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Application and assessment for shaft sinking installation and approval of shaft sinking operationsStatutory requirements for winding systems and shaft sinking are contained in Parts 11 and 12 of the Mines Safety and Inspection Regulations 1995 (MSIR) and any Australian Standards (AS) referenced therein.
Regulations 12.3 and 12.4 of the MSIR require notification to, and approval from, the senior inspector of mines before sinking any new shaft or extending any existing shaft. Proposed shaft sinks using a mobile crane may be approved for use by the senior inspector of mines for shaft depths up to 50 m (refer regulation 12.5). If the proposed shaft sink uses a temporary winding system, approval is required from the State mining engineer under regulations 11.3 and 11.4 of the MSIR for the installation and use of the temporary winding system. If modifications or repairs are required to the temporary winding system used in the shaft sink then notification and approval of the repairs are required under regulations 11.6 and 11.7 respectively.
This form may be used to obtain such approvals for any shaft sinking proposals (including modifications or repairs) that include the use of mobile cranes and/or temporary winding installations.
Note: Applications for approval of permanent winding installations (including modifications or repairs) must be submitted using the separate application form available.
This form assists mine managers or other responsible persons to prepare the application. Departmental officers will also use the form for assessment and approval. Approval typically includes several stages:
Stage 1A – Shaft pre-sinkAssessment of proposal for sinking of the shaft collar and installation of collar equipment (i.e. the shaft pre-sink). If the pre-sink operations only involve the use of a registered mobile crane to hoist broken rock (i.e. no temporary winding equipment) then a structural/mechanical design review is generally not required.
If temporary winding equipment is required for the pre-sink or for further shaft sinking beyond 50m depth, then design approval of the temporary winding system is required.
Stage 1B – Design approval of temporary winding systemThe initial approval of the temporary winding system design is largely a desktop assessment of the various components of the winding system based on design drawings, engineers’ calculations and other documentation.
Any approval of the design will be contingent on submission and acceptance of the manufacturing, inspection and test records as well as final site inspection/testing.
Stage 2 – Manufacturing, inspection and testing recordsAll material certificates, rope certificates, fabrication records, manufacturer’s data report (MDR), non-destructive testing (NDT) records, load test certificates and other compliance documents are required to be available for inspection. If available at the time, copies of this documentation may be included with the initial design submission (Stage 1), or may be submitted later, but before stage 3 final site inspection/testing.
This application form may initially be submitted with some or all of the stage 2 information incomplete. Such items should be marked “to be advised” for the stage 1 submission. The form may be updated and resubmitted when all the stage 2 information is available.
Application for shaft sinking installation and approval of shaft sinking operations Page 1 of 33
Stage 3 – Final site inspection/testingOn completion of the installation of the temporary winding system, the proponent is required to contact the Mines Safety Directorate to arrange site inspection and witnessing of the site performance testing. Final approval to use the temporary winding system is granted on the basis of a satisfactory site assessment by an inspector of mines [MSIR r. 11.5] who makes an appropriate entry in the winder record book.
Note on independent design verification
Although the regulations in Part 11 of the MSIR do not require design verification for an application to be accepted, design verification is highly recommended for the following reasons:
it demonstrates appropriate engineering due diligence by the applicant
it reduces the need for a detailed check by departmental officers (i.e. approval times are reduced)
less potential for errors and defects to be discovered by departmental officers (i.e. less questions, delays and re-work).
Pursuant to MSIR regulation 11.3(2), Departmental officers may choose to request an independent design verification if significant design issues are observed (i.e. potential delays and rework).
Design verification (or validation) should be undertaken by a competent person who was not involved with the design. This may include, but is not necessarily limited to, third party independent verifiers.
List of abbreviationsMSIR Mines Safety and Inspection Regulations 1995
r. Regulation of the MSIR
rr. Regulations of the MSIR
AS Australian Standard
HRWL High Risk Work Licence
MDR Manufacturer’s data report
NDT Non-destructive testing
OEM Original equipment manager
RMP Risk management plan
SG Site group
SRS Safety Regulation System
WLL Working load limit
Depending on the nature of the operation only the relevant part(s) of the application need to be completed. It is essential the items completed are addressed in sufficient detail for the application to be properly assessed. Additional information may be requested if required.
Application for shaft sinking installation and approval of shaft sinking operations Page 2 of 33
Part A – Applicant and contractor details
Details required Application details
Applicant’s name
Applicant’s position
Applicant’s employer/company name
Applicant’s postal address
Applicant’s phone/mobile
Applicant’s email address
Name of mining operation (from SRS)
Name of principal employer
SRS site operation (SG) reference ID(s)
Name of shaft or rise
Name of shaft sinking principal contractor
Contractor’s postal address
Project contacts – names, roles, phone numbers, email address
Application for shaft sinking installation and approval of shaft sinking operations Page 3 of 33
Part B – Scope and nature of proposal
Details required Provide comments and advise location within relevant attachments
Type of approval (tick as many as are applicable) New shaft sink Extension (deepening/stripping) existing shaft/rise Crane to be used for shaft sink Temporary winding system to be used for shaft sink Repair of temporary shaft sink winder system Modification or alteration of temporary winder system
General arrangement drawings showing: Plan(s) showing location of shaft (whole mine
and shaft site) Depths, diameter, cross-section of shaft and
collar Mechanical/Structural general layout of
temporary headframe and winding equipment (plan and elevations).
