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Open Cut Mining and Surface Extraction Risk Assessment

Open Cut Mining and Surface Extraction Risk Assessment

  • • 100% Compliant with Australian WHS Acts & Regulations
  • • Fully Editable MS Word & PDF Formats Included
  • • Pre-filled Content – Ready to Deploy Immediately
  • • Customisable – Easily Add Your Logo & Site Details
  • • Includes 2 Years of Free Compliance Updates

Open Cut Mining and Surface Extraction Risk Assessment

Product Overview

Identify and control organisational risks associated with Open Cut Mining and Surface Extraction through a structured, management-level Risk Assessment that supports planning, governance and system design across your entire operation. This document helps demonstrate Due Diligence under the WHS Act, reduce operational liability, and provide clear evidence of compliant WHS Risk Management for regulators, clients and insurers.

Risk Categories & Hazards Covered

This document assesses risks and outlines management controls for:

  • WHS Governance, Leadership and Legal Compliance: Assessment of board, executive and senior management responsibilities, safety leadership behaviours, consultation arrangements, and alignment with WHS legal duties and due diligence obligations.
  • Mine Planning, Design and Geotechnical Management: Management of mine design parameters, geotechnical risk assessments, mine sequencing, pit layout, and integration of safety requirements into life-of-mine planning.
  • Mine Access Control and Physical Barriers: Protocols for site access, security, exclusion zones, bunding, barricades, edge protection and segregation of people, vehicles and hazardous areas.
  • Contractor and Workforce Management for Mining Activities: Systems for contractor selection, mobilisation, supervision, competency verification, interface management and alignment with site WHS standards and procedures.
  • Highwall, Bench and Slope Stability Management: Assessment of geotechnical monitoring programs, design criteria, inspection regimes, trigger action response plans (TARPs) and controls for wall failures, rock falls and ground instability.
  • Mine Drilling and Blasting Systems: Management of drilling patterns, explosives storage and handling, blast design, clearance procedures, misfire management, vibration impacts and blast exclusion controls.
  • In-Pit Crushing, Conveying and Materials Handling: Controls for fixed and mobile crushing systems, conveyors, transfer points, stockpiles, guarding, isolation, lock-out/tag-out and entrapment or entanglement risks.
  • Vehicle, Mobile Plant and Traffic Management: Assessment of haul road design, traffic management plans, interaction between heavy and light vehicles, collision avoidance systems, fatigue management and mobile plant maintenance standards.
  • Extraction, Loading and Waste Rock Management Systems: Management of excavation methods, loading operations, dump design, tip head controls, waste rock placement, stockpile stability and interface with other mining activities.
  • Occupational Health, Dust, Noise and Vibration Management: Systems for monitoring and controlling respirable dust, diesel particulates, noise exposure, vibration, heat stress and other occupational hygiene risks.
  • Emergency Preparedness, Response and High-Risk Events: Planning for pit wall failure, fire, inundation, entrapment, vehicle incidents and other major events, including emergency response capability, equipment, training and drills.
  • Environmental, Water and Surface Interaction Management: Assessment of water ingress, dewatering systems, surface run-off, erosion, sediment control, contamination risks and environmental compliance interfaces.
  • Training, Communication and Change Management: Management of competency frameworks, induction and refresher training, toolbox talks, safety communications and formal change management for new plant, processes and mine designs.
  • Monitoring, Audit and Continuous Improvement: Systems for inspections, audits, incident reporting, data analysis, corrective actions, performance indicators and periodic review of the risk profile for open cut operations.

Who is this for?

This Risk Assessment is designed for Mine Owners, General Managers, Quarry Managers, Operations Managers and Safety Professionals responsible for planning, approving and overseeing Open Cut Mining and Surface Extraction activities across their organisation.

