Review of the Department of Labour's interactions with Pike River Coal Limited
The Department's policy framework
80. To discharge its responsibilities as it sees them, the Department has established a variety of operating systems, guidelines, processes and practices. In the following section we summarise these. This will enable us to examine whether or to what extent the Department actually adhered to these in practice, and whether these were adequate (Chapter 7).
Policy available to external parties
81. The enforcement policy Keeping Work Safe recognises that the HSE Act 'gives businesses a high degree of freedom to work out for themselves how best to manage their workplace health and safety' but recognises that such freedom can lead to uncertainty. Accordingly, the enforcement policy is concerned to provide business with 'high quality health and safety information and guidance'[35]. It particularly addresses uncertainty concerning how the Department would enforce the HSE Act. Its objective, consistent with the Department's general approach, is 'not to achieve enforcement or prosecutions, but to promote excellent health and safety management in New Zealand places of work. Being clearer about how we undertake our enforcement role is crucial in creating an atmosphere of understanding, trust and collaboration.'[36]
82. The following two documents provide information to the duty holders:
| Policy document | Description |
|---|---|
| Keeping Work Safe | The Department of Labour's policy on enforcing the Health and Safety in Employment Act 1992
|
Working with health and safety Department of labour health & safety: How inspectors promote and enforce health and safety at work |
Information on inspections and enforcement to educate duty holders.
|
83. It is important to note that the Keeping Work Safe document is primarily targeted at external parties – those with health and safety duties. The Department is intending to develop an equivalent which is directed towards its own staff, particularly front line regulators. This is a work in progress.
Internal policy framework
84. The Department has a number of Policy and Operating Procedures (POPs) that are intended to guide inspectors and others in their work and are available on the Department’s intranet. These include annual work plans for mining, a mining and extractives business plan, a workplace assessment checklist, a document for assessing inherent risk for mines, quarries and tunnels, an employee health and safety questionnaire, various specific documents designed to assist inspectors in discharging their duties and an enforcement policy. Much of the relevant documentation is summarised in the Ministerial briefing paper.[37]
85. These documents are broadly consistent with the general approach described at Chapter 2 above. For example, among the goals of the Mining and Extractives Business Plan (2008/09 page 3) are: to ‘[w]ork with industry and attempt to have industry be more self regulating with the Department of Labour acting in a support capacity’; to ‘[w]ork with industry leaders in an attempt to influence a change in safety culture within their businesses’; and to emphasise ‘internal capability building ... [and] training programs’ (all consistent with the Departmental emphasis on the duty holder having primary responsibility for health and safety under the HSE Act). The business plan and work plan accept the importance of hazard identification and management in high risk areas such as mobile plant, gas, ventilation and roofing (consistent with the HSE Act’s emphasis on a systems-based approach to safety), and the value of educative initiatives such as seminars, talks and toolbox meetings (again supportive of industry self-regulation).
86. This is equally the case with the annual work plan. As would be expected, this includes goals and objectives, operational requirements, a detailed statistical analysis and profile of workplace fatalities and injuries, as well as a detailed statement of how the Department is intending to work. In terms of the latter, the work plan outlines principles underlying the approach to work (e.g. client focus, pro-activeness), resourcing, and an activity plan (e.g. visit underground coal mines at least every three months).
87. The Department’s workflow management system (Insite) gathers data from inspectors on the number and content of their inspections and assessments. Resultant ‘File Detail Reports’ do not form a complete record of interactions between the inspectorate and the mine, and must be supplemented by email records and inspectors’ notebooks. Some oral communication is recorded by these methods; however it is clear some does not get recorded.
88. The Mining Steering Group develops an annual business plan, which feeds in to the Department’s Workplace Services’ Work Programme. The business plan for 2010/2011 includes an outline of the mining inspectors’ approach to workplace assessments and targeting, inspections and enforcement, as well as engagements with the Extractives Industry Training Organisation (EXITO), the Mines Rescue Trust, and the MinEx Health and Safety Council.
