What other records may be required?

Complying with legislation

Under the mines safety and inspection legislation, various records must be kept by an employer and, in some instances, by suppliers. These are in addition to the requirements for a mine record book and other log and record books. The list is not exhaustive and mining operations should ensure they conduct a specific review of the legislation to ensure compliance.

Plant records

What records do employers need to keep?

During the period that plant is operable and under an employer’s control, the employer must ensure that records are made of:

  • any relevant tests
  • maintenance inspection, commissioning or alteration of certain plant as is identified by an assessment carried out under regulation 6.17.

These records should be available to workers, including safety and health representatives.

Refer to rr. 6.17 and 6.25 of the Mines Safety and Inspection Regulations 1995 for further details.

What records do suppliers of plant have to provide?

A person who becomes a supplier as a result of hiring or leasing plant to a mine must ensure that:

  • any testing is undertaken and recorded (to check whether new or increased hazards to safety and health have developed)
  • records are maintained for the operating life of the plant.

A supplier of plant must provide to the purchaser or owner any record kept by a previous owner of the plant.

There are other obligations as a supplier of plant. Refer to the mines safety and inspection legislation for details.

There is the requirement for a classified plant record book. Find out more in What log or record books may be required?

Cage and skip records

The manager of a mine must ensure that a record is kept of all shaft conveyance attachments used in a mine. The record must include include:

  • name of the shaft or winze in which the attachment is used
  • location of that attachment on the conveyance, in the case of multi-rope attachments
  • compartment of the shaft in which the attachment is used; and
  • identification number of the attachment
  • date on which the attachment was installed in service
  • dates of the examinations, cleaning and oiling of attachment required by these regulations
  • date and result of each testing of the attachment required by these regulations
  • date of the removal of the attachment from service.

Refer to r. 11.59 of the Mines Safety and Inspection Regulations 1995 for more details.

Winding rope inspection and test record requirements

The manager of a mine must ensure that a competent person undertakes checks as follows.

At least daily

  • The winding rope or ropes while they are travelling at a speed not exceeding one metre per second, and their attachments to the conveyances and counterweights,  as well as the brakes, depth indicators, cages, skips, head sheaves, safety devices and each external part of the winder installation required for safe operation

At least weekly

  • The shaft guides, including guide ropes and the winding compartments generally, the balance ropes while they are travelling at a speed not exceeding one metre per second, the automatic winding controls, and the signalling arrangements generally

At least half yearly

  • Each detaching hook by dismantling, cleaning, gauging for deformation, checking for corrosion and other imperfections, and testing with crack detection equipment

At least yearly

  • The winding engine and auxiliary equipment and each item of attachment:
    • chains, chain links, shackles, pins and pin holes by measurement for wear
    • each attachment, by checking for deformation, corrosion or other imperfections, and by testing with crack detection equipment
    • each winder brake system, each component of at least one brake, the failure of which would render the brake inoperative, by testing with crack detection equipment, and if there are two or more brakes in the winder brake system, each such brake must be tested in this manner on an alternate year basis

If any serious weakness or defect in a rope or winding appliance is discovered, it must immediately be reported to the manager of the mine or to the manager’s representative. No-one may be lowered or raised by the rope or appliance until the weakness or defect is remedied.

Refer to r. 11.49 of the Mines Safety and Inspection Regulations 1995 for additional requirements.

Find out more about the requirement for a winding rope log book in What log or record books may be required?

Recording requirements for ventilation officers

Underground mining ventilation officer

The ventilation officer for an underground mining operation is responsible for:

  • recording the quantity and quality of ventilating air in the mine using correct procedures and using instruments and equipment suited to that purpose
  • ensuring all atmospheric contaminant sampling requested by an inspector is carried out and is recorded and reported accurately, within the time required
  • reading and recording the wet and dry bulb temperatures of all workplaces in the mine where it is suspected that temperatures or humid conditions could adversely affect the safety and health of people in those workplaces
  • having the pressure and volume readings of primary fans used in ventilating the mine taken and recorded at intervals not exceeding 3 months
  • having ventilation plans of the mine updated at intervals not exceeding 3 months
  • ensuring the current ventilation and survey information is immediately available on special plans maintained for the use of rescue teams in the event of an underground emergency
  • entering in the ventilation log book all records required under Part 9 of the Mine Safety and Inspection Regulations 1995
  • ensuring each complete entry is dated and signed.

Refer to r. 9.5 of the Mines Safety and Inspection Regulations 1995 for more details.

Find out more about the requirement for a ventilation log book in What log or record books may be required?

Surface mining ventilation officer

The ventilation officer for a surface mining operation is responsible for:

  • ensuring any sampling of atmospheric contaminants requested by an inspector is carried out and recorded and reported accurately, within the time required
  • entering in the ventilation log book all records required under Part 9 of the regulations
  • ensuring each complete entry is dated and signed.

Refer to r. 9.6 of the Mines Safety and Inspection Regulations 1995 for more details.

Find out more about the requirement for a ventilation log book in What log or record books may be required?

Blast plans and records

Mining blast plans are a requirement of both the Dangerous Goods Safety Act 2004 and the Mines Safety and Inspections Act 1994. A record must be kept as the documents may be requested by a mines inspector or the Chief Dangerous Goods Officer.

For more on what is required, including templates and guidance, visit What are blast plans?