Drawings to be at approved for construction revision status.(List all drawing titles and drawing numbers with correct revision status)
Provide details on the shaft sink development cycle and stages to be followed
Will sink require boring or stripping?
Proposed commencement date
Expected period of shaft sinking operation.Provide schedule/dates for major stages
Application for shaft sinking installation and approval of shaft sinking operations Page 4 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
C1 – Headframe structure [rr. 11.3, 11.27, 11.67 and 12.3, and AS 3785.5, 1657, 3990, 4100 and 1170]
Drawings showing: Structural design details of headframe
structure, including all dimensions, member sizes and materials.
All structural connection details, including bolting and welding details.
Drawings to be at approved for construction revision status.(List all drawing titles and drawing numbers with correct revision status)
Name of structural designer
Name of structural fabricator
Name of structural installation contractor
Date of manufacture
Date of installation
Is the headframe new, relocated or refurbished?If relocated or refurbished, where was it previously used?
Design calculations to load combinations required by AS 3785.5 – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice.Calculation report to include basis of design and design criteria, including all load cases considered and demonstrate that the design shown on the referenced drawings is compliant, safe and fit for purpose.(List document number and revision status for calculation report)
Name of design verifier
Ladder access on head frame complies with AS 1657 – ladder cage included if required
Any platforms supported off headframe – top and/or intermediate– comply with AS 1657?
Any fall restraint anchors required off ladder or platforms – comply with AS 1891?
Handrails and gates comply with AS 1657?
Non-destructive testing (NDT) reports: Main stays, raker legs, connecting plate bolts,
pins, welds, etc. (i.e. all structural components in load path)
(List all certificate numbers with component mark numbers, dates and revisions)
Overwind prevention (describe)
Travel limit switches and other safety devices –
Application for shaft sinking installation and approval of shaft sinking operations Page 5 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
type, locations in headframe and function description.Preferably include information on single drawing showing: Conveyance at highest normal position and
tolerance on this position Headframe overwind distance – for drum
winder, the travel distance from highest normal position to where the conveyance enters catch plate. For friction winder, the travel distance from highest normal position to where conveyance enters arrestors
Arrestor travel (friction winders only) Location of crash beams (if applicable) Extent of jack catches Position of lip of ore bin for skips Conveyance at lowest position in shaft (and
any intermediate positions) and the decking tolerance on these positions (e.g. showing lip of the skip and lip of the loading flask)
For friction winders or drum winders with arrestors – under-wind distance from normal position to entry of the under-wind arrestor, arrestor travel distance, location of crash beams, and location of tail loop
For rope guide systems – location of top/bottom fixed guides, location of guide rope top/bottom anchors, location of cheese weights (including tolerance for thermal, elastic and permanent rope stretch)
Headframe identification number: Owners’ plant identification number (if
available) Manufacturer’s serial number Any other unique identifying tag numbers
C2 – Headframe foundation [rr. 11.3 and 12.3, and AS 3785.5, 1657, 2626, 3990 and 4100]
Foundation drawings showing: All holding down bolt details Design details of all concrete footings, slabs
and foundations, including dimensions, reinforcement details and concrete specification
Any civil and earthwork details and founding ground conditions required for footings, slabs, foundations or free standing skid bases
Drawings to be at approved for construction revision status(List all drawing titles and drawing numbers with correct revision status)
Name of civil/concrete designer
Name of civil/concrete works contractor
Date of installation
Application for shaft sinking installation and approval of shaft sinking operations Page 6 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Design calculations to load combinations required by AS 3785.5 – preferably verified by competent engineer and signed-off to confirm compliance with relevant Australian Standards and sound engineering practiceCalculation report to include basis of design and design criteria, including all load cases considered and demonstrate that the design shown on the referenced drawings is compliant, safe and fit for purpose(List document number and revision for calculation report)
Name of design verifier
Geotechnical report: Prepared by Document number, date and revision
Allowable bearing pressure for foundation design
C3 – Sheave wheels [rr. 11.3 and 11.65, and AS 3785.7, 1418.1, 3990 and 4100]
Design detailed drawings of all sheave wheels including all dimensions, materials of construction, machining and welding details, heat treatments, etc.Drawings to be at approved for construction revision status, or manufacturer’s certified (as-built) sheave wheel drawings (if available).(List all drawing titles and drawing numbers with correct revision status)
Name of designer of sheave
Name of manufacturer/supplier
Date of manufacture
Is the sheave wheel new, relocated or refurbished?If relocated or refurbished, where was it previously used?
Design calculations to load combinations required by AS 3785.7 – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of design verifier
Component test certificates and NDT reports: List all certificate numbers with component
mark numbers, dates and revisions
Manufacturers statement of compliance to AS 3785.7
Ratio sheave PCD to rope diameter
Depth of rope groove is at least twice rope diameter?
