2016 INDEPENDENT ENVIRONMENTAL AUDIT West Wallsend Colliery Executive Summary

ABSTRACT West Wallsend Colliery are required to have an independent environmental audit conducted every three years to fulfil the conditions of the sites Department of Planning and Environment Development Application approval PA 09-0203. This report details the results of the 2016 audit. Peter Horn Environmental Lead Auditor

Date 18 August 2016

Oceanic Coal Australia Pty Ltd have requested Peter Horn to conduct an Independent Environmental Audit of the West Wallsend Underground (WWU) Operation. To fulfil the requirements of the NSW Department of Planning and Environment Project Approval PA 09-0203 dated 2012 an Independent Environmental Audit of compliance is required in 2016. The last independent environmental audit was undertaken on 28 June 2013.

The audit was designed and conducted to satisfy the planning approval conditions for West Wallsend Underground and focused on the site’s compliance with licences, approvals and supporting documents including management plans. This audit period is 28 June 2013 to 4 July 2016.

West Wallsend Colliery is an underground coal mining operation located in the Newcastle Coalfields near Lake Macquarie, specifically the pit top facilities lie near Killingworth. West Wallsend Colliery is operated in conjunction with the Macquarie Coal Preparation Plant (MCPP), located adjacent to the mining operation, which handles and processes run of mine (ROM) coal received from West Wallsend Colliery.

In 2010, an application was made for continued operations of the site to DP&E. The application removed areas included in previous applications due to steep slopes and shallow cover and the resulting impacts that had been recognised through review of subsidence results from previous longwalls at the site. There were also areas excised by WWU from the approved mine plan for previous longwalls due to potential environmental impacts. Mining at West Wallsend Underground finished in longwall 52 in May 2016 as the mine reached the end of its economic life. Consequently, the audit was conducted post mining operations. At the time of the audit, the site was removing equipment from the underground operation and securing and storing it at the surface. Demolition of surface facilities had not commenced and there was still a significant amount of work to be done on subsidence remediation resulting from mining activities.

The Independent Environmental Audit was undertaken generally in accordance with AS/NZS ISO 19011:2014 – Guidelines for quality and/or environmental management systems auditing by Peter Horn as a certified lead auditor. The Independent Environmental Audit consisted of a detailed desktop review of documents supporting compliance, interviews with WWU staff and contractors and a site inspection of the complex and supporting infrastructure in July 2016.

In conducting the audit, the auditor communicated with The NSW Department of Planning and Environment, NSW Office of Environment and Heritage, NSW Division of Resources and Energy, NSW Environment Protection Authority, the NSW DPI Water, The WWU CCC and Lake Macquarie City Council to assist in directing the audit focus.

The Independent Environmental Audit reviewed 36 approvals and environmental management documents and the recommendations from the previous 2013 Independent Environmental Audit in detail and other documents in a more general manner, where relevant. A total of 1554 conditions and commitments were assessed as part of this audit. 22 issues resulted in 41 non-compliances. 5 of the non-compliances were administrative. Some of the non-compliances noted in this audit relate to the

2016 Independent Environmental Audit Page 1 of 73 same issue which, due to the duplication of commitments between consent documents and management plans, raise the same non-compliance several times.

A basic risk assessment was conducted for all non-compliances with Low/Medium/High risk levels as results. For the non-compliances that were not administrative (there were 5 administrative non- compliances), there were 8 Low, and 33 Medium results. No High risks were identified in the audit.

Whilst there have been issues, the general environmental management of the site has been acceptable through the audit period. We note the effort that was put into resolving those issues (grouting incidents, water infrastructure and closure) and see the level of commitment to environmental management should be adequate (if it is maintained) for the site to complete closure without any residual issues.

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2016 Independent Environmental Audit Page 3 of 73 Glossary

Term Meaning

ACHMP Archaeology and Cultural Heritage Management Plan

AEMR Annual Environmental Management Report

AQMP Air Quality Management Plan

AR Annual Review (was AEMR)

Archaeology In this text refers to archaeological and culturally significant sites of the area and any history they may have on the development site BOM Bureau of Meteorology

CCC Community Consultative Committee

CCL Consolidated Coal Lease

CL Coal Lease

DA Development Application

DP&E NSW Department of Planning and Environment.

DRE NSW Department of Trade and Industry, Division of Resources and Energy EA Environmental Assessment

EEC Endangered Ecological Community, a community of native species that exist in the same geographical area that are listed as endangered as a community under either NSW or Commonwealth legislation. EIS Environmental Impact Statement – is a document describing the potential environmental impact of a proposed development and offering mitigation strategies to reduce or remove the impacts. EL Exploration Licence

EMF Environmental Management Framework

EOP End of Panel (report)

EPA Environment Protection Authority

EPL Environment Protection Licence

FFMP Flora and Fauna Management Plan

LW Longwall

2016 Independent Environmental Audit Page 4 of 73 Term Meaning

ML Mining Lease

MOP Mining Operations Plan

MP Management Plan

NMP Noise Management Plan

NOW NSW Office of Water

OCAL Oceanic Coal Australia Pty Ltd

OEH NSW Office of Environment and Heritage

PIRMP Pollution Incident Response Plan

RFS Rural Fire Service

REMP Rehabilitation and Environmental Management Plan

SCMP Spontaneous Combustion Management Plan

SSCA Sugarloaf State Conservation Area

SSD State Significant Development

TARP Trigger Action Response Plan, managing environmental issues using trigger levels for assessment of environmental variables to develop actions to remedy impacts WMP Water Management Plan

WWU West Wallsend Underground

2016 Independent Environmental Audit Page 5 of 73 CONTENTS

1 Introduction...... 12 1.1 Background ...... 12 1.2 Site Description...... 12 1.3 Audit Requirement...... 12 1.4 Audit Approach ...... 13 1.5 Report Structure ...... 14 2 Consultation...... 16 3 Documents Audited...... 25 4 Environmental Compliance...... 28 4.1 Issues Resulting in Non-compliance...... 28 4.2 Compliance with PA 09_0203 (as modified) ...... 30 4.3 Compliance with Statement of Commitments in PA 09_0203...... 32 4.4 Compliance with conditions in Environment Protection Licence 1360 ...... 32 4.5 Compliance with Conditions in Water Licence 20BL173331...... 35 4.6 Compliance with Conditions in Water Licence 20BL173332...... 35 4.7 Compliance with Conditions in Water Licence 20BL173511...... 35 4.8 Compliance with Conditions in Water Licence 20BL169793...... 35 4.9 Compliance with Conditions in Water Licence 20BL173531...... 36 4.10 Compliance with Conditions in Consolidated Coal Lease 718...... 36 4.11 Compliance with Conditions in Consolidated Coal Lease 725...... 37 4.12 Compliance with Mining Leases 1336, 1438 and 1451...... 37 4.13 Compliance with Conditions in Private Land Lease 153...... 38 4.14 Compliance with the Environmental Assessment, 2010 – West Wallsend Continued Operations Project 38 4.15 Compliance with 2010 EA Amendments...... 40 4.16 Compliance with Commitments in LW 51-52 Environmental Assessment ...... 40 4.17 Compliance with Commitments in Longwall Extraction Plans...... 40 4.18 Compliance with Rehabilitation & Environmental Management Plan ...... 41 4.19 Compliance with Commitments in 2015-16 Mining Operations Plan...... 41 4.20 Compliance with Environmental Management Framework ...... 41 4.21 Compliance with Aboriginal Cultural Heritage Management Plan ...... 42 4.22 Compliance with Air Quality & Greenhouse Gas Management Plan...... 43 4.23 Compliance with Commitments in the Biodiversity Management Plan ...... 44

2016 Independent Environmental Audit Page 6 of 73 4.24 Compliance with LW51 and LW52 Biodiversity Management Plan ...... 44 4.25 Compliance with Commitments in the Built Features Management Plan...... 45 4.26 Compliance with Commitments in the LW 51-52 Built Features Management Plan...... 45 4.27 Compliance with Commitments in the Bushfire Management Plan...... 46 4.28 Compliance with the Land Management Plan ...... 46 4.29 Compliance with the LW 51-52 Land Management Plan...... 46 4.30 Compliance with the Noise Management Plan...... 47 4.31 Compliance with Commitments in the LW51-52 Public Safety Management Plan ...... 48 4.32 Compliance with the Spontaneous Combustion Management Plan ...... 48 4.33 Compliance with Commitments in the LW51-52 Subsidence Monitoring Program ...... 48 4.34 Compliance with the Surface Water Management Plan...... 49 4.35 Compliance with the LW46 Water Management Plan...... 50 4.36 Compliance with Commitments in the LW51-52 Water Management Plan...... 50 4.37 Compliance with Commitments in the Surface Transport Management Plan ...... 50 5 Previous Audit Action Status ...... 52 6 Complaints and Reportable Incidents...... 54 6.1 Complaints ...... 54 6.2 Reportable Incidents...... 54 7 Environmental Management...... 56 7.1 Subsidence Management...... 56 7.1.1 Grouting Incidents...... 56 7.1.2 Subsidence Above Predictions ...... 57 7.2 Ecology and Rehabilitation Management...... 57 7.3 Aboriginal Heritage Management...... 58 7.4 Noise Management...... 58 7.5 Water Management...... 58 7.6 Management of the Environment ...... 59 8 Closure Activities ...... 60 8.1 Context...... 60 8.1.1 Closure Planning Project Management...... 60 8.1.2 Detailed Closure Plan ...... 60 8.1.3 Project Closure Schedule...... 61 8.1.4 Stakeholder Consultation...... 61 8.1.5 Community Consultation ...... 62

2016 Independent Environmental Audit Page 7 of 73 8.1.6 Aboriginal Stakeholders ...... 62 9 Recommendations...... 63 10 Conclusion ...... 65 APPENDIX A – AUDIT TEAM APPROVAL...... 66 APPENDIX B – CONSULTATION ...... 67 APPENDIX C – RISK ASSESSMENT CRITERIA AND AUDIT PROTOCOL ...... 68 APPENDIX D – COMPLIANCE WITH RECOMMENDATIONS FROM 2013 AECOM IEA ...... 69

2016 Independent Environmental Audit Page 8 of 73 TABLES

Table 1 - Requirements for this IEA ...... 11 Table 2 - Consultation Responses...... 20 Table 3 - Approval Documents Audited...... 24 Table 4 - Documents Audited ...... 24 Table 5 – Issues Resulting in Non-Compliance ...... 27 Table 6- Compliance with PA 09_0203 (as modified) ...... 29 Table 7- Compliance with Statement of Commitments IN PA 09_0203...... 31 Table 8- Compliance with Environment Protection Licence 1360...... 32 Table 9- Compliance with Water Licence 20BL169793 ...... 34 Table 10- Compliance with Water Licence 20BL173531 ...... 35 Table 11- Compliance with CCL 718 ...... 35 Table 12- Compliance with CCL 725 ...... 36 Table 13- Compliance with ML1336, 1438 & 1451...... 36 Table 14- Compliance with 2010 EA ...... 37 Table 15- Compliance with 2010 EA Amendments ...... 39 Table 16- Compliance with REMP...... 40 Table 17- Compliance with EMF ...... 40 Table 18- Compliance with ACHMP...... 41 Table 19- Compliance with AQGGMP...... 42 Table 20- Compliance with LW51 and LW52 Biodiversity Management Plan...... 43 Table 21- Compliance with Land Management Plan ...... 45 Table 22- Compliance with LW 51-52 Land Management Plan...... 46 Table 23- Compliance with Noise Management Plan...... 46 Table 24- Compliance with Spontaneous Combustion Management Plan ...... 47 Table 25- Compliance with Surface Water Management Plan...... 48 Table 26- Compliance with LW46 Water Management Plan...... 49 Table 27- Recommendations Not Completed from 2013 WWU IEA ...... 51 Table 28 - Key Project Milestones ...... 60

2016 Independent Environmental Audit Page 9 of 73 1 INTRODUCTION

1.1 BACKGROUND Oceanic Coal Australia Pty Ltd(OCAL) have requested Peter Horn to conduct an Independent Environmental Audit (IEA) of the West Wallsend Underground (WWU) Operation. To fulfil the requirements of the NSW Department of Planning and Environment (DP&E) (previously Department of Planning and Infrastructure) Project Approval PA 09-0203 dated 2012 an Independent Environmental Audit of compliance is required in 2016. The last independent environmental audit was undertaken on 28 June 2013.

1.2 SITE DESCRIPTION West Wallsend Colliery is an underground coal mining operation located in the Newcastle Coalfields near Lake Macquarie, specifically the pit top facilities lie near Killingworth. West Wallsend Colliery is operated in conjunction with the Macquarie Coal Preparation Plant (MCPP), located adjacent to the mining operation, which handles and processes run of mine (ROM) coal received from West Wallsend Colliery.

West Wallsend Colliery and the MCPP are operated by OCAL on behalf of Macquarie Coal Joint Venture. OCAL is the majority shareholder in the Macquarie Coal Joint Venture with 70% ownership. Other shareholders include Marubeni Coal Pty Ltd (17%), OCAL Macquarie Pty Ltd (10%) and JFE Minerals (Australia) Pty Ltd (3%). OCAL, which also owns OCAL Macquarie Pty Ltd, is wholly owned by Glencore Coal Pty Limited.

2016 Independent Environmental Audit Page 10 of 73 1.3 AUDIT REQUIREMENT The independent audit requirements of the Development Application approvals are detailed in Table 1.

Table 1 - Requirements for this IEA

Condition Requirement Location in Report

WWU PA 09-0203 Schedule 6 9 By the end of 2013 (or other such timing as might be agreed by This Audit the Secretary), and every 3 years thereafter, unless the Secretary directs otherwise, the Proponent shall commission and pay the full cost of an Independent Environmental Audit of the project. This audit must: (a) be conducted by a suitably qualified, experienced, and Appendix A independent team of experts whose appointment has been endorsed by the Secretary; (b) include consultation with the relevant agencies; Section 2 (c) assess the environmental performance of the project Section 4 and assess whether it is complying with the requirements in this approval, and any other relevant approvals, relevant EPL or Mining Lease (including any assessment, plan or program required under these approvals); (d) review the adequacy of any approved strategies, plans or Section 5 programs required under the abovementioned approvals, and (e) recommend measures or actions to improve the Section 6 environmental performance of the project and any strategy, plan or program required under these approvals. Note: This audit team should be led by a suitably qualified Appendix A auditor, and include experts in any field specified by the Secretary.

1.4 AUDIT APPROACH This IEA was undertaken generally in accordance with AS/NZS ISO 19011:2014 – Guidelines for quality and/or environmental management systems auditing by the following personnel:

 Peter Horn (Environmental Principal) – Lead Auditor;  Peta Harris (Environmental Scientist) – Audit Assistant; and  Martin Sullivan (Senior Botanist) – Rehabilitation and Ecology Specialist from Eco Logical Australia.

2016 Independent Environmental Audit Page 11 of 73 The audit team were approved by the Department of Planning and Environment (DP&E) (on 18 May 2016) prior to conducting the audit (appended as Appendix A).

This IEA consisted of a detailed desktop review of documents supporting compliance, interviews with WWU staff and a site inspection of WWU from 18 – 25 July 2016. Interviewees included:

 Environment and Community Manager;  Environment and Community Officer (2);  Operations Manager;  Mechanical Engineer; and  Projects Engineer - Closure; An audit opening meeting was held with the site environment team and a closing meeting was held with the environment team and the Operations Manager. The opening meeting discussed the approach and process of the audit while the closing meeting covered the findings to that point and the audit team’s general impressions of the sites management.

The environmental conditions at the time of the audit were mild, with daytime maximum temperatures between 18.1oC and 25.3oC (degrees Celsius) and minimums between 1.8°C and 14.9°C (BOM weather station at Cooranbong). There was rain on the 18th (0.2mm), 20th (17.4mm) and 21st (13.4mm) during the site audit.

1.5 REPORT STRUCTURE This report is structured as follows:

Executive Summary

Section 1.0 provides an introduction, background and description of WWU, describes the requirements for the IEA and provides a guide to the structure of the report.

Section 2.0 discusses consultation with the relevant departments.

Section 3.0 lists the planning approvals in place at WWU, provides a description of each and confirms those which have been the subject of this IEA.

Section 4.0 provides a discussion of non-compliances against the project approval, licences, permits and supporting documents.

Section 5.0 provides a review of the adequacy of the environmental management at the site both documented and observed

Section 6.0 provides recommendations for measures or actions to improve the environmental performance of WWU.

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2016 Independent Environmental Audit Page 13 of 73 2 CONSULTATION

The WWU Environment and Community Manager notified the DP&E of the proposed scope of the areas requiring expert assessment for the audit. The DP&E confirmed the key scope areas requiring expert assessment to be ecology and rehabilitation. DP&E also approved the audit team submitted by WWU.

The audit team consulted the NSW Environment Protection Authority (EPA), Lake Macquarie City Council (LMCC), Department of Trade and Industry – Division of Resources and Energy (DRE), NSW Department of Primary Industry - Water (DPI Water) and NSW Office of Environment and Heritage (OEH) and the WWU Community Consultation Committee (CCC) requesting input into the audit scope and focus (responses are appended as Appendix B).

The EPA noted:

The EPA does not have any specific matters to provide in relation to the WWU audit schedule.

LMCC noted: “One of the main issues Council (LMCC) would like to raise for consideration in your audit is the significantly higher than predicted subsidence results experience during mining of LW46.

For example, we understand that the predicted subsidence in LW46 (e.g. at around 100m chainage) was approx. -1mtr, and the measured subsidence was -2.54mtr (see figure below). Given the importance placed on subsidence predictions when assessing the impacts of a proposal, it is concerning to Council that the measured impacts have exceeded the predicted amount of subsidence by such as significant amount.

2016 Independent Environmental Audit Page 14 of 73 Figure 1 - Subsidence Results LW46 Centreline

Hence, we request that your audit give some consideration of how (and why) the predicted subsidence is assessed and what corrective actions and investigations occur when significant variations occur.

Council is also represented on the Independent Review Committee (IRC) for West Wallsend Colliery. It is Council’s understanding that the relevant consent condition requires this committee to be chaired by an independent expert. It has been a disappointment to Council that a number of the IRC meetings have not included an independent chairperson. We suggest that this matter may be appropriate for consideration in your audit.

Council also understands that mining operations in LW46 resulted in a significant roof collapse incident, which resulted in the loss of a Longwall (which remains buried in the workings). Given the significance of this incident, we would have expected the IRC to play a significant role in understanding the cause (and responses) of this incident. We were disappointed at the limited nature of the discussion which occurred at the IRC meeting, and think that the cause, (and response) to this incident, and how it relates to the role of the IRC may be an appropriate issue to consider in your audit.”

2016 Independent Environmental Audit Page 15 of 73 DRE provided the following: “DRE considers that the audit should assess key rehabilitation issues and hence consider the following (along with any other aspect considered appropriate by the auditor):

Audit Component – Desktop

 Is there a current Mining Operations Plan (MOP) in place and has it been approved by DRE? (Schedule 4, condition 29);  Has the MOP been prepared in consultation with the relevant agencies as outlined in the Project Approval?  Is the rehabilitation strategy as outlined in the MOP consistent with the Project Approval in terms of progressive rehabilitation schedule; and proposed final land use(s)?  Has the rehabilitation objectives and completion criteria as outlined in the MOP been developed in accordance with the proposed final land(s) as outlined in the Project Approval?  Has the MOP been prepared building on other management plans required under the consent (are the plans consistent?);  Has a rehabilitation monitoring program been developed and implemented to assess performance against the nominated objectives and completion criteria? – verified by reviewing monitoring reports and rehabilitation inspection records. (is the MOP consistent with Schedule 4, condition 27?)  Has a rehabilitation care and maintenance program been developed and implemented based on the outcomes of monitoring program? – verified by reviewing Annual Rehabilitation Programs or similar documentation.  Has exploration within the project application area (as shown on Consent Appendix 2, p.23, not just within the extraction area), been undertaken in accordance with a DP&E approval? If not approved by consent, is the exploration approved under the MOP? Audit Component - Site Inspection

 Are mining operations being conducted in accordance with the approved MOP (production, mining sequence etc.), including within the designated MOP approval boundary? – to be verified by site plans and site inspection.  Is rehabilitation progress consistent with the approved MOP as verified by site plans and a site inspection? This should include an evaluation against rehabilitation targets and whether the final landform is being developed in accordance with conceptual final landform in Project Approval.  Based on a visual inspection, are there any rehabilitation areas that appear to have failed or that have incurred an issue that may result in a delay in achieving the successful rehabilitation? In addition to the above, the audit should note observations where rehabilitation procedures, practices and outcomes represent best industry practice.”

2016 Independent Environmental Audit Page 16 of 73 DPI Water provided the following response (provided here in part):

“DPI Water further requests that the audit consider compliance with the relevant water licensing requirements for the mining operation, specifically:  Assessment as to whether the project holds the required water entitlements, approvals and licenses under the Water Management Act 2000 or Water Act 1912 (as applicable);  Compliance with the conditions of any water licenses/approvals held. The following questions may aid in assessing the water licensing requirements of the mine operation:  Do the relevant management plans adequately describe the water licensing requirements under the Water Management Act 2000/Water Act 1912, and compliance with these requirements?  Are adequate records kept to enable determination of the volume and source of surface and groundwater taken?  Is the operation capturing and/or harvesting any clean water?  Has the proponent calculated its maximum harvestable right under the Water Management Act 2000?  Is the capture of water in excess of the harvestable right?  Do any exemptions under the Water Management (General) Regulation 2011 or Harvestable Rights Order (gazetted 31 March 2006) apply to the capture of water?  If necessary, does the proponent hold water access licenses in the correct water sources under the relevant water sharing plan (for the take of surface water or alluvial groundwater), or licences under part 5 of the Water Act 1912 (for the take of groundwater from non-alluvial aquifers), and do they hold sufficient quantity of entitlement under these licenses?”

OEH provided the following feedback:

“OEH has reviewed the consent issued to the West Wallsend Colliery in relation to performance measures for threatened biodiversity and Aboriginal cultural heritage. Following this review OEH recommends that in addition to the assessment of each consent condition and performance criteria is measured that the following matters are also considered in relation to the forthcoming audit: Threatened Biodiversity

Schedule 3, Condition 1 [Table 1]

That the audit provides an assessment of what 'negligible environmental consequences' consists of and looks like, so that it may be better defined and more objectively measured for future consents?

Schedule 3. Condition 27

2016 Independent Environmental Audit Page 17 of 73 That the audit provides as assessment of how ecosystem function of a rehabilitated landscape can be measured, and whether or not it is self-sustaining in relation to all plant functional groups and vegetation structure.

Aboriginal Cultural Heritage Conditions

Schedule 4 Condition 20

Has the proponent been able to demonstrate that appropriate consultation been done with relevant Aboriginal stakeholders prior to potential impacts occurring on heritage items?

Commitments 6.10.2 and 6.10.3

How was the provision of an interest-bearing deposit and use of interest generated for the Aboriginal Cultural Heritage Values Project resolved?

Other Issues:

1. What steps have been taken for the return of Aboriginal artefacts gathered during the mining project to the most appropriate keeping place? 2. Have there been any further cracks to grinding groove sites on a rock platform? 3. Where grinding grooves have been cracked how effective have the repairs been?

National Parks and Wildlife Service Comments

Timeframe. It is noted that crack remediation has been a slow process. OEH acknowledges that the proponent has been trialling different techniques, which OEH supports, but still progress continues to be slow. OEH recommends that the audit notes the time since last large scale remediation works were done (in 2012) and hopes that the rates of work will improve once trials have been completed.

OCAL and OEH have agreed that OCAL Wil provide OEH with $50,000 with $50,000 for the 2016/17 financial year as required by Condition 6.42 to undertake remediation works within the SSCA.”

The WWU CCC were contacted by phone (CCC Chair) and provided the following input to the audit:

1. Review the grouting incident. 2. Review works post grouting incident that were conducted to ensure there is a low likelihood of recurrence. 3. Provide a summary of progress on closure including decommissioning the pit top. 4. Provide a summary of post closure land use planning.

The feedback from the consultation conducted is addressed in Table 2 cross referencing locations in this report.

