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2.1 Introduction to risk management

Risks to health and safety arise from people being exposed to a hazard (a source or cause of harm). Risk has two components – the likelihood that it will occur and the consequences (degree of harm) if it happens.

Under the Health and Safety at Work Act 2015 (HSWA), risks to health and safety must be eliminated so far as is reasonably practicable. If the risk cannot be eliminated, it must be minimised so far as is reasonably practicable.

‘Reasonably practicable’ means what is or was reasonably able to be done to ensure health and safety taking into account and weighing up relevant matters including:

  • the likelihood of the risk concerned occurring or workers being exposed to the hazard
  • the degree of harm that might result
  • what the person concerned knows, or ought reasonably to know, about:
    • the hazard or risk
    • ways of eliminating or minimising the risk
  • the availability and suitability of ways to eliminate or minimise the risk
  • after assessing the extent of the risk and the available ways of eliminating or minimising the risk, the cost associated with available ways of eliminating or minimising the risk, including whether the cost is grossly disproportionate to the risk.

For more guidance read our fact sheet Reasonably practicable and see Appendix D.

Risk management is about:

  • identifying hazards and assessing risks
  • applying control measures to eliminate or minimise those risks
  • regularly reviewing control measures.

You must engage with workers on health and safety matters that will – or are likely to – affect them and provide reasonable opportunities for workers to participate effectively in improving health and safety on an ongoing basis. For more information, see Appendix F.

If you are planning work that is likely to be done by contractors and subcontractors, consult with them where reasonably practicable, to clarify responsibilities and plan how to manage risks. For more information, see Appendix E.

2.2 Health and safety management system (HSMS)

All extractives operations must have a documented health and safety management system (HSMS) in place to help them keep workers and other persons safe.

This involves the development and use of processes to:

  • identify hazards at the operation (systematic identification of hazards)
  • assess the risk of harm from the identified hazards and identify the control measures required to manage that risk (risk assessment).

Workers must have reasonable opportunities to participate in developing and reviewing the development of the HSMS.

The responsible person must develop, document, implement and maintain the HSMS so that it complies with regulations.

Who is the responsible person?

  • For a tourist mining operation, suspended mining operation or a coal exploration operation – the mine operator.
  • For a quarry – the quarry operator.
  • For an alluvial mine – the alluvial mine operator.
  • For any other mining operation – the site senior executive (SSE).

An HSMS must be in place for the whole duration of the operation. This includes from the start of the physical development of the operation and the construction of the infrastructure, including earthworks, until the operation is shut down.

The level of detail in the HSMS should match the type, size and complexity of the operation.

Content requirements for the health and safety management system

The HSMS must include:

  • a health and safety policy
  • processes for identifying hazards and the control measures required to manage the risk of harm to workers
  • processes for the investigation of notifiable events
  • a description of the systems, procedures, and other risk control measures in place to manage hazards and to respond to increased levels of risk (for example, shift reports)
  • principal hazard management plans and principal control plans required for the operation (for more information, see Section 2.6)
  • a description of arrangements to monitor the health and safety of workers
  • arrangements for the monitoring, assessing and inspecting of workplaces.

For a complete list of minimum content required, see Regulation 56 of the MOQO Regulations.

2.3 Identify hazards

With your workers, identify hazards that could be associated with the work activity.

A hazard is a potential source or cause of harm. It could be an object, activity, event or even a person’s behaviour.

Every work environment or work activity will be different. Looking at your work environment and thinking about things that could go wrong will help you to identify hazards.

To gather information, you could:

  • have a look around your workplace, and observe workers while they work (for example, carry out safety observations and workplace inspections)
  • look at your incident, accident and near miss registers, and the findings of your investigations into them
  • ask your workers to help to identify hazards
  • use qualified professionals to assist with analytical techniques for calculating the hazard (for example, geotechnical data for ground stability)
  • use available guidance from WorkSafe or others (including industry representatives and membership organisations).

What is a principal hazard?

A principal hazard is any hazard that could create a risk of multiple fatalities in a single accident, or that could create a risk of multiple people being exposed to potentially fatal health risks.

Principal hazards in mining operations can include:

  • ground or strata instability
  • inundation and inrush of any substance
  • mine shafts and winding systems
  • roads and other vehicle operation areas
  • tips, ponds, and voids
  • air quality
  • fire or explosion
  • explosives
  • gas outbursts
  • spontaneous combustion in underground coal mining operations
  • any other hazard that has been identified by the responsible person as a hazard that could create a risk of multiple deaths in a single event, or multiple people being exposed to potentially fatal health risks.