Application for shaft sinking installation and approval of shaft sinking operations Page 7 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Markings as per AS 3785.7, Section 9: Part number or serial number
C4 – Sheave shaft [r. 11.3 and AS 1403, 3990 and 4100]
Design detailed drawing of sheave shaft including all dimensions, materials of construction, machining and welding details, heat treatments, etc.Drawings to be at approved for construction revision status or manufacturers certified (as-built) drawings if available(List all drawing titles and drawing numbers with correct revision status)
Name of designer of shaft
Name of manufacturer
Date of manufacture
Is sheave shaft a stationary or rotating design?
Is the sheave shaft new, relocated or refurbished?If relocated or refurbished, where was it previously used?
Design calculations (fatigue and static design) as per AS 3785.7 and AS 1403 – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice.Design to include static and fatigue analysis
Name of design verifier
Component test certificates and NDT reports: List all certificate numbers with component
mark numbers, dates and revisions
Markings as per AS3785.7, Section 9: Part number or serial number
C5 – Conveyances – cage [rr. 11.3, 11.52, 11.53, 11.54, 11.55, 11.69, and AS 3785.4, 3990 and 4100]
Design detailed drawing of cage including all dimensions, materials of construction, machining and welding details, etc.Drawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of conveyance designer
Design calculations to AS 3785.4 – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of design verifier
Name of manufacturer
Application for shaft sinking installation and approval of shaft sinking operations Page 8 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Date of manufacture
Floor area (m2)
Rating (WLL in kg)
Capacity (number of persons)
Floor area (m2) per person (must be no less than 0.2)
Weight of conveyance (empty)
Gripper mechanism adequately described on drawings? If guides and grippers not fitted, slack rope detection required.
Gates: height / type / fastened / open inwards and adequately described on drawings?
Wall coverings – adequately described on drawings?
Ventilation – adequately described on drawings?
Number of decks: one or two?
Lower deck ladder and trapdoor – adequately described on drawings?
Overhead protection/top cover – adequately described on drawings?
Height of cage floor to roof (2 metres, AS 3785.4)
Chairing devices – describe
Is the conveyance new, relocated or refurbished?If relocated or refurbished, where was it previously used?
NDT reports for main load bearing components: List all certificate numbers with component mark numbers, dates and revisions
Proof loaded to 2 x normal static load: Test load Name of testing authority Test Cert No. and date
Markings as per AS 3785.4: Manufacturers serial number
C6 – Conveyances – gig [AS 3785.4, 3990 and 4100]
Design detailed drawing of gig including all dimensions, materials of construction, machining and welding details, etc.Drawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Application for shaft sinking installation and approval of shaft sinking operations Page 9 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Name of designer
Name of manufacturer
Date of manufacture
Design calculations to AS 3785.4 – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of design verifier
Rating (WLL in kg)
Empty weight
Capacity (number of persons)
Floor area (m2) (must be no less than 0.2 per person)
Gates: height / type / fastened / open inwards and adequately described on drawings?
Wall coverings – to prevent body parts protruding from gig - adequately described on drawings?
Wall bars rounded off top and bottom?
Number of decks: one or two?
Lower deck ladder and trapdoor – adequately described on drawings?
Overhead protection/top cover – adequately described on drawings?
Clearance to safety appliance top cover
Is the gig new, relocated or refurbished?If relocated or refurbished, where was it previously used?
NDT reports for main load bearing components: List all certificate numbers with component
mark numbers, dates and revisions
Proof loaded to 2 x maximum static load (empty weight plus rated capacity): Test load Name of testing authority Test Cert No. and date
Markings as per AS 3785.4: Manufacturers Serial Number
C7 – Conveyances – skip [rr. 11.3, 11.56 and 11.69, and AS3785.4, 3990 and 4100]
Application for shaft sinking installation and approval of shaft sinking operations Page 10 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Design detailed drawing of skip including all dimensions, materials of construction, machining and welding details, etc.Drawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer
Name of manufacturer
Date of manufacture
Design calculations to AS 3785.4 – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of design verifier
Is the skip configured to carry people as per r. 11.56(1)? If yes, what is floor area (m2)? Is the removable platform adequately described on drawings?
Rating (m3 and kg)
Capacity (number of persons)
Floor area (m2) per person (must be no less than 0.2)
Weight of skip (empty)
Overhead protection/top cover fitted? Is it adequately described on drawings?
Height of floor to roof (2 metres AS 3785.4)
Gripper mechanism adequately described on drawings? If grippers not fitted, slack rope detection required
Chairing devices fitted – describe
Is the skip new, relocated or refurbished?If relocated or refurbished, where was it previously used?
NDT reports for main load bearing components: List all certificate numbers with component mark numbers, dates and revisions
Proof loaded to 2 x normal static load: Test load Name of testing authority Test Cert No. and date
Markings as per AS3785.4: Manufacturer’s serial number
C8 – Conveyances – kibble [r. 12.10 and AS3637.6, 3785.4, 3990 and 4100]
Application for shaft sinking installation and approval of shaft sinking operations Page 11 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Design detailed drawing of kibble including all dimensions, materials of construction, machining and welding details, etc.Drawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer
Name of manufacturer
Date of manufacture
Design calculations to AS 3785.4 – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of design verifier
Rating (m3 and kg)
Weight – empty
Overhead protection (usually part of monkey or crosshead arrangement)
Is the kibble new, relocated or refurbished?If relocated or refurbished, where was it used previously?
Chain angle not > 60 degrees?