2016 Independent Environmental Audit Page 18 of 73 Table 2 - Consultation Responses

Feedback Item Location in the Report LMCC 7.1.2 The significantly higher than predicted subsidence results experience during mining of LW46 4.2 Council is also represented on the Independent Review Committee (IRC) for The IRC is required as West Wallsend Colliery. It is Council’s understanding that the relevant a condition, the consent condition requires this committee to be chaired by an independent Independent Chair is expert. It has been a disappointment to Council that a number of the IRC not required as a meetings have not included an independent chairperson. condition but was agreed amongst the IRC representatives. The attendance record of the Chair is not something that is related to compliance with the approval by WWU. The IRC continued to serve its function in the absence of the Chair as evidenced by the minutes. 7.1.2 Council also understands that mining operations in LW46 resulted in a The End of Panel significant roof collapse incident, which resulted in the loss of a Longwall. report has addressed Given the significance of this incident, we would have expected the IRC to this issue and was play a significant role in understanding the cause (and responses) of this used in adaptive incident. management to develop subsidence predictions for future longwalls. DRE Is there a current Mining Operations Plan (MOP) in place and has it been 4.18 approved by DRE? 4.19 There is a new Closure MOP in place and it has been approved by DRE with a time limitation so the site can provide further detail. Has the MOP been prepared in consultation with the relevant agencies as 4.19

2016 Independent Environmental Audit Page 19 of 73 Feedback Item Location in the Report outlined in the Project Approval? Is the rehabilitation strategy as outlined in the MOP consistent with the 4.3 Project Approval in terms of progressive rehabilitation schedule; and 4.18 proposed final land use(s)? 4.19 Has the rehabilitation objectives and completion criteria as outlined in the 4.3 MOP been developed in accordance with the proposed final land(s) as 4.18 outlined in the Project Approval? 4.19 Has the MOP been prepared building on other management plans required 4.3 under the consent (are the plans consistent?) 4.18 4.19 Has a rehabilitation monitoring program been developed and implemented 4.3 to assess performance against the nominated objectives and completion 4.18 criteria? – verified by reviewing monitoring reports and rehabilitation 4.19 inspection records. (is the MOP consistent with Schedule 4, condition 27?) Has a rehabilitation care and maintenance program been developed and 4.3 implemented based on the outcomes of monitoring program? – verified by 4.18 reviewing Annual Rehabilitation Programs or similar documentation. 4.19 Has exploration within the project application area (as shown on Consent There has been no Appendix 2, p.23, not just within the extraction area), been undertaken in exploration works in accordance with a DP&E approval? If not approved by consent, is the the audit period. exploration approved under the MOP? Are mining operations being conducted in accordance with the approved 4.3 MOP (production, mining sequence etc.), including within the designated 4.18 MOP approval boundary? – to be verified by site plans and site inspection. 4.19 Is rehabilitation progress consistent with the approved MOP as verified by 4.3 site plans and a site inspection? This should include an evaluation against 4.18 rehabilitation targets and whether the final landform is being developed in 4.19 accordance with conceptual final landform in Project Approval. Based on a visual inspection, are there any rehabilitation areas that appear 4.3 to have failed or that have incurred an issue that may result in a delay in 4.18 achieving the successful rehabilitation? 4.19 7.1.1 7.2 DPI - Water 4.5 Assessment as to whether the project holds the required water 4.6 entitlements, approvals and licenses under the Water Management Act 4.7 2000 or Water Act 1912 (as applicable) 4.8 4.9 4.5 Compliance with the conditions of any water licenses/approvals held 4.6 4.7 4.8 4.9

2016 Independent Environmental Audit Page 20 of 73 Feedback Item Location in the Report 4.34 Do the relevant management plans adequately describe the water licensing 4.35 requirements under the Water Management Act 2000/Water Act 1912, and 4.36 compliance with these requirements? Annual Returns detail Are adequate records kept to enable determination of the volume and water balance source of surface and groundwater taken? No, clean water is Is the operation capturing and/or harvesting any clean water? diverted only dirty water is captured. Not applicable Has the proponent calculated its maximum harvestable right under the Water Management Act 2000? Not applicable Is the capture of water in excess of the harvestable right? Not applicable Do any exemptions under the Water Management (General) Regulation 2011 or Harvestable Rights Order (gazetted 31 March 2006) apply to the capture of water? No surface or alluvial If necessary, does the proponent hold water access licenses in the correct groundwater take that water sources under the relevant water sharing plan (for the take of surface is significant enough water or alluvial groundwater), or licences under part 5 of the Water Act to require licencing 1912 (for the take of groundwater from non-alluvial aquifers), and do they hold sufficient quantity of entitlement under these licenses?” OEH Schedule 3, Condition 1 [Table 1] This is beyond the That the audit provides an assessment of what 'negligible environmental scope of the audit consequences' consists of and looks like, so that it may be better defined and more objectively measured for future consents? Schedule 3. Condition 27 This is beyond the That the audit provides as assessment of how ecosystem function of a scope of the audit rehabilitated landscape can be measured, and whether or not it is self- sustaining in relation to all plant functional groups and vegetation structure. Schedule 4 Condition 20 4.2 Has the proponent been able to demonstrate that appropriate consultation 4.14 been done with relevant Aboriginal stakeholders prior to potential impacts 4.15 occurring on heritage items? 4.16 4.21 Commitments 6.10.2 and 6.10.3 The deposit was in How was the provision of an interest-bearing deposit and use of interest place at the time of generated for the Aboriginal Cultural Heritage Values Project resolved? the audit with an application for funds being processed.

What steps have been taken for the return of Aboriginal artefacts gathered WWU is committed to during the mining project to the most appropriate keeping place? the return of the artefacts and had

2016 Independent Environmental Audit Page 21 of 73 Feedback Item Location in the Report commenced consultation with the aboriginal community to resolve the issues around return of the artefacts Have there been any further cracks to grinding groove sites on a rock None that the audit platform? identified. Where grinding grooves have been cracked how effective have the repairs The aboriginal been? community appear to be satisfied with the repairs done up to the date of the audit Timeframe. It is noted that crack remediation has been a slow process. OEH 7.1 acknowledges that the proponent has been trialling different techniques, 7.2 which OEH supports, but still progress continues to be slow. OEH 8 recommends that the audit notes the time since last large scale remediation works were done (in 2012) and hopes that the rates of work will improve once trials have been completed. OCAL and OEH have agreed that OCAL Wil provide OEH with $50,000 with Noted $50,000 for the 2016/17 financial year as required by Condition 6.42 to See Appendix C for undertake remediation works within the SSCA. further detail WWU CCC Review the grouting incident. 7.1.1 Review works post grouting incident that were conducted to ensure there is 7.1.1 a low likelihood of recurrence. Provide a summary of progress on closure including decommissioning the pit 8 top. Provide a summary of post closure land use planning. This is beyond the scope of the audit. Note though that landuse planning is not complete and that consultation will be ongoing with all relevant stakeholders as the final landuse is resolved.

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2016 Independent Environmental Audit Page 23 of 73 3 DOCUMENTS AUDITED

The following tables list the documents reviewed for compliance in this IEA along with where each document is addressed in the report. There were other documents reviewed by the audit team as evidence or supporting information that are not listed here.

Table 3 lists the sites approval documents that were audited.

Table 3 - Approval Documents Audited

Approval Document Section in Report PA 09_0203 West Wallsend Continued Operations Project - Modification 1 4.2 PA 09_0203 Statement of Commitments 4.3 Environment Protection Licence 1360 4.4 Water Licence 20BL173331 4.5 Water Licence 20BL173332 4.6 Water Licence 20BL173511 4.7 Water Licence 20BL169793 4.8 Water Licence 20BL173531 4.9 Consolidated Coal Lease 718 4.10 Consolidated Coal Lease 725 4.11 Mining Leases 1336, 1438, 1451 4.12 Private Land Lease 153 4.13

Table 4 lists documents other than the approvals and licences that were audited.

Table 4 - Documents Audited

Document Section in Report EA - West Wallsend Colliery Continued Operations Project – Volumes 1 to 4, 4.14 dated July 2010 EA Amendments 4.15 EA - Proposed Longwalls 51 & 52 West Wallsend Colliery, dated January 2014 4.16 LWs 42-42, 44-45, 46, 51-52 Extraction Plans 4.17 Rehabilitation Environmental Management Plan 2012-2018 4.18 Mining Operations Plan 2015-16 4.19 Environmental Management Framework 4.20 Aboriginal Cultural Heritage Management Plan 4.21 Air Quality Greenhouse Gas Management Plan 4.22 Biodiversity Management Plan 4.23 LW 51-52 Biodiversity Management Plan 4.24 Built Features Management Plan 4.25 LW51-52 Built Features Management Plan 4.26 Bushfire Management Plan 4.27 Land Management Plan 4.28

2016 Independent Environmental Audit Page 24 of 73 Document Section in Report LW51-52 Land Management Plan 4.29 Noise Management Plan 4.30 LW 51-52 Public Safety Management Plan 4.31 Spontaneous Combustion Management Plan 4.32 LW51-52 Subsidence Monitoring Program 4.33 Surface Water Management Plan 4.34 LW 46 Water Management Plan 4.35 W 51-52 Water Management Plan 4.36 Transport Management Plan 4.37 2013 Independent Environmental Audit Recommendations 5

2016 Independent Environmental Audit Page 25 of 73 4 ENVIRONMENTAL COMPLIANCE

In the assessment of compliance, the status of each condition or commitment is described as:  Compliant;  Not Compliant;  Not Compliant Administrative (the issue was caused by not submitting a document or keeping a document on file, not by the omission of an action or measurement, this non-compliance does not impact the sites environmental performance);  Not able to be Verified (enough evidence to verify compliance was not found);  Not Triggered (a timing trigger had not been reached);  Observation;  Not Applicable (used where conditions have not yet been activated/triggered due to activities not being commenced or requests not being made as examples); or  Note (a fact or statement that does not require action for compliance) A total of 1554 conditions and commitments were assessed as part of this audit. 22 issues resulted in 41 non-compliances. 5 of the non-compliances were administrative. Some of the non-compliances noted in this audit relate to the same issue which, due to the duplication of commitments between consent documents and management plans, raise the same non-compliance several times.

4.1 ISSUES RESULTING IN NON-COMPLIANCE Each non-compliance was caused by an action, omission or event. These constitute the issues that the site needs to address to achieve compliance. For this reason, the issues are extracted from the non- compliances so they will be more readily addressed by WWU.

The issues identified in this audit and the consequential non-compliances are presented in Table 5.

Table 5 – Issues Resulting in Non-Compliance

Issue Conditions and Commitments Found Not Compliant 2/6/2015 - WWU exceeded the relevant LAeq noise limit during PA 09_0203 Sch 4 C.2 the evening period of 2 June 2015 at R5. Audible noise from WWU Statement of Commitments PA was heard throughout the monitoring period, generating a site 09_0203 6.8.1 only LAeq of 40 dB, which is 3 dB above the approved criterion of EPL L5.1 LAeq 37 dB. NMP 4.1

There was a Meteorological Station onsite, however it was not PA 09_0203 Sch 4 C.14

2016 Independent Environmental Audit Page 26 of 73 Issue Conditions and Commitments Found Not Compliant compliant with the Approved Methods for Sampling of Air EPL M5.1 Pollutants in New South Wales guideline. NMP 6.1.3 Surface water discharges in 2013, 2014, 2015 and 2016 either not PA 09_0203 Sch 4 C.13 monitored for volume and quality or non-complying with discharge EPL L2.1, L3.1 & M8.1 water quality requirements. 2010 EA 5.5.3.4 & 5.5.4.1 REMP 3.2.1 SWMP 4.2.4 & 6.3.1 The grouting trial was completed on 13 October 2015 after mining PA 09_0203 Sch 4 C.30 of LW51 commenced 9 October 2015. LW51-52 LMP 5.3.2 There was no review against predictions in the EA for water or air PA 09_0203 Sch 6 C.4b) quality included in the 2014 AR. AQGGMP 3.6.3 WWC did not prepare and distribute a community newsletter to Statement of Commitments in surrounding residences every six months. PA 09_0203 6.15.1 Flow meters on discharge points were not calibrated. Water Licence 20BL169793 C.5 SWMP 4.2.8 Water Licence 20BL169793 was a licenced volume of 360ML which Water Licence 20BL169793 C.6 was exceeded through the audit period. Details required for registration of the bore (Location Map, Pump Water Licence 20BL173531 C.1 tests, Water analysis results etc etc) in Licence 20BL173531 were not able to be located. When CCL 718, CCL 725 and ML 1336 were renewed, the affected CCL 718 C.1b) landowners were not notified. CCL 725 C.1b) ML 1336 C.1 A Compliance Report was not submitted when CCL 725 was CCL 725 C.4c) renewed. Energy efficiency commitments have not been addressed. 2010 EA 5.8.5 AQGGMP 3.3.2 AQGGMP 3.4.1 AQGGMP 3.4.6 Training programs with environmental content were not all EMF 3.3 competency based. Aboriginal Cultural Heritage training package not developed with ACHMP 8.2 the assistance of the AAC No DVD made of the training package for external distribution. ACHMP 8.2 Glencore Climate Change Strategy not developed. AQGGMP 3.4.4 Mine planning does not forecast future greenhouse gas emissions. AQGGMP 3.4.5 Section 6.5.4 contradicts timing noted in Section 7.2 of the LW51 LW51-52 BMP 6.5.4 and LW52 Biodiversity Management Plan. Tetratheca juncea monitoring in the area of subsidence is not LW51-52 BMP 7.2.2 compared with a baseline area within the Westside VCA. The Annual Review does not include a map showing the location of LMP 6.1 landscape features that have been mapped and a baseline LW51-52 LMP 6.1 condition assessment completed.

2016 Independent Environmental Audit Page 27 of 73 Issue Conditions and Commitments Found Not Compliant Spontaneous Combustion Management Plan was not internally SCMP 10.1.2 audited every three years. No groundwater criteria have been developed for impact LW46WMP 6.3 assessment and inclusion in the TARP.

4.2 COMPLIANCE WITH PA 09_0203 (AS MODIFIED) The conditions that were not compliant within PA 09_0203 (as modified) are shown in Table 6. An assessment of compliance for each condition in PA 09_0203 (as modified) is provided in the audit protocol in Appendix C.

Table 6- Compliance with PA 09_0203 (as modified)

Condition Requirement Audit Finding Sch 4 From 1 January 2013, the Proponent shall ensure 2/6/2015 - WWU exceeded the

C. 2 that the noise generated by the project does not relevant LAeq noise limit during exceed the criteria in Table 4 at any residence on the evening period of 2 June 2015 privately-owned land or on more than 25 per cent of at R5. Audible noise from WWU any privately-owned land. was heard throughout the monitoring period, generating a

site only LAeq of 40 dB, which is 3 dB above the approved criterion

of LAeq 37 dB.

Not Compliant Medium Risk Sch 4 During the life of the project, the Proponent shall There was a Meteorological C.14 ensure that there is a suitable meteorological Station onsite, however it was station operating in the vicinity of the site that not compliant with the Approved complies with the requirements in the Approved Methods for Sampling of Air Methods for Sampling of Air Pollutants in New South Pollutants in New South Wales Wales guideline. guideline.

Not Compliant Medium Risk Sch 4 The Proponent shall ensure that all surface water C.16 discharges from the site comply with the discharge - An overtopping of dam wall limits (both volume and quality) set for the project spillway resulted in a failure to in any EPL. monitor the total volume from EPA Point 2 following rainfall between 16/11/2013 and 18/11/2013. - An exceedance of TSS value at EPA Point 2 was recorded during a rain event between 16/11/2013

2016 Independent Environmental Audit Page 28 of 73 Condition Requirement Audit Finding and 18/11/2013. - An overtopping of NE Dam emergency spillway resulting in discharge from an unlicensed discharge point into Burkes Creek on the 18th November 2013. - An overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 25/4/2014. - Two surface water dams at West Wallsend Colliery (WWC), known as the Bottom Dam and the North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015.

Not Compliant Medium Risk Sch 4 Prior to the commencement of secondary extraction A letter provided as evidence C.30 in either Long wall 51 or Long wall 52, the from DP&E confirms the Proponent shall, in consultation with OEH, complete completion of trial 13 October a field trial of the revised surface cracking 2015 to the satisfaction of the remediation procedures to be used at the project, to Secretary. Mining of LW51 the satisfaction of the Secretary. commenced 9 October 2015.

Not Compliant Administrative Sch 6 By the end of March each year (or other such timing No review against predictions in C.4b) as agreed by the Secretary), the Proponent shall the EA for water or air quality submit a review of the environmental performance was included in the 2014 AR. of the project to the satisfaction of the Director- Not Administrative as the review General. This review must: of predictions against the EA is a b) include a comprehensive review of the key adaptive management action. monitoring results and complaints records of the project over the past calendar year, which includes a Not Compliant comparison of these results against the: Low Risk - Relevant statutory requirements, limits or performance measures/criteria; - Monitoring results of previous years; and - Relevant predictions in the EA "

2016 Independent Environmental Audit Page 29 of 73 4.3 COMPLIANCE WITH STATEMENT OF COMMITMENTS IN PA 09_0203 The conditions that were not compliant within Statement of Commitments in PA 09_0203 are shown in Table 7. An assessment of compliance for each condition Statement of Commitments in PA 09_0203 is provided in the audit protocol in Appendix C.

Table 7- Compliance with Statement of Commitments IN PA 09_0203

Commitment Requirement Audit Finding 6.8 Noise Noise emissions from the Project, when 2/6/2015 - WWU exceeded the

6.8.1 measured within 30 metres of a private relevant LAeq noise limit during residence, will not exceed the criteria outlined in the evening the project approval, unless a specific agreement period of 2 June 2015 at R5. is reached with the landholder in regard to noise Audible noise from WWU was impacts at that residence. heard throughout the monitoring period, generating

a site only LAeq of 40 dB, which is 3 dB above the approved

criterion of LAeq 37 dB.

Not Compliant Medium Risk

6.15 Community WWC will continue to prepare and distribute a OCAL Newsletter November 6.15.1 community newsletter to surrounding 2015, November 2013 residences every six months. available on website (others available for outside of audit period).

Not Compliant Medium Risk

4.4 COMPLIANCE WITH CONDITIONS IN ENVIRONMENT PROTECTION LICENCE 1360 The conditions that were not compliant within Environment Protection Licence 1360 are shown in Table 8. An assessment of compliance for each condition in Environment Protection Licence 1360 is provided in the audit protocol in Appendix C.

Table 8- Compliance with Environment Protection Licence 1360

Condition Requirement Audit Finding L2.1 For each monitoring/discharge point or - In contravention of Condition number utilisation area specified in the table\s L2.1, an exceedance of TSS value at EPA below (by a point number), the Point 2 was recorded during a rain event concentration of a pollutant discharged at between 16/11/2013 and 18/11/2013. that point, or applied to that area, must - In contravention of Condition L2.1,

2016 Independent Environmental Audit Page 30 of 73 Condition Requirement Audit Finding not exceed the concentration limits overtopping of dam wall spillway (with specified for that pollutant in the table. associated seepage) and exceedance of total suspended solids limit at EPA Point 2 during heavy rainfall event on 24/4/2014. - In contravention of Condition number M8.1 and L2.1, two surface water dams at West Wallsend Colliery (WWC), known as the Bottom Dam and the North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015. - In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the pollutant concentration from EPA Point 2 following rainfall on 6/1/2016.

Not Compliant Medium Risk L3.1 For each discharge point or utilisation area - In contravention of Condition number specified below (by a point number), the L3.1, an overtopping of dam wall spillway volume/mass of: resulted in a failure to monitor the total a) liquids discharged to water; or; volume from EPA Point 2 following rainfall b) solids or liquids applied to the area; between 16/11/2013 and 18/11/2013. must not exceed the volume/mass limit - In contravention of Condition number specified for that discharge point or area. L3.1, an overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 25/4/2014. - In contravention of Condition number L3.1, an overtopping of Bottom Dam and North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 21/4/2015. - In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 6/1/2016.

Not Compliant Medium Risk L5.1 Noise generated at the premises that is 2/6/2015 - WWU exceeded the relevant

measured at each noise monitoring point LAeq noise limit during the evening period of

2016 Independent Environmental Audit Page 31 of 73 Condition Requirement Audit Finding established under this licence must not 2 June 2015 at R5. Audible noise from exceed the noise levels specified in Column WWU was heard throughout the 4 of the table below for that point during monitoring period, generating a site only

the corresponding time periods specified in LAeq of 40 dB, which is 3 dB above the Column 1 when measured using the approved criterion of LAeq 37 dB. corresponding measurement parameters listed in Column 2. Not Compliant Medium Risk M5.1 Meteorological Monitoring The Meteorological Station at the site was For each monitoring point specified in the not compliant with all of the stated table below, the licensee must monitor (by sampling methods in the EPL. sampling obtaining results by analysis) the parameters specified in Column 1. The Not Compliant licensee must use the sampling method, Medium Risk units of measure, averaging period and sample at the frequency, specified opposite in the other columns. M8.1 Surface Water Discharge - In contravention of Condition number For each discharge point or utilisation area L3.1, an overtopping of dam wall spillway specified below, the licensee must resulted in a failure to monitor the total monitor: volume from EPA Point 2 following rainfall a) the volume of liquids discharged to between 16/11/2013 and 18/11/2013. water or applied to the area; - In contravention of Condition number b) the mass of solids applied to the area; L3.1, an overtopping of dam wall spillway c) the mass of pollutants emitted to the air; (with associated seepage) resulted in a at the frequency and using the method and failure to monitor the total volume from units of measure, specified below. EPA Point 2 following rainfall on 25/4/2014. - In contravention of Condition number L3.1, an overtopping of Bottom Dam and North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 21/4/2015. - In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 6/1/2016.

Not Compliant Medium Risk

2016 Independent Environmental Audit Page 32 of 73 4.5 COMPLIANCE WITH CONDITIONS IN WATER LICENCE 20BL173331 The conditions of 20BL173331 were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No conditions were found to be “Not Compliant”. An assessment of compliance for all conditions in 20BL173331 is provided in the audit protocol in Appendix C.

4.6 COMPLIANCE WITH CONDITIONS IN WATER LICENCE 20BL173332 The conditions of 20BL173332 were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No conditions were found to be “Not Compliant”. An assessment of compliance for all conditions in 20BL173332 is provided in the audit protocol in Appendix C.

4.7 COMPLIANCE WITH CONDITIONS IN WATER LICENCE 20BL173511 The conditions of 20BL173511 were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No conditions were found to be “Not Compliant”. An assessment of compliance for all conditions in 20BL173511 is provided in the audit protocol in Appendix C.

4.8 COMPLIANCE WITH CONDITIONS IN WATER LICENCE 20BL169793 The conditions that were not compliant within Water Licence 20BL169793 are shown in Table 9. An assessment of compliance for each condition in Water Licence 20BL169793 is provided in the audit protocol in Appendix C.

Table 9- Compliance with Water Licence 20BL169793

Condition Requirement Audit Finding 5 The licensee shall install to the satisfaction of NSW Flow meters were installed but Office of Water in respect to location, type and were not calibrated. construction an appliance(s) to measure the quantity of water extracted from the works. The appliance(s) Not Compliant to consist of either a measuring weir or weirs with Medium Risk automatic recorder, or meter or meters of the dethridge type, or such other class of meter or means of measurement as may be approved by NSW Office of Water. The appliance(s) shall be maintained in good working order and condition. A record of all water extracted from the works shall be kept and supplied to the department upon request. The licensee when requested must supply a test certificate as to the accuracy of the appliance(s) furnished either by the manufacturer or by some person duly qualified. 6 The volume of groundwater extracted from the works This volume is exceeded. The

2016 Independent Environmental Audit Page 33 of 73 Condition Requirement Audit Finding authorised by this licence shall not exceed 360 Site was negotiating a change in megalitres in any 12 month period commencing 1st volume at the time of the audit. July. Not Compliant Medium Risk

4.9 COMPLIANCE WITH CONDITIONS IN WATER LICENCE 20BL173531 The conditions that were not compliant within Water Licence 20BL173531 are shown in Error! Reference source not found.. An assessment of compliance for each condition in Water Licence 20BL173531 is provided in the audit protocol in Appendix C.

Table 10- Compliance with Water Licence 20BL173531

Condition Requirement Audit Finding 1 The licensee shall within two (2) months of None of the required completion or after the issue of the licence if the work documentation was able to be is existing, furnish to the NSW Office of Water:- provided to the audit team. (a) details of the work as set out in the attached form ""ag"". Not Compliant (b) a plan showing accurately the location of the work Low Risk in relation to portion and property boundaries, (c)details of any pumping tests carried out. (d) details of any water analysis,

4.10 COMPLIANCE WITH CONDITIONS IN CONSOLIDATED COAL LEASE 718 The conditions that were not compliant within CCL 718 are shown in Table 11. An assessment of compliance for each condition in CCL 718 is provided in the audit protocol in Appendix C.

Table 11- Compliance with CCL 718

Condition Requirement Audit Finding 1 b) If there are ten or more landholders, the leaseholder Notification of the renewal of may serve the notice by publication in a newspaper CCL 718 to landowners was not circulating in the region where the lease area is carried out when the lease was situated. The notice must indicate that this mining renewed. lease has been granted/renewed: state whether the lease includes the surface and must contain a plan Not Compliant and description of the lease area. If a notice is made Low Risk under conditions 1(b), compliance with condition 1(a) is not required.

