reliable? Some key examples of
this include: maintenance systems, performance monitoring systems, inspection systems.


1.
2.
Rating
There are mining hazards for which a risk remains and all
reasonably practicable substitution, isolation or
engineering controls have been adopted for mining
hazards.
AND
The risk control measures adopted are effective at
reducing the risk of the identified mining hazards.
Meets requirement
Person responsible
2.3 Using Procedures and Personal Protective Equipment to Reduce Risk

Regulation
Title
Regulation 5.3.8
(3)
(4)
If an operator has complied with sub regulation (1) so far as is reasonably

practicable and a risk to health or safety remains, the operator must, so far as is
reasonably practicable, use administrative controls.
If an operator has complied with sub-regulations (2) and (3) so far as is
reasonably practicable and a risk to health or safety remains, the operator must
provide appropriate personal protective equipment to persons at risk.
Before you begin

Do you have access to all the relevant information you need? Some key examples of this include: register of
existing adopted control measures, hazard register, documents which list the reasons for the adoption or
rejection of control measures, and material safety data sheets which detail relevant PPE.
likely to be directly affected and their Health and Safety Representatives (HSR)s?
(Refer to Self-assessment tool 5 Consultation, information, instruction and training for more information.)
Using administrative controls to reduce risk
If risk still remains after consideration of higher level control strategies, have you considered reducing
exposure to a hazard through procedural approaches? For example, developing a mining procedure which
specifies the requirements for effective tolerances required for support of underground workings.

Have you adopted administrative risk control measures which change the risk? If so have you considered
what systems you need to have in place to ensure these control measures survive and are reliable? Some
key examples of this include: supervision, accessible work instructions, auditing systems, job cycle checks,
training, instruction, and competency testing.
Using personal protective equipment to reduce risk
If the risk to health and safety remains after consideration of higher level control strategies, have you
considered the use of personal protective equipment to reduce the risk? Some key examples of this include:
use of self rescuers, mandatory issue of safety helmets for personnel working in the risk zone.
Have you considered that identifying personal protective equipment for use will depend on, the type of work
or process and what you know about an injury or disease that can be caused by doing the work or process?
Have you considered that this type of control will only be effective if you have chosen suitable protective
equipment, and if it is fitted and maintained correctly, and used at all times when needed?
What type of systems do you have you in place to ensure these control measures survive and are reliable?
Some key examples of this include: Manufacturer or supplier specifications, supervision, training, and
signage.

1.
2.
Rating
There are mining hazards for which a risk remains and all
reasonably practicable administrative and personal
protective control measures have been adopted for
mining hazards.
AND
These risk control measures adopted are effective at
reducing the risk of the identified mining hazards.
Meets requirement
Person responsible

3. Reviewing and Revising Risk Control Measures

Regulation
Title
Regulation 5.3.9
(1)
(2)
In order to ensure that an operator of a mine is complying with regulation 5.3.8 (1)
by adopting appropriate risk control measures, the operator must review and, if
necessary, revise (c) the risk control measures adopted.
A review under sub regulation (1) must be conducted
(a)
before any mine modification is made; or
(b)
after any incident involving a mining hazard occurs at the mine; or
(c)
if the operator has removed a person from the person's work or assigned
the person to alternative work in the circumstances described in regulation
5.3.16(2); or
(d)
after receiving a request from a health and safety representative - and in
any event at least once every 3 years.
Before you begin

Have you clearly defined what you want to review and by when?
Do you have a copy of all the information you may need. Some key examples of this include: control
measure registers, incident reports, management of change registers, health surveillance reports and break
down reports.
Have you considered where you will store the data from the review? Is there space in your control measure
register?
Does your procedure for managing control measures define when, how and who will complete a review? At a
minimum, does it list the circumstances specified in the regulations?
Does you procedure for managing change prompt a review of the adopted risk control measures for all mine
modifications?
Does a report of a detrimental health effect in relation to a specific employee result in an incident report or
review of control measures?
Does the incident reporting system trigger a review and revision of control measures following an incident
involving a mining hazard?
Do you intend to complete the review with employees at the mine who are likely to be directly affected and
their HSRs?
Mine modification some additional information about SMS management of change
Mine modifications at a mine may be triggered by or required because of changes to: mining methods, technology,
licence conditions, expectations and requirements of stakeholders, legislation or standards, or as a result of risk
assessments, accident investigations, the findings of an audit, a senior management review of operations or the SMS,
safety alerts or safety suggestions, or updating of manufacturers advice for plant and equipment. If not managed
correctly, mine modifications can introduce new hazards into the mine or can even invalidate previously adopted risk
control measures.