Principal hazards in A-grade quarrying operations and A-grade alluvial mining operations can include:

  • ground or strata instability
  • roads and other vehicle operating areas
  • explosives
  • any other hazard that has been identified by the responsible person as a hazard that could create a risk of multiple deaths in a single event, or multiple people being exposed to potentially fatal health risks.

The responsible person at a mining operation, A-grade quarrying operation and A-grade alluvial mining operation, must carry out an appraisal of the operation to identify principal hazards and ensure that there is a principal hazard management plan (PHMP) for each one identified. For information on what PHMPs are, see Section 2.6

For any other hazards not considered principal hazards, use the general risk management process outlined in this section.

2.4 Assess the risk

You will need to carry out a risk assessment for each hazard you have identified. You should involve your workers in this process.

To identify and assess the risks arising from your work hazards think about:

  • who might be exposed to the hazard
  • what the potential consequences of exposure to the hazard are (for example, what severity of injuries or ill-health could result? Could people be killed or develop long-term health issues?)
  • how likely the consequences are (for example very likely, likely or unlikely under usual business conditions).

When deciding which risks to deal with first, prioritise risks with potentially significant consequences such as serious injury or death, chronic ill-health, or those with a high likelihood of happening.

Some hazards that have exposure standards, such as noise and airborne contaminants, may need scientific testing or measurement. This is to accurately assess the risk and to check the relevant exposure standard is not being exceeded (for example, noise meters to measure noise levels and dust deposition meters to measure airborne dust).

2.5 Manage the risk

You must, so far as is reasonably practicable, eliminate risks to health and safety.

If elimination is not reasonably practicable, you must minimise those risks so far as is reasonably practicable.

The ways of managing risks are ranked from the highest level of protection and reliability to the lowest. This ranking is known as the hierarchy of control measures.

Using the hierarchy of control measures to manage risks will help you make sure you are using the most effective control measures first (see Figure 1).

image hierarchy of control measures service stations
Figure 1: Hierarchy of control measures

First try elimination

Eliminate the risk by removing sources of harm (for example, faulty equipment, noisy machines, or trip hazards).

Then try to minimise

If elimination is not reasonably practicable:

  • Substitute: swap with something that has a lower risk, (for example, use less toxic chemicals).
  • Isolate: Separate people from the source of harm (for example, use safety barriers).
  • Apply engineering control measures: Change physical components of the plant, structure or work area (for example, machinery, tools, equipment, workplace design) to reduce or eliminate exposure to hazards. For example, use machine guards, extraction ventilation systems.

If there is still risk

Apply administrative control measures (safe methods of work, procedures or processes). For example, create exclusion zones, pedestrian-only zones, put emergency plans in place.

If risk still remains – PPE is the last line of defence

Use personal protective equipment (PPE): use or wear items (including clothing) to minimise risks to personal health and safety. For example, use or wear safety glasses, protective clothing, hearing protection, respiratory protective equipment, safety harnesses.

End of text alternative.


You should use a combination of control measures. Using multiple control measures means that if a single control measure fails, there are other layers of protection for workers.

2.6 What are principal hazard management plans (PHMP)?

PHMPs apply only to mining operations, A-grade quarrying operations and A-grade alluvial mining operations, unless stated otherwise.

A PHMP sets out the measures that will be used to effectively manage each principal hazard identified. It should be documented and include:

  • the nature of the principal hazard
  • the roles, responsibilities, and competencies required to implement the PHMP
  • any other matter required by the MOQO Regulations in relation to particular principal hazards.

It must also include a description of:

  • how risk assessments will be conducted and the results
  • the control measures to manage the hazard and the risk of harm it presents
  • emergency preparedness
  • the review and audit processes for the PHMP.

For a full list of requirements, see Regulation 68 of the MOQO Regulations.

2.7 What are principal control plans (PCP)?

A PCP explains the control measures, systems and processes in place to manage risks associated with more than one hazard. This may include principal hazards and other significant hazards, and the control measures that are applied to the whole operation.

If you do not have any principal hazards, you do not need a PCP.

If there are one or more principal hazards that apply to the mining operations, A-grade quarrying operations and A-grade alluvial mining operations, the responsible person must ensure there is a PCP that complies with managing that type of hazard or control. For example, if a principal hazard has been identified, you must have an emergency management PCP. If a principal hazard has been identified that could cause long-term health effects for workers, you must have a worker health PCP.