4.11 COMPLIANCE WITH CONDITIONS IN CONSOLIDATED COAL LEASE 725 The conditions that were not compliant within CCL 725 are shown in Table 12. An assessment of compliance for each condition in CCL 725 is provided in the audit protocol in Appendix C.

2016 Independent Environmental Audit Page 34 of 73 Table 12- Compliance with CCL 725

Condition Requirement Audit Finding 1 b) If there are ten or more landholders, the leaseholder Notification of the renewal of may serve the notice by publication in a newspaper CCL 725 to landowners was not circulating in the region where the lease area is carried out when the lease was situated. The notice must indicate that this mining renewed. lease has been granted/renewed: state whether the lease includes the surface and must contain a plan Not Compliant and description of the lease area. If a notice is made Low Risk under conditions 1(b), compliance with condition 1(a) is not required.

4 Compliance Report Renewal Anniversary date was (c) The Compliance Report must be lodged with the January 2015, a Compliance Department annually on the grant anniversary date Report was not submitted. for the life of this mining lease. Not Compliant Medium

4.12 COMPLIANCE WITH MINING LEASES 1336, 1438 AND 1451 The conditions that were not compliant within ML1336, 1438 & 1451 are shown in Table 13. An assessment of compliance for each condition in ML1336, 1438 & 1451 is provided in the audit protocol in Appendix C.

Table 13- Compliance with ML1336, 1438 & 1451

Condition Requirement Audit Finding ML1336 Within a period of three months from the date of Notification of the renewal of 1 renewal of this lease or such further time as the ML 1336 to landowners was not Minister may allow, the lease holder must serve on carried out when the lease was each landholder of the land a notice in writing renewed. indicating that this lease has been renewed and whether the lease includes the surface. An adequate Not Compliant plan and description of the lease area must Low Risk accompany the notice. If there are ten or more landholders affected, the leaseholder may serve the notice by publication in a newspaper circulating in the region where the lease area is situated. The notice must indicate that this lease has been renewed: state whether the lease includes the surface and must contain an adequate plan and description of the lease area.

2016 Independent Environmental Audit Page 35 of 73 4.13 COMPLIANCE WITH CONDITIONS IN PRIVATE LAND LEASE 153 The conditions of Private Land Lease 153 were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No conditions were found to be “Not Compliant”. An assessment of compliance for all conditions in Private Land Lease 153 is provided in the audit protocol in Appendix C.

4.14 COMPLIANCE WITH THE ENVIRONMENTAL ASSESSMENT, 2010 – WEST WALLSEND CONTINUED OPERATIONS PROJECT The commitments that were not compliant within the 2010 EA are shown in Table 14. An assessment of compliance for each commitment in the 2010 EA is provided in the audit protocol in Appendix C.

Table 14- Compliance with 2010 EA

Commitment Requirement Audit Finding 5.5.3.4 In terms of water quality, the only Three dam overtopping discharge events discharges from the WWC mine water occurred during 2013, overtopping of management system other than clean WWC Pit Top Water Management Dams water diversions will be from licensed following heavy rainfall in April 2014, DECCW discharge points which are overflow and offsite discharge from monitored and controlled. Consequently, North East and Bottom Dam spillways as potential water quality impacts will be a result of a significant rainfall event of limited to that associated with the EPL. 336mm from 20 - 22 April 2015

Not Compliant Medium Risk

5.5.4.1 Water management system dams will be In contravention of Condition number monitored to ensure that any overflows EPL L3.1, an overtopping of dam wall or discharges are to an appropriate spillway resulted in a failure to monitor standard and in accordance with EPL the total volume from EPA Point 2 conditions. following rainfall between 16/11/2013 and 18/11/2013. In contravention of Condition number EPL L3.1, an overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 25/4/2014. In contravention of Condition number EPL L3.1, an overtopping of Bottom Dam and North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 21/4/2015. In contravention of Condition number EPL L3.1, an overtopping of North-East

2016 Independent Environmental Audit Page 36 of 73 Commitment Requirement Audit Finding Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 6/1/2016.

Not Compliant Medium Risk 5.8.5 WWC has prepared an Energy Savings Power factor correction, tracking of Action Plan (ESAP) as part of their energy use, improved energy metering requirements under the NSW and the voltage study did not take place Government’s ESAP legislation (DEUS, (other items were not reviewed but there 2005). The purpose of the ESAP was to was a “general” lack of commitment to review energy usage, identify energy energy efficiency due to other savings opportunities, and implement on- imperatives in site management through going energy management activities. the audit period). Actions that have been implemented or identified for further investigation Not Complaint include (WWC, 2008): Medium Risk • Baseline assessment of energy usage across WWC operations, including a change of mine plan and a review of the production cycle; • Identification and tracking of energy use per ROM tonne of coal as a key performance indicator; • Improved energy metering and data logging capacity on site; • Water management – including an assessment of water re-use underground and a new underground water pump; • Power factor correction; • Compressor system review and audit; • Conveyor review – including a plan to reduce energy use from conveyor drives and No. 2 Ventilation Fan; • Hydraulic circuits at the long wall; • Voltage study and potential regulation on site; • Alternative energy sources for the bathhouse (potential use of gas); • Energy efficiency opportunities in the administration offices; and • High efficiency motor review and variable speed drive review.

2016 Independent Environmental Audit Page 37 of 73 4.15 COMPLIANCE WITH 2010 EA AMENDMENTS The commitments that were not compliant within 2010 EA Amendments 451 are shown in Table 15. An assessment of compliance for each commitment in 2010 EA Amendments is provided in the audit protocol in Appendix C.

Table 15- Compliance with 2010 EA Amendments

Commitment Requirement Audit Finding 5.2 Remote Sensing Pilot Program Stratified random field The objectives of the pilot program will be to: sampling design not developed - Derive LiDAR based vegetation condition or implemented, Sample parameters (foliar density and canopy height); remotely sensed derived - Derive satellite imagery based condition vegetation condition parameters (vegetation indices); parameters to permit statistical - Sample remotely sensed derived vegetation comparison of control and condition parameters to permit statistical impact site information (not comparison of control and impact site information; done). and - Develop and implement stratified random field Not Compliant sampling design to permit statistical comparison of Medium Risk control and impact site information.

4.16 COMPLIANCE WITH COMMITMENTS IN LW 51-52 ENVIRONMENTAL ASSESSMENT The commitments of the LW51-52 EA were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the LW51-52 EA is provided in the audit protocol in Appendix C.

4.17 COMPLIANCE WITH COMMITMENTS IN LONGWALL EXTRACTION PLANS The commitments of the Longwall Extraction Plans were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the Longwall Extraction Plans is provided in the audit protocol in Appendix C.

4.18 COMPLIANCE WITH REHABILITATION & ENVIRONMENTAL MANAGEMENT PLAN The commitments that were not compliant within the REMP are shown in Table 16. An assessment of compliance for each commitment in the REMP is provided in the audit protocol in Appendix C.

Table 16- Compliance with REMP

Commitment Requirement Audit Finding 3.2.1 Surface Water An exceedance of TSS value at EPA Point 2 was WWC is required to comply with recorded during a rain event between discharge limits for both quality 16/11/2013 and 18/11/2013.

2016 Independent Environmental Audit Page 38 of 73 Commitment Requirement Audit Finding and quantity from the WWC pit- Overtopping of dam wall spillway (with top area as described in EPL associated seepage) and exceedance of total 1360. Discharge limits apply to suspended solids limit at EPA Point 2 during the WWC pit-top area through heavy rainfall event on 24/4/2014. discharge of surface water via Two surface water dams at West Wallsend EPA Point 2 at Burkes Creek. Colliery (WWC), known as the Bottom Dam and the North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015. An overtopping of North-East Dam resulted in a failure to monitor the pollutant concentration from EPA Point 2 following rainfall on 6/1/2016.

Not Complaint Medium Risk

4.19 COMPLIANCE WITH COMMITMENTS IN 2015-16 MINING OPERATIONS PLAN The commitments of the 2015-16 MOP were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the 2015-16 MOP is provided in the audit protocol in Appendix C.

4.20 COMPLIANCE WITH ENVIRONMENTAL MANAGEMENT FRAMEWORK The commitments that were not compliant within the EMF are shown in Table 17. An assessment of compliance for each commitment in the EMF is provided in the audit protocol in Appendix C.

Table 17- Compliance with EMF

Commitment Requirement Audit Finding 3.3 Operational Controls Not all Training Programs were All environment and community training competency based. programs are competency based and are to include the following, where relevant: Not Compliant - compliance with relevant legislation, Administrative approvals and licences; - the potential environmental and community impacts and associated controls for specific work activities; - the potential consequences of non- compliance with environmental legislation, approvals and licences, the OCAL EMS and WWU EMP; and - environmental incident and community complaint management and reporting

2016 Independent Environmental Audit Page 39 of 73 Commitment Requirement Audit Finding processes."

4.21 COMPLIANCE WITH ABORIGINAL CULTURAL HERITAGE MANAGEMENT PLAN The commitments that were not compliant within the ACHMP are shown in Table 18. An assessment of compliance for each commitment in the ACHMP is provided in the audit protocol in Appendix C.

Table 18- Compliance with ACHMP

Commitment Requirement Audit Finding 8.2 The AAC in consultation with WWC will be The training package was not responsible for organising the preparation of developed with the involvement of the Training Package. The Training Package the AAC. will be prepared in partnership by WWC, the AAC and a suitably qualified archaeologist. Not Compliant The Training Package will be provided to Medium Risk registered Aboriginal parties for review and WWC will provide 28 days for this review period. 8.2 The Training Package related to Aboriginal The DVD was not made. cultural values and rights and obligations to Care for Country will include a professionally Not Compliant produced DVD and endorsement sought Medium Risk from the registered Aboriginal parties. The DVD will be utilised by WWC for annual environmental awareness training, in the event that there are no representatives of the Awabakal Traditional Owner groups available to deliver the training. The video will also be used for site familiarisation inductions. It is proposed that the DVD will be finalised within 18 months of Project Approval.

4.22 COMPLIANCE WITH AIR QUALITY & GREENHOUSE GAS MANAGEMENT PLAN The commitments that were not compliant within the AQGGMP are shown in Table 19. An assessment of compliance for each commitment in the AQGGMP is provided in the audit protocol in Appendix C.

Table 19- Compliance with AQGGMP

Commitment Requirement Audit Finding 2.5.1.3 WWU has an operational meteorological Non-compliant met station, 10m weather station at the WWU pit top (Figure sensors are located at 13m. 2.2). The location of the weather station facilitates the capture of data that is Not Compliant

2016 Independent Environmental Audit Page 40 of 73 Commitment Requirement Audit Finding representative of the area subject to Medium Risk potential dust emissions. The weather station consists of instruments and a data- logging system to monitor the following parameters: - wind speed at 10 metres above ground; - wind direction at 10 metres above ground; - sigma-theta from sampled wind direction measurements; - temperature at 2 metres and 10 metres above ground; and - rainfall." 3.3.2 WWU’s energy efficiency target will No energy targets have been continue to be refined based on the established. outcomes of monitoring and following continuous improvement processes to Not Compliant ensure all reasonable and feasible measures Medium Risk are implemented to reduce energy consumption. 3.4.1 WWU will implement reasonable and Initiatives were identified for GG feasible management controls to mitigate reduction but none were funded. Scope 1 and Scope 2 greenhouse gas emissions associated with the site. Not Compliant Medium Risk 3.4.4 Glencore has developed a Climate Change The Glencore Climate Change Strategy Strategy and 5-year plan that will be has not been developed. reviewed annually to ensure continuous improvement. In the short term, Glencore Not Compliant will focus on the following issues to Medium Risk underpin the Climate Change Strategy: improving the greenhouse and energy reporting performance at each site; and prioritising a pipeline of greenhouse gas abatement projects across the business based on Marginal Abatement Cost Curve (MACC) analysis. 3.4.5 Glencore requires all sites to review their life This was not done at WWU. of mine planning on an annual basis. As part of this process, sites are required to forecast Not Compliant future greenhouse gas emissions and review Low Risk greenhouse gas and energy reduction opportunities. 3.4.6 WWU will review greenhouse gas All opportunities identified were not management options following the implemented due to cost, bringing identification of any energy use or into question WWCs commitment to

2016 Independent Environmental Audit Page 41 of 73 Commitment Requirement Audit Finding greenhouse gas emissions reduction "implementing all reasonable and opportunities from the completion of site feasible greenhouse gas management reviews, audits and inspections. The controls" prioritisation process will assist operational planning and support a transparent process Not Compliant for demonstrating WWU’s commitment to Medium Risk implementing all reasonable and feasible greenhouse gas management controls. 3.6.3 WWU will identify unpredicted emissions by GHG emissions reported - but no comparing its accumulated emissions, with comparison to the EA was included in the original greenhouse gas projections the report – it was not conducted. completed for the WWCCOP EA (Umwelt, 2010). Not Compliant Low Risk

4.23 COMPLIANCE WITH COMMITMENTS IN THE BIODIVERSITY MANAGEMENT PLAN The commitments of the Biodiversity Management Plan were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the Biodiversity Management Plan is provided in the audit protocol in Appendix C.

4.24 COMPLIANCE WITH LW51 AND LW52 BIODIVERSITY MANAGEMENT PLAN The commitments that were not compliant within the LW51 and LW52 Biodiversity Management Plan are shown in Table 20. An assessment of compliance for each commitment in the LW51 and LW52 Biodiversity Management Plan is provided in the audit protocol in Appendix C.

Table 20- Compliance with LW51 and LW52 Biodiversity Management Plan

Commitment Requirement Audit Finding 6.5.4 To minimise the risks associated with Section 7.2 specifies two years post impacts to the species, the following mining monitoring - This section management recommendations will be contradicts Section 7.2. undertaken. - WWC will maintain an accurate database Not Compliant for all known records of the regent Administrative honeyeater. This database will then be utilised for any proposed future works; and - biodiversity monitoring will continue to be undertaken at this monitoring location until at least 2015, as per Table 7.2; - in the event further observations of this species are made, WWC will consult with OEH regarding further management

2016 Independent Environmental Audit Page 42 of 73 Commitment Requirement Audit Finding measures. 7.2.2 The existing Black-eyed Susan (Tetratheca The monitoring is conducted but no juncea) monitoring site is located in an area comparison with the VCA area could where subsidence impacts are predicted to be provided. be the greatest and will be monitored on an annual basis. General observations regarding Not Compliant the health and presence of weed species etc Low Risk will also be recorded. Details will also be recorded on presence of surface cracks, water ponding, gas venting, or other surface impacts. Photo monitoring will be undertaken in this monitoring plot from a permanent monitoring location. The monitoring data from this site will be compared to baseline black-eyed Susan (Tetratheca juncea) monitoring undertaken in the Westside Mine Voluntary Conservation Agreement (VCA) area.

4.25 COMPLIANCE WITH COMMITMENTS IN THE BUILT FEATURES MANAGEMENT PLAN The commitments of the Built Features Management Plan were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the Built Features Management Plan is provided in the audit protocol in Appendix C.

4.26 COMPLIANCE WITH COMMITMENTS IN THE LW 51-52 BUILT FEATURES MANAGEMENT PLAN The commitments of the LW51-52 Built Features Management Plan were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the LW51-52 Built Features Management Plan is provided in the audit protocol in Appendix C.

4.27 COMPLIANCE WITH COMMITMENTS IN THE BUSHFIRE MANAGEMENT PLAN The commitments of the Bushfire Management Plan were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the Bushfire Management Plan is provided in the audit protocol in Appendix C.

4.28 COMPLIANCE WITH THE LAND MANAGEMENT PLAN The commitments that were not compliant within the Land Management Plan are shown in Table 21. An assessment of compliance for each commitment in the Land Management Plan is provided in the audit protocol in Appendix C.

2016 Independent Environmental Audit Page 43 of 73 Table 21- Compliance with Land Management Plan

Commitment Requirement Audit Finding 6.1 An Annual Review will be prepared in Subsidence impacts summary and accordance with the Project Approval and assessment against performance will document the monitoring results and criteria in PA included in Annual remediation activities completed in Reviews - but no actual update map accordance with this LMP. An End of Panel showing the location of landscape Report will also be prepared for each long features that have been mapped and wall and submitted to DRE. The End of Panel had a baseline condition assessment Report will also include a summary of the completed. monitoring results and remediation activities completed in accordance with this plan. Not Compliant Specifically, these reports will include: Medium Risk - An update map showing the location of landscape features that have been mapped and had a baseline condition assessment completed; - A summary of subsidence impacts that have been identified on landscape features; and - An assessment of performance against the landscape feature performance criteria included in the Project Approval."

4.29 COMPLIANCE WITH THE LW 51-52 LAND MANAGEMENT PLAN The commitments that were not compliant within the LW 51-52 Land Management Plan are shown in Table 22. An assessment of compliance for each commitment in the LW 51-52 Land Management Plan is provided in the audit protocol in Appendix C.

Table 22- Compliance with LW 51-52 Land Management Plan

Commitment Requirement Audit Finding 5.3.2 WWC has applied to OEH to continue Submission documentation shows the remediation of surface cracking using trial results were submitted to DP&E cementatious products and trial is proposed on 15 October 2015 when mining of be undertaken prior to the extraction of LW51 commenced on 9 October 2015. LW51/52. An updated procedure for the use of cementatious product has been Not Compliant submitted to OEH for approval and when Administrative finalised and approved will be provided to the Department of Planning and Environment (DP&E) prior to the extraction of LW51/52. 6.1 An Annual Review will be prepared in Subsidence impacts summary and accordance with the Project Approval and assessment against performance

2016 Independent Environmental Audit Page 44 of 73 Commitment Requirement Audit Finding will document the monitoring results and criteria in PA included in Annual remediation activities completed in Reviews - but no actual update map accordance with this LMP. Specifically, this showing the location of landscape review will include: features that have been mapped and - An update map showing the location of had a baseline condition assessment landscape features that have been mapped completed. and had a baseline condition assessment completed; Not Compliant - A summary of subsidence impacts that Medium Risk have been identified on landscape features; and - An assessment of performance against the landscape feature performance criteria included in the Project Approval.

4.30 COMPLIANCE WITH THE NOISE MANAGEMENT PLAN The commitments that were not compliant within the Noise Management Plan are shown in Table 23. An assessment of compliance for each commitment in the Noise Management Plan is provided in the audit protocol in Appendix C.

Table 23- Compliance with Noise Management Plan

Commitment Requirement Audit Finding 4.1 From 1 January 2013, WWC shall ensure that 2/6/2015 - WWU exceeded the

the noise generated by WWC does not relevant LAeq noise limit during the exceed the criteria in Table 3.1 at any evening residence on privately-owned land or on period of 2 June 2015 at R5. Audible more than 25 per cent of any privately- noise from WWU was heard owned land. throughout the monitoring period,

generating a site only LAeq of 40 dB, which is 3 dB above the approved

criterion of LAeq 37 dB.

Not Complaint Medium Risk 6.1.3 The local meteorological data collected Non-compliant met station, 10m during the attended monitoring program sensors are located at 13m. and by the unattended noise monitoring units will be supplemented by more detailed Not Compliant records from the WWU weather station Medium Risk located in the car park at the WWU pit top. The meteorological data recorded by the weather station includes: - wind speed, wind direction and sigma- theta at 10 metres above ground level;

2016 Independent Environmental Audit Page 45 of 73 Commitment Requirement Audit Finding - temperature at 2 metres and 10 metres above the ground; - relative humidity; and - rainfall.

4.31 COMPLIANCE WITH COMMITMENTS IN THE LW51-52 PUBLIC SAFETY MANAGEMENT PLAN The commitments of the LW51-52 Public Safety Management Plan were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the LW51-52 Public Safety Management Plan is provided in the audit protocol in Appendix C.

4.32 COMPLIANCE WITH THE SPONTANEOUS COMBUSTION MANAGEMENT PLAN The commitments that were not compliant within the Spontaneous Combustion Management Plan are shown in Table 24. An assessment of compliance for each commitment in the Spontaneous Combustion Management Plan is provided in the audit protocol in Appendix C.

Table 24- Compliance with Spontaneous Combustion Management Plan

Commitment Requirement Audit Finding 10.1.2 The Spontaneous Combustion Management No evidence of this review taking Plan will be audited every 3 years in place in the audit period (3 years) accordance with the XCN annexure - XCN SD ANN 0051 16.2 Auditing, and also as Not Complaint required at other times by external auditors. Administrative

4.33 COMPLIANCE WITH COMMITMENTS IN THE LW51-52 SUBSIDENCE MONITORING PROGRAM The commitments of the LW51-52 Subsidence Monitoring Program were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the LW51-52 Subsidence Monitoring Program is provided in the audit protocol in Appendix C.

4.34 COMPLIANCE WITH THE SURFACE WATER MANAGEMENT PLAN The commitments that were not compliant within the Surface Water Management Plan are shown in Table 25. An assessment of compliance for each commitment in the Surface Water Management Plan is provided in the audit protocol in Appendix C.

Table 25- Compliance with Surface Water Management Plan

Commitment Requirement Audit Finding 4.2.4 Water discharged from the site will comply In contravention of Condition number with all quality limits contained within the EPL L3.1, an overtopping of dam wall relevant EPL. Water quality will be spillway resulted in a failure to

2016 Independent Environmental Audit Page 46 of 73 Commitment Requirement Audit Finding confirmed through sampling in accordance monitor the total volume from EPA with the requirements of the EPL. Point 2 following rainfall between 16/11/2013 and 18/11/2013. In contravention of Condition number EPL L3.1, an overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 25/4/2014. In contravention of Condition number EPL L3.1, an overtopping of Bottom Dam and North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 21/4/2015. In contravention of Condition number EPL L3.1, an overtopping of North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 6/1/2016.

Not Compliant Medium Risk 4.2.8 Equipment used in the measurement of Water flow meters were not water quantities and quality such as flow calibrated. meters, online instrumentation and hand held analytical meters are tested and Not Compliant calibrated in accordance with the Medium Risk manufacturers specifications. Calibration certificates and records are kept for a period of at least four years in accordance with the WWC Environmental Management Strategy (WWC SD FWK 0013). 6.3.1 WWU will continue to undertake all surface See 4.2.4 in row 1 of this Table. water monitoring in accordance with EPL 1360. Not Compliant Table 6.1 outlines the EPL concentration Medium Risk limits for EPA Point 2.

4.35 COMPLIANCE WITH THE LW46 WATER MANAGEMENT PLAN The commitments that were not compliant within the LW46 Water Management Plan are shown in Table 26. An assessment of compliance for each commitment in the LW46 Water Management Plan is provided in the audit protocol in Appendix C.

2016 Independent Environmental Audit Page 47 of 73 Table 26- Compliance with LW46 Water Management Plan

Commitment Requirement Audit Finding 6.3 All monitoring data collected as part of this No assessment criteria had been plan needs to be assessed against suitable developed for groundwater criteria in order to: monitoring. - determine if groundwater extraction volumes are within licence conditions and Nor Complaint modelled predictions; and Medium Risk - identify deviations from the baseline groundwater level trends (refer to Section 4.6.2). If deviations from baseline alluvial aquifer groundwater monitoring trends are identified, the Trigger Action Response Protocol (TARP) provided in Section 7.1 will be implemented.

4.36 COMPLIANCE WITH COMMITMENTS IN THE LW51-52 WATER MANAGEMENT PLAN The commitments of the LW51-52 Water Management Plan were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the LW51-52 Water Management Plan is provided in the audit protocol in Appendix C.

4.37 COMPLIANCE WITH COMMITMENTS IN THE SURFACE TRANSPORT MANAGEMENT PLAN The commitments of the Surface Transport Management Plan were assessed and all conditions were either “Compliant”, “Not Triggered”, “Noted” or “Not able to be verified”. No commitments were found to be “Not Compliant”. An assessment of compliance for all commitments in the Surface Transport Management Plan is provided in the audit protocol in Appendix C.

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2016 Independent Environmental Audit Page 49 of 73 5 PREVIOUS AUDIT ACTION STATUS

The previous independent environmental audits were undertaken on 28 June 2013. The IEA was conducted by AECOM Australia Pty Ltd.

The audit recommendations were managed in the WWU Incident / Action Management System. The status of these actions in the system was reviewed and a copy of and internal audit attachment reviewing the status of the actions was retained by the lead auditor. The actions that had not been completed are reproduced in Table 27.

Table 27- Recommendations Not Completed from 2013 WWU IEA

Recommendation Proposed Action Status / Comment Ensure that community newsletters A community newsletter will be The newsletters are sent out six monthly, or confirm completed and distributed by the end have not been sent alternative approach with the DP&I. of December and six monthly out six monthly in thereafter. the audit period.