Reviewing and revising risk control measures

Have you reviewed and revised your risk control measures under the specific circumstances listed in the
regulations?
Have you documented the outcome of the review?
Have you recorded if a HSR requested the review, who was involved and who you consulted with?
1.
2.
The mine operator can provide evidence that revision of
the adopted risk control measures has taken place in the
circumstances required by the Regulations.
Rating
Person responsible
Meets requirement

4.
Testing Risk Control Measures
Regulation
Title
Regulation 5.3.24
The operator of a prescribed mine must, in relation to the control of risk associated with
major mining hazards, test all risk control measures documented under regulation
5.3.21(3)(f) as often as necessary to ensure compliance with regulation 5.3.8 in relation
to those hazards.
Before you begin

Do you have access to all the relevant information? Some key examples of this include: parts of your safety
management system which list the adopted control measures, maintenance registers, records of
performance monitoring of control measures and training records.
Does your SMS list the adopted risk control measures, define the frequency of testing, include rationale for
the chosen testing regime, define performance indicators and define who is responsible for the testing,
monitoring and review of the testing process?
Do you provide training in inspection and maintenance procedures for employees?
Does your SMS define competencies and training for personnel undertaking or supervising maintenance and
inspection tasks?
Does your SMS contain testing, operation and isolation procedures for critical equipment/ processes?
Does your maintenance system record whether inspection tasks have been undertaken and does it detail as
found condition and required actions?
Testing risk control measures
For all risk control measures adopted have you determined how frequently you will need to test them to
ensure that they remain effective at reducing risk?
For all risk control measures adopted how do you know if you are testing them at your specified frequency?
How have you considered that different controls require different methods for testing and monitoring?
For example:
Hazard
Air blast loading
and hauling ore
from unsupported
stopes
Control measure
Performance monitoring
method
Frequency and justification
1.
Use automated remotely

controlled LHD face
equipment
Pre start up checks,

routing maintenance,
equipment condition
monitoring
To manufacturers specification
2.
Supervisory - clear areas

checked before working at
the face
Job production cycle

check by Mine Manager
As per management audit schedule
3.
Monitoring equipment
installed
Testing/ calibration
At beginning of new production

cycle and annual as per
manufacturers specification


1.
2.
All risk control measures associated with major mining
hazards, and documented under regulation 5.3.21(3) (f),
are tested.
AND
Are tested as often as necessary to ensure they remain
effective at reducing risk.
Rating
Person responsible
Meets requirement

5.
Safety Role for Employees
Regulation
Title
Regulation 5.3.25
(1)
(2)
The operator of a prescribed mine must develop a role for the operator's
employees, including the specific procedures employees are required to follow to
assist the operator to
(c)
adopt, review and test risk control measures under regulations 5.3.8, 5.3.9
and 5.3.24;
The operator of a prescribed mine must review the role of the employees
developed under this regulation if there is any change of circumstances, including
a mine modification, that would require additional or different knowledge or skills
on the part of employees to perform the role.
Before you begin

Do you have access to all the relevant information? Some key examples of this include: position descriptions,
organisational charts, responsibility/role matrix, contract specifications and the list of maintenance routines.
Do you have a copy of the procedure(s) which defines how your employees assist you in adopting, reviewing
and testing risk control measures?
Do these procedure(s) define what will trigger a review? Some key examples of this include: change in
legislation, mine modification, changes to the control measure register, change in organisational structure.
Do you intend to develop and review safety roles in consultation with employees at the mine who are likely to
be directly affected and their HSRs?
Developing and reviewing a safety role
Do you have safety role descriptions for your employees? Some key examples of this include: Senior
management, technical personnel, supervisory personnel, operators, contractors, other employees.
Do these descriptions detail the types of safety related activities that the role undertakes and where relevant
do these mention adopting, reviewing and testing risk control measures?
If you use contractors to test risk control measures are these tasks clearly defined?
Do you review the skills and knowledge required to do the role when there has been a modification to the
mine?
Have you recorded who was involved in the development and/or review of the safety roles?
Have you recorded who you consulted with during the development/review?


