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Underground Mining Operations and Ventilation Risk Assessment

Underground Mining Operations and Ventilation 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

Underground Mining Operations and Ventilation Risk Assessment

Product Overview

Identify and control organisational risks associated with Underground Mining Operations and Ventilation through a structured, management-level WHS Risk Management approach. This Risk Assessment supports compliance with the WHS Act, strengthens your Mine Safety Management System, and helps protect your business from regulatory action and operational liability.

Risk Categories & Hazards Covered

This document assesses risks and outlines management controls for:

  • WHS Governance & Legal Compliance: Assessment of mine operator due diligence, statutory appointments, consultation arrangements, and integration of the Mine Safety Management System with corporate governance requirements.
  • Risk Management Framework for Underground Mining: Management of hazard identification, bow-tie analysis, critical control implementation, and ongoing review of risk registers specific to underground operations and ventilation.
  • Mine Design, Layout & Ground Control: Evaluation of mine layout, access and egress routes, strata control plans, seismicity monitoring, and engineering controls for ground instability and fall-of-ground events.
  • Ventilation System Design & Monitoring: Assessment of primary and secondary ventilation design, airflow balance, gas and dust control, monitoring instrumentation, and alarm/response protocols for ventilation failures.
  • Underground Water & Inrush Management: Management of water ingress, inrush risk assessments, dewatering systems, monitoring of water bodies and barriers, and emergency response planning for inundation events.
  • Electrical Power & Equipment Integrity: Evaluation of underground electrical distribution, explosion-protected equipment, earthing, isolation and lock-out systems, and inspection, testing and maintenance programs.
  • Mobile & Fixed Plant Management: Assessment of selection, suitability and maintenance of continuous miners, LHDs, roof bolters and locomotives, including collision avoidance systems, guarding, and operator protection.
  • Underground Transport & Haulage Systems: Management of haul roads, rail and conveyor systems, traffic management plans, interfaces between mobile plant and pedestrians, and controls for loading, unloading and marshalling areas.
  • Strata Reinforcement & Support Systems: Evaluation of rock bolt and roof bolt design criteria, installation quality assurance, support standards, and ongoing ground support monitoring and verification.
  • Shafts, Vertical Infrastructure & Hoisting: Assessment of shaft sinking activities, winder and hoisting systems, shaft conveyances, emergency egress, and inspection and maintenance regimes for vertical infrastructure.
  • Workforce Competency & Supervision: Management of competency standards, statutory role requirements, training and assessment systems, supervision levels, and authorisation to operate underground plant and equipment.
  • Fatigue & Fitness for Work: Evaluation of rostering practices, remote and camp-based work arrangements, fatigue risk management systems, drug and alcohol controls, and health monitoring for underground personnel.
  • Contractor & Project Interface Management: Assessment of contractor selection, induction, scope control, integration into the mine’s safety management system, and oversight of underground projects and construction works.
  • Monitoring, Inspections & Critical Control Verification: Management of workplace inspections, strata and ventilation monitoring programs, audit schedules, and verification of the effectiveness of critical controls.
  • Emergency Preparedness & Mine Rescue: Evaluation of emergency response plans, escape and refuge strategies, mine rescue capability, communications systems, and training and exercises for underground emergencies.

Who is this for?

This Risk Assessment is designed for Mine Owners, General Managers, Underground Mine Managers, and Safety Leaders responsible for planning, approving, and overseeing Underground Mining Operations and Ventilation systems.