Training and assessment records

Each responsible person at a mine must ensure that a record is made of any:

  • induction
  • instruction
  • training or retraining
  • assessment or reassessment given in safety procedures
  • systems of work
  • plant operation
  • tasks required of the employee.

Further information: These requirements also apply to training related to the risk management of hazards at exploration operations in remote sites, including the lack of infrastructure and support, adverse climatic conditions, as well as training on the safety procedures related to the use of helicopters at mining sites.

Records of all instructions, training, retraining, assessment or reassessment should be made available to the specific worker, their supervisor and regulators as required. The mines safety and inspection legislation does not require original documents to be kept on site provided they can be accessed (e.g. electronic copies are sufficient).

Supervisors need access to workers’ training and assessment records so they can confirm a worker is competent prior to assigning tasks.

Workers should also be able to access their own training records so they know what they are deemed competent in — this forms part of a safe system of work under section 9(1) of the Mines Safety and Inspection Act 1994.

Further information: The records should be kept confidential from other parties. Each record must be kept for a minimum of 2 years after it is made. However, the Department recommends that records be kept as long as the worker is engaged at the mine.

Refer to rr. 4.13 and 4.14 of the Mines Safety and Inspection Regulations 1995 for more details.

Underground mining operation records

Recording of development heading

For drill and blast activities, the manager of an underground mine must record the thorough cleaning and checking for misfires in the heading towards which the active face is advancing before drilling of the break-through round.

Refer to r. 10.27 of the Mines Safety and Inspection Regulations 1995 for more details.

Records at the end of a shift

If any hazards have not been dealt with before the end of a shift, the manager of an underground mine needs to ensure:

  • a record is made and signed by the supervisor of the shift for the workplace concerned, setting out
    • the nature of the hazard
    • its location
    • the state of corrective measures taken to remedy the hazard
  • the record is read and countersigned by the supervisor of the next shift (the new shift) for the workplace concerned before any work is done in the new shift
  • before anyone does any work in the new shift in the workplace, the supervisor for that shift has advised the workers of
    • the nature of the hazard and its location
    • the state of corrective measures taken to remedy the hazard
    • the work and precautions required to remove or remedy the situation.

Refer to r. 10.30 of the Mines Safety and Inspection Regulations 1995 for more details.

Recording persons underground

The manager of an underground mine must ensure a procedure is established at the mine for checking all persons in and out of the mine so everyone is accounted for at the end of each working shift.

A person at an underground mine must:

  • follow the procedure
  • not interfere with the system of recording and checking persons under that procedure.

Refer to r. 10.32 of the Mines Safety and Inspection Regulations 1995 for more details.

Records of results for diesel units

The manager of an underground mine must ensure that:

  • a copy of the notice of registration for each diesel unit used at the mine is kept at the mine
  • a record is kept at the mine of the result of each undiluted gas analysis carried out in relation to a diesel unit at the mine.

Refer to r. 10.57 of the Mines Safety and Inspection Regulations 1995 for more details.

Radiation safety records

Recording defects that causes radiation in excess

The manager of a mine must ensure that if any defect or malfunction is discovered in any plant, equipment or procedure at the mine that causes doses of radiation in excess of dose constraints, or absorbed dose rates or contamination levels in excess of authorised limits:

  • the defect or malfunction is investigated by the radiation safety officer and any other competent person as is necessary
  • action is promptly taken to remedy the defect or malfunction
  • a record is made in the mine record book of the cause of the defect or malfunction, and remedial action taken.

Refer to r. 16.10 of the Mines Safety and Inspection Regulations 1995 for more details

Records related to the radiation management plan

The manager of a mine must ensure that records are kept and maintained at the mine of:

  • any approvals required and obtained under Division 2 of the Mines Safety and Inspection Regulations 1995
  • monitoring results
  • dose assessments
  • any other information required to be kept under the radiation management plan.

The records must be readily accessible to inspectors who wish to inspect them.

Each responsible person at the mine must also ensure:

  • records of assessed doses for each employee are kept for the duration of employment of that employee
  • dose assessment records of an employee are sent to the State Mining Engineer when employment ceases
  • all records specified by the State Mining Engineer are transferred to the State Mining Engineer before a mining operation is abandoned.

Refer to r. 16.25 of the Mines Safety and Inspection Regulations 1995 for more details.

Recording buried radioactive waste

If radioactive waste is buried at a mine, each responsible person at the mine must ensure the following details are recorded on a plan:

  • location, including the depth, of the waste material
  • top and bottom contour of the waste material
  • total area covered by the waste material
  • average dry weight concentration of uranium and thorium in the material based on analyses of a representative number of samples

and a copy of the plan is provided to the State Mining Engineer.

Refer to r. 16.32 of the Mines Safety and Inspection Regulations 1995 for more details.

Records related to sealed radiation sources and irradiating apparatus

The manager of a mine must:

  • record and retain the results of all measurements and examination and testing of sealed ionising radiation sources or irradiating apparatus used in equipment
  • maintain a register of the current location each piece of equipment that comes under the scope of the Division 2 of the Mines Safety and Inspection Regulations 1995
  • allow inspectors the right of access and a reasonable opportunity to examine equipment, working procedures and records required to be held by the manager.

Refer to r. 16.37 of the Mines Safety and Inspection Regulations 1995 for more details.