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Issued by Resources Safety
Department of Mines and Petroleum
GUIDELINE
Effective safety and health supervision in Western Australian mining operations
MIAC and DMP RSD logos
Disclaimer
The information contained in this publication is provided in good faith and believed to be reliable and accurate at the time of publication. However, the information is provided on the basis that the reader will be solely responsible for assessing the information and its veracity and usefulness.
The State shall in no way be liable, in negligence or howsoever, for any loss sustained or incurred by anyone relying on the information, even if such information is or turns out to be wrong, incomplete, out-of-date or misleading.
In this disclaimer:
State means the State of Western Australia and includes every Minister, agent, agency, department, statutory body corporate and instrumentality thereof and each employee or agent of any of them.
Information includes information, data, representations, advice, statements and opinions, expressly or implied set out in this publication.
Loss includes loss, damage, liability, cost, expense, illness and injury (including death).
Reference
The recommended reference for this publication is:
Department of Mines and Petroleum, 2014, Effective safety and health supervision in Western Australian mining operations — guideline: Resources Safety, Department of Mines and Petroleum, Western Australia, XX pp.
ISBN (paperback)
(web)
© Department of Mines and Petroleum, 2014.
Except where the Copyright Act otherwise allows, reproduction in whole or part of this publication will be permitted only with the prior written permission of the Department of Mines and Petroleum. Applications for permission should be addressed to the Communications Manager, Resources Safety.
This publication is available on request in other formats for people with special needs.
Further details of publications produced by Resources Safety can be obtained by contacting:
Resources Safety — Publications
Department of Mines and Petroleum
100 Plain Street
EAST PERTH WA 6004
Telephone: +61 8 9358 8002 (general queries)
+61 8 9358 8154 (publication orders)
NRS: 13 36 77
Facsimile: +61 8 9358 8000
Email: (general queries)
(publication orders)
Guidelines
A guideline is an explanatory document that provides more information on the requirements of legislation, details good practice, and may explain means of compliance with standards prescribed in the legislation. The government, unions or employer groups may issue guidance material.
Compliance with guidelines is not mandatory but they could have legal standing if it were demonstrated that the guideline is the industry norm.
Who should use this guideline?
This guideline should be used by anyone who has responsibilities to develop, authorise, provide and maintain workplace safety and health systems to guide mine management and supervisors on how to run a mining operation safely.
Acknowledgement
This guideline was developed through consultation with industry. In particular, Chapter 5 and Appendix 1 reflect workshops at the 2012 Mines Safety Roadshows presented by the Department. Early drafts were based on Queensland Guidance Note 14: Effective safety and health supervision, published by the Queensland Department of Natural Resources and Mines in 2008.
Foreword
This guideline is issued by Resources Safety under the Mines Safety and Inspection Act 1994, and has been endorsed by the Mining Industry Advisory Committee.
The Act
The Mines Safety and Inspection Act 1994 (the Act) sets objectives to promote and improve occupational safety and health standards within the minerals industry.
The Act sets out broad duties, and is supported by regulations, together with codes of practice and guidelines.
Regulations
The Mines Safety and Inspection Regulations 1995 (the regulations) provide more specific requirements for a range of activities. Like the Act, regulations are enforceable and breaches may result in prosecution, fines, or directions to cease operations and undertake remedial action.
Application
The provisions of this guideline apply to all mines as defined in section 4(1) of the Act.
Contents
1 Introduction 5
1.1 The role of supervision 5
1.2 Structure of guideline 5
1.3 Terminology 6
2 Organisational aspects 7
2.1 Legislative requirements 7
2.2 Supervisory function 7
2.3 Management and supervision responsibilities 8
3 Supervisory requirements 14
3.1 Considerations when determining adequacy 14
3.2 Level of supervision 14
4 Delivering effective supervision 16
Plan 16
Do 16
Check (maintain and monitor) 17
Act 17
5 Setting frontline supervisors up for success 18
5.1 Duties and responsibilities 18
5.2 General skills and competencies 18
5.3 Technical competencies 19
5.4 Management’s role in supporting success 19
6 Impediments to effective supervision 20
6.1 Overview 20
6.2 Inadequate supervision 20
6.3 Planned inappropriate actions 20
6.4 Failure to correct a known problem 20
6.5 Supervisory violations 21
7 Further information 22
Appendix 1 Signs of ineffective supervision 23
1 Introduction
1.1 The role of supervision
The Mines Safety and Inspection Act 1994 (the Act) sets objectives to promote and improve occupational safety and health for people who work in mining operations in Western Australia. It imposes a general duty of care to maintain safe and healthy workplaces at mines, and protect people at work, and others entering or adjacent to the mine, from hazards.
The Act and associated Mines Safety and Inspection Regulations 1995 (the regulations) describe the duties and responsibilities of relevant personnel for the management and supervision of mining operations. The principal employer, employers, responsible persons and management appointments must provide and maintain a safe working environment, so far as is practicable, to prevent workers being exposed to hazards that could cause injury or harm. A controlled work environment, competent people, fit-for-purpose equipment and safe work practices combine to provide processes to help manage the risks to health and safety in the workplace.
Supervision is a fundamental safety function that applies to all levels of an organisation. It complements the provision of information, instruction and training, and influences how well organisations achieve the safety and health objectives of the Act. Effective supervision maintains standards of performance and the physical aspects of the work environment, and is key to maintaining the desired safety culture.
A Department of Mines and Petroleum review of mining fatality reports from 2000 to 2012 for Western Australia showed that workers within the first two years on a job were at highest risk of a fatal accident, particularly where the supervisor had less than three years’ experience in the role. In many of the fatal incidents, work was being undertaken largely unsupervised or outside the scope of established procedures. These findings are consistent with the outcomes of serious incident investigations undertaken by the Department.
