Citation and commencement

1.  These Regulations may be cited as the Mines (Shafts and Winding) Regulations 1993 and shall come into force—

(a)except as specified in sub-paragraph (b) below, on 1st April 1993; and

(b)in so far as they apply to mines of tin or tin ore, on 1st January 1996.

Interpretation

2.—(1) In these Regulations, unless the context otherwise requires—

• “appoint” in relation to a person means appoint in writing with a written statement summarising his responsibilities and authority, and “appointed” shall be construed accordingly;

• “conveyance” means any carriage, cage, skip or kibble in which persons, mineral or materials are wound through a shaft;

• “counterweight” means a frame containing weights connected into a single conveyance winding system to reduce the out-of-balance static loads within the system;

• “examination” means a visual examination by a competent person carried out carefully and critically and supplemented by other means (such as measurement and where necessary non-destructive testing) in order to arrive at a reliable conclusion as to the condition and safety of the equipment or installation which if necessary should be dismantled, and “examine” shall be construed accordingly;

• “inspection” means a visual inspection by a competent person looking carefully and critically for anything which may impair the safe and efficient working of the equipment or installation, and “inspect” and “inspected” shall be construed accordingly;

• “keps” means retractable supports in a shaft on which a conveyance may rest but does not include the doors at the top of the shaft sinking;

• “lift apparatus” means an electrically powered lift and includes equipment used in relation to the lift in the shaft and at shaft entrances;

• “mine” means an excavation or system of excavations, including all such excavations to which a common system of ventilation is provided, made for the purpose of, or in connection with, the getting, wholly or substantially by means involving the employment of persons below ground, of minerals (whether in their natural state or in solution or suspension) or products of minerals;

• “overwind” means unintentional overtravel of a conveyance or counterweight beyond the limits set by a device installed for the purpose of preventing such overtravel;

• “owner” in relation to a mine means the person who is for the time being entitled to work it;

• “shaft” includes a staple-pit, raise, winze or any similar excavation whether sunk or in the course of being sunk and so much of any superstructure provided at the top of a shaft as forms an extension to the shaft shall be deemed to form part of the shaft which is below ground;

• “winding apparatus"” means mechanically operated apparatus for lowering and raising loads through a shaft and includes a conveyance or counterweight attached to such apparatus and all ancillary apparatus;

• “winding engineman” means a person competent to operate the winding apparatus during manual winding.

(2) A mine shall be treated as being worked at any time when there are persons at work below ground or plant or equipment is in operation at the mine to maintain the safety of that mine or of any other mine or the operation of driving a shaft or outlet is being undertaken at the mine.

(3) In these Regulations, unless the context otherwise requires, any reference to—

(a)a numbered regulation is a reference to the regulation of these Regulations so numbered;

(b)a numbered paragraph is a reference to the paragraph so numbered in the regulation in which that reference appears.

(4) In any document issued under these Regulations any word or expression to which meaning is assigned by the Health and Safety at Work etc. Act 1974, the Mines and Quarries Act 1954(2) or these Regulations shall have the meaning so assigned to it.

Application

3.—(1) These Regulations shall apply to all mines which are being worked.

(2) Regulation 4 shall also apply to the specification, planning or design of the sinking of a shaft for the purpose of working a mine.

Shaft sinking

4.—(1) The owner shall ensure, so far as is reasonably practicable, that the sinking of the shaft is so specified, planned and designed as to be safe, and without risk of injury to persons.

(2) The manager shall ensure, so far as is reasonably practicable, that the shaft is constructed or sunk safely, and without risk of injury to persons.

(3) For the purpose of paragraph (1) or (2), the owner or manager respectively shall take into account risks which (at the time the shaft is specified, planned, designed or, as appropriate, constructed or sunk) it is reasonably foreseeable will arise either while the shaft is being constructed or sunk or during the time it is intended to be used.

Equipment of shaft and inspection, examination and maintenance of shaft and fixtures

5.—(1) The owner shall ensure that each shaft is so equipped that, so far as is reasonably practicable, it is safe to use.

(2) So far as is reasonably practicable, the owner shall provide suitable winding apparatus in any shaft through which a person travels.

(3) The manager shall ensure that each shaft is so maintained that, so far as is reasonably practicable, it is safe to use.

(4) (a) In order to maintain the shaft and its fixtures in a safe condition the manager shall appoint sufficient competent persons to inspect and to examine each shaft and its fixtures at suitable intervals of time, and to carry out such maintenance as is necessary.