Hazards & Risks Covered

Hazard Risk Description
1. WHS Governance, Legal Compliance and Mine Safety Management System
  • • Mine Safety Management System (SMS) not aligned with WHS Act 2011, WHS Regulations and relevant mining codes of practice
  • • Lack of clear due diligence by Officers under WHS Act leading to under‑resourced safety functions
  • • Fragmented or outdated safety policies and procedures for underground mining and ventilation
  • • Poor integration of contractor management into the mine’s SMS
  • • Inadequate change management processes for new mining methods, new equipment (e.g. continuous miners, LHDs, locomotives) or major ventilation changes
  • • Insufficient audit, inspection and review processes to identify systemic failures
  • • Inadequate consultation with workers and Health and Safety Representatives (HSRs) on underground risks and ventilation changes
  • • Lack of clear accountabilities and role descriptions for statutory positions (e.g. Underground Mine Manager, Ventilation Officer, Electrical Engineering Manager)
  • • Inadequate incident investigation processes resulting in repeat events
2. Risk Management Framework for Underground Mining and Ventilation
  • • Absence of a structured risk management process for underground mining, ventilation and geotechnical hazards
  • • Failure to identify and assess interactions between systems (e.g. ventilation, power, water ingress, strata, mobile plant)
  • • Inadequate use of bow‑tie or similar analyses for major hazard events (e.g. explosion, inrush, rockburst, ground fall)
  • • Risk assessments limited to task‑level SWMS without system‑level consideration of mine design and ventilation strategy
  • • Failure to consider credible worst‑case scenarios for mine seismicity, water inrush and ventilation system failure
  • • Outdated or incomplete hazard registers for underground operations and critical equipment (continuous miners, roof bolters, LHDs, locomotives)
  • • Inadequate involvement of competent technical specialists (ventilation engineers, geotechnical engineers, electrical engineers) in risk assessments
  • • Poor documentation and communication of outcomes from risk assessments to supervisors and operators
3. Mine Design, Layout, Strata Control and Seismicity Management
  • • Mine layout not optimised for ground conditions, ventilation and emergency egress
  • • Inadequate geotechnical modelling and rock mass characterisation for strata reinforcement design
  • • Strata support patterns (rock bolts, roof bolts, cable bolts, mesh, shotcrete) not matched to geology or mining geometry
  • • Insufficient management systems for rock bolt installation quality assurance and periodic verification
  • • Inadequate mine seismicity monitoring and lack of seismic hazard zoning in seismically active mines
  • • Failure to integrate seismicity data into production scheduling and development plans
  • • Insufficient control of pillar dimensions, extraction sequences and spans leading to potential ground failure or rockburst
  • • Poor documentation and communication of geotechnical design criteria and limits to production teams
  • • Lack of systematic review of strata damage over time in development headings, intersections and shaft sinking areas
  • • Inadequate systems for ground support management during shaft sinking and major excavations
4. Mine Ventilation System Design, Operation and Monitoring
  • • Inadequate primary and secondary ventilation system design for current and future production levels
  • • Insufficient ventilation for continuous miner machines, LHDs, locomotives and other diesel or electrically powered equipment
  • • Failure of main fans or booster fans without effective redundancy or contingency plans
  • • Poor maintenance and integrity of ventilation controls (doors, regulators, stoppings, seals, ducting)
  • • Inadequate management of recirculation and short‑circuiting of air flows
  • • Insufficient real‑time monitoring of gases, dusts, temperature and air velocities in critical locations
  • • Lack of formal Ventilation Management Plan and statutory ventilation officer oversight
  • • Failure to manage ventilation impacts of mine expansion, new panels, shaft sinking or increased diesel fleet
  • • Inadequate procedures for adjustment of ventilation controls and documentation of changes
  • • Poor integration between ventilation plans, emergency response (e.g. fire, explosion, inrush) and escape route design
5. Underground Water Ingress, Inrush and Dewatering Management
  • • Unexpected inflow of groundwater, surface water or process water into mine workings
  • • Inadequate assessment of hydrogeological conditions and historical workings prior to development and shaft sinking
  • • Failure of bulkheads, dams, sumps, pumps or pipelines leading to inundation of roadways or working areas
  • • Inadequate capacity or redundancy of dewatering systems for peak inflow events
  • • Lack of water level monitoring and alarm systems in critical areas such as shafts, declines and sump systems
  • • Inadequate management of drilling into wet ground or near known water bodies and flooded workings
  • • Poor integration of water management with ventilation (e.g. humid air, misting, reduced visibility) and electrical systems
  • • Insufficient TARPs for rising water levels or pump failures
  • • Poor maintenance and inspection of underground water control structures and pumping infrastructure
6. Electrical Power Distribution and Equipment Integrity Underground
  • • Failure of underground electrical reticulation feeding continuous miners, conveyors, fans, pumps, roof bolters and LHD charging stations
  • • Inadequate earth leakage protection, explosion protection and isolation arrangements
  • • Electrical arcing or ignition sources in explosive atmospheres due to non‑compliant equipment or poor maintenance
  • • Uncontrolled modification of electrical systems without engineering approval
  • • Insufficient management of trailing cables for continuous miners, LHDs and locomotives leading to damage and arcing
  • • Inadequate segregation between HV and LV systems and transport routes
  • • Failure of emergency power or UPS systems critical for fans, communications and monitoring
  • • Poor documentation and labelling of electrical circuits, isolations and substation layouts
7. Mobile and Fixed Plant Management (Continuous Miners, LHDs, Roof Bolters, Locomotives)
  • • Inadequate specification, procurement and guarding standards for underground equipment such as continuous miners, LHDs, locomotives and roof bolting machines
  • • Poor maintenance and inspection systems for critical safety components (brakes, steering, FOPS/ROPS, proximity detection, dust suppression)