2.8 Review control measures

Control measures need to be regularly reviewed in consultation with your workers or their representatives, to make sure they remain effective. For more information on worker engagement, see Appendix F.

If there is a change in the workplace or work, check that your existing control measures are still the most appropriate ones to use.

There are also duties under the MOQO Regulations to audit and review control measures. Regulations 57-59, 69, 70, 75, 82, 89, 94, 95 of the MOQO Regulations outline the process of review and auditing for extractives operations.

For more information on general risk management, see our guidance Managing risks

2.9 Respond to reported hazards

If a worker reports a hazard, the relevant operator (mine, quarry or alluvial mine operator) must ensure:

  • the reported hazard is investigated, and
  • the worker who reported the hazard is advised of the result of the investigation.

Hazards include actions taken or not taken that conflict with any control measures in place. For example, not following documented procedures.

2.10 Record keeping requirements

All operations must keep certain records as a part of assessing and managing risks and tracking changes to the operation and past notifiable events.

Operation records

These must be kept at the site office and available for workers, and in the case of mining operations, the SSE, to inspect at any time. There is information that must be included, for example records of CoCs and other training records, statutory notices from WorkSafe and the PCBU’s responses, and results of operation examinations (workplace inspections).

For a complete list of required operation records and requirements, see Regulation 219 of the MOQO Regulations.

Shift reports

A written report must be completed that includes:

  • the current state of the workings and plant at the operation
  • material matters, related to work done during the shift, that may affect the health and safety of workers
  • issues and hazards identified during the shift
  • any control measures implemented.

For a mining operation, the report must be written by the person appointed to be supervisor under Regulation 31 of the MOQO Regulations.

For quarrying and alluvial mining operations, the report must be written by the person supervising the relevant shift.

The shift report must be communicated to the person supervising the incoming shift and the workers on the incoming shift.

The procedure for writing and communicating the shift reports must be included in the HSMS.

For more information, see Regulation 221 of the MOQO Regulations.

Examination of operation

The site must be examined before the start of each working shift and at suitable times during the shift, in areas where workers are or will be present. Every accessible area of the operation (including vehicles) must be examined at least once a week.

Examinations must be carried out by a competent person to help manage potential hazards and prevent harm.

There must be a written procedure for conducting these examinations included in the HSMS, and it must include:

  • matters to be covered by the examination
  • a timetable for carrying out examinations
  • the process for recording findings
  • the process for taking action as a result of findings.

For more information, see Regulation 222 of the MOQO Regulations.

Who is a competent person?

A competent person means a person who has the knowledge, experience and skills to carry out a particular task under the MOQO Regulations and has a relevant qualification or (in the case of employees) certificate from the employer showing this.

2.11 Notifications to WorkSafe

The relevant operator (the mine, quarry or alluvial mine operator) must ensure WorkSafe is notified of:

  • the commencement, recommencement, installation, suspension or abandonment of the operation
  • any of the notifiable events set out in Schedule 5 of the MOQO Regulations
  • any of the high-risk activities set out in Schedule 7 of the MOQO Regulations.

The relevant operator must:

  • ensure written notice of the appointment of a manager or acting manager, are given to WorkSafe.
  • notify WorkSafe about certain events (for example, commencement of operations) a specified length of time before the proposed date it happens
  • provide quarterly reports on the information listed in Schedule 8 of the MOQO Regulations.

Minimum time required for notifications

The mine operator must give written notice to WorkSafe of the appointment of an SSE and make sure that written notice of the appointment of an acting SSE is given to WorkSafe.

Commencement – new site

For new operations, notification of commencement must be given no later than 2 months before the proposed date of commencement.

Definition of commencement

Commencement refers to the start of specific activities for different types of operations, as defined in HSWA. Here is what it means for different types of operations:

Mining operations: beginning one or more of the activities listed in clause 2(a) and (b) of Schedule 3 of HSWA.

Quarrying operations: beginning one or more of the activities listed in clause 3(1)(a) of Schedule 3 of HSWA.

Tunnelling operations: starting to extract material with the purpose of creating, enlarging, or extending a tunnel or shaft.

Alluvial mining operations: beginning one or more of the activities described in paragraphs (a) and (b) of the definition of ‘alluvial mining operation’ in clause 1 of Schedule 3 of HSWA.