(b)The written statement summarising the responsibilities and authority of any competent person mentioned in sub-paragraph (a) of this paragraph shall—

(i)include details of the frequency of the inspections or examinations and of the nature of the examinations, maintenance or examinations and maintenance which that competent person shall carry out, and

(ii)be revised when necessary to ensure that those details are correct and up to date.

(c)Every competent person mentioned in this regulation shall record the result of any inspection or examination he makes setting out any defects he finds.

Use of shaft or its fixtures

6.  The manager shall ensure, so far as is reasonably practicable, that when a shaft or fixtures in a shaft are used, they are used safely.

Safety harnesses

7.—(1) So far as is necessary to ensure safety, a person in a shaft shall wear and use a suitable safety harness.

(2) The manager shall ensure that sufficient suitable safety harnesses in good condition are available and that there are sufficient suitable anchorages to ensure safety.

Space at bottom of shaft

8.  The manager shall ensure, so far as is reasonably practicable, that no person enters or remains in any uncovered space at the bottom of a shaft unless—

(a)the entry is—

(i)for the purpose of working there, or

(ii)during shaft sinking operations; and

(b)suitable safety precautions are taken.

Barriers

9.  The manager shall ensure that at each entrance to a shaft there is a barrier suitable to ensure safety.

Suitability of winding apparatus

10.  The owner shall ensure that winding apparatus is suitable for the purpose for which it is used, and has effective and suitable:—

(a)brakes;

(b)except in the case of lift apparatus, brake locking devices and brake interlocking devices;

(c)means of controlling power to the winding engine;

(d)means of preventing an overwind;

(e)means of preventing a conveyance or counterweight travelling at an excessive speed;

(f)means of safely stopping and holding a conveyance or counterweight in the event of an overwind; and

(g)means of monitoring the movement of every conveyance in the shaft.

Installation and modification of winding apparatus

11.—(1) When winding apparatus is installed, the owner shall appoint sufficient competent persons who shall examine all aspects of the installation of the apparatus and make a written report.

(2) When winding apparatus is modified in a way which could affect its safe operation, the manager shall appoint sufficient competent persons who shall examine all aspects of the modification of the apparatus and make a written report.

(3) For the purposes of this regulation any modification made to winding apparatus with a view to rectifying a defect mentioned in a report made under paragraph (1) or (2) shall be treated as a modification which could affect the safe operation of the winding apparatus.

(4) The manager shall ensure that winding apparatus is not used after being installed or after being modified as mentioned in paragraph (2) unless the report made under paragraph (1) or, as the case may be, paragraph (2) (and construed in each case together with any further report made by virtue of paragraph (3)) states that the winding apparatus is safe to use.

Keps

12.—(1) The owner shall ensure that no person installs keps in or in connection with any winding apparatus.

(2) The manager shall ensure that keps are not used when winding apparatus is used for carrying persons.

Ropes and associated equipment

13.—(1) The owner shall specify the type of rope intended for use in any winding apparatus and any attachment or connection intended for use with such a rope and shall ensure that any such rope, attachment or connection is suitable for the use for which it is intended.

(2) Before any winding rope is put into service in a shaft, the owner shall specify in writing the maximum life expected for any winding rope in that shaft, taking into account the conditions under which the winding rope will be used.

(3) If there is any change in the conditions under which a winding rope is used in a shaft, the owner shall review the life specified under paragraph (2) and reduce it if necessary.

(4) The owner shall ensure that the specification made under paragraph (2), as amended under paragraph (3) where appropriate, is kept at the office of the mine while any rope is in use as a winding rope in the shaft to which the specification relates and for 6 months thereafter.

(5) The manager shall ensure that no rope is used for winding after the expiry of the life specified under paragraph (2), as reduced under paragraph (3) where appropriate, except in accordance with directions which may be given by an inspector appointed under section 19 of the Health and Safety at Work etc. Act 1974.

Signalling and communication

14.—(1) The owner shall ensure that there is provided in any shaft where there is winding apparatus suitable means—

(a)to give audible and visual signals to;

(b)to receive audible and visual signals from;

(c)to communicate by speech with;

any place where any such means of signalling and communication are necessary to enable the winding apparatus to be used safely.

(2) The means referred to in paragraph (1) shall be so placed that they are safe to use and that the winding apparatus can be operated safely.