Not Compliant Medium Risk Continue dialogue with Registered WWC will develop a training package Has not been Aboriginal Parties to further progress in consultation with the Registered completed in the the development of the Aboriginal Aboriginal Parties (RAP’s). ACHMP to audit period. Cultural Heritage Training Package. be updated to reflect this timing. Not Compliant Medium Risk

An assessment of compliance for all recommendations in the 2013 IEA (AECOM) is provided in Appendix D.

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2016 Independent Environmental Audit Page 51 of 73 6 COMPLAINTS AND REPORTABLE INCIDENTS

6.1 COMPLAINTS The number of complaints was very low across the audit period with 5 in 2013 and none each year after that. The figure below (Figure 2) shows the complaint numbers for each year of the audit period and the number of complaints in key areas including subsidence, dust and property management.

Figure 2- Complaint Statistics in the Audit Period

The lack of complaints is testament to the sites low impact on the community particularly considering the issues with grouting and subsidence encountered before and in the audit period.

6.2 REPORTABLE INCIDENTS Overall, incidents trended lower across the audit period, peaking at 5 in 2014 and reducing to 3 in 2015 and 2016 (to date of audit). Water management caused the highest number of incidents in all years along with rehabilitation incidents.

Figure 3 shows the reportable incident statistics across the audit period.

2016 Independent Environmental Audit Page 52 of 73 Figure 3- Reportable Incidents in the Audit Period

2016 Independent Environmental Audit Page 53 of 73 7 ENVIRONMENTAL MANAGEMENT

From an environmental perspective, the key potential environmental impacts resulting from operations at WWU are subsidence management, ecology and rehabilitation management, aboriginal heritage management, noise management, water management and the general effectiveness of the environmental management of the site activities. This section of the report reviews the adequacy of the mitigation measures and the on ground applicability of the management measures proposed in the site environmental management documentation.

7.1 SUBSIDENCE MANAGEMENT Management of subsidence at WWU has been problematic in two particular areas:

 The application of grout to seal subsidence cracks; and  Vertical Block Movement. Outside these two areas the management of subsidence impacts at WWU have been acceptable to date. The vertical block movement issue was prior to the audit period and whilst there have been minor management actions through the audit period it will not be further discussed here.

It should be noted that the application for continued mining at WWU to DP&E in 2010 removed areas from the mine plan that had been previously included due to overlying steep slopes and shallow depth of cover. There were also areas excised by WWU from the approved mine plan for previous longwalls due to potential environmental impacts.

7.1.1 Grouting Incidents The grouting incidents (there were 2) occurred prior to the audit period but were not identified until this audit period, the previous audit was consequently unable to review this issue.

WWU’s remediation contractor - Minova had used a cement grout (low density aerated cement product designed for void filling) to fill the cracks and voids left by subsidence stresses and strains on the soils and underlying rocks of the SSCA. This practise had been effectively employed at the site for some time prior to the two incidents. The grout is mixed onsite near the proposed remediation areas and them pumped through the bush to the cracks to be remediated. This avoided large scale impacts on ecology and additional erosion and sediment risks that would have eventuated had traditional remediation techniques been applied.

IN the case of the two incidents, grout spilled from the void/crack at a point that was not inspected by the “spotter” (a member of the grouting team whose responsibility it was to look for any release of grout) was not able to observe the spill. In each a case a significant amount of grout spilled downslope.

In response to the incident, WWU developed a Grout Remediation Plan (one for each spill) that was approved by OEH. A brief review of the second plan (developed during the audit period) showed it to be comprehensive with the following attributes:

2016 Independent Environmental Audit Page 54 of 73  Consideration of ecology – a targeted inspection of the proposed work area for the grout remediation was conducted by ecologists to ensure all ecological risk was considered in the development of the remediation plan.  Consideration of options for remediation actions – 7 options considered, the most expensive option was adopted due to lower environmental impact.  Risk management.  Environmental Impact Assessment (considered Ecology, Aboriginal Heritage, Cultural Heritage, Noise, Air quality, Erosion and Sedimentation and Water impacts).  Stakeholder consultation.  Monitoring before, during and after the remediation.  Details of the remediation activities. Following remediation, a comprehensive report was prepared and provided to OEH. The report provided details of:

 The remediation activities;  Monitoring conducted during the remediation;  Effectiveness of controls; and  Effectiveness of the remediation. In summary, the grout was effectively removed from the SSCA with little environmental impact from the remediation actions and no residual impacts in the SSCA port remediation. All works were conducted to the satisfaction of OEH.

7.1.2 Subsidence Above Predictions In LW46 subsidence above predictions was noted. Predicted maximum of 1.7m with a measured maximum of 2.54m, a variation of approximately 0.8m. The End of Panel(EOP) report for LW46 suggested the following possible causes:

 the presence of a steep slope or broad valleys has effectively reduced the cover depth and hence stiffness of the overburden;  the presence of a reasonably wide, NW striking shear zone down the middle of the adjacent longwall panel (LW45) which experienced similar subsidence patterns based on the ALS surveys; and  the high subsidence areas also corresponds to the starting end of the longwalls where first goafing occurs. The EOP report when on to conclude that the additional subsidence resulting from unexpected low subsidence reduction potential overburden had been factored into the calculations for future longwalls.

2016 Independent Environmental Audit Page 55 of 73 7.2 ECOLOGY AND REHABILITATION MANAGEMENT The site has little impact on the ecology of the SSCA apart from the areas immediately impacted by subsidence impacts. All remediation works have minimal ecological impact with some track maintenance and some tree trimming (removal of branches overhanging tracks) the key impacts.

The key issue with remediation has been the long pause in activities resulting from the two grouting spills in the SSCA. There are a few key points relating to this issue:

 The grouting spills caused the cessation of remediation activities as grouting was the foremost remediation methodology for the less accessible areas (steeper slopes) in the SSCA;  None of the documentation reviewed in the audit committed to anything more than remediation as soon as practicable following subsidence;  Monitoring of subsidence impacts has not ceased and no substantial impacts have been observed due to remediation not continuing; and  Various methodologies have been trialled in an attempt to identify alternate technologies to grouting, all methodologies trialled have limitations when compared with the grouting technique. In the auditor’s opinion, it would have been clearly unwise to continue with remediation based on grouting and risk further incidents and as such, WWU was restricted in what remediation works could be done. There was no evidence of a “go slow” approach to trials of alternative techniques, for alternative techniques to be effective they must be thoroughly assessed and then approved by the relevant authorities.

In summary, the site has not breached any approval conditions or commitments and no significant environmental impact has resulted from the lack of remediation of the subsidence impacts. However, WWC still has an ongoing requirement to remediate cracking and other impacts to enable relinquishment of the site. There is no evidence of a lack of commitment to rehabilitating the site and impacts in the SSCA by OCAL.

7.3 ABORIGINAL HERITAGE MANAGEMENT The management of aboriginal heritage issues at the site is acceptable. A good relationship is maintained with the community and commitments are kept with very few non-compliances in this area.

As the site moves towards closure, effort is required to finalise the utilisation of the funds set aside by OCAL for the aboriginal community to ensure they do not sit unused into the future

7.4 NOISE MANAGEMENT The site made a determined effort in the previous audit period to reduce noise impacts. This has clearly been effective with no noise complaints in the audit period and only one exceedance (as determined by the Industrial Nose Policy, EPA).

In moving towards closure, different strategies will be required due to the changing noise characteristics of the work onsite. Attention to this issue should see the site continue to perform well in this area.

2016 Independent Environmental Audit Page 56 of 73 7.5 WATER MANAGEMENT This has been an issue over the last two audit periods with two key issues in this audit period being uncontrolled discharges and groundwater extraction beyond licenced volumes.

The augmented surface water infrastructure should reduce the number of surface water discharges and assist the site moving through the closure process as the disturbance associated with demolition will require sediment controls above the normal operation of the site.

OCAL is currently seeking variation of the volume of its groundwater related water licence that will bring it into compliance in this area. Ongoing extraction of groundwater will cease when the underground facilities are sealed.

7.6 MANAGEMENT OF THE ENVIRONMENT Generally, the management of environmental issues at the site has been acceptable over the audit period.

As the site moves towards closure, attention will be required in the following areas:

 Management of additional equipment on the surface to avoid hydrocarbon spills;  Dust and noise generation from demolition activities;  Community and stakeholder consultation;  Remediation of subsidence impacts; and  Completion of all commitments.

2016 Independent Environmental Audit Page 57 of 73 8 CLOSURE ACTIVITIES

At the request of the CCC and LMCC a summary of mine closure actions, activities and planning is presented below as an excerpt from the Closure MOP (Mining Operations Plan for the Closure of the OCAL Complex, SLR January 2016). Please note that this is not part of the audit as the majority of the actions noted here are planned and were not carried out in the audit period. Compliance with portions of mine closure that are currently in the approvals have been dealt with prior to this point in the audit report.

8.1 CONTEXT Amendments to the mine plan for WWC have bought forward planning requirements. In 2009 the WWC Mine Life of Mine plan included mining to until the year 2020. Progressively after 2009 the projected mining areas have been reduced due to environmental and depth of cover assessments. In March, 2015 a decision was made not to mine the approved longwall block (Longwall 47) which runs beneath cliff lines, terraces and steeper sections of the SSCA. This decision further bought forward the cessation of mining until May 2016. The earlier than projected cessation of mining date has meant that detailed closure planning is not as progressed as it would have been had mining finished in the year 2020 as previously planned.

8.1.1 Closure Planning Project Management The size and complexity of the closure works to WWC has been identified to warrant the closure works being identified as a “project” according to the Glencore Coal Assets Australia’s (GCAA) Project Management System Protocols. A full time Project Manager has been appointed to manage the works. The project will be delivered under the governance of the GCAA Business Development Unit and its associated policies, procedures and controls for managing projects. The aim is to provide an increased level of certainty in the delivery of the project.

8.1.2 Detailed Closure Plan Closure of WWC will be delivered in accordance with GCAA’s Mine Closure Protocol. The closure protocol has been developed to outline the requirements for closure planning and the development, implementation and review of Mine Closure Plans across the mine life cycle, taking into account business drivers and relevant environmental, physical, economic and social factors. The overall target of the protocol is to deliver a well-planned and executable process that will provide for a sustainable post- mining land use and ultimately allow mining tenements to be relinquished.

The completion of a Detailed Closure Plan for the WWC has been identified as a key milestone document for the project. Upon completion and sign off, the Detailed Closure Plan will provide a reference benchmark for the closure project team to deliver to and also a provide basis document for any Project Change Management that is required.

The Detailed Closure Plan is approximately 50% complete. Works undertaken to date include:

 Completion of a knowledge gap analysis;  Constraints and opportunities for all technical areas have been completed;

2016 Independent Environmental Audit Page 58 of 73  Concept design has commenced for the Tailings area and REA;  The legal requirements register has been completed in draft form;  The employee and supplier survey (currently underway);  The communities beneficiaries survey (currently underway);  The hydrogeological model development (in progress); and  The development of the contamination, sampling and analysis strategy (currently underway). OCAL is presently tracking on schedule to submit a detailed closure plan to DRE on 17 October 2016.

8.1.3 Project Closure Schedule An initial detailed Project Closure Schedule for the overall project has been completed. The schedule is a working document and is updated regularly as more detail and planning is completed.

The initial key concept project milestones dates are listed in Table 2.

Table 28 - Key Project Milestones

Milestone Date Task 15 March 2016 Engagement of Closure Consultant 29 April 2016 Closure Broad Brush Risk Assessment 7 July May 2016 Cessation of Coal Mining 17 October 2016 Draft detailed closure plan March 2017 Retrieval of longwall and underground mining equipment November 2017 Commence Sealing of Mine and Fans off July 2017 Pit Top Facilities: Commence demolition March 2018 Pit Top Facilities: Demolition complete May 2018 CHPP: Commence demolition March 2019 CHPP: Demolition complete May 2018 Teralba North Gate: Commence demolition November 2018 Teralba North Gate: Demolition complete November 2021 Commence field data testing to Tailings Dam September 2022 Closure of all shafts complete September 2022 Commence capping Tailings Dam 2025 Tailings Dam capping works complete 2030 Relinquishment of all Mining Titles

8.1.4 Stakeholder Consultation OCAL will continue to engage all relevant stakeholders throughout the MOP period in regard to the detailed closure planning process. Stakeholder consultation will be ongoing over the next period up until and beyond cessation of mining at the site.

A Stakeholder Engagement Strategy for Mine Closure will be has been developed by May 2016 which details the consultation to be undertaken as part of the detailed closure process. This Strategy will

2016 Independent Environmental Audit Page 59 of 73 included a Stakeholder Identification Workshop and development of engagement mechanisms such as a community newsletter and a media strategy. The Stakeholder Engagement Strategy was developed and includes key stakeholders including:

 The CCC;  Lake Macquarie City Council;  Independent Review Committee;  DPI – Water;  DRE;  DP&E; and  OEH. Consultation has already occurred regarding mine closure planning and will continue throughout 2016 specifically during the regular Community Consultative Committee (CCC) meetings (which include Lake Macquarie City Council) and regular community newsletters.

8.1.5 Community Consultation A CCC was established in 2012 by OCAL and meets every six months. It is intended that the CCC with continue to meet during the MOP term and whilst significant closure activities are ongoing on site, and will discuss environmental performance, rehabilitation, suspension of operations and the future of the site.

OCAL operates an Independent Review Committee (IRC) in consultation with the DP&E, OEH, NSW Office of Water (NOW) Department of Primary Industries – Water (DPI Water), Lake Macquarie City Council and the DRE in accordance with the WWC Project Approval PA09_0203. The IRC was established is 2012, and meets every six months to monitor the progress of mining operations with the Diega Creek and Palmers Creek catchments. The IRC includes the involvement and review by appropriate subsidence experts. It is intended that meetings will continue to be undertaken during the MOP term.

8.1.6 Aboriginal Stakeholders OCAL operates an Aboriginal Advisory Committee (AAC) in accordance with the Aboriginal Cultural Heritage Management Plan (WWC SD PLN 0062) in partnership with:

 Awabakal Descendants Traditional Owners Aboriginal Corporation;  Awabakal Local Aboriginal Land Council;  Awabakal Traditional Owners Aboriginal Corporation; and  Cacatua Culture Consultants The ACC was established in 2012 and meets regularly. It is intended that AAC meetings will continue to meet during the MOP term.

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2016 Independent Environmental Audit Page 61 of 73 9 RECOMMENDATIONS

Following are recommendations from the audit, note that they do not all relate to non-compliance some are observations and that not all non-compliances have recommendations.

1. The Air Quality monitoring points noted in the EPL did not align with results reported in Annual Reviews. Annual Reviews to be reviewed to ensure the correct monitoring points are reported. 2. The storage of 35% Hydrochloric acid on a shelf over 215L drums of mineral oils and risk to 215L containers in case of acid spill; there was a risk of increased waste volumes due the storage of large amounts of equipment at the pit top - review stored chemicals/hydrocarbons to ensure risks are addressed adequately. 3. The AQGGMP states that “Dust deposition monitoring will be undertaken in accordance with OEH’s ‘Approved methods for the sampling and analysis of air pollutants in NSW’ (EPA, 2007) which refers to Australian Standard AS/NZS 3580.9.3:2003.” The depositional gauges are operated to the Australian Standard AS3580.10.1, this is the correct reference in the standard, the AQGGMP notes an incorrect reference in the Standard. 4. Dust and noise generation from demolition activities will require attention as the site moves towards closure. 5. Community and stakeholder consultation, an area where both this audit and the previous audit identified deficiencies requires further effort to keep the community abreast of closure activities. 6. Remediation of subsidence impacts has been slow and requires renewed effort to enable relinquishment in the timeframe noted in Section 8 of this report. 7. Completion of all commitments. There are a significant number of commitments not met due to timing or other issues or not met fully. These must be addressed for the site to be closed without residual issues with the community and other stakeholders. 8. Finalise water licence approved volumes. 9. Review the content of the Annual Review, a number of reporting requirements have not been included in the reports in the audit period. 10. Review all management plans to account for the change in status of the site with the cessation of mining operations. 11. Revise CMO to cover the mining leases so that reporting and communication triggers will not be missed. 12. Glencore corporate to focus on site commitments to climate change management and energy targets. 13. Consider whether the training package for “Aboriginal cultural values and rights and obligations” to be developed with the sites aboriginal parties would still have value to the community and to Glencore’s other operations. 14. Seek a resolution with the EPA over the sensor heights on the meteorological station so it can continue to be used particularly for noise issues.

Note also that WWU are required to respond to each of the non-compliances noted in Section 4 of this report in the response to the audit findings that must be presented to DP&E along with the final version of this report.

2016 Independent Environmental Audit Page 62 of 73 2016 Independent Environmental Audit Page 63 of 73 10 CONCLUSION

2016 Independent Environmental Audit Page 64 of 73 This page left deliberately blank

2016 Independent Environmental Audit Page 65 of 73 APPENDIX A – AUDIT TEAM APPROVAL

2016 Independent Environmental Audit Page 66 of 73 Planning Services Resource Assessments & Compliance Phone: (O2)92286311 Fax: (02)52286466 Planning & Email: Environment

Ben Clibborn Environment and Community Manager Oceanic Coal Australia PO Box 4186 EDGEWORTH NSW 2285 br^ Dear M born

West Wallsend Continued Operations Project (MP 09-0203) lndePendent Environmental Audit Auditor APProval

I refer to your letter dated 16 May 2016 seeking the Secretary's approval of a suitably qualified pêrson to undertake the lndependent Environmental Audit for the West Wallsend Continued Operations Project in accordance with condition 9 of Schedule 6 of the project approval.

The Department has considered the information supplied concerning the qualifications and experieñce of Mr Peter Horn, Ms Peta Harris and Mr Martin Sullivan and would like to advise you that the Secretary has approved their appointment. lf you require any further information, please contact Lauren Evans.

Yours sincerely, M-t M Howard Reed ß.{ .t b Director Resource Assessments As nominee of the Secretarv

Department of Plann¡ng & Environment ãs-:33éäãgåstr"étsy¿ñ"yNsw2ooolGpoBox3gsydneyNsw2oollr 02922861111F 0292286455lwww.plann¡ng.nsw.gov.au This page left deliberately blank

2016 Independent Environmental Audit Page 67 of 73 APPENDIX B – CONSULTATION

2016 Independent Environmental Audit Page 68 of 73

From: Symon Walpole Sent: Tuesday, 12 July 2016 4:10 PM To: Peter Horn Subject: RE: West Wallsend Audit

Hi Peter

Sorry for the delay in getting back to you. One of the main issues Council would like to raise for consideration in your audit is the significantly higher than predicted subsidence results experience during mining of LW46. For example, we understand that the predicted subsidence in LW46 (eg., at around 100m chainage) was approx. -1mtr, and the measured subsidence was -2.54mtr (see figure below). Given the importance placed on subsidence predictions when assessing the impacts of a proposal, it is concerning to Council that the measured impacts have exceeded the predicted amount of subsidence by such as significant amount.

Hence, we request that your audit give some consideration of how (and why) the predicted subsidence is assessed and what corrective actions and investigations occur when significant variations occur.

Please contact me if you wish to discuss any of these issues, or seek additional information.

Regards – Symon

Symon Walpole | Ecosystem Enhancement Coordinator Lake Macquarie City Council 126-138 Main Road Speers Point NSW 2284 | Box 1906 HRMC NSW 2310 P: 02 4921 0393 | | www.lakemac.com.au Please consider the environment before printing this email.

From: Peter Horn Sent: Monday, 11 July 2016 3:18 PM To: Symon Walpole Subject: West Wallsend Audit

Afternoon Symon,

I am due onsite at West Wallsend Colliery next week and would really appreciate any input you might have in the audit prior to me finishing onsite so that any issues you may have can be addressed. I appreciate that everyone is busy and am happy to get a simple email or phone call to ensure your input is considered in the audit process.

Thanks Peter

Peter Horn ( BAppSci (Env), MAppSci (Mngt & Rest), MEIANZ, MCASANZ) Environmental Principal Certified Lead Environmental Auditor (EXEMPLAR)

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Information provided to Council in correspondence, submissions or requests (verbal, electronic or written), including personal information such as your name and address, may be made publicly available, including via Council website, in accordance with the Government Information (Public Access) Act (GIPA Act) 2009. From: Neil McElhinney Sent: Tuesday, 12 July 2016 9:55 AM To: Peter Horn Subject: RE: West Wallsend Audit

Peter,

In response to your email to DRE dated 17 June 2016 with respect to your proposed IEA for West Wallsend Colliery, DRE considers that the audit should assess key rehabilitation issues and hence consider the following (along with any other aspect considered appropriate by the auditor):

Audit Component - Desktop • Is there a current Mining Operations Plan (MOP) in place and has it been approved by DRE? (Schedule 4, condition 29) • Has the MOP been prepared in consultation with the relevant agencies as outlined in the Project Approval? • Is the rehabilitation strategy as outlined in the MOP consistent with the Project Approval in terms of progressive rehabilitation schedule; and proposed final land use(s)? • Has the rehabilitation objectives and completion criteria as outlined in the MOP been developed in accordance with the proposed final land(s) as outlined in the Project Approval? • Has the MOP been prepared building on other management plans required under the consent (are the plans consistent?) • Has a rehabilitation monitoring program been developed and implemented to assess performance against the nominated objectives and completion criteria? – verified by reviewing monitoring reports and rehabilitation inspection records. (is the MOP consistent with Schedule 4, condition 27?) • Has a rehabilitation care and maintenance program been developed and implemented based on the outcomes of monitoring program? – verified by reviewing Annual Rehabilitation Programs or similar documentation. • Has exploration within the project application area (as shown on Consent Appendix 2, p.23, not just within the extraction area), been undertaken in accordance with a DP&E approval? If not approved by consent, is the exploration approved under the MOP? Audit Component - Site Inspection • Are mining operations being conducted in accordance with the approved MOP (production, mining sequence etc.), including within the designated MOP approval boundary? – to be verified by site plans and site inspection. • Is rehabilitation progress consistent with the approved MOP as verified by site plans and a site inspection? This should include an evaluation against rehabilitation targets and whether the final landform is being developed in accordance with conceptual final landform in Project Approval. • Based on a visual inspection, are there any rehabilitation areas that appear to have failed or that have incurred an issue that may result in a delay in achieving the successful rehabilitation? In addition to the above, the audit should note observations where rehabilitation procedures, practices and outcomes represent best industry practice.

Kind regards,

Neil McElhinney | Inspector Environment Environmental Sustainability Unit NSW Department of Industry | Division of Resources And Energy 516 High Street | Maitland NSW 2320 PO Box 344 | Hunter Region Mail Centre NSW 2310 T: 02 4931 6522 W: www.industry.nsw.gov.au | http://www.dpi.nsw.gov.au/

Twitter: @nswre | Facebook: nswre

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From: Peter Horn Sent: Monday, 11 July 2016 3:17 PM To: 'Neil McElhinney'; paul.langley Subject: West Wallsend Audit

Afternoon Gents,

Thanks Peter

Peter Horn ( BAppSci (Env), MAppSci (Mngt & Rest), MEIANZ, MCASANZ) Environmental Principal Certified Lead Environmental Auditor (EXEMPLAR)

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From: Cr Wendy Harrison Sent: Tuesday, 19 July 2016 1:21 PM To: 'Peter Horn' Subject: RE: Audit - CCC need to focus on any aspect

Many thanks Peter.

From: Peter Horn Sent: Tuesday, 19 July 2016 11:31 AM To: Cr Wendy Harrison Subject: RE: Audit - CCC need to focus on any aspect

Hi Wendy,

Thanks for your call this morning. I'll regurgitate our conversation so you can check to make sure I cover off on your suggestions: 1. Review the grouting incident. 2. Review works post grouting incident that were conducted to ensure there is a low likelihood of recurrence. 3. Provide a summary of progress on closure including decommissioning the pit top. 4. Provide a summary of post closure land use planning. Please let me know if you'd like anything else added.

Cheers Peter

On 19 Jul 2016 10:14 AM, "Cr Wendy Harrison" wrote:

Hi Ben

Apologies that you’ve had to chase me up about this and that I missed last Thursday’s event. I’ve been interstate & we have just been reconnected to the internet after our landline was out of action for 4 weeks so, unfortunately, I’ve missed a few things.

I’ve found the email from Peter and will give him a ring.

Regards

Wendy

Cr Wendy Harrison LMCC – West Ward

(02) 4958 3771 (h)

From: Ben.Clibborn Sent: Tuesday, 19 July 2016 7:46 AM To: Cr Wendy Harrison Cc: peter.horn Subject: Audit - CCC need to focus on any aspect

Wendy,

We have our 3 yearly external compliance audit on this week as required under our project approval.

