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📘 DGMS Technical Circular No. 3 of 2019 Subject: Guidelines for Implementation of Safety Management Plans (SMPs) in Coal & Metalliferous Mines

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🔹 1. Background & Need for SMP

• Indian mining traditionally relied on prescriptive regulations (do’s & don’ts in Acts & Rules).
• However, accidents still occurred because:
• Hazards were site-specific and dynamic.
• Focus was reactive (investigate after accident).
• SMP = risk-based proactive safety approach → “Predict, Prevent, and Prepare”.
• Adopted from global best practices: ISO 45001 (Occupational Health & Safety), ILO safety frameworks, Australian & South African SMP models.

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🔹 2. Legal Basis

• Mines Act, 1952 → Owner/Agent/Manager responsible for safety.
• CMR 2017 / MMR 1961 → Regulations mandate systematic safety planning.
• Circular 3/2019 → DGMS directive requiring every mine to have an SMP, to be submitted for approval and kept updated.

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🔹 3. Objectives of SMP

1. Identify hazards & risks systematically.
2. Ensure risk control measures are integrated into daily mining operations.
3. Provide a documented plan for emergencies.
4. Create a culture of accountability & safety ownership.
5. Promote continuous improvement through monitoring & audits.

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🔹 4. Core Components of SMP 1. Safety Policy 📝

• Must be signed by Owner/Agent.
• States commitment to Zero Harm.
• Displayed prominently in mine premises.

2. Risk Assessment (HIRA) ⚠️

• Hazard Identification and Risk Analysis.
• Steps:
• Identify hazard (blasting, gas emission, slope failure, machinery).
• Assess risk (Likelihood × Severity).
• Classify: High / Medium / Low.
• Enter in Risk Register.
• Example:
• Hazard: Explosives handling → Risk: Fire/Explosion → Control: SOP, PPE, training.

3. Operational Control Measures 🔧

• Standard Operating Procedures (SOPs).
• Permit-to-Work (critical jobs: welding, confined space entry).
• Lock Out–Tag Out (LOTO) for machinery.
• Contractor management & training.

4. Training & Competency 🎓

• Induction for new workers.
• Refresher courses.
• Contractor training (often neglected → cause of accidents).
• Mock emergency drills.

5. Emergency Preparedness 🚨

• Emergency Response Plan (ERP).
• Types: Fire, Explosion, Inundation, Strata collapse, Major machinery accident.
• Mock drills: at least twice a year (every 6 months).
• Linkage with Mine Rescue Stations (MRS).

6. Safety Audits & Inspections 🔍

• Internal audits → mine officials.
• External audits → independent experts annually.
• DGMS surprise inspections.
• Findings → corrective actions.

7. Incident Reporting & Investigation 📑

• All accidents + near misses to be reported.
• Root Cause Analysis (RCA).
• Lessons learned → feed back into SMP.

8. Review & Continuous Improvement 🔄

• SMP reviewed annually.
• Update when:
• New machinery introduced.
• Mine expands to new depth/area.
• New hazard identified.

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🔹 5. Implementation Framework

• Step 1: Mine Manager forms an SMP Committee.
• Members: Safety Officer, Mine Officials, Workmen’s Representative, Trade Union Rep.
• Step 2: Prepare Hazard Identification & Risk Register.
• Step 3: Define Control Measures → Engineering (support system), Administrative (SOPs), PPE.
• Step 4: Document → Prepare Safety Management Plan.
• Step 5: Submit to DGMS Regional Inspector for approval.
• Step 6: Implement → Training, SOPs, ERP, Audits.
• Step 7: Monitor & Review → Annual revision & corrective action.

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🔹 6. Importance for DGMS Exam 📖 In Written Exam (MMLGS):

• Write structured answers using SMP framework.
• Example: “An SMP consists of Safety Policy, Risk Register, SOPs, ERP, Audits, Training, and Annual Review (as per DGMS Circular 3/2019).”

🎙️ In Viva:

• Likely Questions:
• “What is a Risk Register? Give an example.”
• “How often must SMP be reviewed?”
• “What is the role of DGMS in SMP implementation?”
• You should answer by quoting Circular 3/2019.

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🔹 7. Practical Example (Case Study Style) Scenario: A metalliferous mine introduces a new fleet of diesel LHDs.