Some operations, which will only operate intermittently, may notify WorkSafe no later than 24 hours before the proposed date of commencement.

Operations that have not yet commenced must give PHMPs and PCPs to WorkSafe

Operators of mining operations and A-grade operations that have not yet commenced, must give all PHMPs and all PCPs for the operation to WorkSafe at least two months before they commence.

There are exceptions to this requirement.

  • If the quarry operator at an A-grade quarrying operation changes, the new quarry operator must submit the documents to WorkSafe at least 14 days before they commence.
  • If a quarrying operation is being worked on a short-term basis by using mobile crushing units and the quarry operator has already provided the documents to WorkSafe, they can be submitted one week before the operation commences.
  • If an A-grade quarry needs to begin operating at very short notice as part of an emergency response to help preserve life or critical infrastructure, the quarry operator must submit the documents to WorkSafe as soon as possible after the need for the quarrying operation arises.

If you are unsure of the requirements you must meet, check with WorkSafe by emailing hhu.extractives@worksafe.govt.nz

New operator for an existing site

The new operator must notify WorkSafe about the change of operator for all sites. They must also notify WorkSafe about the safety-critical roles for the operation.

Suspension

When operators plan to suspend a site, the notification period depends on how long the site has been operating.

Definition of suspension

Suspended refers to operations that are temporarily not carrying out certain activities but have not been abandoned. Here is what it means for different types of operations:

  • Mining operations (excluding tunnelling): maintenance work may still be happening to ensure the operation can resume activities in the future (such as those listed in clause 2(a) and (b) of Schedule 3 of HSWA) or while the operation is winding down in preparation for abandonment, but:
    • the activities listed in clause 2(a) and (b) of Schedule 3 of HSWA (other than maintenance) are not being carried out for the time being, and
    • the mining operation has not been abandoned.
  • Tunnelling operations: tunnelling activities are not currently being carried out, but the operation has not been abandoned.
  • Quarrying operations: the activities listed in clause 3(1)(a) of Schedule 3 of HSWA are not currently being carried out, but the quarrying operation has not been abandoned.
  • Alluvial mining operations: alluvial mining activities are not currently being carried out, but the operation has not been abandoned.

For an operation that has been operating for fewer than 12 months, WorkSafe must be notified at least 24 hours before the proposed date of suspension.

If the site has been operating for more than 12 months, WorkSafe must be notified at least 14 days before the proposed date of suspension.

However, quarry operators are not required to notify WorkSafe of the proposed date of suspension until:

  • the operator knows that the quarrying operation will be suspended for 6 months or more, or
  • the operation has been suspended for 6 months.

Operations that are not suspended must undertake statutory inspections and other regulatory requirements, such as quarterly reporting.

Recommencement

If operations have notified WorkSafe of suspension, WorkSafe must be notified at least 14 days before recommencing if:

  • mining operations have not operated in the last two months before the proposed recommencement date, or
  • quarrying operations or alluvial mine operations have not operated in the last six months before the proposed recommencement date.

Abandonment

For an operation that has been operating for fewer than 12 months, WorkSafe must be notified at least 24 hours before the proposed date of abandonment.

If the site has been operating for more than 12 months, WorkSafe must be notified at least 14 days before the proposed date of abandonment.

Quarterly reporting

Reports must be given to WorkSafe for each quarter of every year, beginning on 1 January, 1 April, 1 July, and 1 October. Reports should be submitted in the first month of the new quarter.

If a new operation commences in November, they need to submit their first report in January. This report will be on the time they worked in the previous quarter – in this example, for November and December.

The report must include information about the operation, workers, and any injuries. For a complete list of information to include, see Schedule 8 of the MOQO Regulations.

For more information, see Regulation 230 of the MOQO Regulations.

Notifiable events

Extractives operations must report any notifiable events. This includes the death of a person, injuries, illnesses, and incidents to do with:

  • ground, geotechnical and structural failures
  • emergency, escape and rescue
  • vehicles and plant
  • shotfiring
  • electricity.

For more information on what needs to be notified for extractives operations, see Schedule 5 of the MOQO Regulations.

For examples of other notifiable events, see our guidance What events need to be notified?

Records of every notifiable event at the operation must be kept, including incidents where emergency, escape and rescue are needed.

For more information on what needs to be included in records, see Schedule 6 of the MOQO Regulations.

Investigation findings for notifiable events

Reports of any investigation findings must be provided to WorkSafe within 30 days after the date of the notifiable event.

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