Robust construction/shape to prevent it from catching on any obstruction during travel in shaft?
Suspended by bridle or means of at least 3 chains equally spaced around perimeter of top?
Chains used for suspension of kibble:(a) Identical dimensions/ strength(b) Sufficient length to ensure included angle at
apex of suspension of any 2 chains does not exceed 60°
(c) Designed, manufactured and tested to comply with AS 3637.6?
NDT reports for main load bearing components: List all certificate numbers with component mark numbers, dates and revisions
Proof loaded to 2 x max static load (dead weight plus live load): Test load Name of testing authority Test Cert No. and date
Markings as per AS3785.4: Manufacturer’s serial number
C9 – Conveyances – stage [r. 12.19 and AS 3785.4, 3990 nad 4100]
Application for shaft sinking installation and approval of shaft sinking operations Page 12 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Design detailed drawing of shaft sinking stage including all dimensions, materials of construction, machining and welding details, etc.Drawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer
Name of manufacturer
Date of manufacture
Design calculations – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice.
Name of design verifier
Able to support travel gig?
Maximum working load of stage
Maximum load allowed to be suspended off stage (e.g. shuttering)
Empty weight
Floor area (m2)
Maximum number of people allowed on stage
Floor area (m2) per person (must be no less than 0.2)
Gates: height / type / fastened / open inwards and adequately described on drawings?
Wall bars (rounded off top and bottom) – adequately described on drawings?
Number of decks: one/two/three?
Top deck trapdoor included?
Upper, lower and top deck ladders and trapdoors – adequately described on drawings?
Height of floor to roof (2 metres, AS 3785.4)
Overhead protection for persons on top deck – adequately described on drawings?
Is the stage new, relocated or refurbished?If relocated or refurbished, where was it previously used?
Compressed air supply – adequately described on drawings?
Water supply – adequately described on drawings?
Application for shaft sinking installation and approval of shaft sinking operations Page 13 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Electricity supply – adequately described on drawings?
NDT reports for all major load bearing components: List all certificate numbers with component
mark numbers, dates and revisions
Proof loaded to 2 x maximum static load (empty weight plus rated capacity): Test load Name of testing authority Test Cert No. and date
Markings: Manufacturer’s Serial Number
C10 – Monkey [r. 12.9 and AS3785.4, 3990 and 4100]
Design detailed drawing of monkey including all dimensions, materials of construction, machining and welding details, etc.Drawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer
Name of manufacturer
Date of manufacture
Design calculations – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of design verifier
Rated capacity (kg)
Aspect ratio (height/width) preferably aspect ratio 1.5:1 (minimum ratio is 1)
Design approved by senior inspector of mines (for shaft depth over 50 m)?
Overhead protection – adequately described on drawings?
Is the monkey new, relocated or refurbished?If relocated or refurbished, where was it previously used?
NDT reports for major load bearing components: List all certificate numbers with component mark numbers, dates and revisions.
Markings: Manufacturer’s serial number
Application for shaft sinking installation and approval of shaft sinking operations Page 14 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
C11 – Winding ropes [rr. 11.3, 11.38, 11.39, 11.40, 11.41, 11.44, 11.45, 11.61, 11.62, 11.63 and 12.7, and AS 3569 and 3637.3]
Name of rope manufacturer(s)(List all ropes used for stage winder and all other hoists and winders)
Name of rope supplier(s)
Purchase date(s)
Are the ropes new or previously used? Where were they used and for how long?
Are the various rope specifications adequately referenced on the drawings?
Manufacturer’s rope test certificate(s) with the following information: Date of manufacture Date of destructive test Nominal diameter and lay length Construction Wire grade and finish Rope mass per metre Minimum guaranteed robe break load Actual rope break load from destructive test Load-strain curve from destructive testList all certificate numbers with dates
Minimum guaranteed rope break load (RBL) – list for each diameter and type of rope
Actual rope break load (from destructive test results) – list for each diameter and type of rope
Rope factors of safety calculations for each type of conveyance to be used. Preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of designer
Name of verifier
Most recent destructive test reports for each type and size of rope (if not new): List all certificate numbers with dates
Most recent non-destructive test reports for each type and size of rope (if not new): List all certificate numbers with dates
C12 – Winding engine [rr. 11.3, 11.14, 11.15, 11.16, 11.20 and 11.25]
How many winding engines are included (e.g. stage winder, cage winder, etc.)? List here
Engine types (e.g. pneumatic, electric/hydraulic). List for details for each engine
Application for shaft sinking installation and approval of shaft sinking operations Page 15 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Original equipment manager (OEM) drawings of winding engine(s) including all interface dimensions, weights and foundation loadsDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of manufacturer(s)
Engine/motor model number(s)
Date(s) of manufacture
Name of supplier(s)
Purchase date(s)
Calculations for winding engine selection, including duty cycle calculations, capacity to lift maximum unbalanced load, etc. – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of designer (for engine sizing/selection)
Name of design verifier
Rated power output (kW) @ rpm Note: Must be >25 kW to be a winder. If < 25 kW it is a hoist
Power available (kW) @ rpm
Maximum line pull (kN) at rated power
Maximum line pull (kN) when motor stalled
Maximum line speed (m/s)
Winder(s) to be used with what rope diameter?How many layers on drum(s)? Is/are the drum(s) grooved? Parallel or spiral grooves?What are the fleet angles?