Hazards & Risks Covered

Hazard Risk Description
1. WHS Governance, Leadership and Legal Compliance
  • • Inadequate understanding or application of WHS Act 2011, WHS Regulations and Mining Regulations by senior leaders
  • • Lack of clear WHS policy, objectives and due diligence processes for officers
  • • Insufficient allocation of resources to manage WHS risks in open-cut and surface operations
  • • Poor integration of WHS into corporate decision-making, production planning and cost control
  • • No systematic review of legal changes affecting open cut mining and surface extraction
  • • Failure to consult, cooperate and coordinate with PCBUs sharing duties on site (contractors, JV partners, utilities)
  • • Inadequate incident reporting, investigation and corrective action systems
  • • Lack of clear accountabilities and role descriptions for WHS responsibilities at all levels
2. Mine Planning, Design and Geotechnical Management
  • • Deficient life-of-mine and short-term mine design leading to unsafe highwall, low wall and pit geometry
  • • Inadequate geotechnical investigation and monitoring for open-cut walls, waste dumps and surface mining areas
  • • Insufficient factor of safety in pit slope design and high wall scaling plans
  • • Poor integration of hydrology, groundwater and surface water management into pit design
  • • Lack of design controls for in-pit crushing and conveying (IPCC) locations and haul road interfaces
  • • Inadequate geotechnical hazard communication between technical and operations teams
  • • Uncontrolled changes (drift) from approved mine design due to production pressure
3. Mine Access Control and Physical Barriers
  • • Uncontrolled public or unauthorised access to mining and surface extraction areas
  • • Inadequate physical barriers around open pits, highwalls, voids, in-pit crushing stations and hazardous zones
  • • Poor delineation between active mining areas, waste rock dumps, ROM pads and public/third-party corridors
  • • Inconsistent lock-out of decommissioned pits, worked-out areas and legacy voids
  • • Insufficient signage and lighting around perimeter fencing and exclusion zones
  • • Lack of documented site security procedures and enforcement
4. Contractor and Workforce Management for Mining Activities
  • • Inadequate prequalification of mining and drilling contractors engaged in open-cut and surface extraction
  • • Misalignment between principal contractor WHS expectations and contractor systems
  • • Insufficient competence verification for supervisors, mining operators, drillers and shotfirers
  • • Poor onboarding, induction and site-specific training for new workers and contractors
  • • Gaps in supervision, especially during night shift or remote surface operations
  • • Confusing lines of authority for mixed workgroups (e.g. mine owner, contract miner, drilling contractor)
5. Highwall, Bench and Slope Stability Management
  • • Unstable highwalls and low walls leading to rockfalls, bench failures or large-scale slope collapse
  • • Inadequate high wall scaling procedures for removing loose material from bench faces
  • • Uncontrolled access to high-risk wall toes, crest areas and undercut zones
  • • Insufficient monitoring of slope movement, cracks and water seepage in benches and highwalls
  • • Poor integration of drill and blast design with geotechnical requirements, resulting in over-steep or damaged walls
6. Mine Drilling and Blasting Systems
  • • Inadequate control of drill patterns, burden and spacing impacting wall stability and fragmentation
  • • Failure of explosive storage, transport and handling systems to meet regulatory requirements
  • • Deficient misfire management and blast exclusion protocols
  • • Poor coordination between drilling, blasting, high wall scaling and extraction operations
  • • Inadequate dust, vibration and flyrock control measures affecting workers, public or infrastructure
  • • Insufficient training and authorisation of drilling and blasting personnel
7. In-Pit Crushing and Conveying (IPCC) and Materials Handling
  • • Poorly designed or controlled interaction between mobile plant and fixed IPCC infrastructure
  • • Uncontrolled material hang-ups, blockages and overloads in crushers and conveyors
  • • Inadequate guarding, interlocking and emergency stops on in-pit crushing and conveying systems
  • • Insufficient lockout–tagout–try-out (LOTOTO) systems for maintenance and clearing blockages
  • • Uncontrolled spillage creating fall, entrapment and mobile plant hazards in pits and on surface conveyors
  • • Inadequate training of operators and maintainers in IPCC-specific risks
8. Vehicle, Mobile Plant and Traffic Management
  • • Uncontrolled interaction between heavy mobile equipment, light vehicles, pedestrians and fixed plant in open-cut pits and surface areas
  • • Inadequate haul road design, signage, lighting and maintenance for open-cut operations
  • • Poor systems for pre-start inspections, defect reporting and maintenance planning for mobile plant
  • • Insufficient vehicle selection and specification controls for mining and surface extraction conditions
  • • Fatigue and distraction management failures for operators engaged in long shifts and remote operations
9. Extraction, Loading and Waste Rock Management Systems
  • • Uncontrolled extraction sequencing leading to unstable benches, highwalls and pit floors
  • • Poorly planned waste rock placement causing dump instability, spontaneous combustion or water contamination
  • • Ineffective separation of ore and waste streams causing stockpile instability or contamination
  • • Inadequate design and management of surface mining strips, spoil piles and rehabilitation areas
  • • Insufficient controls for dozer push, edge work and tipping at dumps, stockpiles and void edges
10. Occupational Health, Dust, Noise and Vibration Management
  • • Inadequate control of respirable crystalline silica, coal dust or other mineral dusts from open-cut and surface mining activities
  • • Excessive noise exposure from drilling, blasting, crushing, conveying and mining equipment
  • • Vibration impacts from blasting and heavy machinery on workers, neighbouring communities and infrastructure
  • • Poor management of diesel particulate matter in pits and enclosed areas
  • • Insufficient health surveillance and exposure monitoring for mining personnel
11. Emergency Preparedness, Response and High-Risk Events
  • • Inadequate emergency response capability for pit wall failure, in-pit crushing incidents, vehicle collisions, fires or medical emergencies
  • • Poor planning and communication for blasting, high wall scaling and other high-risk activities
  • • Insufficient training and drills for emergency scenarios relevant to open-cut and surface extraction operations
  • • Inadequate emergency access and egress routes from pits, waste dumps and remote surface mining areas
  • • Lack of integration between site emergency plans and external emergency services and regulators
12. Environmental, Water and Surface Interaction Management
  • • Uncontrolled surface water inflows into pits, causing slope instability, equipment bogging and flooding of in-pit crushing and conveying systems
  • • Inadequate stormwater and sediment management around waste rock dumps and surface mining areas
  • • Failure to manage acid-forming or reactive waste rock impacting water quality and worker health
  • • Poor control of rehabilitation works interacting with active mining activities
  • • Insufficient planning for extreme weather, including intense rainfall, heat and bushfire conditions
13. Training, Communication and Change Management
  • • Inadequate WHS training specific to open-cut mining, surface extraction and IPCC operations
  • • Poor communication of changes to mine plans, highwall conditions, traffic routes or emergency procedures
  • • Lack of systematic management of organisational, procedural or equipment changes
  • • Insufficient feedback loops for workers to report hazards, near misses and safety improvement ideas
14. Monitoring, Audit and Continuous Improvement
  • • Failure to detect degradation of critical controls across mining activities, IPCC, drilling and extraction operations
  • • Inadequate site inspections and audits leading to normalisation of deviance from standards
  • • Poor data quality or analysis regarding incidents, hazards and leading safety indicators
  • • Lack of systematic review of WHS management system effectiveness for open-cut and surface operations