1.
2.
Safety roles have been defined and include statements
on adopting; reviewing and testing risk control measures
for all relevant personnel at the prescribed mine.
AND
Specific procedures have been developed regarding
safety roles, including procedures for adopting, reviewing
and testing risk control measures.
AND
A review of the skills and competencies required occurs
when modifications are made to the mine.
AND
There is evidence that employees are participating in
adopting, reviewing and testing risk control measures as
defined by their role.
Rating
Person responsible
Meets requirement

6.
Prohibitions
Regulation
Title
Regulation 5.3.33
The operator of a prescribed mine must not allow the following to be used underground
(a)
an internal combustion engine (other than a compression ignition engine); or
(b)
polyurethane foam
Before you begin

Do you have access to the relevant information? Some key examples of this include: control measure
registers, onsite equipment registers, and technical specifications of equipment, purchasing procedures, and
underground inspection checklists and induction or training material.
Have all employees and contractors been instructed in the risks associated with internal combustion engines
and polyurethane foam used underground?
How do you inform your employees and contractors who work or buy equipment for use underground about
this prohibition?
Does your purchasing procedure contain information on these prohibitions?
Prohibitions
Do you prohibit the use of polyurethane foam or internal combustion engines underground?
What risk control measures have you adopted to ensure that polyurethane foam and internal combustion
engines are not used underground? Some key examples of this include: purchasing specifications, induction/
training, targeted underground inspections, and random checks of contractors equipment.
1.
2.
No internal combustion engines and polyurethane foam
are underground.
Rating
Meets requirement
Person responsible

WorkSafe Victoria
Advisory Service
222 Exhibition Street
Melbourne 3000
Phone.......................03 9641 1444
Toll-free.....................1800 136 089
Email......info@worksafe.vic.gov.au
Head Office
222 Exhibition Street
Melbourne 3000
Phone.......................03 9641 1555
Toll-free.....................1800 136 089
Website...........worksafe.vic.gov.au
Local Offices
Ballarat.....................03 5338 4444
Bendigo....................03 5443 8866
Dandenong...............03 8792 9000
Geelong....................03 5226 1200
Melbourne
(628 Bourke Street). .03 9941 0558
Mildura......................03 5021 4001
Mulgrave...................03 9565 9444
Preston.....................03 9485 4555
Shepparton...............03 5831 8260
Traralgon..................03 5174 8900
Wangaratta...............03 5721 8588
Warrnambool............03 5564 3200
WorkSafe Victoria is a trading name

of the Victorian WorkCover Authority.
This publication is protected by
copyright. WorkSafe encourages the
free transfer, copying and printing
of this publication if such activities
support the purpose and intent for
which this publication was developed.

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Occupational Health and Safety Regulations 2007

SA-2 Managing Risk Control Measures

WorkSafe Victoria / SA-2 Managing Risk Control Measures

Edition 1 April 2008

Occupational Health and Safety Regulations 2007

SA-2 Managing Risk Control Measures

About this Tool..........................................................................................................................2

Adopting Risk Control Measures to Eliminate or Reduce Risk...........................................5

Reviewing and Revising Risk Control Measures...................................................................9

Testing Risk Control Measures..............................................................................................11

Safety Role for Employees.....................................................................................................13

WorkSafe Victoria / SA-2 Managing Risk Control Measures

Edition 1 April 2008

SA-2 Managing Risk Control Measures

About this Tool

further explore their identified hazards,

identify risk control measures for adoption, and

develop safety management systems.

SA 6 Managing Geotechnical Hazards

SA 2 Managing Risk Control Measures

SA 7 Ventilation and the Working Environment

SA 4 Safety Management Systems

SA 5 Consultation, Information, Instruction and Training

1.1 Relevant OH&S Regulations for Managing Risk Control Measures

5.3.9(1)(c) and 5.3.9(2)

Review by operator of risk control measures

Testing risk control measures for major mining hazards

WorkSafe Victoria / SA-2 Managing Risk Control Measures

Edition 1 April 2008

SA-2 Managing Risk Control Measures

1.2 References Relevant to Managing Risk Control Measures

National Minerals Industry Safety Section 4

Minerals Industry Health and Safety Centre,

Guidance note MPV-GN-03 Risk

Risk control measures general

Guidance note MPV-GN-05

Selection, evaluating and testing

Risk management overall

HB 436:2004 Risk Management

Risk management overall

Minerals Industry Safety

DPI NSW Website

General duty of care in Western

Information on control hierarchy

Department of Consumer and Employment

Guide to positive performance

Section 4.2 Inspection, testing and

The Chamber of Minerals and Energy WA

Major Hazard Facilities

Selection, evaluating and testing

Controlling OHS hazards and

Information on effectiveness and

How WorkSafe applies

Information on applying Division

WorkSafe Victoria / SA-2 Managing Risk Control Measures

Edition 1 April 2008

SA-2 Managing Risk Control Measures

1.3 Adopting Risk Control Measures Supporting Information

The likelihood of the hazard or risk concerned eventuating;

The cost of eliminating or reducing the hazard or risk.

WorkSafe Victoria / SA-2 Managing Risk Control Measures

Edition 1 April 2008

SA-2 Managing Risk Control Measures

Adopting Risk Control Measures to Eliminate or Reduce Risk