The Auditor (Peter Horn cced) was wanting to know if you as the CCC chair had anything in particular you wanted the audit to assess specifically ?

Regards

Ben Clibborn

Environment and Community Manager

Oceanic Coal – A Glencore managed company

Tel: +61 2 4941 2163 www.glencore.com

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2016 Independent Environmental Audit Page 69 of 73 APPENDIX C – RISK ASSESSMENT CRITERIA AND AUDIT PROTOCOL

2016 Independent Environmental Audit Page 70 of 73 West Wallsend Colliery 2016 Independent Environmental Audit

Consequences Level Descriptor Consequences Catastrophic Major Moderate Minor Insignificant ABCDE Long term environmental damage (5 years or longer), requiring $5million to correct or A Catastrophic Almost certain 1 High High High Medium Medium in penalties Medium-term (1-5 years) environmental damage, requiring $1 to 5million to correct B Major Likely 2 High High High Medium Medium or in penalties Short-term (less than 1 year) environmental damage, requiring up to $1million to C Moderate Possible 3 High High Medium Medium Low correct or in penalties D Minor Environmental damage, requiring up to $200,000 to correct Unlikely 4 High Medium Medium Low Low

E Insignificant Negligible environmental impact, managed within operating budgets Rare 5 Medium Medium Low Low Low

Likelihood Level Descriptor Likelihood of the risk arising and leading to the assessed level of consequence

Once a year or more 1 Almost certain Is expected to occur in most circumstances and has a history of occurrence frequent 2 Likely Will probably occur in most circumstances Once in 1 to 3 years

3 Possible Could occur at some time Once in 3 to 10 years Once in 10 to 50 4 Unlikely Not likely to occur in normal circumstances years Once in 100 years or 5 Rare May occur only in exceptional circumstances more

Risk Assessment Criteria Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Connued Operaons Project, 25th January 2012 (Including Modiﬁcaons (Mod 1) 21/10/2014) Project Approval 09-0203

Schedule 2 - Administrative Conditions

Obligation to Minimise Harm to the Environment

The Applicant shall implement all practicable measures to prevent and/or minimise any harm to the During the site inspection, no cases of negligence were noted regarding the application 1 Compliant environment that may result from the construction, operation, or rehabilitation of the development. of controls to prevent minimisatin of harm to the environment.

Terms of Approval 2 The Applicant shall carry out the development generally in accordance with the: (a) EA - Mod 1; Statement on compliance level with the EA elsewhere in this audit Noted (b) Statement of Commitments Statement on compliance level with the SOC elsewhere in this audit Noted (c) Conditions of this approval Statement on compliance level with the conditions of approval elsewhere in this audit Noted Notes: - The general layout of the project is shown on the figures in Appendix 2. This was noted, however the audit did not require a finding to be made on this point. Noted - The statement of commitments is reproduced in Appendix 3. If there is any inconsistency between the above documents, the more recent document shall prevail to the 3 extent of the inconsistency. However, the conditions of this approval shall prevail to the extent of any This was noted, however the audit did not require a finding to be made on this point. Noted inconsistency. The Proponent shall comply with any reasonable requirement/s of the Secretary arising from the All the documents appear to be up to date, there is no evidence of any dispute in Department’s assessment of: response to comments from the Departments. (a) any strategies, plans, programs, reviews, audits, reports or correspondence that are submitted Not able to be 4 in accordance with this approval; Reviewed actions from previous audit as an example. Verified (b) any reviews, reports or audits undertaken or commissioned by the Department regarding compliance with this approval; and Not all documentation between the Department and the site was reviewed but there was (c) the implementation of any actions or measures contained in these documents. no evidence of non-compliance.

Limits on Approval

WWU has limited mining reserves left to be mined with the completion of long wall The Proponent may carry out mining operations on site until the end of December 2021. mining in May 2016 following the completion of mining within Long wall 52 (refer to Note: Under this approval, the Proponent is required to rehabilitate the site and perform additional Section 8). A Mine Operations Plan for the Closure of the OCAL Complex for the period 1 undertakings to the satisfaction of either the Secretary or the Executive Director Mineral Resources. 5 January 2016 to 31 December 2022 (OCAL Closure MOP) has been and approved by the Compliant Consequently this approval will continue to apply in all other respects other than the right to conduct mining Department of Trade and Investment – Division of Resources and Energy (DRE) for the operations until the rehabilitation of the site and these additional undertakings have been carried out OCAL Operations including WWU, Macquarie Coal Preparation Plant, Teralba Southgate, satisfactorily. Teralba Northgate and Westside Mine. Note: Under this approval, the Proponent is required to rehabilitate the site and perform additional undertakings to the satisfaction of either the Secretary or the Executive Director Mineral Resources. Consequently this approval will continue to apply in all other respects other than the right to conduct mining This was noted, however the audit did not require a finding to be made on this point. Noted operations until the rehabilitation of the site and these additional undertakings have been carried out satisfactorily. The Proponent shall: 2013 AR: 3.8 million tonnes ROM (a) not extract more than 5.5 million tonnes of ROM coal from the site per calendar year; and 6 2014 AR: 3.4 million tonnes ROM Compliant (b) transport all ROM coal extracted from the site to the Macquarie Coal Preparation Plant via the private haul 2015 AR: 1.85 million tonnes ROM road. The Proponent may carry out underground mining operations and associated surface operations 24 hours a 7 Site no longer operating under this condition. Noted day, 7 days a week. The Proponent shall restrict construction operations associated with the Mining Services Facility to 7am to 8 MSF not constructed. Not Triggered 6pm Monday to Friday and 8am to 1pm Saturday, unless inaudible at any residential premises.

Surrender of Consents

By the end of December 2012, or as otherwise agreed by the Secretary, the Proponent shall surrender all 9 existing development consents for mining operations relied on by the Proponent for the site (other than this approval) in accordance with Section 104A of the EP&A Act. Sighted letter from DPI acknowledging surrender of old consents, signed 17/12/13 Compliant Note: This requirement does not extend to the surrender of the 1981 Stockton Borehole Colliery consent or to construction and occupation certificates for existing and proposed building works under Part 4A of the EP&A Act. Surrender of a consent or approval should not be understood as implying that works legally constructed under a valid consent or approval can no longer be legally maintained or used. Prior to the surrender of these consents, the conditions of this approval (including any notes) shall prevail to 10 This was noted, however the audit did not require a finding to be made on this point. Noted the extent of any inconsistency with the conditions of these consents.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Structural Adequacy The Proponent shall ensure that all new buildings and structures, and any alterations or additions to existing buildings and structure, that are part of the project are constructed in accordance with: 11 (a) the relevant requirements of the BCA; and No new structures built during the audit period. Not Triggered (b) any additional requirements of the MSB where the building or structure is located on land within declared Mine Subsidence Districts. Notes: - Under Part 4A of the EP&A Act, the Proponent is required to obtain construction and occupation certificates for the proposed building works. This was noted, however the audit did not require a finding to be made on this point. Noted - Part 8 of the EP&A Regulation sets out the requirements for the certification of the project. - Under Section 15 of the Mine Subsidence Compensation Act 1961, the Proponent is required to obtain the MSB’s approval before constructing any improvements within a Mine Subsidence District. Demolition The Proponent shall ensure that all demolition work is carried out in accordance with Australian Standard AS 12 No demolition work carried out during audit period. Not Triggered 2601-2001: The Demolition of Structures, or its latest version. Operation of Plant and Equipment The Proponent shall ensure that all plant and equipment used at the site is: 13 (a) maintained in a proper and efficient condition; and Maintenance Plan sighted and Work Order System for Maintenance sighted in audit. Compliant (b) operated in a proper and efficient manner. Staged Submission of Strategies, Plans or Programs To ensure that strategies, plans and programs required under this approval are updated on a regular basis, and that they incorporate any appropriate additional measures to improve the environmental performance of the project, the Proponent may at any time submit revised strategies, plans or programs for the approval of the Secretary. With the agreement of the 14 Secretary, the Proponent may also submit any strategy, plan or program required by this approval on a staged basis. With the agreement of the Secretary, the Proponent may prepare a revision of or a stage of a strategy, plan or program without undertaking consultation with all parties nominated under the applicable condition in this approval. This was noted, however the audit did not require a finding to be made on this point. Noted Extraction Plans presented, reviewed and approved on progressive basis Notes: - While any strategy, plan or program may be submitted on a staged basis, the Proponent will need to ensure that the existing operations on site are covered by suitable strategies, plans or programs at all times. If the submission of any strategy, plan or program is to be staged; then the relevant strategy, plan or program must clearly describe the specific stage/s of the project to which the strategy, plan or program applies; the relationship of this stage/s to any future stages; and the trigger for updating the strategy, plan or program. - See also condition 5 of Schedule 6.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Schedule 3 - Specific Environmental Conditions

Underground Mining

Subsidence

Performance Measures - Natural Heritage Features, etc.

1 The Proponent shall ensure that the project does not cause any exceedances of the performance measures in Table 1, to the satisfaction of the Secretary.

Compliance with these performance measures outlined in; Table 6.1 AR 2015, Table 3.22 AR 2014 and Table 3.23 AR 2013. Compliant Pre and post biodiversity inspections. (Annual Biodiversity Monitoring Reports 2013,2014,2015)

Notes: - The Proponent will be required to define more detailed performance indicators (including impact assessment criteria) for each of these performance measures in the various management plans that are required under this approval. - Measurement and/or monitoring of compliance with performance measures and performance indicators is to be undertaken using generally accepted methods that are appropriate to the environment and circumstances in which the feature or characteristic is located. These methods are to be fully described in the relevant management plans. In the event of a dispute over the appropriateness of proposed methods, the Director- General will be the final arbiter. - The requirements of this condition only apply to the impacts and consequences of mining operations, construction or demolition undertaken following the date of this approval. Offsets If the Proponent exceeds the performance measures in Table 1 and the Secretary determines that: LW41 VBM impact exceedence occurred outside audit period, management and (a) it is not reasonable or feasible to remediate the impact or environmental consequence; or compensation undertaken during this audit period. (b) remediation measures implemented by the Proponent have failed to satisfactorily remediate the impact or 2 environmental consequence; then the Proponent shall provide a suitable offset to compensate for the impact Compliant Compliance with the performance measures in Table 1 is reported in the 2013, 2014 and or environmental consequence, to the satisfaction of the Secretary. 2015 Annual Reviews. Therefore, no requirements for offsets have arisen during the Note: Any offset required under this condition must be proportionate with the significance of the impact or auditing period. environmental consequence.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Performance Measures - Built Features

The Proponent shall ensure that the project does not cause any exceedances of the performance measures in 3 Table 2, to the satisfaction of the Secretary.

Compliance with these performance measures outlined in; Table 6.1 AR 2015, Table 3.22 AR 2014 and Table 3.23 AR 2013. - continuation on from previous Condition Compliant NOTE ; F3 Freeway = M1 Pacific Motorway Notes: - The Proponent will be required to define more detailed performance indicators for each of these performance measures in Built Features Management Plans or Public Safety Management Plan (see condition 5 below). - Measurement and/or monitoring of compliance with performance measures and performance indicators is to be undertaken using generally accepted methods that are appropriate to the environment and circumstances in which the feature or characteristic is located. These methods are to be fully described in the relevant management plans. In the event of a dispute over the appropriateness of proposed methods, the Secretary will be the final arbiter. - The requirements of this condition only apply to the impacts and consequences of mining operations undertaken following the date of this approval. - Requirements under this condition may be met by measures undertaken in accordance with the Mine Subsidence Compensation Act 1961. Requirements regarding safety or serviceability do not prevent preventative or mitigatory actions being taken prior to or during mining in order to achieve or maintain these outcomes.

Any dispute between the Proponent and the owner of any built feature over the interpretation, application or implementation of the performance measures in Table 2 is to be settled by the Secretary, following No dispute between the Proponent and the owner of any built feature occurred during 4 Not Triggered consultation with the MSB and the Executive Director Mineral Resources. Any decision by the Director- the audit period. General shall be final and not subject to further dispute resolution under this approval.

Extraction Plan

LW44 and 45 Extraction Plan (March 2013) LW46 Extraction and Subsidence Management Plan (September 2014) LW51 and 52 Extraction and Subsidence Management Plan (May 2015) The Proponent shall prepare and implement an Extraction Plan for second workings on site to the satisfaction 5 LW51 and LW51 approval letter sighted Compliant of the Secretary. Each extraction plan must: LW44 and 45 (10/5/13) Approval letter sighted LW46 (19/2/15) Approval Letter sighted LW42 and 43 (8/4/14) Approval letter sighted LW 41 (20/7/12) - preceding audit period, mined within audit period Be prepared by suitably qualified and experienced persons whose appointment has been endorsed by the (a) Sighted approval of Mark Robinson for preparation of LW51 and 52 Extraction Plans. Compliant Secretary; Be approved by the Secretary before the Proponent carries out any of the second workings covered by the (b) Letters of approval sighted as above. Compliant plan; Include detailed plans of existing and proposed first and second workings and any associated surface (c) Attached as appendices to extraction plans - approved as part of extraction plan Compliant development; Included in LW42 and 43 EP (Table 4), LW 44 and 45 EP (Table 4), LW 46 EP and SMP (d) Include detailed performance indicators for each of the performance measures in Tables 1 and 2; Compliant (Table 4), LW 51 and 52 EP (Table 4). Each extraction plan informed by monitoring results of previous long walls, where Provide revised predictions of the potential subsidence effects, subsidence impacts and environmental available. (e) consequences of the proposed second workings, incorporating any relevant information obtained since this Compliant - Appendix of every extraction plan submitted for approval contains the subsidence report approval; from previous panel if completed. Describe the measures that would be implemented to ensure compliance with the performance measures in Methodology included in sub-plans (eg. water management, built features) of approved (f) Compliant Tables 1 and 2, and manage or remediate any impacts and/or environmental consequences; extraction plans.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

Include a Built Features Management Plan, which has been prepared in consultation with DRE and the owners of affected public infrastructure, to manage the potential subsidence impacts and/or environmental consequences of the proposed second workings, and which: Sighted consultation with Caltex, NextGen, RMS and other infrastructure owners during - Addresses in appropriate detail all items of key public infrastructure and other public infrastructure and all development of BFMP classes of other built features; - Has been prepared following appropriate consultation with the owner/s of potentially affected feature/s; The following meet these requirements; (g) - Recommends appropriate remedial measures and includes commitments to mitigate, repair, replace or Compliant LW42 and 43 Built Features Management Plan compensate all predicted impacts on potentially affected built features in a timely manner; and LW44 and 45 Built Features Management Plan - In the case of all key public infrastructure, and other public infrastructure except roads, trails and associated LW46 Built Features Management Plan structures, reports external auditing for compliance with ISO 31000 (or alternative standard agreed with the LW51 and 51 Built Features Management Plan infrastructure owner) and provides for annual auditing of compliance and effectiveness during extraction of long walls which may impact the infrastructure; - Include a revised and updated F3 Freeway Management Plan;

Sighted documentation for consultation with NOW and DPI undertaken during Include a Water Management Plan, which has been prepared in consultation with OEH and NOW, which development of WMPs. provides for the management of the potential impacts and/or environmental consequences of the proposed second workings on watercourses and aquifers, including: - Surface and groundwater impact assessment criteria, including trigger levels for investigating any potentially The following meet these requirements; (h) adverse impacts on water resources or water quality; Compliant LW42 and 43 WWC SD PLN 0050 Water Management Plan - A program to monitor and report stream flows, assess any changes resulting from subsidence impacts and LW 44 and 45 WWC SD PLN 0050 Water Management Plan remediate and improve stream stability; LW46 WWC SD PLN 0122 Water Management Plan - A program to monitor and report groundwater inflows to underground workings; LW51 and 52 WWC SD PLN 0145 Water Management Plan - A program to predict, manage and monitor impacts on groundwater bores on privately-owned land; and

Include a Biodiversity Management Plan, which has been prepared in consultation with OEH, which provides The following meet these requirements; for the management of the potential impacts and/or environmental consequences of the proposed second LW42 and 43 WWC SD PLN 0052 Biodiversity Management Plan (i) workings on aquatic and terrestrial flora and fauna, with a specific focus on threatened species [particularly LW 44 and 45 WWC SD PLN 0052 Biodiversity Management Plan Compliant the black-eyed Susan (Tetratheca juncea) and Small-flower Grevillea (Grevillea parviflora subsp parviflora) ], LW46 WWC SD PLN 0125 Biodiversity Management Plan populations and their habitats; endangered ecological communities; and water dependent ecosystems; LW51 and 52 WWC SD PLN 0149 Biodiversity Management Plan The following meet these requirements; Include a Land Management Plan, which has been prepared in consultation with any affected public LW42 and 43 WWC SD PLN 0058 Land Management Plan authorities, to manage the potential impacts and/or environmental consequences of the proposed second (j) LW 44 and 45 WWC SD PLN 0058 Land Management Plan Compliant workings on land in general, with a specific focus on cliffs, minor cliffs, cliff terraces, rock face features and LW46 WWC SD PLN 0119 Land Management Plan steep slopes; LW51 and 52 WWC SD PLN 0150 Land Management Plan Include a Heritage Management Plan, which has been prepared in consultation with OEH and relevant stakeholders for both Aboriginal and historic heritage, to manage the potential environmental consequences (k) Aboriginal and Cultural Heritage Management Plan (Umwelt, April 2012) Compliant of the proposed second workings on both Aboriginal and non-Aboriginal heritage items, and includes all requirements under conditions 18-20 of Schedule 4; The following meet these requirements; LW42 and 43 WWDSD PLN 0059 Public Safety Management Plan Include a Public Safety Management Plan, which has been prepared in consultation with DRE, to ensure public (l) LW 44 and 45 WWDSD PLN 0059 Public Safety Management Plan Compliant safety in the mining area; LW46 WWC SD PLN 0124 Public Safety Management Plan LW51 and 52 WWC SD PLN 0132 Public Safety Management Plan LW42 and 43 Subsidence Monitoring Program - unable to find documentation but it is Include a subsidence monitoring program, which has been prepared in consultation with DRE and OEH, to: unlikely the extraction plans / subsidence MPs would have been approved without the - Provide data to assist with the management of the risks associated with subsidence; monitoring program. - Validate the subsidence predictions; LW44 Stage 1 WWC SD PLN 0086 Subsidence Monitoring Program. Not able to be (m) - Analyse the relationship between the predicted and resulting subsidence effects and predicted and resulting LW44 Stage 2WWC SD PLN 0090 Subsidence Monitoring Program Verified impacts under the plan and any ensuing environmental consequences; and LW45 WWC SD PLN 0094 Subsidence Monitoring Program - Inform the contingency plan and adaptive management process; LW46 draft WWC SD PLN 0123 Stage 1 Subsidence Monitoring Program LW51 and 52 WWC SD PLN 0151 Subsidence Monitoring Program The following meet these requirements; Include a contingency plan that expressly provides for adaptive management where monitoring indicates that LW42 and 43 WWC SD PLN 0060 Subsidence Contingency Plan (n) there has been an exceedance of any performance measure in Tables 1 and 2, or where any such exceedance LW 44 and 45 WWC SD PLN 0060 Subsidence Contingency Plan Compliant appears likely; LW46 WWC SD PLN 0116 Subsidence Contingency Plan LW51 and 52 WWC SD PLN 0134 Subsidence Contingency Plan

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

OCAL Closure MOP Conditionally approved in January 2016 to cover the management of closure rehabilitation.

SLR Consulting Australia has been engaged by OCAL to complete a detailed closure plan for the OCAL complex. The Detailed Closure Plan is approximately 30% complete. Works undertaken to date include: · Completion of a knowledge gap analysis; · Constraints and opportunities for all technical areas have been completed; · Concept design has commenced for the Tailings area and REA; · The legal requirements register has been completed in draft form; Proposes appropriate revisions to the Rehabilitation Management Plan required under condition 29 of (o) · The employee and supplier survey (currently underway); Compliant Schedule 4; and · The communities beneficiaries survey (currently underway); · The hydro geological model development (in progress); and · The development of the contamination, sampling and analysis strategy (currently underway).

LW51 and 52 MOP (sighted approval letter dated November 2015)

WWC Rehabilitation and Environmental Management Program 2012 - 2018 (Umwelt, July 2012) - doesn’t cover LW51 and 52 (DRE letter of receipt acknowledgement dated 12/10/2012 sighted)

Each extraction plan is informed by monitoring results of previous long walls (in EOP (p) Include a program to collect sufficient baseline data for future Extraction Plans. Compliant reports), where available. Notes: - To identify the long wall mining domains referred to in this condition, see Appendix 2. - An SMP that is substantially consistent with this condition and which is approved by DRE prior to 30 This was noted, however the audit did not require a finding to be made on this point. Noted September 2012 is taken to satisfy the requirements of this condition. Such an SMP may also be subject to later variation. Each chapter addressing specific features in the extraction plan includes an assessment of The Proponent shall ensure that the management plans required under conditions 5(g)-(l) above include: what the features are and what the impacts might be and how these will be addressed (a) An assessment of the potential environmental consequences of the Extraction Plan, incorporating any 6 should they be significant. Compliant relevant information that has been obtained since this approval; and Flora and Fauna impact assessment undertaken by Umwelt, assessed impact as not (b) A detailed description of the measures that would be implemented to remediate predicted impacts. significant.

First Workings

The Proponent may carry out first workings on site, other than in accordance with an approved Extraction Sighted letters seeking approval of variations from first workings from extraction plans, 7 Plan, provided that DRE is satisfied that the first workings are designed to remain long-term stable and eg. sighted letter of application for approval for LW51/52 (12/11/2014) Compliant nonsubsiding, except insofar as they may be impacted by approved second workings. Note: The intent of this condition is not to require an additional approval for first workings, but to ensure that first workings are built to geotechnical and engineering standards sufficient to ensure long term stability, with This was noted, however the audit did not require a finding to be made on this point. Noted zero resulting subsidence impacts. Payment of Reasonable Costs

8 The Proponent shall pay all reasonable costs incurred by the Department to engage suitably qualified, Not triggered Not Triggered experienced and independent experts to review the adequacy of any aspect of an Extraction Plan. Schedule 4 - Specific Environmental Impacts (General)

Noise

Noise Criteria Until 31 December 2012, the Proponent shall ensure that the noise generated by the project does not exceed 1 the criteria in Table 3 at any residence on privately-owned land or on more than 25 per cent of any privately- owned land.

Outside of Audit Period (audit period is 28 June 2013 to 4 July 2016), now controlled by Not Triggered EPL conditions

Notes: - To interpret the locations referred to Table 3, see the plan and associated list in -Appendix 5. This was noted, however the audit did not require a finding to be made on this point. Noted - Noise generated by the project is to be measured in accordance with the relevant requirements, and exemptions (including certain meteorological conditions), of the NSW Industrial Noise Policy.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk However, these noise criteria do not apply if the Proponent has an agreement with the relevant landowner to It is noted that there is a private agreement in place at Location R7, therefore criteria are generate higher noise levels, and the Proponent has advised the Department in writing of the terms of this Noted not applicable and attended monitoring is not required. agreement. From 1 January 2013, the Proponent shall ensure that the noise generated by the project does not exceed the 2/6/2015 - WWU exceeded the relevant LAeq noise limit during the evening period of 2 2 criteria in Table 4 at any residence on privately-owned land or on more than 25 per cent of any privately- June 2015 at R5. Audible noise from WWU was heard throughout the monitoring period, owned land. generating a site only LAeq of 40 dB, which is 3 dB above the approved criterion of LAeq 37 dB.

The following two noise results are for the record: 11/9/2013 - R6 on the evening of 11 September 2013. WWC generated a site only LAeq of 36 dB, exceeding the impact assessment criteria by 1dB. An exceedance of 1 dB is not considered significant, as outlined by Chapter 11 of the EPA Industrial Noise Policy (DECC, Not Compliant E 1 Medium 2000), which deems a development to be non-compliant only when an exceedance of more than 2dB above the statutory noise limit has been identified. 3/12/2014 - During the evening period a WWC specific LAeq,15minute result of 43dB was measured at location R4. The project specific criterion for this site is 41dB (2dB exceedance). As specified in Chapter 11 of the Industrial Noise Policy (INP), a development will only be deemed to be in non-compliance with a noise consent if the monitored level is more than 2dB above the statutory noise limit specified in the consent or licence condition. A re-test at this location was undertaken on 14 December 2014 with WWC classed as “Inaudible” at the time of monitoring. Notes: - To interpret the locations referred to Table 4, see the plan and associated list in Appendix 5. This was noted, however the audit did not require a finding to be made on this point. Noted - Noise generated by the project is to be measured in accordance with the relevant requirements, and exemptions (including certain meteorological conditions), of the NSW Industrial Noise Policy. However, these noise criteria do not apply if the Proponent has an agreement with the relevant landowner to It is noted that there is a private agreement in place at Location R7, therefore criteria are generate higher noise levels, and the Proponent has advised the Department in writing of the terms of this Noted not applicable and attended monitoring is not required. agreement. Cumulative Noise Criteria

The Proponent shall implement all reasonable and feasible measures to ensure that the noise generated by 3 the project combined with the noise generated by other mines in the area does not exceed the criteria in Table 5 at any residence on privately-owned land or on more than 25 per cent of any privately-owned land. No exceedences noted in Annual Reviews and EPA Annual Returns. No noise complaints Compliant made during audit period.