The level of supervision at a mine needs to be commensurate with the scale and complexity of the operation, and potential consequences of ineffective supervision. For example, where the potential hazards and risks are significant, and controls to effectively reduce exposure are limited, the workforce will require closer supervision.
As mining operations range from exploration, small mines and quarries to large diverse multi-site operations, some with a significant contract workforce, each site must determine its specific resourcing, training and skill needs for effective supervision of all workers. The span of control of supervisors needs to be defined by management, including:
· the need to provide continuous direct supervision for identified critical tasks that can result in serious injury if hazards are not identified and effectively controlled
· the required level of supervision for inexperienced workers, new starters and apprentices.
1.2 Structure of guideline
This guideline outlines the key safety roles for each level of management but focuses on frontline supervision. It promotes a systematic approach of planning, doing, checking and acting to assist in the application of a resilient system of work that supports a risk-based approach to safety and health.
Figure 1 The plan-do-check-act cycle for managing change and solving problems
Effective management and supervision can only be achieved through a multi-tiered, team approach where each level of the organisation plays a part in implementing the overall safe systems of work. Supervisors depend on direction and support from middle and senior management, as well as the involvement of the workers and contractors they direct.
Chapter 2 discusses the organisational elements that support effective supervision. The roles, responsibilities and desirable interactions between the various management levels are described.
Chapter 3 discusses some of the key parameters to be considered for supervision.
Chapter 4 provides a framework for effective supervision.
Chapter 5 covers the skills and knowledge that will help a supervisor to be effective.
Chapter 6 discusses the supervisory attributes that give rise to unsafe acts and conditions in mining.
Resources that may be useful are listed in Chapter 7.
Appendix 1 describes some of the warning signs that should alert management when supervision requires attention.
1.3 Terminology
Although there is a legislative definition of supervisor in relation to underground mining operations and quarries, the term is used in this guideline in its broadest sense to mean anyone who performs a supervisory function.
The terms management and supervision can be seen as interchangeable — all managers supervise their subordinates, and every supervisor manages the safety standards in their area of responsibility.
2 Organisational aspects
2.1 Legislative requirements
The duties of the principal employer, and any other employer as implemented by senior corporate management, include the development, authorisation, provision and maintenance of workplace safety and health systems to guide mine management and supervisors on how to run the mine safely.
Corporate managers (e.g. chief executive officer, company directors, corporate advisors) must ensure that sufficient resources, both monetary and human, are available to operate the mine in accordance with the Act and regulations, and the principal employer has the power to issue instructions to the manager of the mine.
The systems, standards and leadership style established by corporate management are fundamental in developing an appropriate safety culture.
The principal employer is also required to make key statutory appointments to establish clear safety accountability. These appointments have the daily control and supervision of the mine, and are accountable for ensuring that regulatory requirements and the principal employer’s policies and procedures are followed.
Additional management appointments may be made to assist in maintaining compliance with the Act. Under the duty of care legislation, supervision must also be provided for those carrying out work at the mining operation.
Supervisors are the direct link between management and the workforce. They are responsible for following the directions of employers and management, implementing the safety and health management systems, and supporting the organisation’s safety culture.
2.2 Supervisory function
Responsibility for the overall safety and health management is shared between management levels, with supervisors having a mainly operational focus (e.g. coordination and communication) and involvement in short-term planning.
Although supervision is typically seen as an individual’s job, changing work practices mean that it is no longer easy to identify the appointed supervisor. The main supervisory elements include:
· planning and scheduling
· allocating workload
· instructing and directing the work of others
· identifying hazards and applying control measures
· maintaining discipline
· monitoring actions
· investigating unwanted events
· taking responsibility for decisions made about the work
· being held accountable for the work done.
Supervision may be delivered by one or more individuals within or external to a team. Team members who act as a safety representative, oversee trainees, undertake a team leader role or act as a competent person when carrying out inspections also perform supervisory roles to some degree under their duty of care.
Ideally, all workers should have an appointed supervisor and know this person. There needs to be clear lines of communication and responsibility.
Effective supervision can help monitor the quality of the training that people have received, and whether they have the necessary capacity and competence to do the job.
2.3 Management and supervision responsibilities
Everyone in an organisation has a part to play in the promotion of workplace safety and health. Table 1 lists some elements of management and supervision that determine how well safety functions are implemented and maintained throughout an organisation according to the following groupings:
· Corporate management – representatives of the principal employer, employer or contractor who is the proprietor, lessee or occupier of the mine and has overall control and supervision of the mine; includes senior executives, directors and board members.
· Mine management – persons appointed as managers of the mine under the Act such as registered manager, exploration manager, quarry manager and underground manager; includes department heads and middle managers.
· Supervisor – a person who has the immediate supervision of workers and oversight of operations in specific workplaces.
· Team leader – a person who guides a group of workers in a specific task; provides information to those in supervisory positions, who typically have more responsibilities.
· Competent person – a person who is appointed or designated by the employer to perform specified duties that the person is qualified to perform by knowledge, training and experience; includes technical appointments, such as electrical supervisor, mine surveyor or ventilation officer.
· Safety and health representative – a workplace representative for safety and health matters; elected under section 56 of the Act.
Table 1 Influence of organisational groups on effective management and supervision
Group / Organisational elements / Enabling actions /Corporate management / Leadership and accountability / · Establishes desired safety culture in organisation
· Makes clear and strong commitment to pursue continuous improvement in safety and health
· Accepts overall responsibility for safety and health leadership
· Recognises importance of statutory compliance to safety outcomes
· Accepts supervision as critical management function
· Accepts supervision as key influence on teams performance and function
· Provides effective leadership in emergency situations
· Ensures span of control matched to requirements
Resourcing / · Ensures adequate resources to meet legislative requirements