  • • Lack of effective collision avoidance or proximity detection systems in congested underground roadways
  • • Uncontrolled interactions between mobile plant and pedestrians or fixed infrastructure, including ventilation ducting and power cables
  • • Insufficient controls over modifications and accessories added to mobile and fixed plant underground
  • • Inadequate reliability of critical production equipment resulting in unplanned breakdowns, time pressure and risk‑taking behaviours
  • • Poor management of diesel emissions, including inadequate fleet selection relative to ventilation capacity
  • • Deficient systems for park‑up, isolation and parking arrangements in declines, shafts and heavy traffic areas
8. Underground Transport, Haulage and Locomotive Operations
  • • Inadequate management of rail haulage and locomotive operations, including signalling, braking and communication systems
  • • Poor integration between locomotive movements, LHD traffic and pedestrian access
  • • Insufficient track inspection, maintenance and derailment prevention controls
  • • Lack of formal journey planning and traffic control in constrained underground roadways and intersections
  • • Inadequate systems for managing oversize loads, low clearances and contact with ventilation ducting and services
  • • Failure of locomotive braking systems or runaway scenarios on gradients
  • • Limited visibility or lighting contributing to collisions and near misses
  • • Inadequate training and verification of competence for locomotive drivers and controllers
9. Strata Reinforcement, Rock Bolt and Roof Bolt Management Systems
  • • Inadequate governance of rock bolt and roof bolting programs, including selection, installation and inspection
  • • Poor control of consumables (bolts, resin, plates, mesh) leading to use of unapproved or incompatible components
  • • Inconsistent or incorrect installation practices by bolting crews due to lack of training or supervision
  • • Inadequate testing, monitoring and re‑assessment of installed support over the life of roadways and intersections
  • • Lack of integration between bolting standards and continuous miner or jumbo development cycle times and layouts
  • • Insufficient documentation and traceability of support standards applied in specific headings, travelways and intersections
  • • Poor management of secondary support and rehabilitation in previously supported areas showing signs of deterioration
10. Shaft Sinking, Vertical Infrastructure and Hoisting Systems
  • • Inadequate design, risk assessment and planning of shaft sinking operations and associated ventilation arrangements
  • • Failure of temporary or permanent ground support in shaft walls or station development
  • • Inadequate water management in shafts resulting in flooding, corrosion or deterioration of support systems
  • • Poor control of materials, tools and equipment within the shaft leading to dropped objects and collision hazards
  • • Insufficient inspection and maintenance systems for hoisting equipment, headgear, ropes, conveyances and shaft furnishings
  • • Lack of robust emergency and recovery procedures for shaft incidents
  • • Inadequate integration of shaft ventilation flows with overall mine ventilation circuit
11. Workforce Competency, Training and Supervision for Underground Operations
  • • Inadequate training and competency verification for operators of continuous miners, LHDs, locomotives, roof bolters and shaft sinking equipment
  • • Poor understanding of ventilation principles, gas hazards, water ingress risks and seismicity controls by operators and supervisors
  • • Insufficient induction and familiarisation for new starters and contractors entering underground work areas
  • • Inadequate statutory supervision coverage underground, particularly on night shifts or remote panels
  • • Lack of ongoing refresher training on critical controls, TARPs and emergency procedures
  • • Inconsistent application of procedures due to cultural or supervisory weaknesses
  • • Insufficient training in recognising early warning signs of strata, water, ventilation and equipment issues
12. Fatigue, Rostering, Fitness for Work and Remote Work Management
  • • Inadequate management of fatigue risks associated with long shifts, night work and extended commute times
  • • Rosters that do not adequately consider cumulative fatigue, recovery times or high‑risk tasks during circadian low periods
  • • Insufficient screening and support for medical conditions that may impact safe work underground (e.g. respiratory, cardiovascular, sleep disorders)
  • • Poor management of remote or isolated work in outbye areas, shaft stations or on maintenance tasks
  • • Inadequate systems for drug and alcohol management and testing
  • • Limited awareness by supervisors of fatigue indicators and intervention strategies
13. Contractor and Project Management for Underground Works
  • • Inadequate integration of contractor WHS systems with the principal mine operator’s SMS
  • • Contractor selection based primarily on cost without sufficient assessment of underground mining and ventilation competence
  • • Poor control of contractor activities during high‑risk projects such as shaft sinking, major excavations, ventilation upgrades or new panel development
  • • Insufficient supervision and monitoring of contractor work quality and adherence to standards
  • • Lack of clarity on roles, responsibilities and interfaces between contractors and mine personnel
14. Monitoring, Inspections, Audits and Critical Control Verification
  • • Failure to detect deterioration in ventilation performance, strata conditions, water control systems or equipment integrity
  • • Inconsistent statutory inspections and supervisor workplace inspections underground
  • • Critical controls for major hazards (e.g. gas monitoring, support standards, water level alarms) not routinely verified for effectiveness
  • • Data from inspections, monitoring and audits not analysed to identify trends and systemic issues
  • • Over‑reliance on lag indicators (injuries, incidents) rather than proactive monitoring of leading indicators
15. Emergency Preparedness, Response and Mine Rescue
  • • Inadequate planning and resourcing for underground emergencies such as fire, explosion, inrush, seismic event, ground fall or ventilation failure
  • • Poorly designed or undocumented escape routes and fresh‑air bases
  • • Insufficient mine rescue capability, equipment and training for underground scenarios
  • • Inadequate integration between ventilation plans and emergency response strategies
  • • Lack of effective communication systems and procedures during underground emergencies
  • • Failure to consider contractor and visitor management during emergencies