Depth indicator – type and location adequately described on drawings?
Speed indicator – type and location adequately described on drawings?
Other gauges and indicators – adequately described on the drawings?
Electric power source required (i.e. Volts, Amps, 3-Ph or 1-Ph)
Hydraulic working pressure(s) – drive and brake circuits, if applicable
Drive to drum direct, through gearbox, through chains, or other?
Application for shaft sinking installation and approval of shaft sinking operations Page 16 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Overall drive ratio (engine to drum shaft)
NDT reports for major load bearing components: List all certificate numbers with component mark numbers, dates and revisions
Is the engine new, relocated or refurbished?If relocated or refurbished, where was it previously used?
Identification No: Manufacturers’ serial number
C13 – Hoist [rr. 11.3, 11.11 11.22 and 11.48]
How many hoists are included (e.g. stage, skip)? List here
Hoist type(s) (e.g. pneumatic, electric/hydraulic)
OEM drawings of hoist(s) including all interface dimensions, weights and foundation loadsDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of manufacturer(s)
Hoist model(s) and serial number(s)
Date(s) of manufacture
Name of supplier(s)
Purchase date(s)
Calculations for hoist sizing/selection, including duty cycle calculations, capacity to lift maximum unbalanced load, etc – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of designer (for sizing and selection)
Name of design verifier
Power source: pneumatic / electric / hydraulic: Compressed air supply required (volume and
pressure) Electric power required (kW, voltage, amps, 3-
Ph or 1-Ph) Hydraulic working pressure
Power available (kW) @ rpm
Maximum line pull (kN) @ rpm
Maximum line pull (kN) when motor stalled
Maximum line speed (m/s)
Application for shaft sinking installation and approval of shaft sinking operations Page 17 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Hoist to be used with what rope diameter?How many layers on drum? Is/are the drum grooved? Parallel or spiral grooves?What are the fleet angles?
NDT reports for major load bearing components: List all certificate numbers with component mark numbers, dates and revisions
Is the hoist new, relocated or refurbished?If relocated or refurbished, where was it previously used?
Identification No: Manufacturer’s serial number
C14 – Winding engine / hoist brakes [rr. 11.3, 11.6, 11.18 and 11.66]
Brake type(s) and where they are applied (e.g. shoe/calliper, disc)
OEM drawing of winder/hoist brakes including all dimensions and componentsDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of manufacturer
Name of supplier
Design calculations for brake sizing/ selection – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of designer (for sizing/selection)
Name of design verifier
Double drum - brakes on each drum?
Single drum - single brake / double brake?
Are multiple braking systems independent?
Method of operation - manual, power, automatic?
Power or pressure failure – are brakes fail safe (i.e. automatically applied)
Designed to support 2 x max static load (winders) or 1.5 x max static load (hoists)?
NDT reports for brake components(List all certificate numbers with component mark numbers, dates and revisions)
C15 – Winding engine foundation [rr. 11.3 and 11.14]
Application for shaft sinking installation and approval of shaft sinking operations Page 18 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Foundation drawings showing:
All holding down bolt details Design details of all concrete footings, slabs
and foundations, including dimensions, reinforcement details and concrete specification
Any civil and earthwork details and founding ground conditions required for footings, slabs, foundations or free standing skid bases
Drawings to be at approved for construction revision status, or manufacturers certified (as-built).(List all drawing titles and drawing numbers with correct revision status)
Name of civil/concrete designer
Name of civil/concrete contractor
Installation date
Design calculations to 1.2 minimum breaking strength of rope and other load cases required by AS3785 – preferably verified by competent engineer and signed-off to confirm compliance with relevant Australian Standards and sound engineering practiceCalculation report to describe basis of design and design criteria, including all load cases considered and demonstrate that the design shown on the referenced drawings is compliant, safe and fit for purpose(List document number and revision for calculation report)
Name of design verifier
Geotechnical report: Prepared by Document number, date and revision
Allowable bearing pressure used for foundation design.
C16 – Winding engine – rope drum and shaft [rr. 11.3, 11.64 and 11.65, and AS 1418.1]
OEM drawings of rope drum and shaft including all dimensions, material specs, thicknesses, weld detailsDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer
Name of manufacturer
Name of supplier
Date of manufacture
Application for shaft sinking installation and approval of shaft sinking operations Page 19 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Design calculations – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice. Must include static and fatigue design(List document number and revision for calculation report)
Name of design verifier
Drum flanges or horns?
Flange above rope > 2 times rope diameter or 100 mm
Rope drum diameter
Rope drum material – grade of steel
Rope drum: Grooved (parallel or spiral) or plain? With or without sleeves?
Rope drum: Rope capacity (m). How many layers of rope on drum at top of
wind? How many idle coils or layers of rope left at
bottom of wind? What is the fleet angle?
Drum shaft basic diameter
Drum shaft material – grade of steel
Drum shaft – designed for infinite fatigue life?
Shaft material certificate: Certificate No. / date / revision
Shaft NDT reports(List all certificate numbers with component mark numbers, dates and revisions)
Drum NDT reports (welds)(List all certificate numbers with component mark numbers, dates and revisions)
Attachment of winding engine to drum (fixed / clutched) – adequately described on drawings?