Note: Cumulative noise is to be measured in accordance with the relevant requirements, and exemptions (including certain meteorological conditions), of the NSW Industrial Noise Policy. Noise Mitigation

Upon receiving a written request from the owner of the residence listed in Table 6, the Proponent shall implement noise mitigation measures (such as double-glazing, insulation, and/or air conditioning) at the 4 residence in consultation with the landowner. These measures must be reasonable and feasible. If within 3 months of receiving this request from the owner, the Proponent and the owner cannot agree on the measures to be implemented, or there is a dispute about the implementation of these measures, then either party may No Requests in Audit Period Not Triggered refer the matter to the Secretary for resolution.

Note: To identify the location referred to in Table 6, see the plan and associated list in Appendix 5. Outside of audit period. The Proponent shall ensure that the following noise mitigation measures are undertaken by the end of December 2012: 6 monthly SPL testing of the coal breaker by Hushpak continues to be undertaken. 5 (a) All necessary works to ensure an operational noise reduction of 10dB(A) at the coal breaker; and Compliant (b) Any additional works to ensure compliance with the noise criteria in Table 4, These works were completed in December 2012, and the 10 dB(A) reduction was to the satisfaction of the Secretary. achieved (West Wallsend Colliery Noise Compliance Report: Bradford Breaker (Global Acoustics, April 2013)).

Noise Complaints Report The Proponent shall prepare a Noise Compliance Report for the project to the satisfaction of the Secretary. The report must: Outside audit period. (a) Be prepared by a suitably qualified acoustic consultant, whose appointment has been approved by the Secretary; The West Wallsend Colliery Noise Compliance Report: Bradford Breaker (Global (b) Be prepared in consultation with EPA, and be submitted to the Secretary for approval by the end of March 6 Acoustics, April 2013) was prepared to meet these criteria. The plan was submitted at the Compliant 2013; end of April 2013, and was therefore late by one month. However, interviews with WWC (c) Investigate and evaluate the effectiveness of the noise mitigation measures required under condition 5 environment personnel explain that DP&I did allow an extension on this timeframe to above to comply with the noise criteria in Table 4; and align with the submission of Annual Review 2012. (d) If required, include an action plan to implement additional measures and a protocol for monitoring the effectiveness of these measures.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Operating Conditions

The Proponent shall: West Wallsend Underground Noise Management Plan (October 2015) (a) Implement best management practice, including all reasonable and feasible noise mitigation measures to 7 minimise the construction, operational and road traffic noise generated by the project; and Compliant Quarterly Noise Monitoring undertaken by Global Acoustics Pty Ltd (b) Regularly assess the results of noise monitoring to ensure compliance with the relevant conditions of this approval, to the satisfaction of the Secretary.

Noise Management Plan The Proponent shall prepare and implement a Noise Management Plan for the project to the satisfaction of the Secretary. This plan must: (a) Be prepared in consultation with EPA and Council, and submitted to the Secretary for approval within 6 months of this approval; West Wallsend Underground Noise Management Plan (October 2015) (b) describe the noise mitigation measures that would be implemented to ensure compliance with the relevant Section 2.2 8 conditions of this approval; Section 5.1 Compliant (c) Include a protocol for continual improvement of noise performance; and Section 5.2 (e) include a noise monitoring program that: Section 6.1 - Uses a combination of attended and unattended monitoring to evaluate the performance of the project; and - Includes a protocol for determining exceedances of the relevant conditions of this approval.

Air Quality and Greenhouse Gases

Odour

9 The Proponent shall ensure that no offensive odours are emitted from the site, as defined under the POEO Act. No odour complaints received during audit period and none noted in the site inspection. Compliant

Greenhouse Gas Emissions West Wallsend Underground Air Quality and Greenhouse Gas Management Plan (May 2016) The Proponent shall implement all reasonable and feasible measures to minimise the release of greenhouse 10 Site participates in NPI Reporting NGERS Reporting. Compliant gas emissions from the site to the satisfaction of the Secretary. See audit of West Wallsend Underground Air Quality and Greenhouse Gas Management Plan (May 2016) Air Quality Criteria

The Proponent shall implement all reasonable and feasible mitigation measures to ensure that the particulate 11 emissions generated by the project do not exceed the criteria listed in Tables 7, 8 and 9 at any residence on privately-owned land or on more than 25 per cent of any privately-owned land.

There was one exceedance (57 μg/m3) of the short term air quality monitoring criteria (50 μg/m 3) on 29 December 2013. The exceedance was reported to DP&E on 14 January 2014 in accordance with the requirements of Condition 7 of Schedule 6 of the Project Approval. Compliant In accordance with consultation undertaken with the NSW Rural Fire Service (RFS) and P&I, the exceedance is believed to have been caused by bushfires in the region and was not attributable to WWC operations.

Notes to Tables 7-9: - a Total impact (i.e. incremental increase in concentrations due to the project plus background concentrations due to other sources); - b Incremental impact (i.e. incremental increase in concentrations due to the project on its own); - c Deposited dust is to be assessed as insoluble solids as defined by Standards Australia, AS/NZS This was noted, however the audit did not require a finding to be made on this point. Noted 3580.10.1:2003: Methods for Sampling and Analysis of Ambient Air - Determination of Particulate Matter - Deposited Matter - Gravimetric Method; and - d Excludes extraordinary events such as bushfires, prescribed burning, dust storms, sea fog, fire incidents, illegal activities or any other activity agreed to by the Secretary in consultation with EPA. Operating Conditions The Proponent shall: (a) Implement best practice air quality management, including all reasonable and feasible measures to Sighted Crew Training Package 2015, including best practice air quality measures. minimise off-site odour, fume and dust emissions generated by the project, including from any spontaneous combustion on site, Air quality monitoring (depositional dust, PM10 and TSP monitoring locations) ongoing for 12 Compliant (b) Minimise any visible air pollution generated by the project; and audit period. Note: no exceedences attributable to WWC. (c) Regularly assess the air quality monitoring and meteorological data, and relocate, modify and/or suspend operations to ensure compliance with the relevant conditions of this approval; Satisfaction achieved through the submission of Annual Reviews. to the satisfaction of the Secretary.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Air Quality and Greenhouse Gas Management Plan The Proponent shall prepare and implement a detailed Air Quality & Greenhouse Gas Management Plan for Air Quality and Greenhouse Management Plan 2013 approval letter dated 3/10/13 the project to the satisfaction of the Secretary. This plan must: sighted. (a) Be prepared in consultation with EPA, and submitted to the Secretary for approval within 6 months of this approval; West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, (b) Describe the measures that would be implemented to ensure compliance with the relevant conditions of 13 resubmitted, May 2016. Approval by DP&E - not yet received. Compliant this approval; (c) Describe the measures that would be implemented to minimise the greenhouse gas emissions from the Sighted evidence for: site; and Consultation with EPA - acknowledgement letter sighted (d) Include an air quality monitoring program to evaluate the performance of the project and includes a protocol for determining exceedances with the relevant conditions of this approval. Meteorological Monitoring During the life of the project, the Proponent shall ensure that there is a suitable meteorological station 14 operating in the vicinity of the site that complies with the requirements in the Approved Methods for Sampling Meteorological station onsite, however it was not compliant with these standards. Not Compliant E 1 Medium of Air Pollutants in New South Wales guideline. Soil and Water Note: Under the Water Act 1912 and/or the Water Management Act 2000, the Proponent is required to WWU currently holds one licence under the Water Act 1912 for extraction of Compliant obtain the necessary water licences for the project. groundwater from the hard/fractured rock aquifers (20BL169793). Compensatory Water Supply The Proponent shall provide a compensatory water supply to any landowner of privately-owned land whose 15 water entitlements are adversely impacted (other than an impact that is negligible) as a result of the project, in No adverse impact to water attributable to WWC entitlements during audit period. Not Triggered consultation with NOW, and to the satisfaction of the Secretary. The compensatory water supply measures must provide an alternative long-term supply of water that is equivalent to the loss attributed to the project. Equivalent water supply must be provided (at least on an No loss of water supply attributable to WWC during audit period. Not Triggered interim basis) within 24 hours of the loss being identified. If the Proponent and the landowner cannot agree on the measures to be implemented, or there is a dispute about the implementation of these measures, then either party may refer the matter to the Secretary for No such situation arose during audit period. Not Triggered resolution. If the Proponent is unable to provide an alternative long-term supply of water, then the Proponent shall No such situation arose during audit period. Not Triggered provide alternative compensation to the satisfaction of the Secretary. Surface Water Discharges

Note: Pit top dam system upgraded Q1 2015, since then there have been two overtop events attributable to storms exceeding design capacity.

- An overtopping of dam wall spillway resulted in a failure to monitor the total volume from EPA Point 2 following rainfall between 16/11/2013 and 18/11/2013. - An exceedance of TSS value at EPA Point 2 was recorded during a rain event between The Proponent shall ensure that all surface water discharges from the site comply with the discharge limits 16/11/2013 and 18/11/2013. 16 Not Compliant E 1 Medium (both volume and quality) set for the project in any EPL. - An overtopping of NE Dam emergency spillway resulting in discharge from an unlicensed discharge point into Burkes Creek on the 18th November 2013. - An overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 25/4/2014. - Two surface water dams at West Wallsend Colliery (WWC), known as the Bottom Dam and the North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015.

Surface Water Management Plan Surface Water Management Plan, May 2016 The Proponent shall prepare and implement a Surface Water Management Plan for the project to the Approval letter from DPI 14/11/15 satisfaction of the Secretary. This plan must be prepared in consultation with NOW and EPA by suitably 17 Consultation with NOW/DPI Water correspondence sighted Compliant qualified and experienced persons whose appointment has been endorsed by the Secretary, and submitted to Consultation with LMCC letter in SWMP the Secretary for approval within 6 months of this approval. This plan must include: Consultation with EPA letter in SWMP Approval of author: sighted letter in back of plan Section 5, Surface Water Management Plan, May 2016

A comprehensive water balance for the project, that includes details of: Average Site Water Balance (January 2015 to December 2015) included in Annual Review - Sources and security of water supply; 2015 (a) - Water use on site; Average Site Water Balance (January 2014 to December 2014) included in Annual Review Compliant - Water management on site; 2014 - Off-site water transfers; and Average Site Water Balance (January 2013 to December 2013) included in Annual Review 2013

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Management plans for the surface facilities sites, that include: - A detailed description of water management systems for each site, including: Section 4, Surface Water Management Plan, May 2016 - Clean water diversion systems; LW42 and 43 WWC SD PLN 0050 Water Management Plan - Erosion and sediment controls; and LW44 and 45 WWC SD PLN 0050 Water Management Plan - Any water storages; LW46 WWC SD PLN 0122 Water Management Plan (b) - Measures to minimise potable water use and to reuse and recycle water; Compliant LW51 and 52 WWC SD PLN 0145 Water Management Plan - Measures to comply with surface water discharge limits; - Measures to manage sewage wastewater in accordance with Council requirements; and Monitoring and reporting procedures found in Section 7, Surface Water Management - Monitoring and reporting procedures. Plan, May 2016. Note: This plan must be suitably integrated with the Water Management Plan that forms a part of an Extraction Plan. Ground Water Monitoring and Management By the end of March 2015, the Proponent shall, in consultation with NOW, prepare and submit a groundwater 17 A model which describes the past, current and proposed impacts of the project, to the satisfaction of the Compliant Sighted letter of satisfaction with this condition from DPI dated 26/52016 Secretary. By the end of February 2015, the Proponent shall, in consultation with OEH, develop, implement and submit a 17 B groundwater and connective fracturing monitoring program for Long walls 51 and 52, to the satisfaction of the LW51 and 52 Water Management Plan approval sighted. Compliant Secretary. Heritage

Potential Avoidance of Heritage Items The Proponent shall protect the heritage items identified in Table 2 of Appendix 4 unless the Proponent can demonstrate, to the satisfaction of the Secretary, that sites of a similar nature and similar significance exist in the SSCA.

No Impact - verifiable in AMRs

18 Compliant

Minimisation of Impact to Heritage Items The Proponent shall protect the heritage item identified in Table 3(a) of Appendix 4 unless the Proponent can demonstrate, to the satisfaction of the Secretary, that the measures relating to the sites in Table 3(b), identified in section 8.2.3 of the EA Technical Paper (Appendix 12 Part 1) have been achieved.

3(a) sites undamaged 19 Compliant 3(b) Grinding Groove 2 damaged, remediated - remediation report sighted (Umwelt, 2016)

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Management of Heritage Items

Aboriginal Cultural Heritage Management Plan West Wallsend Colliery (2012). Section 8.2 Section 8.3 Section 8.4 Prior to carrying out any development on site that could impact the heritage items identified in Table 4 of Section 8.5 Appendix 4, the Proponent shall undertake the management and mitigation measures identified in section 8.4 20 Section 8.6 of the EA Technical Paper (Appendix 12 Part 1) in consultation with the relevant Aboriginal stakeholders, and in Section 8.7 Compliant accordance with methodologies approved by the Secretary. Section 8.8 Section 8.9 Appendix 5 Appendix 6 Appendix 7 Note: The methodologies for the management and mitigation measures are to be outlined in the Heritage Appendix 8 Management Plan that forms part of the Extraction Plans. Transport

Monitoring of Coal Transport The Proponent shall: This information is available within the Annual Reviews for 2013, 2014, 2015 which are 21 (a) Keep accurate records of the amount of coal transported from the site (on a monthly basis); and Compliant available on the WWC website. (b) Make these records publicly available on its website at the end of each calendar year. Wakefield Road Intersection The Proponent shall ensure that the intersection of the Mine Services Facility site access road and Wakefield Road is: 22 (a) Constructed prior to the construction of the Mine Services Facility; MSF not constructed. Not Triggered (b) Not constructed until the intersection designs are approved by Council; and (c) Constructed and maintained to the satisfaction of Council. Traffic Management Plan The Proponent shall prepare and implement a Traffic Management Plan for the site to the satisfaction of Council. The plan shall focus on traffic management along Wakefield Road to minimise potential conflicts between road users and to ensure that the intersection of the Mine Services Facility access road and Wakefield 23 MSF not constructed. Not Triggered Road is operating effectively. The plan must be developed in consultation with the Council and the CCC, and must be submitted for the approval of the Secretary prior to the commencement of construction of the Mine Services Facility. Visual

Visual Amenity

The Proponent shall: During the 2012 report period, OCAL conducted a Lighting Audit at WWC in accordance (a) Implement all reasonable and feasible measures to minimise the visual and off-site lighting impacts of the with Australian Standard 4282. The audit found that all lighting associated with the project; operation complied with the standard. No major changes occurred to the sites lighting 24 Compliant (b) Ensure no unshielded outdoor lights shine above the horizontal; and infrastructure have been noted in Annual Reviews 2013, 2014, 2015. (c) Ensure that all external lighting associated with the project complies with Australian Standard AS4282 (INT) 1995 – Control of Obtrusive Effects of Outdoor Lighting, to the satisfaction of the Secretary. No complaints received during audit period.

Waste

The Proponent shall: a) JR Richards Contract (a) Minimise and monitor the waste generated by the project; b) verified onsite 25 (b) Ensure that the waste generated by the project is appropriately stored, handled and disposed of; Compliant c) adherence with council requirements ongoing (c) Manage on-site sewage treatment and disposal in accordance with the requirements of Council; and d) Section 2.4 AR 2013, Section 2.4 AR 2014, Section 6.6.8 AR 2015. (d) Report on waste management and minimisation in the Annual Review, to the satisfaction of the Secretary.

Bushfire The Proponent shall: OCAL Bushfire Management Plan, September 2012 (Eco-logical) (a) Ensure that the project is suitably equipped to respond to fires on site; and 26 Compliant (b) Assist the Rural Fire Service and emergency services as much as possible if there is a fire in the vicinity of No fire incidents within audit period. the site.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Rehabilitation

Rehabilitation Objectives

The Proponent shall rehabilitate the site to the satisfaction of the Executive Director Mineral Resources. This 27 rehabilitation must be generally consistent with the proposed rehabilitation strategy described in the EA, and comply with the objectives in Table 10.

Complete relinquishment of the site has not yet occurred - remediation activities have not yet commenced - still in planning phase.

REMP, 2012-2018 consistent with the rehabilitation objectives

OCAL Complex Closure MOP, SLR 2016, which covers the activities associated with the closure and finalisation of the site, is currently approved conditionally by DRE.

SLR Consulting Australia has been engaged by OCAL to complete a detailed closure plan for the OCAL complex. The Detailed Closure Plan is approximately 30% complete. Works Compliant undertaken to date include: · Completion of a knowledge gap analysis; · Constraints and opportunities for all technical areas have been completed; · Concept design has commenced for the Tailings area and REA; · The legal requirements register has been completed in draft form; · The employee and supplier survey (currently underway); · The communities beneficiaries survey (currently underway); Notes to Table 10: · The hydro geological model development (in progress); and - These rehabilitation objectives apply to all subsidence impacts and environmental consequences caused by · The development of the contamination, sampling and analysis strategy (currently mining taking place after the date of this approval; and to all project surface infrastructure part of the underway). project, whether constructed prior to or following the date of this approval. - Rehabilitation of subsidence impacts and environmental consequences caused by mining which took place prior to the date of this approval may be subject to the requirements of other approvals (e.g. under a mining lease or an Subsidence Management Plan approval) or the Proponent’s commitments.

Progressive Rehabilitation

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the conservation area.

Remediation did continue in the SSCA in terms of natural fill, where access could be made (i.e. tracks), LW 43 cracking (significant amount of material used to rehab site) etc. See Subsidence Remediation Update, Glencore March 2016.

In the background numerous trials where undertaken and methods assessed to remediation i.e. urea-silicate, bark blower. See Subsidence Remediation Investigation Report, SLR 2016.

The Proponent shall carry out the rehabilitation of the site progressively, that is, as soon as reasonably 28 Golder were commissioned to look at best contractors to undertake the work, see WWC Compliant practicable following disturbance. Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

Given it was not "practicable" to continue grouting while there was a risk of further spills this has been found compliant.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Rehabilitation Management Plan OCAL Complex Closure MOP, SLR 2016 The Proponent shall prepare and implement a Rehabilitation Management Plan for the project, to the 29 WWC Rehabilitation and Environmental Management Plan, July 2012 - July 2018 Compliant satisfaction of the Executive Director Mineral Resources. This plan must: Approvals sighted as above

Section 1.4.2, WWC Rehabilitation and Environmental Management Plan, July 2012 - July 2018

Consultation process included in Section 1.5 of the OCAL Complex Closure MOP, SLR 2016. Be prepared in consultation with the Department, OEH, NOW, Council and the CCC, and be submitted to the Public Safety meeting minutes sighted (including DRE, OEH, NPWS) from 26/10/15 where (a) Executive Director Mineral Resources in DRE for approval within 6 months of this approval, or as otherwise Compliant closure and closure MOP discussed agreed with the Secretary; IRC meeting minutes (OEH, NOW/DPI Water, LMCC, DRE) sighted from 21/3/2016 where closure and closure MOP discussed

CCC meeting 25/5/2016 minutes sighted to verify discussion/update of mine closure.

OCAL Complex Closure MOP, SLR 2016 conditionally approved January 2016. Be prepared in accordance with any relevant DRE guideline, and be consistent with the rehabilitation (b) Compliant objectives in the EA and in Table 10; Sections 1 and 4.2.1, WWC Rehabilitation and Environmental Management Plan, July 2012 - July 2018 Section 3, WWC Rehabilitation and Environmental Management Plan, July 2012 - July (c) Build, to the maximum extent practicable, on the other management plans required under this approval; and Compliant 2018 OCAL Complex Closure MOP, SLR 2016. Address all aspects of rehabilitation and mine closure, including final land use assessment, rehabilitation (d) Section 4, WWC Rehabilitation and Environmental Management Plan, July 2012 - July Compliant objectives, domain objectives, completion criteria and rehabilitation monitoring. 2018 OCAL Complex Closure MOP, SLR 2016 encompasses the West Wallsend Colliery (WWC), the Macquarie Coal Preparation Plant (MCPP), the former open cut, Westside Mine and the former Teralba Colliery (Northgate and Southgate sites).

SLR Consulting Australia has been engaged by OCAL to complete a detailed closure plan for the OCAL complex. The Detailed Closure Plan is approximately 30% complete. Works undertaken to date include: Note: The Rehabilitation Management Plan should address all land impacted by the project, whether prior to · Completion of a knowledge gap analysis; Compliant or following the date of this approval. · Constraints and opportunities for all technical areas have been completed; · Concept design has commenced for the Tailings area and REA; · The legal requirements register has been completed in draft form; · The employee and supplier survey (currently underway); · The communities beneficiaries survey (currently underway); · The hydro geological model development (in progress); and · The development of the contamination, sampling and analysis strategy (currently underway).

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Remeditiation Trial

Surface Cracking Field Trial and associated report undertaken and submitted to OEH and DPI.

Results of field trial submitted to DPI and OEH.

Secondary trial undertaken and procedure updated - updated version procedure submitted to OEH Prior to the commencement of secondary extraction in either Long wall 51 or Long wall 52, the Proponent Not Compliant 30 shall, in consultation with OEH, complete a field trial of the revised surface cracking remediation procedures Not able to verify satisfaction of secretary prior to commencement of LW 51 and 52, Administrative to be used at the project, to the satisfaction of the Secretary. however have sighted submission of trial results.

Cementation Grouting Procedure for Subsidence Remediation (V1) approved by OEH in consultation with DRE.

Grout remediation trial at Westside. Letter from DP&E confirms completion of trial 13 October 2015. Satisfaction of Minister provided same letter dated 5-08-16. Mining of LW51 commenced 9 October 2015.

Schedule 5 - Additional Procedures

Notification of Landowners 1 As soon as practicable after obtaining monitoring results showing: Notification letter dated 9/6/2015 sighted following noise exceedence event 2/6/2015 An exceedance of any relevant criteria in Schedule 4, the Proponent shall notify affected landowners in writing (a) Compliant of the exceedance, and provide regular monitoring results to each affected landowner until the project is again complying with the relevant criteria; and

An exceedance of any relevant air quality criteria in Schedule 4, the Proponent shall send a copy of the NSW Air quality exceedence event deemed not attributable to mining operations therefore not (b) Not Triggered Health fact sheet entitled “Mine Dust and You” (as may be updated from time to time) to the affected triggered. landowners and/or existing tenants of the land (including the tenants of any mine-owned land). Independent Review If an owner of privately-owned land considers the project to be exceeding the relevant criteria in Schedule 4, then he/she may ask the Secretary in writing for an independent review of the impacts of the project on his/her land. If the Secretary is satisfied that an independent review is warranted, then within 2 months of the Secretary’s decision the Proponent shall: (a) Commission a suitably qualified, experienced and independent person, whose appointment has been 2 approved by the Secretary, to: - Consult with the landowner to determine his/her concerns; - Conduct monitoring to determine whether the project is complying with the relevant criteria in Schedule 4; and - If the project is not complying with these criteria then identify the measures that could be implemented to ensure compliance with the relevant criteria; and (b) Give the Secretary and landowner a copy of the independent review. If the independent review determines that the project is complying with the relevant criteria in Schedule 4, No such event occurred during the audit period. Not Triggered then the Proponent may discontinue the independent review with the approval of the Secretary. If the independent review determines that the project is not complying with the relevant impact assessment criteria in Schedule 4, and that the project is primarily responsible for this non-compliance, then the Proponent 3 shall: (a) Implement all reasonable and feasible mitigation measures, in consultation with the landowner and appointed independent person, and conduct further monitoring until the project complies with the relevant criteria; or (b) Secure a written agreement with the landowner to allow exceedances of the relevant criteria, to the satisfaction of the Secretary. If the independent review determines that any relevant acquisition criteria in Schedule 4 are being exceeded and that the project is primarily responsible for this non-compliance, then upon receiving a written request from the landowner, the Proponent shall acquire all or part of the landowner’s land in accordance with the procedures in conditions 4-5 below. Land Acquisition Within 3 months of receiving a written request from a landowner with acquisition rights, the Proponent shall 4 make a binding written offer to the landowner based on: The current market value of the landowner’s interest in the land at the date of this written request, as if the land was unaffected by the project, having regard to the: - Existing and permissible use of the land, in accordance with the applicable planning instruments at the date of the written request; and (a) - Presence of improvements on the land and/or any approved building or structure which has been physically commenced on the land at the date of the landowner’s written request, and is due to be completed subsequent to that date, but excluding any improvements that have resulted from the implementation of any additional mitigation measures undertaken by the Proponent on the land;

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk The reasonable costs associated with: - Relocating within the Lake Macquarie local government area, or to any other local government area (b) determined by the Secretary; and - Obtaining legal advice and expert advice for determining the acquisition price of the land, and the terms upon which it is to be acquired; and (c) Reasonable compensation for any disturbance caused by the land acquisition process. If the Proponent and landowner cannot agree on the acquisition price of the land and/or the terms upon which the land is to be acquired within 28 days after the Proponent makes its written offer, then either party may refer the matter to the Secretary for resolution. Upon receiving such a request, the Secretary will request the President of the NSW Division of the Australian Property Institute to appoint a qualified independent valuer to: No such event occurred during the audit period. Not Triggered - Consider submissions from both parties; - Determine a fair and reasonable acquisition price for the land and/or the terms upon which the land is to be acquired, having regard to the matters referred to in paragraphs (a)-(c) above; - Prepare a detailed report setting out the reasons for any determination; and - Provide a copy of the report to both parties. Within 14 days of receiving the independent valuer’s report, the Proponent shall make a binding written offer to the landowner to purchase the land at a price not less than the independent valuer’s determination.