Need to add specific hazards for your workplace?

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Legislation & References

This document was researched and developed to align with:

  • Work Health and Safety Act 2011
  • Work Health and Safety Regulations 2017
  • AS/NZS ISO 31000:2018: Risk management — Guidelines
  • Model Code of Practice – Safe Work in Confined Spaces: Guidance on managing risks associated with underground and enclosed work environments.
  • Model Code of Practice – Managing the Work Environment and Facilities: Requirements for ventilation, lighting, amenities and emergency arrangements.
  • AS 2290 series – Electrical equipment for coal mines: Inspection, maintenance and overhaul requirements for explosion-protected and other electrical equipment used underground.
  • AS/NZS 4871 series – Electrical equipment for mines and quarries: Standards for design, installation and maintenance of electrical systems in mining operations.
  • AS 4368 – Mine plans – Preparation and symbols: Requirements for accurate and consistent mine design and plan documentation.
  • AS 3584 series – Diesel engine systems for underground coal mines: Controls for diesel equipment emissions, fire and explosion risks in underground environments.
  • AS 1482 – Electrical equipment for explosive atmospheres (mines): Requirements for equipment used in hazardous underground atmospheres.
  • AS/NZS 1715 & AS/NZS 1716: Selection, use and maintenance of respiratory protective equipment for underground and ventilated work areas.
  • AS 3745 – Planning for emergencies in facilities: Framework for emergency planning, response and evacuation applicable to underground mines.
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

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