Guidance for the Department’s staff
89. The following documents form the primary guidance to the Department’s staff:
| Policy document | Description |
|---|---|
Work Place Services Work Programme |
An integral part of (and giving effect to) the Workplace Group Business Plan. Designed to show the clear links between the high level goals and strategies that set the Department’s context (the services the Department delivers and the initiatives the Department undertakes to support service delivery and their people) |
| Departmental technical publications | These provide specific technical quidance on specific issues |
| Mining sector work plan | This plan identifies the way the Department will engage with the mining sector. It outlines the resources that will be used for the work, the outcomes and outputs expected as well as the governance and management structure that will support the work. |
Workplace Services Work Programme 2010-2011: Hazardous Substances and New Organisms Operational Guidelines |
These guidelines provide assistance to Managers, Enforcement Officers and other Workplace Staff when planning and implementing HSNO activities as part of the Department of Labour's Workplace Service's Work Programme for the 2010/11 financial year. |
| Workplace Services Work Programme 2010-2011: Hazardous Substances and New Organisms Project Guide | This sets out plans for specific focus areas e.g. solvents, fumigants, other hazardous substances. |
| Safe Use of Machinery: Machine Guarding Work Plan 2010-2013 | The purpose of this document is to identify the way the Department of Labour (the Department) will work on this national compliance project, its objectives and goals. The objective of this project is the consistent enforcement of machine guarding standards across New Zealand. |
| Workplace Services Work Programme 2010–2011: Output Plan | The Output Plan divides services into classes of output and sets out services to be delivered under each output class |
| Workplace Services Work Programme 2010–2011: Supporting Document | This document supports the high level Workplace Services Work Programme 2010-2011. It provides additional detail for each component of the plan and provides further information about the strategic context in which DOL operates. |
| Workplace coordinator and allocation manual | This manual is a resource for carrying out the business process of allocation of a matter for a response by Workplace Services staff. The manual sets out what the Department requires of Workplace Coordinators, Service Managers, Team Leaders and Service Delivery specialists in the business process of allocation, why and how to do it, and resources and guidance to support Workplace Coordinators. |
| Workplace services practice notes: e.g. Electricity and Gas Accident Notifications, Prosecution Decisions- Consistency, Engagement with HS Reps, Labour Inspection | These practice notes to managers, team leaders and inspectors establish protocols, provide best practice guidance and establish frameworks for consistency. |
90. In addition to the above, Department staff are guided in their work by the Policy and Operating Procedures accessible via the intranet and by annual work plans for mining. Examples of these are provided below:
| Policy – Guidance notes | Operating procedures | Other policy and operating procedure including |
|---|---|---|
| Enforcement policy - Keeping work safe | Accident recording and notification | Abrasive blasting |
| Employee involvement including H&S representatives | Employee participation | Abrasive grinding machines and wheels |
Infringement notices |
Hazard notices |
Accident alert production |
Inspectors powers |
Improvement notices |
Cautions |
Laying information’ within time |
Mobile workers |
Combustible dusts |
Private prosecutions |
Notification of interest |
Compliance assessment |
| Protective clothing and equipment | Prohibition notices | Disposal of unsafe explosives |
| Right to refuse work | Protective clothing and equipment | Gas supply safety |
Selling or supplying equipment |
|
Health and Safety Management |
Trained H & S representatives |
|
HSNO |
Volunteers |
|
Investigation best practice |
Work-related stress |
|
Operator protective structures |
|
|
Power operated elevating work |
91. Also, tools are provided to support Department staff working to achieve the Workplace Services Business Plan. These include guidance material and resources for high hazard industries – including mining. However, some of this guidance is still under development. Examples of these tools are provided in the table below:
| Examples of tools to support DOL staff | ||
|---|---|---|
| Workplace assessment tool | Employee health and safety questionnaire | Business profile tool |
| Template: Consent form - permission for information to be obtained |
Form: event notification | FPI audit tool |
| Letter templates | Regional Agency Register | Advice on s 25 and s 26 |
| Various ‘screening tools’ e.g. asbestos, muscle injuries etc |
Stress Questionnaire Revised Feb 1 2011 | Filtering process map |
| File contents and supervision check sheet |
Prioritisation process map | Investigation process map |
| Memo to legal services template | Risk assessment matrix: Indication of Inherent Risk for Mines Quarries and Tunnels |
|
92. In addition to the tools listed above, tools used for management oversight of mining work (by the Mining Steering Group and individual line mangers) include:
| Policy document | Description |
|---|---|
| Operating Review Process (ORP) | A monthly report completed by staff and supported by a monthly face to face ‘coaching discussion’ based on its content. |
| Individual staff performance agreements | Outlines role requirements and expectations which staff are assessed on in performance assessments (half yearly and annually). |
| Benchmarking document | Assists managers in the annual rating of staff performance. A 4 step rating system is used: improvement required, satisfactory, high standard, and exceptional. |
93. It is noted that the Department is also in the process of implementing decisions from the Departmental Regulatory Review of Underground Mining (2006-2009) review of underground mining regulations. These included:
- Development of guidance on health and safety management systems tailored for small mines
- Development of guidance on technical standards
- Improving the information and promotion of the employee participation framework in the HSE Act.
94. The Department has also prioritised the development of investigation management and enforcement policy. This includes a review of existing policies and operating procedures, an investigation model (on which a new training will be based) and a potential re-launch of the Investigation Best Practice Manual.
95. To our knowledge these have not yet been undertaken or implemented.
Guidance for the mining industry
96. Guidance for the Mining industry is primarily provided by MinEx. - the national Health and Safety Council for the New Zealand minerals industry. Mine operators also draw on the extensive technical standards and guidance material available from Australia. The Department has provided copies to MinEx of a small number of health and safety assessment tools developed by inspectors. Note that MinEx Codes of Practice have not been approved by the Minister of Labour under s.20 of the HSE Act[38].
Summary
97.As described in Chapter 2, the Department understood its role under the HSE Act to be essentially one of ensuring that employers are aware of their obligations, to support and assist them to understand and give effect to these obligations and to enforce as appropriate, but with a clear understanding that the duty to ensure the safety of the workplace is placed on duty holders under the HSE Act and regulations, and not on the Department. The Department has established a variety of operating systems, guidelines, processes and practices described in this chapter, some intended for external stakeholders, others for internal use. These documents were consistent with the ways in which the Department understood its role under the Act. The extent to which the Department actually adhered to these documents, or and whether they need improvement will be dealt with in Chapter 7.
[35]Department of Labour, Keeping Work Safe, 2009, page i.
[36]Ibid., page ii
[37] Ministerial Brief of 20 Dec 2010: Underground Mining – Background of Department of Labour’s Legislative and Investigative Approach.
[38] See further Chapter 2 above.