Methods of securing rope to drum – adequately described on drawings?
Is the hoist drum and shaft new, relocated or refurbished?If relocated or refurbished, where was it previously used?
Identification No: Manufacturer’s serial number
Application for shaft sinking installation and approval of shaft sinking operations Page 20 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
C17 – Rope capping [rr. 11.3 and 11.43 and AS 3637.3]
Type of rope capping: white metal filled wire rope sockets / resin filled rope sockets/ capel, other
Drawing or data sheet for rope capping methodDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing or data sheet titles and drawing numbers with correct revision status)
Name of designer (for sizing/selection of rope capping)
Name of manufacturer
Name of supplier
Date fitted to rope: (6 months maximum)
Design calculations for sizing/selection of rope capping – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice(List document number and revision for calculation report)
Name of design verifier
Rope capping manufacturer’s test certificates Proof load tests for capel or socket
Senior inspector of mines approval of rope capping method and compounds used
NDT reports of rope socket, capels, pins, etc(List all certificate numbers with component mark numbers, dates and revisions)
Identification No: Stamped to show SWL / owner’s identification
/ date installed
C18 – Guide ropes [rr. 11.3, 11.43, 11.45, 11.47 and 12.7, and AS 3637.3, 3785.6]
Name of rope manufacturer
Name of rope supplier
Purchase date
Are the ropes new or previously used? Where were they used and for how long?
Application for shaft sinking installation and approval of shaft sinking operations Page 21 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Manufacturer’s rope test certificate, including: Date of manufacture Date of destructive test Nominal diameter and lay length Construction Wire grade and finish Rope mass per metre Minimum guaranteed rope break load Actual rope break load from destructive test Load strain curve from destructive test Is rope specification adequately referenced on
the drawings?
Is rope specification adequately referenced on the drawings?
Factor of safety calculations – preferably verified by competent engineer and signed-off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of designer
Name of verifier
Tension required at bottom end of guide ropes?
Hoist ropes also used as guide ropes?
Most recent destructive test reports for rope (if not new)(List all certificate numbers with dates)
Most recent non-destructive test reports for rope (if not new)(List all certificate numbers with dates)
C19 – Speed control [rr. 11.17, 11.20, 11.22, 11.23, 11.24, 11.25, 11.27 and 11.28]
Functional description of winder controls – speed controls and overwind prevention controls adequately describedFunctional description to be at approved for construction status or final as-built(List all document numbers with correct revision status)
Auto in constant engagement – will it prevent over-wind and over-speed?
Maximum hoisting speeds: Hoisting ore? Hoisting people?
Speed restricted, confirm: Top and bottom of shaft (2 m/s)?
Application for shaft sinking installation and approval of shaft sinking operations Page 22 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Acceleration rates, confirm: Normal (1.5 m/s2)? Emergency (2 - 5 m/s2)?
Overwind preventer in headframe – describe
Confirm back-out device: confirm manual only and permits withdrawal only
Control selection: Confirm if manual / automatic selector is fitted
C20 – Rope detaching appliances (drum winders only) [r. 11.67 and AS 3637.2]
Type of device (e.g. King, Merod, Humble)
Design detailed drawings of detaching gear including all components, dimensions, material specs, thicknesses, weld detailsDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer (for sizing/selection)
Name of manufacturer
Name of supplier
Date of manufacture
Is the detaching gear new or previously used? Where was it used and for how long?
Calculations for sizing/selection of detaching gear – preferably verified by competent engineer and signed off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of verifier
Manufacturer’s certificates – materials certs, compliance statements, proof load certs, NDT certs, etc. (List all certificate numbers with component mark numbers, dates and revisions)
Distance between detaching device on head frame and matching point of conveyance
Rated load capacity
Design load
Factor of safety [r. 12.7]
Most recent NDT reports of detaching gear (if not new)(List all certificate numbers with component mark numbers, dates and revisions)
Application for shaft sinking installation and approval of shaft sinking operations Page 23 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Identification No: Manufacturer’s serial number
C21 – Chains and links [rr. 11.50, 12.7 and 11.58, and AS 3637.1, 3637.6]
Detailed drawings of all chain assemblies including all components, dimensions, material specs, thicknesses Drawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer
Name of manufacturer
Name of supplier
Date of manufacture
Purchase date
Are all the chains and links new or previously used? Where was it used and for how long?
Factor of safety calculations for chains and links – preferably verified by competent engineer and signed-off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of verifier
Rated capacity
Design load
Factor of safety used for design
Manufacturer’s certificates – materials certs, compliance statements, proof load certs, etc. (List all certificate numbers with component mark numbers, dates and revisions)(Mn steel to comply with AS 3637)
Most recent NDT reports for chain assemblies and links (if not new)(List all certificate numbers with component mark numbers, dates and revisions)
Identification No: Manufacturer’s serial number
C22 – Shackles [r. 11.58 and AS 3637.1, 3637.6]
Drawings or data sheets of all shackles including all dimensions, material specs, thicknessesDrawings or data sheets to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Application for shaft sinking installation and approval of shaft sinking operations Page 24 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Name of designer
Name of manufacturer
Name of supplier
Date of manufacture
Purchase date
Are the shackles new or previously used? Where was it used and for how long?