However, if either party disputes the independent valuer’s determination, then within 14 days of receiving the independent valuer’s report, they may refer the matter to the Secretary for review. Any request for a review must be accompanied by a detailed report setting out the reasons why the party disputes the independent valuer’s determination. Following consultation with the independent valuer and both parties, the Secretary will determine a fair and reasonable acquisition price for the land, having regard to the matters referred to in paragraphs (a)-(c) above, the independent valuer’s report, the detailed report disputing the independent valuer’s determination, and any other relevant submissions. Within 14 days of this determination, the Proponent shall make a binding written offer to the landowner to purchase the land at a price not less than the Secretary’s determination. If the landowner refuses to accept the Proponent’s binding written offer under this condition within 6 months of the offer being made, then the Proponent's obligations to acquire the land shall cease, unless the Secretary determines otherwise. The Proponent shall pay all reasonable costs associated with the land acquisition process described in 5 condition 4 above, including the costs associated with obtaining Council approval for any plan of subdivision No such event occurred during the audit period. Not Triggered (where permissible), and registration of this plan at the Office of the Registrar-General.

Schedule 6 - Environmental Management, Monitoring and Reporting

Environmental Management

Environmental Management Strategy The Proponent shall prepare and implement an Environmental Management Strategy for the project to the West Wallsend Underground Environmental Management Framework, May 2016 1 Compliant satisfaction of the Secretary. This strategy must: Sighted approval letter dated 4/11/15, from Howard Reed Outside audit period (a) Be submitted to the Secretary for approval within 6 months of this approval; Not Triggered The Environmental Management Framework West Wallsend Colliery (Xstrata Coal, March 2013) was submitted to DP&I, and the EPA branch of OEH on 24 July 2012. Section 1.4, West Wallsend Underground Environmental Management Framework, May (b) Provide the strategic framework for environmental management of the project; Compliant 2016 Section 2.1, West Wallsend Underground Environmental Management Framework, May (c) Identify the statutory approvals that apply to the project; Compliant 2016 Describe the role, responsibility, authority and accountability of all key personnel involved in the Section 1.6, West Wallsend Underground Environmental Management Framework, May (d) Compliant environmental management of the project; 2016

Describe the procedures that would be implemented to: - Keep the local community and relevant agencies informed about the operation and environmental performance of the project; Sections 3.2, 4.33, 4.35, 3.42 of West Wallsend Underground Environmental Management (e) - Receive, handle, respond to, and record complaints; Compliant Framework, May 2016 - Resolve any disputes that may arise during the course of the project; - Respond to any non-compliance; - Respond to emergencies; and

Section 3.41, West Wallsend Underground Environmental Management Framework, May (f) Be integrated with strategies, plans and programs approved under the conditions of this approval; and Compliant 2016 Include a clear plan depicting all the monitoring required to be carried out under the conditions of this Appendix 1, West Wallsend Underground Environmental Management Framework, May (g) Compliant approval. 2016

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Management Plan Requirements The Proponent shall ensure that the management plans required under this approval are prepared in 2 Verified in the following; accordance with any relevant guidelines, and include: WWC Surface Water Management Plan May 2016, Section 3 LW51 and LW52 Biodiversity Management Plan, 4.0 and Appendix 2 West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Sections (a) Detailed baseline data; 2.2, 3.2 Compliant West Wallsend Underground Noise Management Plan, Appendix 5

A description of: WWC Surface Water Management Plan May 2016 - Section 4 and 6 in particular - The relevant statutory requirements (including any relevant approval, licence or lease conditions); LW51 and LW52 Biodiversity Management Plan, sections 2 and 7 (b) - Any relevant limits or performance measures/criteria; West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Section Compliant - The specific performance indicators that are proposed to be used to judge the performance of, or guide the 2.3 implementation of, the project or any management measures; West Wallsend Underground Noise Management Plan, Sections 2, 4, 7.1 WWC Surface Water Management Plan May 2016, Section 4.6.1 LW51 and LW52 Biodiversity Management Plan, Section 6.0 A description of the measures that would be implemented to comply with the relevant statutory (c) West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Sections Compliant requirements, limits, or performance measures/criteria; 2.4 and 3.4 West Wallsend Underground Noise Management Plan, Section 5 WWC Surface Water Management Plan May 2016, Section 7 A program to monitor and report on the: LW51 and LW52 Biodiversity Management Plan, Section 7.0 (d) - Impacts and environmental performance of the project; West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Sections Compliant - Effectiveness of any management measures (see (c) above); 2.5 and 3.5 West Wallsend Underground Noise Management Plan, Sections 7.1 and 7.3 WWC Surface Water Management Plan May 2016, Section 7.3 LW51 and LW52 Biodiversity Management Plan, Section 8.0 A contingency plan to manage any unpredicted impacts and their consequences and to ensure that ongoing (e) West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Sections Compliant impacts reduce to levels below relevant impact assessment criteria as quickly as possible; 2.6.2 and 3.6.3 West Wallsend Underground Noise Management Plan, Sections 7.3 and 7.4 WWC Surface Water Management Plan May 2016, Section 7 LW51 and LW52 Biodiversity Management Plan, Section 8.4 A program to investigate and implement ways to improve the environmental performance of the project over (f) West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Sections Compliant time; 2.4.3 and 3.4 West Wallsend Underground Noise Management Plan, Sections 5.2 and 8 WWC Surface Water Management Plan May 2016, Section 7 A protocol for managing and reporting any: Community Complaint Procedure in addition, as well as PIRMP - Incidents; LW51 and LW52 Biodiversity Management Plan, Section 8.0 (g) - Complaints; Compliant West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Sections - Non-compliances with conditions of this approval and statutory requirements; and 2.6 and 3.6 - Exceedances of the impact assessment criteria and/or performance criteria; and West Wallsend Underground Noise Management Plan, Section 7.0 WWC Surface Water Management Plan May 2016, Section 8 LW51 and LW52 Biodiversity Management Plan, Section 8.3 (h) a protocol for periodic review of the plan. West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, Sections Compliant 4.0 West Wallsend Underground Noise Management Plan, Section 8 Note: The Secretary may waive some of these requirements if they are unnecessary or unwarranted for particular management plans. Adaptive Management The Proponent must assess and manage project-related risks to ensure that there are no exceedances of the criteria and/or performance measures in Schedules 3 and 4. Any exceedance of these criteria and/or 3 Noted. Noted performance measures constitutes a breach of this approval and may be subject to penalty or offence provisions under the EP&A Act or EP&A Regulation.

Where any exceedance of these criteria and/or performance measures has occurred, the Proponent must, at a) As seen in incident response reports (eg. pit-top dam upgrades) the earliest opportunity: b) As seen in incident response reports (a) Take all reasonable and feasible steps to ensure that the exceedance ceases and does not recur; c) As demonstrated for the 2013 grout incident, sighted corres pondence including Compliant (b) Consider all reasonable and feasible options for remediation (where relevant) and submit a report to the directions, responses, etc. Department describing those options and any preferred remediation measures or other course of action; and (c) Implement remediation measures as directed by the Secretary, to the satisfaction of the Secretary.

Annual Review By the end of March each year (or other such timing as agreed by the Secretary), the Proponent shall submit a 4 review of the environmental performance of the project to the satisfaction of the Director- General. This review must: AR 2013: Sections 2.0, 3.13.5, 5.0 and 6.0 describe the works (including any rehabilitation) carried out in the past calendar year, and the works proposed (a) AR 2014: Sections 2.0, 3.13.5, 5.0 and 6.0 Compliant to be carried out over the current calendar year; AR 2015: Section 4.0 and 8.0

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk AR 2013: Section 3.0 and 4.0 include a comprehensive review of the monitoring results and complaints records of the project over the past AR 2014: Section 3.0 and 4.0 calendar year, which includes a comparison of these results against the: AR 2015: Sections 6,7,8,9,11 (b) - Relevant statutory requirements, limits or performance measures/criteria; Not Compliant E 3 Low No review against predictions in the EA for water or air quality in the 2014 AR. - Monitoring results of previous years; and Not Administrative as the review of predictions against the EA is a key adaptive - Relevant predictions in the EA management action. AR 2013: Section 4.0, 3.13.5 Identify any non-compliance over the past calendar year, and describe what actions were (or are being) taken (c) AR 2014: Section 4.0, 3.13.5 Compliant to ensure compliance; AR 2015: Section 11 AR 2013: Section 3.0 (d) Identify any trends in the monitoring data over the life of the project; AR 2014: Section 3.0 Compliant AR 2015: Sections 6,7,8 AR 2013: Section 3.0 and 4.0 Identify any discrepancies between the predicted and actual impacts of the project, and analyse the potential (e) AR 2014: Section 3.0 and 4.0 Compliant cause of any significant discrepancies; and AR 2015: Section 11 AR 2013: Sections 3.0 (in particular 3.13.5), and 6.0 Describe what measures will be implemented over the current calendar year to improve the environmental (f) AR 2014: Sections 3.0 (in particular 3.13.5), and 6.0 Compliant performance of the project - need to check AR 2015: Sections 6,7,8 Revision of Strategies, Plans and Programs Within 3 months of: (a) The submission of an annual review under condition 4 above; Sighted Management Plan Revision Notification letter submitted to DP&E in accordance (b) The submission of an incident report under condition 7 below; with this condition for 2013, 2014 and 2015. 5 (c) The submission of an audit report under condition 9 below; and Compliant (d) Any modification to the conditions of this approval (unless the conditions require otherwise), the Proponent shall review, and if necessary revise, the strategies, plans, and programs required under this approval to the satisfaction of the Secretary. Note: This is to ensure the strategies, plans and programs are updated on a regular basis, and incorporate This was noted, however the audit did not require a finding to be made on this point. Noted any recommended measures to improve the environmental performance of the project. Community Consultative Committee

Initial establishment of CCC outside of audit period.

The Proponent shall establish and operate a Community Consultative Committee (CCC) for the project in WWC established a Community Consultative Committee (CCC) in accordance with the general accordance with the Guidelines for Establishing and Operating Community Consultative Committees Guidelines for Establishing and Operating Community Consultative Committees for Mining for Mining Projects (Department of Planning, 2007, or its latest version), or alternative consultative framework Projects (Department of Planning, 2007, or its latest version) during the 2012 report Compliant as may be agreed by the Secretary, to the satisfaction of the Director- General. This CCC or alternative period. framework must be operating within 6 months of this approval. West Wallsend Colliery Community Consultative Committee meeting minutes available 6 for November 2013, April 2014, November 2014, May 2015, February 2016 meetings.

Notes: - The CCC is an advisory committee. The Department and other relevant agencies are responsible for ensuring that the Proponent complies with this approval. - The Committee should be comprised of an independent chair and appropriate representation from the This was noted, however the audit did not require a finding to be made on this point. Noted Proponent, Council and the local community. - In establishing the CCC, the Department will accept the continued representation from existing CCC members. Reporting

Incident Reporting

The Proponent shall notify, at the earliest opportunity, the Secretary and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment. For any other incident associated with the project, the Proponent shall notify the Secretary and any other Sighted notification correspondence and formal reports submitted to EPA and DP&E for 7 Compliant relevant agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of incidents within audit period. the date of the incident, the Proponent shall provide the Secretary and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.

Regular Reporting The Proponent shall provide regular reporting on the environmental performance of the project on its website, 8 in accordance with the reporting arrangements in any plans or programs approved under the conditions of this Monthly EPL monitoring data and quarterly noise reports are available on WWC website. Compliant approval.

PA 09_0203 Oceanic Coal Australia Pty Ltd West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Independent Environmental Audit

By the end of June 2013 (or other such timing as agreed by the Secretary), and every 3 years thereafter, unless 9 the Secretary directs otherwise, the Proponent shall commission and pay the full cost of an Independent Environmental Audit of the project. This audit must:

Be conducted by a suitably qualified, experienced and independent team of experts whose appointment has (a) been endorsed by the Secretary; (b) Include consultation with the relevant agencies; Assess the environmental performance of the project and assess whether it is complying with the (c) requirements in this approval and any relevant EPL or Mining Lease (including any assessment, plan or IEA completed in 2013 (AECOM). program required under these approvals); Compliant This IEA. (d) Review the adequacy of strategies, plans or programs required under the above mentioned approvals; and recommend measures or actions to improve the environmental performance of the project, and/or any (e) strategy, plan or program required under these approvals. Note: This audit team must be led by a suitably qualified auditor and include experts in any field specified by the Secretary. Within 6 weeks of the completion of this audit, or as otherwise agreed by the Secretary, the Proponent shall 10 submit a copy of the audit report to the Secretary, together with its response to any recommendations contained in the audit report. Access to Information

From the end of April 2012, the Proponent shall: (a) Make copies of the following publicly available on its website: - The EA; - All current relevant statutory approvals for the project; - Approved strategies, plans and programs required under the conditions of this approval; - A comprehensive summary of the monitoring results of the project, which have been reported in accordance 11 with the various plans and programs approved under the conditions of this approval; Verified on WWC website. Compliant - A complaints register, which is to be updated on a monthly basis; - Minutes of CCC meetings; - The annual reviews of the project; - Any independent environmental audit, and the Proponent’s response to the recommendations in any audit; - Any other matter required by the Secretary; and (b) Keep this information up-to-date, to the satisfaction of the Secretary.

PA 09_0203 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk WWC Statement of Commitments (Mod 1)

Environmental Management

The Statement of Commitments included in the EA has been revised to consider the issues raised in the response to submissions. The revised Statement of Commitments details the measures proposed by West This was noted, however the audit did not require a finding to be made on this point. Noted Wallsend Colliery (WWC) for environmental mitigation, management and monitoring of the Project.

6.1 Compliance with the EA To carry out the development for the Project generally in accordance with the project approval conditions, Document review and site inspection found that the site was generally in accordance with 6.1.1 Compliant Project Application and EA report. the PA and EA report. Surrender of Redundant Development Consents

WWC will surrender all other development consents that relate to activities that are 6.1.2 Sighted letter from DPI acknowledging surrender of old consents, signed 17/12/13. Compliant adequately covered in the new project approval, in accordance with the new project approval conditions.

Lease Arrangements WWC will obtain all necessary licence/lease arrangements from Lake Macquarie City Council prior to the 6.1.3 MSF not constructed. Not Triggered construction of the Mining Services Facility. 6.2 Life of Mine Operations, Production and Concept Mine Plan

Project Life The project approval life will be for 15 years from Project Approval. Closure and rehabilitation activities will be undertaken in accordance with an approved Mining Operations Plan, or other relevant approval under the 6.2.1 15 years has not passed. Not Triggered Mining Act or equivalent, at the time of closure. These works may extend beyond the 15 year operations approval life. Production Limits 2013 AR: 3.8 million tonnes ROM 6.2.2 The Project will produce up to 5.5 Mtpa of ROM coal. 2014 AR: 3.4 million tonnes ROM Compliant 2015 AR: 1.85 million tonnes ROM Hours of Operation Noted thought he site at the toime of the audit was only operatinf a day shift and no coal 6.2.3 Mining and associated activities for the Project may be undertaken 24 hours a day, seven days a week. Compliant extraction was occurring due to the shutdown. Construction of the Mining Surfaces Facility will generally be undertaken between 7.00 am and 6.00 pm daily. 6.2.4 Construction activities may occur outside these hours when WWC is satisfied that such activities are inaudible MSF not constructed. Not Triggered at nearest private residences. Mine Plan Modifications

WWC has committed to modifying the mine plan to avoid secondary extraction in the lower reaches of Diega 6.2.5 Creek that are in areas with a depth of cover less than 80 metres and contain Alluvial Tall Moist Forest within Incorporated into approval. Compliant Long wall 41 and 42 (refer to Appendix 2 of Project Approval).

WWC will remove areas less than 80 metres depth of cover from the mine plan within Long walls 42, 43 and 47 6.2.6 Consent modified to exclude the areas of shallow cover. Compliant in the Diega Creek catchment (refer to Appendix 2 of Project Approval). WWC will reduce the long wall void width within the northern extents of Long walls 42 and 43 to 6.2.7 Mine Plan modified to satisfy this commitment. Compliant approximately 115 metres (refer to Appendix 2 of Project Approval). Refinement of Mine Plan LW 40 outside audit period WWC will install an extensometer in Long wall 40 to provide further information in relation to the height of 6.2.8 fracturing above Long wall 40. WCC will consider the outcomes of this monitoring prior to commencement of Compliant However results from LW 40 indicated installation extensometer was not required for 42, long wall mining in areas less than 100 metres depth of cover within Long walls 42, 43 and 47. 43 and 47 was not mined. IRC established. IRC meeting minutes sighted for Sept 2014 and 21/3/2016. WWC will establish an Independent Review Committee, in consultation with DP&I and OEH to monitor the progress of mining operations within the Diega Creek and Palmers Creek catchments. This Committee would 6.2.9 IRC minutes also sighted for 23/3/2015, including apologies from independent chair as Compliant include representatives from relevant government agencies, WWC and include involvement and review by well as attendance of DPI Water and OEH. appropriate subsidence experts. Subsidence specialist in attendance also. 6.3 Subsidence

Long walls 42 and 43 Extraction and Subsidence Management Plan (December 2013) Long wall 44 & 45 Extraction Plan and Subsidence Management Plan (March 2013) 6.3.1 A comprehensive Extraction Plan will be developed for the Project in accordance with the project approval. Long wall 46 Extraction Plan and Subsidence Management Plan (September 2014) Compliant LW 51 and LW 52 Extraction Plan (May 2015)

PA 09_0203 Statement of Commitments Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the conservation area.

Remediation did continue in the park in terms of natural fill, where access could be made (i.e. tracks), LW 43 cracking (significant amount of material used to rehab site) etc. See Subsidence Remediation Update, Glencore March 2016.

In the background numerous trials where undertaken and methods assessed to remediation i.e. urea-silicate, bark blower. See Subsidence Remediation Investigation Report, SLR 2016.

Remediation and rehabilitation of mining related subsidence impacts will be carried out, as detailed in Section 6.3.2 Golder were commissioned to look at best contractors to undertake the work, see WWC Compliant 5.2.4 of the EA, as soon as practicable following subsidence. Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

Given it was not "practicable" to continue grouting while there was a risk of further spills this has been found compliant.

A detailed Subsidence Survey Monitoring Program has been developed for the Project and is outlined in Appendix of extraction plans. 6.3.3 Appendix 5 of the EA. The monitoring program will be implemented and the results used to refine the ongoing Compliant Summary of data submitted in EOP Reports management of subsidence as the Project progresses. 6.4 Ecology In the event that significant impacts on identified ecological values are identified and cannot be adequately remediated, WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset LW 41 VBM only significant impact to date, this occurred in October 2012, outside of Strategy in consultation with OEH and DP&I. Given that such areas are likely to be minor in area, it is proposed audit period. 6.4.1 Not Triggered that rather than focussing on land base offsetting, this strategy could focus on ‘in kind’ offsetting by remediation or rehabilitation of equivalent areas of disturbed or poor condition vegetation within the No significnt impacts requiring offsetting in the audit period. Sugarloaf State Conservation Area (SSCA). Evidence of this was sited through the audit. There was some conjecture over the application of this commitment from OEH - NPWS and the target of the funding has been WWC will undertake remediation works within the SSCA to a value of $50,000 per annum over the life of the renegotiated for 2016. 6.4.2 Compliant Project, in consultation with OEH. To be clear, at the time of the audit this requirement was compliant under the original funding of rehabilitation works in the SSCA or with the new targeted funding of works not necessarilly focussed on mining impacts in the SSCA. Annual Biodiversity Monitoring Report 2013, 2014 and 2015 The results of the ecological monitoring and management measures will be reviewed annually and reported in 6.4.3 Compliant the AEMR. Management measures will be adapted, as required, on the basis of monitoring outcomes. Annual Reviews 2013, 2014 and 2015 report summarised results of biodiversity monitoring program. 6.5 Groundwater

WWC will continue to maintain the existing groundwater monitoring network and also undertake regular Groundwater monitoring continues as outlined in Section3.4.1 AR 2013, Section 3.4.1 AR 6.5.1 analysis of groundwater monitoring data to compare predicted and actual groundwater impacts. This will Compliant 2014 and 7.2.3 AR 2015. include groundwater make in the underground operations.

Prior to commencement of long wall mining in Long wall 46, WWC will review the need for establishment of Installation of additional alluvium bores, in consultation with OEH required as part of 6.5.2 Compliant alluvial monitoring in Diega Creek and Central Creek in consultation with NOW and to the satisfaction of DP&I. Extraction Plan LW 46 - Water Management Plan.

In accordance with the Project Approval Statement of Commitments, the Water Management Plan for LW46 was updated to include 2 piezometers in the Diega Creek alluvium in consultation with NOW. The piezometers have been installed and are currently being monitored in accordance with the approved LW46 Water Management Plan. The monitoring network and monitoring program will be reviewed on an annual basis to determine ongoing 6.5.3 One new alluvial groundwater monitoring bore (P5) was added to the existing Alluvial Compliant suitability and any proposed changes will be discussed in the Annual Review. Aquifer/Fractured Rock monitoring network of Diega, Ryhope, Palmers Creek in July 2015, as required by the LW 51 and LW 52 WMP. The updated groundwater quality monitoring program for LW 51 and LW 52 commenced in October 2015.