Need to add specific hazards for your workplace?

Don't worry if a specific hazard isn't listed above. Once you purchase, simply log in to your Client Portal and add your own custom hazards at no extra cost. We take care of the hard work—creating the risk ratings and control measures for free—to ensure your document is compliant within minutes.

Legislation & References

This document was researched and developed to align with:

  • Work Health and Safety Act 2011
  • Work Health and Safety Regulations 2017
  • Code of Practice – Work Health and Safety Consultation, Cooperation and Coordination: Guidance on consultation duties and collaborative WHS management across PCBUs.
  • Code of Practice – Managing Risks of Plant in the Workplace: Requirements for selection, use, inspection and maintenance of mobile and fixed plant used in mining operations.
  • Code of Practice – Managing the Risks of Explosives in the Workplace: Guidance for storage, handling and use of explosives for drilling and blasting activities.
  • Code of Practice – Managing Noise and Preventing Hearing Loss at Work: Controls and exposure standards for noise generated by mining and processing equipment.
  • Code of Practice – Hazardous Chemicals: Risk management for fuels, oils, explosives and other hazardous substances used in open cut mining.
  • AS/NZS ISO 31000:2018: Risk management — Guidelines for establishing, implementing and maintaining a systematic risk management framework.
  • AS/NZS ISO 45001:2018: Occupational health and safety management systems — Requirements with guidance for use.
  • AS 5062:2016: Fire protection for mobile and transportable equipment used in mining and heavy industry.
  • AS 2758 (Series): Aggregates and rock for engineering purposes — Relevant to quarrying and surface extraction quality and performance.
  • AS 2187 (Series): Explosives — Storage, transport and use, including standards for blasting in mining and quarrying.
Standard Risk Assessment Features (Click to Expand)
  • Comprehensive hazard identification for all activities
  • Risk rating matrix with likelihood and consequence analysis
  • Existing control measures evaluation
  • Residual risk assessment after controls
  • Hierarchy of controls recommendations
  • Action priority rankings
  • Review and monitoring requirements
  • Consultation and communication records
  • Legal compliance references
  • Sign-off and approval sections

$79.5

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