Factor of safety calculations for shackles – preferably verified by competent engineer and signed-off to confirm compliance with relevant Australian Standards and sound engineering practice
Name of verifier
Rated capacity
Design load
Factor of safety for design
Manufacturer’s certificates – materials certs, compliance statements, proof load certs, etc. (List all certificate numbers with component mark numbers, dates and revisions)
Most recent NDT reports for shackles (if not new)(List all certificate numbers with component mark numbers, dates and revisions)
Identification No: Manufacturer’s serial number
C23 – Rope attachment pins [r. 11.58 and AS 3637.1, 3637.6]
Drawings or data sheets of all pins including all dimensions, material specs, thicknessesDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Name of designer
Name of manufacturer
Name of supplier
Date of manufacture
Are the pins new or previously used? Where was it used and for how long?
Factor of safety calculations for pins – preferably verified by competent engineer and signed-off to confirm compliance with relevant Australian Standards and sound engineering practice
Application for shaft sinking installation and approval of shaft sinking operations Page 25 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Name of verifier
Rated capacity
Design load
Factor of safety for design
Manufacturer’s certificates – materials certs, compliance statements, proof load certs, etc. (List all certificate numbers with component mark numbers, dates and revisions)
Most recent NDT reports for pins (if not new)(List all certificate numbers with component mark numbers, dates and revisions)
Identification No: Manufacturer’s serial number
C24 – Rope clamps [r. 11.58 and AS 3637.1, 3569]
Supplier
Manufacturer
Type
Size
Design/manufacturing standard
Manufacturer’s certificates
Number used
Thimble type: heavy duty / solid
Adequately described on drawings?
C25 – Drawbar [rr. 11.58, 12.7 and AS 3637.1]
Design detailed drawings of drawbar including all dimensions, material specs, and thicknessesDrawings to be at approved for construction revision status, or manufacturers certified (as-built)(List all drawing titles and drawing numbers with correct revision status)
Designer
Manufacturer
Supplier
Date of manufacture
Is the drawbar new or previously used? Where was it used and for how long?
Factor of safety calculations for drawbar – preferably verified by competent engineer and signed-off to confirm compliance with relevant Australian Standards and sound engineering practice.
Application for shaft sinking installation and approval of shaft sinking operations Page 26 of 33
Part C – Design of shaft sinking installation (where appropriate)
Details required Provide comments and advise location within relevant attachments
Name of verifier
Rated capacity
Design load
Factor of safety for design.
Manufacturer’s certificates – materials certs, compliance statements, proof load certs, etc. (List all certificate numbers with component mark numbers, dates and revisions)
Most recent NDT reports for drawbar (if not new)(List all certificate numbers with component mark numbers, dates and revisions)
Identification No: Manufacturer’s serial number
Application for shaft sinking installation and approval of shaft sinking operations Page 27 of 33
Part D – Mining engineering and safety
Details required Provide comments and advise location within relevant attachments
D1 – Safety procedures [r. 12.3(1)(e)]
Risk management plan (RMP) and report No.Include completed risk assessments for shaft and/or crane sinks.
RMP prepared by: name / address
Shaft layout: cross-section on drawings submitted:Drawing: No. / date / revision
All persons authorised / trained / assessed as competent by manager in writing to transmit signals from shaft floor to stage hand positioned on sinking stage, as well as ensuring: Kibble correctly attached to winding rope Kibble properly loaded No broken rock projects above rim Tools, equipment, other materials not carried
together with broken rock, and secured if they project above rim
Nothing capable of causing injury adhering to outside of kibble
When kibble hoisted it is first raised sufficiently to hang free then steadied
D2 – Use of crane [r. 12.5]
Provide details of the crane to be used to hoist broken rock from the initial surface excavation or shaft
Confirm depth crane to be used to hoist broken rock (not exceeding 50 m)
Confirm crane not to be used when shaft perimeter traversed by dividers or any other structure obstructing free passage of shaft conveyance
Confirm any load lifted by crane not exceed 50% of rated capacity of crane (AS 1418)
Confirm crane used is a slewing type located in a fixed position during hoisting and dumping operations
Crane driver appointed to hoist broken rock from initial surface excavation required to have appropriate High Risk Work Licence (HRWL) for that class of crane. List HRWL numbers.Provide details of other training and assessment to comply with regulation 4.13
Crane load should not be able to free fall. Confirm free fall prevention device is fitted and will be enabled
If crane used to hoist broken rock – describe effective method of signalling to allow communication with crane driver
Application for shaft sinking installation and approval of shaft sinking operations Page 28 of 33
Part D – Mining engineering and safety
Details required Provide comments and advise location within relevant attachments
Provide detail and confirm persons not raised or lowered from shaft excavation unless: Travels in an approved conveyance Wears safety harness with fall arrest/restraint
attached to an approved anchor point Is within sight of a person stationed in a place
to communicate with the crane driver
Confirm a person must not remain in the shaft excavation while crane is used to hoist broken rock by means of a grab
Provide details on crane drivers’ proposed hours of work and fatigue management measures
Inspection/NDT results for crane rope
Crane rope factors of safety and load calculations
Inspection/NDT results for crane hoist brakes
Crane hoisting speed
D3 – Crane pad foundation
Foundation drawings showing: Design details of all concrete pads, slabs and
foundations, including dimensions, reinforcement details and concrete specification
