Coal mining compliance checklist

Work through every section that applies to your operation. Tick off each item when you have confirmed it is in place.

Section 1 — Health and safety at work

• Have you identified your general duties as an employer (or self-employed person) under the Health and Safety at Work etc. Act 1974?
• Have you carried out a suitable and sufficient risk assessment covering the principal hazards of your mine or quarry — ground stability, dust, noise, vibration, fire, inrush, transport and working at height?
• If you employ five or more people, is the risk assessment recorded in writing?
• Do you have a written health and safety policy (required if you employ five or more people)?
• Have you appointed a competent person to assist with health and safety?

Section 2 — COSHH (hazardous substances)

• Have you identified all hazardous substances at your operation — respirable coal dust, respirable crystalline silica, diesel exhaust particulate, welding fume, blasting fume?
• Have you assessed exposure and recorded the assessment?
• Are controls in place — dust suppression, ventilation, enclosed cabs, respiratory protective equipment?
• Are you monitoring airborne dust concentrations against workplace exposure limits?
• Have you arranged health surveillance for dust-exposed workers?
• Have you provided COSHH information, instruction and training to all staff?

Section 3 — Work equipment (PUWER)

• Is all work equipment — excavators, draglines, continuous miners, conveyors, crushers, pumps, winding apparatus — suitable for the intended use and conditions?
• Is equipment maintained in an efficient state, in efficient working order and in good repair?
• Are guards, emergency stops and safety devices fitted and functioning?
• Have operators received adequate training and information?
• Are inspection records maintained for equipment that is subject to statutory examination?

Section 4 — Manual handling

• Have you identified manual handling operations across the workings — moving supports, materials, equipment and maintenance components?
• Have you avoided hazardous manual handling where reasonably practicable?
• Where avoidance is not reasonably practicable, have you assessed the risk using the TILE factors and provided mechanical aids?

Section 5 — Fire safety (surface buildings)

• Have you carried out a fire risk assessment for surface buildings — offices, workshops, stores and welfare facilities?
• Are escape routes clear, signed and adequately lit?
• Is fire detection and alarm equipment installed and regularly tested?
• Are flammable substances (fuels, oils, explosives stores) assessed for fire risks?
• Have all staff received fire safety training?

Section 6 — Employers' liability insurance

• If you employ anyone (including part-time, agency or contract workers under your direction), do you hold employers' liability insurance with at least £5 million cover?
• Is the certificate displayed at your premises or accessible electronically?

Section 7 — Equality and data protection

• Are you aware of your duties under the Equality Act 2010 (or equivalent Northern Ireland legislation) not to discriminate in employment or service provision?
• Have you considered reasonable adjustments for disabled employees?
• Have you registered with the Information Commissioner's Office (ICO) for data protection (unless exempt)?
• Have you identified the lawful basis for each type of personal data you process — employee records, contractor records, CCTV?
• Can you respond to a subject access request within one calendar month?

Section 8 — Mine or quarry classification

• Have you determined, for each working, whether it is a mine (deep or underground extraction, including hard coal) or a quarry (opencast or surface extraction, including lignite)? The answer determines which safety regime applies — see Sections 10 and 11.

Section 9 — Coal-mining operation licence

• If you are extracting hard coal (bituminous, cannel or anthracite), do you hold a coal-mining operation licence from the Mining Remediation Authority?
• Do you have the necessary planning permission and mineral rights or mining lease?
• Are you aware that new coal-extraction licensing is now effectively closed as a matter of policy?

Section 10 — Mine safety (deep mining)

• If you operate a deep (underground) mine, are you complying as the principal duty holder (regulation 5) and have you appointed a competent mine manager for day-to-day management and control (regulation 9)?
• Have you prepared and do you maintain a health and safety document?
• Are the principal mining hazards controlled — ground movement, shafts and roadways, ventilation, firedamp, inrush, transport and winding, respirable dust?
• Is the respirable-dust action level enforced underground?
• Do you have an escape and rescue plan?

Section 11 — Quarry safety (opencast mining)

• If you operate an opencast (surface) working, have you appointed a competent quarry manager?
• Have you notified HSE before starting the quarry?
• Have you prepared a health and safety document and geotechnical assessments of excavations and tips?
• Are traffic, edge protection and tip stability managed?

Section 12 — Explosives and blasting

• If you use explosives for blasting, do you hold the appropriate explosives licence or registration for acquisition, storage and use?
• Is explosives storage secure with the required separation distances?
• Are shotfiring operations carried out by competent persons in accordance with the relevant mines or quarries regulations?
• Are assigned-name and tracking duties observed?

Section 13 — Environmental permits

• Do you hold a mining-waste facility permit for spoil and overburden?
• Do you hold water-discharge consents for mine water and dewatering?
• If you abstract water, do you hold an abstraction licence?
• Are consignment notes completed for any hazardous waste?