(3) The manager shall ensure that the means referred to in paragraph (1) are so used as to enable the winding apparatus to be used safely.

Use of winding apparatus

15.—(1) The manager shall ensure, so far as is reasonably practicable, that winding apparatus is used safely.

(2) The manager shall make suitable rules to provide for the safe use of any winding apparatus. The rules shall specify the manner in which and the conditions under which each set of winding apparatus is to be used.

(3) The manager shall ensure that persons are not carried by winding apparatus while it is operating automatically.

(4) No person shall control winding apparatus by radio except with suitable equipment and in a suitable manner.

(5) In this regulation “radio” includes any transmission of electromagnetic radiation.

Competent persons and winding enginemen

16.—(1) When persons are below ground in a mine where winding apparatus is used, the manager shall

(a)ensure that sufficient competent persons (including winding enginemen) appointed by him are available at the mine to ensure the safe operation of the winding apparatus.

(b)give each such competent person suitable written instructions as to his duties.

(2) The manager shall specify in writing the maximum hours of work of winding enginemen and these shall be posted in the winding engine room.

(3) Each winding engineman shall record the hours he works.

Examination, inspection, maintenance and testing of winding apparatus

17.—(1) So far as is necessary to ensure compliance with these Regulations the manager shall ensure that winding apparatus is regularly and adequately examined, inspected, tested and maintained in accordance with a suitable written scheme.

(2) The manager shall appoint sufficient competent persons to regularly and adequately examine, inspect, test and maintain the winding apparatus.

(3) Each person appointed under paragraph (2) shall write a report of the examinations, inspections, tests or maintenance which he carries out setting out any defects he finds.

Records and reports

18.—(1) Subject to paragraph (3), the manager shall keep the reports and, where appropriate, records made under regulations 5(4)(c), 11(1) to (3), 16(3) and 17(3) at the office of the mine for three years from the date the report or record is made.

(2) The owner shall ensure that any report made under regulation 11(1) is given to the manager.

(3) Records and reports kept by virtue of paragraph (1) shall be kept at the office of the mine where the winding apparatus to which they relate is.

General duty of mine manager

19.  It shall be the duty of the manager to ensure, so far as is reasonably practicable, that any requirement or prohibition imposed upon any other person by or by virtue of these Regulations is duly complied with by the person concerned.

Exemptions

20.—(1) Subject to paragraph (2) the Health and Safety Executive may, by a certificate in writing, exempt any mine, or part of a mine or class of mines from any requirement or prohibition imposed by these Regulations, and any such exemption may be granted subject to conditions and to a limit of time and may be revoked at any time by a certificate in writing.

(2) The Health and Safety Executive shall not grant any such exemptions, unless having regard to the circumstances of the case and in particular to—

(a)the conditions if any which it proposes to attach to the exemption; and

(b)any other requirements imposed by or under any enactment which apply to the case;

it is satisfied that the health and safety of persons who are likely to be affected by the exemption will not be prejudiced in consequence of it.

Disapplication of section 157 of the Mines and Quarries Act 1954

21.  Section 157 of the Mines and Quarries Act 1954 (which provides a defence in legal proceedings in certain circumstances) shall not apply in relation to any prosecutions or other legal proceedings based on an allegation of a contravention of a requirement or prohibition imposed by or under these Regulations.

Repeals and modifications of the Mines and Quarries Act 1954

22.—(1) The provisions of the Mines and Quarries Act 1954 specified in column 1 of Schedule 1 to these Regulations are hereby repealed to the extent set out opposite thereto in column 2 of that Schedule.

(2) Sections 30(1) and 42 of the Mines and Quarries Act 1954 shall cease to have effect in relation to shafts.

Revocation of Regulations

23.—(1) The Regulations specified in column 1 of Part I of Schedule 2 to these Regulations are hereby revoked to the extent set out opposite thereto in column 2 of that Part.

(2) The Regulations specified in Part II of Schedule 2 to these Regulations shall cease to have effect in relation to shafts.

(3) The Regulations specified in Part III of Schedule 2 to these Regulations (being Regulations which apply to particular mines) are hereby revoked.

Regulation 22(1)

SCHEDULE 1REPEALS OF THE PROVISIONS OF THE MINES AND QUARRIES ACT 1954

Regulation 23

SCHEDULE 2

PART IREVOCATION OF REGULATIONS

PART IIREGULATIONS CEASING TO HAVE EFFECT IN RELATION TO SHAFTS

1.  Regulations 5, 7, 8, 11 to 13, 16 to 19, 38 to 40, 44, 45, 47 to 52, 74 and 76 to 80 of the Miscellaneous Mines (General) Regulations 1956.