Any civil and earthwork details and founding ground conditions required
(List all drawing titles and drawing numbers with correct revision status)
Name of civil/concrete designer
Name of design verifier
Name of civil/concrete installation contractor
Installation date
Geotechnical report – document number/ revision/date – provide copy of report
Allowable soil bearing pressure
D4 – Shaft ground condition – assessment
Provide details of any logged bore holes drilled in proximity of shaft location
Provide information on geology in the shaft
Geotechnical assessment made for the project – document number/revision/date - provide copy of report
Ground control management plan (GCMP) – provide copy of GCMP – document number/revision/date - provide copy of report
Application for shaft sinking installation and approval of shaft sinking operations Page 29 of 33
Part D – Mining engineering and safety
Details required Provide comments and advise location within relevant attachments
Based on geotechnical report, are following conditions expected – running/free flowing ground; squeezing ground; excessive water in flow; high stressProvide details including control measures
Provide stability analysis for any pillars associated with the shaft sink, e.g. break-through situations
Are specialised sinking techniques, e.g. freezing, pressure grouting, considered for sinkingIf yes, provide details
D5 – Water
Provide details on the assessment made of the 1 in 100 years highest flood level in the area
Submit a map/plan for the site showing contours and surface drainage flows
Provide details on the assessment made of ground water inflows and control measures
D6 – Ventilation
Provide details of ventilation requirements and planned system of ventilation
Provide details on the assessment of atmospheric contaminants and control measures
D7 – Second means of egress
Provide details on the secondary means of egress.
D8 – Alternative means of travel [r. 12.6]
If no alternative winding plant available for raising/lowering persons in emergency (e.g. power failure / winding plant failure): Substantial ladder way securely supported at intervals of not more than 5 metres to be installed from surface to bottom of shaft
If sinking stage used provide details on the provision made to permit travel from shaft bottom to that stage
D9 – Firing [r. 12.13]
Provide details on blasting practices and confirm that firing in shaft sinking is electrically initiated from surface or other safe location, unless otherwise authorised in writing by senior inspector of mines
D10. Pentices [r. 12.14]
Provide details on the protection provided where the shaft is sunk below the level being worked (i.e. it is protected below that level by a securely constructed pentice).
D11 – Protection [r. 12.16]
Application for shaft sinking installation and approval of shaft sinking operations Page 30 of 33
Part D – Mining engineering and safety
Details required Provide comments and advise location within relevant attachments
Provide details on provisions to prevent spillage falling down the shaft during dumping operations
Are doors for covering sinking compartment provided and maintained at collar of each shaft while sinking operations are in progress? Provide details.
Confirm unless suitable alternative protection provided to prevent spillage falling down shaft, doors are kept closed at all times when (a) persons, tools, material loaded into or from
kibble / skip at collar of shaft; or (b) kibble / skip being dumped
Provide details of assessment and control measures to minimise risk of harm to persons from falling objects when a crane is used in shaft sinking operations.
D12 – Warning of obstruction [r. 12.17]
Are doors or other shaft protective devices which when moved into shaft haulage way or travel area, interfere with free passage of conveyance, equipped so position positively indicated to winding engine driver?
Confirm slack rope detection device provides visual and audible signals
Confirm emergency brake system and how it is applied
D13 – Signals [r. 12.18]
Confirm signals, other than code of signals, will not be used in shaft sinking without approval in writing of the senior inspector of mines
D14 – Hoisting and lowering of shaft sinking stage [r. 12.19]
Confirm that, except in an emergency, the following procedure are followed when a shaft sinking stage suspended by a stage winder is in use:(a) stage winding only when all other winding
operations in shaft have stopped(b) when stage to be moved, drivers of other
winders advised and stage not moved until their winds are completed and conveyances parked clear of projected stage movement
(c) when stage movement complete drivers of other winders notified and re-establish their stage position marks
D15 – Interlocking [r. 12.12]
Application for shaft sinking installation and approval of shaft sinking operations Page 31 of 33
Part D – Mining engineering and safety
Details required Provide comments and advise location within relevant attachments
Provide details and confirm interlocking is provided with winding engine control system so that:(a) when winding taking place, tipping chutes
clear of kibble path(b) during ascending wind, shaft top doors open
when kibble is in zone extending from safe stopping distance below doors until above doors
(c) before discharging kibble into tipping chute, all shaft top doors closed
D16 – Timber bearer sets [r. 12.15]
Confirm if shaft sunk below the level being worked, shaft protected below that level by a securely constructed pentice
Confirm if timber is used to line the shaft bearer sets or other means of support are provided between the working levels or at distances of not more than 60 metres apart
D17 – Indicators and gauges
Provide details on equipment used to measure and detect the following: Ammeter on drive motor
Winding speed
Shaft door obstruction warning
Application for shaft sinking installation and approval of shaft sinking operations Page 32 of 33
Part E – Exemptions likely to be sought to the MSIR
State any exemptions from specific requirements of the MSIR you intend applying for in relation to this submissionAre you the holder of any current specific exemptions that are relevant to this submission?
Application for shaft sinking installation and approval of shaft sinking operations Page 33 of 33