• Hazard: Diesel exhaust → DPM exposure.
• SMP Action:
• Update Risk Register → “Diesel emissions”.
• Control → Ventilation upgrade, EC monitoring, PPE, training.
• Emergency plan → procedures for engine fire.
• Audit: Monthly check of exposure levels.
• Review: Update SMP annually.

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🔹 8. Quick Revision Table

Component	Key Requirement
Safety Policy	Written, signed by owner/agent
Risk Register	HIRA, updated regularly
SOPs & Control	Permit-to-Work, LOTO, contractor mgmt.
Training	Induction, refresher, drills
ERP	Mock drills every 6 months
Audit	Internal + External yearly
Review	Annually or after new hazards

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🔹 9. Why SMP is Central to MMLGS

• Combines Management (planning, leadership, accountability).
• Integrates Legislation (Mines Act, DGMS directives).
• Ensures General Safety (worker protection, proactive risk reduction).
• By quoting Circular 3/2019, you demonstrate awareness of modern DGMS safety philosophy – a scoring edge in exams.

· Q1. · The DGMS Technical Circular No. 3 of 2019 deals with:
A) Mine Ventilation Standards
B) Diesel Equipment Safety
C) Safety Management Plans (SMPs)
D) Explosive Handling Procedures
E) Rescue Equipment Design · ✅ Answer: C
📘 Solution: Circular 3/2019 introduces SMPs in coal & metal mines.

·

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· Q2. · The main philosophy of SMP is:
A) Prescriptive safety rules
B) Post-accident investigation
C) Proactive risk management
D) Production optimization
E) Profit maximization · ✅ Answer: C
📘 Solution: SMP shifts focus to proactive hazard identification & control.

·

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· Q3. · The core document prepared during SMP development is called:
A) Accident log book
B) Emergency response chart
C) Risk Register
D) Safety Audit Report
E) Training Record · ✅ Answer: C
📘 Solution: Risk Register records hazards, risk levels, and control measures.

·

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· Q4. · Who is responsible for preparing and implementing the SMP in a mine?
A) Overman
B) Safety Officer alone
C) Mine Manager
D) DGMS Inspector
E) Contractor · ✅ Answer: C
📘 Solution: Mine Manager holds primary responsibility under SMP framework.

·

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· Q5. · SMP requires that safety policy must be:
A) Oral instruction
B) Written and signed by Owner/Agent
C) Prepared by Safety Officer only
D) Sent to Union office
E) Not necessary · ✅ Answer: B
📘 Solution: A written, signed safety policy is mandatory under SMP.

·

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· Q6. · Which analysis method is central to risk assessment under SMP?
A) SWOT
B) HIRA (Hazard Identification & Risk Analysis)
C) ABC Analysis
D) PERT-CPM
E) Value Engineering · ✅ Answer: B
📘 Solution: SMP requires HIRA methodology to identify & evaluate risks.

·

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· Q7. · The frequency of SMP review must be:
A) Monthly
B) Quarterly
C) Annually
D) Every 5 years
E) Only after accidents · ✅ Answer: C
📘 Solution: SMP must be reviewed at least once every year.

·

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· Q8. · Mock emergency drills under SMP should be conducted at least:
A) Every month
B) Every 3 months
C) Every 6 months
D) Once in 2 years
E) Not required · ✅ Answer: C
📘 Solution: Mock drills are required twice a year (every 6 months).

·

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· Q9. · Which of the following is NOT a component of SMP?
A) Safety Policy
B) Risk Register
C) Emergency Preparedness
D) Production Targets
E) Safety Audits · ✅ Answer: D
📘 Solution: Production targets are not part of SMP – safety is the focus.

·

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· Q10. · What is the main purpose of a Risk Register?
A) Store production data
B) Record training attendance
C) Document hazards, risks & controls
D) Monitor coal output
E) Maintain financial expenses · ✅ Answer: C
📘 Solution: A Risk Register lists hazards, risk levels, and control actions.

·

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· Q11. · Which type of control is NOT part of SMP hierarchy?
A) Engineering Controls
B) Administrative Controls
C) Personal Protective Equipment (PPE)
D) Financial Controls
E) Standard Operating Procedures (SOPs) · ✅ Answer: D
📘 Solution: SMP controls = Engineering, Admin, PPE – not financial.