2.  Regulations 6 to 13, 17 to 24, 51 to 56, 65 to 70 and 83 of the Coal and Other Mines (Shafts, Outlets and Roads) Regulations 1960.

PART IIIREGULATIONS APPLYING TO PARTICULAR MINES REVOKED

Explanatory Note

(This note is not part of the Regulations)

1.  These Regulations make provisions with respect to health and safety in mine shafts, including the installation and use of winding apparatus and associated apparatus. The Regulations apply to all mines which are being worked (regulation 3(1)) and are also applied as mentioned below. The Regulations come into force on 1st April 1993 except with respect to mines of tin or tin ore for which they come into force on 1st January 1996.

2.  Regulation 4 imposes requirements on the owner of a mine with respect to the specification, planning and design of the sinking of a shaft and on the manager with respect to the construction or sinking of the shaft. Regulation 3(2) applies regulation 4 to the specification, planning or design of the sinking of the shaft.

3.  Regulation 5 places requirements on the owner of a mine with respect to the equipment of a shaft. It also places duties on the manager with respect to maintenance of the shaft and the appointment of competent persons to inspect and examine the shaft and its fixtures and to carry out such maintenance as is necessary. Each competent person is required to record the result of any inspection or examination (regulation 5(4)(c)).

4.  Regulation 6 imposes a requirement on the manager of a mine with respect to the safe use of a shaft or its fixtures; and regulation 7(2) requires the manager to ensure that sufficient suitable safety harnesses are available and that there are suitable anchorages. Regulation 7(1) imposes requirements with respect to the wearing of safety harnesses.

5.  Duties are imposed on the manager of a mine with respect to preventing persons entering or remaining in an uncovered space at the bottom of a shaft and to ensure that there is a suitable barrier at each entrance to a shaft (regulations 8 and 9).

6.  The owner of a mine is required to ensure that winding apparatus is suitable for its purpose and that specified elements of it are effective (regulation 10). He is also required to appoint competent persons to examine all aspects of the installation of the apparatus and make a written report (regulation 11(1)). “Winding apparatus” is one of the expressions used in the Regulations which are defined in regulation 2(1).

7.  Requirements are placed on the manager to appoint competent persons to examine winding apparatus when it is modified and to ensure that winding apparatus is not used unless specified reports have been made (regulation 11(2) to (4)).

8.  Regulation 12 imposes duties on the owner and manager with respect to the installation or use of keps in connection with winding apparatus.

9.  Regulation 13 requires the owner to prepare specifications for ropes intended for use in a shaft and specified associated equipment and to specify the maximum life of any winding rope. The manager is required to ensure that no rope is used for winding after the expiry of the life so specified.

10.  Regulation 14 imposes requirements on the owner with respect to the provision and location of specified means of signalling and communication, and on the manager with respect to their use.

11.  Regulation 15 imposes requirements on the manager as to the safe use of winding apparatus including requirements to make suitable rules and requirements with respect to winding apparatus while it is operating automatically. A prohibition is placed on any person controlling winding apparatus by radio except with suitable equipment and in a suitable manner.

12.  Regulation 16 imposes requirements on the manager with respect to the appointment of competent persons (including winding enginemen) and with respect to the recording of hours worked by winding enginemen. Regulation 17 makes provision with respect to the examination, inspection, testing and maintenance of winding apparatus, the appointment of competent persons, and the writing of reports by such persons. Regulation 18 makes provision with respect to the keeping of specified reports and records under the Regulations.

13.  Regulation 19 requires the manager to ensure, so far as is reasonably practicable, that other persons at the mine comply with their obligations under the Regulations.

14.  Regulation 20 provides for exemptions from the Regulations.

15.  Regulation 21 disapplies section 157 of the Mines and Quarries Act 1954 (c. 70) to any prosecution or other legal proceedings based on an allegation of a contravention of a requirement or prohibition imposed by or under these Regulations.

16.  Regulations 22 and 23 repeal and revoke the enactments set out in Schedules 1 and 2 of these Regulations. Those enactments will be replaced by these Regulations, to the extent specified in those Schedules. Specified provisions of the Mines and Quarries Act 1954 are disapplied in relation to shafts (regulation 22(2)).