·

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· Q12. · Who must be included in the SMP Committee?
A) Manager, Safety Officer, Worker Representative
B) Contractor only
C) Union leader only
D) DGMS Inspector
E) Only Overmen · ✅ Answer: A
📘 Solution: SMP committee = Manager + Safety Officer + Workers/Union reps.

·

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· Q13. · Which international standard is SMP aligned with?
A) ISO 9001
B) ISO 14001
C) ISO 45001
D) ISO 50001
E) IS 456 · ✅ Answer: C
📘 Solution: SMP framework aligns with ISO 45001 (Occupational H&S).

·

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· Q14. · The Permit-to-Work system under SMP applies to:
A) Routine work
B) Critical jobs (welding, confined space, blasting)
C) Office duties
D) Production reporting
E) Daily attendance · ✅ Answer: B
📘 Solution: Permit-to-Work is essential for hazardous/critical activities.

·

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· Q15. · What is the role of Root Cause Analysis (RCA) in SMP?
A) Assign blame
B) Reduce costs
C) Identify underlying causes of accidents/near-misses
D) Track coal dispatch
E) Improve production scheduling · ✅ Answer: C
📘 Solution: RCA ensures lessons learned feed back into SMP.

·

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· Q16. · How often should external safety audits be conducted under SMP?
A) Monthly
B) Quarterly
C) Annually
D) Every 5 years
E) Only during DGMS visits · ✅ Answer: C
📘 Solution: Annual external audit is mandated under SMP.

·

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· Q17. · Which of these best describes SMP’s aim?
A) Only to satisfy DGMS
B) To reduce man-shifts
C) To integrate safety into mining operations
D) To increase production rate
E) To replace legislation · ✅ Answer: C
📘 Solution: SMP = integrated safety management, not standalone.

·

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· Q18. · Which of the following is an example of Engineering Control in SMP?
A) Training workers
B) Installing gas monitoring sensors
C) Issuing safety posters
D) Preparing SOPs
E) Conducting safety talks · ✅ Answer: B
📘 Solution: Engineering control = physical systems like sensors, barriers.

·

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· Q19. · Which of the following is considered a proactive measure under SMP?
A) Accident investigation after fatalities
B) Risk Assessment (HIRA)
C) Compensation to injured worker
D) Production monitoring
E) Overtime management · ✅ Answer: B
📘 Solution: HIRA = proactive hazard identification.

·

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· Q20. · Near-miss reporting under SMP is important because:
A) It reduces production delays
B) It provides data to prevent major accidents
C) It replaces medical check-ups
D) It is optional for managers
E) It saves paperwork · ✅ Answer: B
📘 Solution: Near-miss reporting prevents serious accidents in future.

·

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· Q21. · Emergency Response Plan (ERP) should cover all EXCEPT:
A) Fire
B) Inundation
C) Strata collapse
D) Production loss
E) Explosion · ✅ Answer: D
📘 Solution: ERP is for emergencies, not production issues.

·

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· Q22. · Which agency approves SMP after preparation?
A) Mine Rescue Station
B) DGMS Regional Inspector
C) Ministry of Labour
D) Local Panchayat
E) Safety Committee · ✅ Answer: B
📘 Solution: SMP submitted to Regional Inspector of DGMS for approval.

·

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· Q23. · Contractor management under SMP includes:
A) Ignoring contractors
B) Separate safety training for contractors
C) Exempting contractors from SOPs
D) Only wage negotiation
E) Outsourcing risk register · ✅ Answer: B
📘 Solution: Contractors must undergo special safety training.

·

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· Q24. · Frequency of safety mock drills as per SMP:
A) Once every year
B) Once every 6 months
C) Once every 3 months
D) Only during inspections
E) Optional · ✅ Answer: B
📘 Solution: Mock drills = every 6 months.

·

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· Q25. · The ultimate goal of SMP under Circular 3/2019 is:
A) Zero Harm – accident-free mines
B) Production growth
C) Cost minimization
D) Export competitiveness
E) Reduce DGMS inspections · ✅ Answer: A
📘 Solution: The SMP vision is Zero Harm (zero accidents).