Water monitoring reviewed in 2013 (Section 3.3.1), 2014 (Section 3.3.1) and 2015 (Section 7.2.1) Annual Reviews

6.6 Surface Water Initial Surface Water Management Plan submitted outside of audit period. WWC will submit an updated Surface Water Management Plan for the Project, as outlined in the approval 6.6.1 Compliant conditions. Currently operating under West Wallsend Colliery Surface Water Management Plan, May 2016

PA 09_0203 Statement of Commitments Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk The existing Water Management System will continue to be used to control and treat runoff from the WWC pit- 6.6.2 top site with surface runoff directed to the water management system dams for use as dust suppression or Section 4.1, WWC Surface Water Management Plan, May 2016 Compliant discharge. WWC will complete a series of investigations within 12 months of Project Approval, including: - A more detailed desktop investigation of the various salt concentrations at other Xstrata operations and relevance to WWC; 6.6.3 Occurred outside audit period. Compliant - Trailing shandying percentages based on the more detailed investigations of salts; and - Determining the most appropriate shandying percentage taking into consideration potential water quality impacts on the life and maintenance of the underground mining equipment. The optimal water re-use strategy confirmed by the investigations will be implemented within two years of Sighted letter from DP&E accepting commitment to conditions 6.6.3 and 6.6.4 - letter Project Approval. If the investigations indicate that shandying potable water with mine water for re-use on site dated 11/9/2015. 6.6.4 Compliant is not viable, WWC will investigate the feasibility of other options for mine water treatment and re-use e.g. reverse osmosis. Section 5.2.1, WWC Surface Water Management Plan, May 2016 A comprehensive monitoring regime will be implemented to monitor drainage lines and the locations 6.6.5 identified in Figure 5.12 of the EA for potential subsidence impacts. Monitoring procedures will include: Monitoring of vertical and horizontal subsidence along order drainage lines as determined in consultation with the DRE; Monitoring, measuring and recording (e.g. photographic records) of the extent and magnitude of any surface cracking along the second order drainage line and first order drainage lines in depths of cover less than 100 metres that may occur during and post mining operations. If works are required (sealing of cracks), methods approved by the OEH and DRE would be adopted; Visual inspection and recording of stream bed and bank condition and riparian vegetation along the second order drainage line, including collection of baseline data and monitoring during and post mining operations;

Monitoring of geomorphologic response of each watercourse to the predicted subsidence, as follows: prior to mining review the potential geomorphological response of each watercourse to the predicted subsidence using the guidelines included in River Hydrology and Energy Relationships – Design Notes for the Mining Industry published by Department of Water and Energy (November 2007) and the methods described below; The DRAFT West Wallsend Colliery Watercourse Stability Assessment (Umwelt, 2012) For each watercourse within the continued underground mining area: satisfies these conditions. Compliant - Describe the existing (i.e. pre-mining) watercourse characteristics including bed controls using approaches outlined in AUSRIVAS (Australian River Assessment System); - Calculate the stream power for the existing and predicted subsidence conditions; - Determine threshold limits of stream power for incision and bed load deflation, taking into consideration existing stream stability, surface and substrate soil conditions and stream grades; Refine the monitoring program, including monitoring of: - Any bed control points; - Areas where subsidence may increase the stream power above the determined threshold limits potentially causing channel erosion/instability; - Monitoring may include long section and cross section surveys, photographic records and/or methods outlined in AUSRIVAS; Investigate and implement any remediation required to mitigate potential impacts of changes in stream power as a result of underground mining activities; During and post mining, monitor watercourses, in accordance with the developed monitoring program; and Ongoing monitoring and maintenance will be necessary for any areas requiring surface mitigation works to facilitate effective rehabilitation. 6.7 Air Quality

Note: when the audit took place the site was not in operation, it is therefore difficult to verify these conditions. WWC will continue to implement existing dust controls, including: Compliance was verified in previous IEA from site visit interviews and observations. Not able to be 6.7.1 Verified The use of manually-operated water sprays for unpaved areas and for the paved ring road at the WWC pit-top, Sighted during audit visit. used by trucks transporting coal to MCPP via the private haul road; Periodic sweeping of the haul road and other paved areas to reduce road surface silt loadings; and Road was swept when mine was in operation. Use of loading flaps during truck loading at the surface bin to restrict dust. Trucks not loaded anymore - not relevant

PA 09_0203 Statement of Commitments Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk 6.8 Noise

11/9/2013 - R6 on the evening of 11 September 2013. WWC generated a site only LAeq of 36 dB, exceeding the impact assessment criteria by 1dB. An exceedance of 1 dB is not considered significant, as outlined by Chapter 11 of the EPA Industrial Noise Policy (DECC, 2000), which deems a development to be non-compliant only when an exceedance of more than 2dB above the statutory noise limit has been identified.

3/12/2014 - During the evening period a WWC specific LAeq,15minute result of 43dB was measured at location R4. The project specific criterion for this site is 41dB (2dB Noise emissions from the Project, when measured within 30 metres of a private residence, will not exceed the exceedance). 6.8.1 criteria outlined in the project approval, unless a specific agreement is reached with the landholder in regard As specified in Chapter 11 of the Industrial Noise Policy (INP), a development will only be Not Compliant E 1 Medium to noise impacts at that residence. deemed to be in non-compliance with a noise consent if the monitored level is more than 2dB above the statutory noise limit specified in the consent or licence condition. A re-test at this location was undertaken on 14 December 2014 with WWC classed as “Inaudible” at the time of monitoring.

2/6/2015 - WWU exceeded the relevant LAeq noise limit during the evening period of 2 June 2015 at R5. Audible noise from WWU was heard throughout the monitoring period, generating a site only LAeq of 40 dB, which is 3 dB above the approved criterion of LAeq 37 dB.

Outside audit period WWC will undertake mitigation of the breaker and No. 2 ventilation shaft to improve existing noise impacts Noise attenuation works have been completed here in December 2012, as reported in 6.8.2 associated with its operation. WWC will also investigate whether there are any feasible opportunities for West Wallsend Colliery Noise Compliance Report: Bradford Breaker (Global Acoustics, Compliant further noise reduction at Killingworth. April 2013). No complaints received and no longer in use. WWC will submit a Noise Management Plan for the Project, in accordance with the approval conditions. The 6.8.3 West Wallsend Underground Noise Management Plan, October 2015 Compliant Plan will: (a) describe the noise mitigation measures that would be implemented to ensure compliance with relevant West Wallsend Underground Noise Management Plan, October 2015, Section 5.1 Compliant conditions of approval; and (b) will include a Noise Monitoring Program that: - includes attended monitoring to assess compliance with the Project Specific Noise Levels; and West Wallsend Underground Noise Management Plan, October 2015, Section 7.2.1 Compliant - includes a protocol for determining exceedances of the relevant conditions of approval. 6.9 Greenhouse Gases

West Wallsend Underground Air Quality and Greenhouse Gas Management Plan, May 2016, Section 3.6 6.9.1 WWC will report its greenhouse and energy performance via legislative reporting requirements. Compliant NGERS and NPI reporting, as well as reporting in 2013, 2014, 2015 Annual Reports.

6.10 Aboriginal Archaeological WWC has committed to modify the mine plan to protect the following sites of Aboriginal cultural and 6.10.1 Mine Plan modified - written into consent that these areas will not be mined. Compliant archaeological significance: - The stone arch; - One rock shelter in the Bangalow Creek catchment; - Two rock shelter sites in the Cockle Creek catchment; - Palmers Creek Grinding Grooves 1 and 2; As above Compliant - The Western Domain 5 (#38-4-0993 - wet soak with B315scatter site); - Modification of the mine plan to lessen the probability of impact to the Palmers Creek Grinding Grooves 3 site. WWC has committed to providing $200,000.00 over the life of the project to assist with the management of Sighted documentation demonstrating funding during site visit, note no money had been 6.10.2 Compliant Aboriginal cultural and archaeological sites/values within the SSCA. spent at the time of the audit. WWC has committed to fund a program of monitoring and reporting of subsidence impacts on landscape 6.10.3 features of Aboriginal cultural value and Aboriginal archaeological sites recorded within the proposed Details of monitoring and reporting covered in audit of ACHMP. Compliant continued underground mining area. If monitoring finds that at least three of the Diega Creek Grinding Groove sites 2 through 6 do not suffer from impacts that cause cracking of the sandstone within the area of the sandstone platform containing the grooves and within 1 metre of any groove, WWC will proceed with subsidence of Diega Creek Grinding Grooves 1. If 6.10.4 Only Grinding Groove impacted was Diega Creek GG 2, therefore condition not triggered. Not Triggered this is not possible because 3 or more of the Diega Creek Grinding Grooves 2 to 6 sites have cracked within the specified site area, WWC will commit to protecting Diega Creek Grinding Grooves 1 from damage related to subsidence. WWC has committed to funding a program of further survey within the SSCA in consultation with the Aboriginal stakeholders and the NPWS/OEH, the purpose of the survey is to meet the requirements of 6.10.5 Sighted Intergeneration Equity Statement of Significance, Umwelt March 2014. Compliant Intergenerational Equity in relation to the potential subsidence impacts to Bangalow Creek 1, 2, 3, 4, 5, 6 and #38-4-0461 Grinding Grooves. WWC will commit to the provision of funding for further Aboriginal Cultural Heritage values investigations. The 6.10.6 specific nature of the investigation will be subject of further consultation with the registered Aboriginal Application currently with groups, however not actioned to date. Not Triggered stakeholders and endorsement by the OEH.

PA 09_0203 Statement of Commitments Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

WWC will prepare an ACHMP for the project that is consistent with the Aboriginal cultural and archaeological Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) management commitments made in this report and includes the following matters:

Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) Details of the proposed implementation of, and methodology for, the conservation offset strategy; Section 7.1 A detailed salvage program for Aboriginal archaeological sites within the proposed Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) continued underground mining area including isolated finds, artefact scatters (if subsidence remediation works Section 8.2.5, Appendix 5 are required in the site areas) and the Cockle Creek Rock shelter with Artefacts and PAD; A detailed description of the mitigation measures that would be undertaken for all Aboriginal archaeological Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) sites and landscape features of Aboriginal cultural value within the proposed continued underground mining Section 8.2.1, Section 8.2.9 6.10.7 area prior to and/or following subsidence; Compliant A detailed description of the measures that would be implemented to protect Aboriginal archaeological sites Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) and landscape features of Aboriginal cultural value for the life of the project; Section 7 A detailed methodology for inspection of locations proposed for surface ventilation Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) infrastructure construction and future exploration boreholes; Section 8.2.9 A description of the measures that would be implemented if any new Aboriginal Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) sites/artefacts or skeletal remains are discovered during works associated with the Project; Section 8.2.8 The provision of Aboriginal cultural awareness training for relevant WWC personnel and contractors as part of Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) the induction process; and Section 8.2.1 A protocol for the ongoing consultation and involvement of the Aboriginal stakeholder groups and NPWS/OEH Aboriginal Cultural Heritage Management Plan, April 2012 (Umwelt) in the conservation and management of Aboriginal cultural heritage within the proposed continued Section 6 underground mining area. 6.11 Historic Heritage WWC will map the recorded historic heritage sites on relevant project drawings and plans used during 6.11.1 subsidence remediation works to provide that their presence is considered in planning such works. Impacts to such sites will be avoided during subsidence remediation works. WWC personnel involved in subsidence remediation works will be briefed about the location of the recorded 6.11.2 heritage items and their heritage status in an induction prior to conducting work in the continued underground No historic heritage items are located in the Project Area. Not Triggered mining area. WWC will undertake inspections of historical heritage sites following the completion of undermining the recorded historic heritage sites. If subsidence cracks are identified in the vicinity of the identified sites they will 6.11.3 be remediated as soon as practicable, except where any remediation works may result in further adverse impacts. 6.12 Traffic and Transport

WWC will consult with LMCC on the final design of the new intersection associated with the proposed Mining 6.12.1 Services Facility. This intersection will require LMCC approval under the Roads Act prior to commencement of these works. The intersection design will include appropriate deceleration and merge lanes, and signage. MSF not constructed. Not Triggered Prior to the commencement of construction activities associated with the Mining Services Facility, WWC will 6.12.2 prepare a construction traffic management plan in consultation with LMCC and the CCC. Line markings observed to be visible during site visit. WWC will consult with LMCC to determine relevant funding to have the road markings at the intersection of Not able to be 6.12.3 Wakefield Road and The Broadway repainted to appropriately delineate control and lane lines. Verified Consultation with LMCC not able to be verified. No haulage of coal will be undertaken on public roads, except in the case of emergency and as approved by 6.12.4 All coal transported on private haulage road. Compliant the Director General. 6.13 Visual WWC will maintain and implement a range of visual controls to screen views of the Mining Services Facility and 6.13.1 minimise the visual impacts, including: Where possible, trees will be retained to maintain visual amenity; MSF not constructed. Planting of vegetation screening, where necessary, to shield the proposed Mining Not Triggered Services Facility; and Vegetation continues to provide screening and maintain visual amenity. All buildings and infrastructure potentially visible to the public, including the proposed Mining Services Facility, will be coloured in suitably natural tones, where practicable. 6.14 Waste Waste Management Plan sighted. The management of waste materials generated by the construction and operation of the Project will be managed through the design; procurement of materials and purchasing; identification and segregation of 6.14.1 JR Richards as waste contractors provide inspection reports weekly. Compliant reusable and recyclable materials; processing materials for recycling; and considering environmental impacts for waste removal processes, as outlined in the existing Waste Management Plan. Waste segregation, etc observed during site inspection 6.15 Community

WWC will continue to prepare and distribute a community newsletter to surrounding residences every six OCAL Newsletter November 2015, November 2013 available on website (others available 6.15.1 Not Compliant E 1 Medium months. for outside of audit period).

WWC will continue to engage the community regarding the Project and operations in general through a West Wallsend Colliery Community Consultative Committee meeting minutes available 6.15.2 Compliant Community Consultative Committee, as considered appropriate by Department of Planning and Infrastructure. for November 2013, April 2014, November 2014, May 2015, February 2016.

PA 09_0203 Statement of Commitments Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk 6.16 Decommissioning

WWC completed internal closure planning for the site ...... SLR Consulting Australia has been engaged by OCAL to complete a detailed closure plan for the OCAL complex. The Detailed Closure Plan is approximately 30% complete. Works undertaken to date include: · Completion of a knowledge gap analysis; · Constraints and opportunities for all technical areas have been completed; · Concept design has commenced for the Tailings area and REA; · The legal requirements register has been completed in draft form; · The employee and supplier survey (currently underway); 6.16.1 A detailed closure planning process will be undertaken for the Project five years prior to cessation of mining. Compliant · The communities beneficiaries survey (currently underway); · The hydro geological model development (in progress); and · The development of the contamination, sampling and analysis strategy (currently underway). A closure plan was completed (the mine closure MOP). The detailed mine closure plan (MOP) is now 50% complete The closure process started in 2015 which was at the time 5 years prior to cessation. The decision not to mine beyond LW52 meant the site ceased mining 4 years prior to the planned closure time.

Decommissioning of the mining operations and surface facilities associated with the Project will occur progressively throughout the life of the Project, in accordance with conditions of the relevant mining titles and As evidenced in the rehabilitation of boreholes and subsidence cracking observed during 6.16.2 Compliant existing closure plan. This will include progressive decommissioning of mine entries, ventilation fans, the site visit. ventilation shafts, borehole facilities and associated surface facilities, where no longer required.

6.17 Annual Environmental Management, Monitoring, Auditing and Reporting

Annual Environmental Management Report 6.17.1 WWC will prepare an Annual Review, in accordance with project approval requirements. Annual Review 2013, 2014 and 2015 reviewed for this audit. Compliant WWC will commission and pay the full cost of an Independent Environmental Audit of the Project in 6.17.2 Current IEA Compliant accordance with the project approval.

PA 09_0203 Statement of Commitments Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk EPL 1360Anniversary Date 31 - December

Version 26-May 2015

1. Administrative conditions

What licence authorises and regulates A1 This licence authorises the carrying out of the scheduled activities listed below at the premises specified in A2. The activities are listed according to their scheduled activity classification, fee-based activity classification and the A1.1 scale of the operation. Unless otherwise further restricted by a condition of this licence, the scale at which the activity is carried out must not exceed the maximum scale specified in this condition. Compliant

A1.2 This licence regulates water pollution resulting from the activity/ies carried out at the premises specified in A2. This was noted, however the audit did not require a finding to be made on this point. Noted

2013 AR: 3.8 million tonnes ROM The licensee must not extract more than 5.5 million tonnes of Run of Mine (ROM) coal from the premises in any A1.3 2014 AR: 3.4 million tonnes ROM Compliant calendar year in accordance with planning approval 09_0203 dated 25 January 2012. 2015 AR: 1.85 million tonnes ROM Premises or Plant to Which this Licence Applies A2 A2.1 The licence applies to the following premises:

This was noted, however the audit did not require a finding to be made on this point. Noted

Other Activities A3

This licence applies to all other activities carried on at the premises, including: A3.1 - Sewage treatment systems

Information supplied to the EPA A4

Works and activities must be carried out in accordance with the proposal contained in the licence application, except as expressly provided by a condition of this licence. In this condition the reference to "the licence application" includes a reference to: A4.1 a) The applications for any licences (including former pollution control approvals) which this licence replaces under the Protection of the Environment Operations (Savings and Transitional) Regulation 1998; and b) The licence information form provided by the licensee to the EPA to assist the EPA in connection with the issuing of this licence.

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk 2. Discharges to air and water and applications to land Location of monitoring/discharge points and P1 areas

The following points referred to in the table below are identified in this licence for the purposes of monitoring P1.1 and/or the setting of limits for the emission of pollutants to the air from the point.

All points continue to be monitored. Compliant

The following utilisation areas referred to in the table below are identified in this licence for the purposes of the P1.2 monitoring and/or the setting of limits for any application of solids or liquids to the utilisation area.

The following points referred to in the table are identified in this licence for the purposes of the monitoring P1.3 and/or the setting of limits for discharges of pollutants to water from the point.

All monitoring points remain current. Compliant

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk The following points referred to in the table below are identified in this licence for the purposes of monitoring P1.4 and/or setting of limits for the emission of noise from the point.

All monitoring points remain current. Compliant

3. Limit Conditions

Pollution of Waters L1 Except as may be expressly provided in any other condition of this licence, the licensee must comply with section L1.1 No permanent material harm to the environment noted in the audit period Compliant 120 of the Protection of the Environment Operations Act 1997. Exceedence of a quality limit specified in this licence for the discharge of Total Suspended Solids from Point 1 or a L1.2 volume limit for discharge from Point 1 is permitted if the discharge from Point 1 occurs solely as a result of This was noted, however the audit did not require a finding to be made on this point. Noted rainfall at the premises exceeding a total of 50 millimetres over any consecutive five day period.

Concentration Limits L2

- In contravention of Condition number L2.1, an exceedance of TSS value at EPA Point 2 was recorded during a rain event between 16/11/2013 and 18/11/2013.

- In contravention of Condition L2.1, overtopping of dam wall spillway (with associated seepage) and exceedance of total suspended solids limit at EPA Point 2 during heavy rainfall event on 24/4/2014. For each monitoring/discharge point or utilisation area specified in the table\s below (by a point number), the L2.1 concentration of a pollutant discharged at that point, or applied to that area, must not exceed the concentration - In contravention of Condition number M8.1 and L2.1, two surface water dams at West Not Compliant E 1 Medium limits specified for that pollutant in the table. Wallsend Colliery (WWC), known as the Bottom Dam and the North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015.

- In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the pollutant concentration from EPA Point 2 following rainfall on 6/1/2016.

Where a pH quality limit is specified in the table, the specified percentage of samples must be within the L2.2 No exceedence of pH values at monitoring locations. Compliant specified ranges.

To avoid any doubt, this condition does not authorise the pollution of waters by any pollutant other than those L2.3 This was noted, however the audit did not require a finding to be made on this point. Noted specified in the table\s.

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk L2.4 Water and/or Land Concentration Limits

No breaches of criteria noted in the audit period. Compliant

Volume and Mass Limits L3

- In contravention of Condition number L3.1, an overtopping of dam wall spillway resulted in a failure to monitor the total volume from EPA Point 2 following rainfall between 16/11/2013 and 18/11/2013.

- In contravention of Condition number L3.1, an overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 For each discharge point or utilisation area specified below (by a point number), the volume/mass of: following rainfall on 25/4/2014. a) liquids discharged to water; or; L3.1 Not Compliant E 1 Medium b) solids or liquids applied to the area; - In contravention of Condition number L3.1, an overtopping of Bottom Dam and North- must not exceed the volume/mass limit specified for that discharge point or area. East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 21/4/2015.

- In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 6/1/2016.

L3.2 The flow rate for Point 3 must not exceed 7 kilolitres per minute. Point 3 is outside of audit scope. Noted

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Waste L4 The licensee must not cause, permit or allow any waste to be received at the premises, except the wastes expressly referred to in the column titled "Waste" and meeting the definition, if any, in the column titled "Description" in the table below.

Any waste received at the premises must only be used for the activities referred to in relation to that waste in L4.1 the column titled "Activity" in the table below.

Any waste received at the premises is subject to those limits or conditions, if any, referred to in relation to that waste contained in the column titled "Other Limits" in the table below.

Condition L4.1 does not limit any other conditions in this licence.

No waste received at the premises. Not Triggered

Noise Limits L5 Noise generated at the premises that is measured at each noise monitoring point established under this licence must not exceed the noise levels specified in Column 4 of the table below for that point during the corresponding L5.1 time periods specified in Column 1 when measured using the corresponding measurement parameters listed in Column 2.

2/6/2015 - WWU exceeded the relevant LAeq noise limit during the evening period of 2 June 2015 at R5. Audible noise from WWU was heard throughout the Not Compliant E 2 Medium monitoring period, generating a site only LAeq of 40 dB, which is 3 dB above the approved criterion of LAeq 37 dB.

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

For the purpose of condition L5.1: (a) Day is defined as the period from 7am to 6pm Monday to Saturday and 8am to 6pm Sunday and public holidays; (b) Evening is defined as the period 6pm to 10pm; L5.2 This was noted, however the audit did not require a finding to be made on this point. Noted (c) Night is defined as the period from 10pm to 7am Monday to Saturday and 10pm to 8am Sunday and public holidays; (d) the noise limits are applied at the residence on any privately owned land; and (e) the noise limits are applied on more than 25% of any privately owned land. The noise limits set out in conditions L5.1 apply under all meteorological conditions except for any one of the following: (a) Wind speeds greater than 3 metres/second at 10 metres above ground level; or L5.3 This was noted, however the audit did not require a finding to be made on this point. Noted (b) Stability category F temperature inversion conditions and wind speeds greater the 2 metres/second at 10 metres above ground level; or (c) Stability category G temperature inversion conditions.

For the purpose of condition L5.3: (a) the meteorological data to be used for determining meteorological conditions is the data recorded at the a) noted L5.4 meteorological station identified in this licence as EPA Identification Point 19. (b) Stability category conditions are to be determined by the sigma-theta method referred to in Part E4 of b) verified from noise monitoring reports (May 2015 onwards) Compliant Appendix E to the NSW industrial Noise Policy (EPA 2000)

Note: The weather station must be designed, commissioned and operated in a manner to obtain the necessary The weather station is not in compliance with the appropriate Australian Standard. This is parameters required under the above condition. addressed elsewhere in the audit. noise monitoring devices used listed in section 3.3 of noise monitoring report Q1 2016 as; Rion NA-28 sound level analyser Larson Davis CAL-150 acoustic calibrator For the purpose of determining the noise generated at the premises the licensee must use a Class 1 or Class 2 Rion NA-28 sound level analyser L5.5 noise monitoring device as defined by AS IEC61672.1 and AS IEC61672.2-2004, or other noise monitoring Pulsar Model 106 acoustic calibrator Compliant equipment accepted by the EPA in writing. Calibration certificates int he Global monitoring reports confirmt he insttruments used were Class 1 and Class2.

To determine compliance:

1. With the LAeq(15 min) noise limits in condition L5.1, the licensee must locate noise monitoring equipment; (a) within 30 metres of a dwelling facade (but not closer than 3 metres) where any dwelling on the property is situated more then 30 metres from the property boundary that is closest to the premises; (b) approximately on the boundary where any dwelling is situated 30 metres or less from the property boundary L5.6 that is closest to the premises, or, where applicable, (c) within approximately 50 metres if the boundary of a national park or nature reserve. Sighted email from Global Acoustics (Katie Weekes) stating compliance of quarterly noise 2. With the noise limits in condition L5.1, the noise monitoring equipment must be located; monitoring with EPL conditions. (a) at the most affected point at a location where there is no dwelling at the location, or Compliant (b) at the most affected point within an area at a location prescribed by conditions L5.6 1(a) or L5.6 1(b). Verified in Quarterly Noise Monitoring Reports.

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk A non-compliance of condition L5.1 will still occur where noise generated from the premises in excess of the appropriate limit is measure; L5.7 - at a location other than an area prescribed by conditions L5.6 1(a) and L5.6 1(b), and /or - at a point other than the most affected point at a location.

For the purposes of determining the noise generated at the premises the modification factors in Section 4 of the L5.8 NSW Industrial Noise Policy must be applied, as appropriate, to the noise levels measured by the noise monitoring equipment.

Potentially Offensive Odour L6

L6.1 The licensee must not cause or permit the emission of offensive odour beyond the boundary of the premises.

Note: Section 129 of the Protection of the Environment Operations Act 1997, provides that the licensee must not No odour complaints recorded in Annual Reviews 2013, 2014, 2015 Compliant cause or permit the emission of any offensive odour from the premises but provides a defence if the emission is identified in the relevant environment protection licence as a potentially offensive odour and the odour was emitted in accordance with the conditions of a licence directed at minimising odour.

4. Operating Conditions Activities muss be carried out in a competent O1 manner

Licensed activities must be carried out in a competent manner. WWC reported a grouting incident in September 2013 however the incident was purported This includes: to have occurred in January 2013 - outside the audit period. O1.1 a) the processing, handling, movement and storage of materials and substances used to carry out the activity; Compliant No other evidence of significantly incompetent operational activities were noted in the and audit b) the treatment, storage, processing, reprocessing, transport and disposal of waste generated by the activity.

Maintenance of Plant and Equipment O2

All plant and equipment installed at the premises or used in connection with the licensed activity: O2.1 a) must be maintained in a proper and efficient condition; and Maintenance Plan sighted and Work Order System for Maintenance sighted in audit. Compliant b) must be operated in a proper and efficient manner.

Dust O3

As detailed within the WWC EA (Umwelt, 2012), WWC is not considered to be a significant contributor of dust to ambient levels in the atmosphere. This is primarily due to mining operations being undertaken underground. In addition, a range of dust mitigation The premises must be maintained in a condition which minimises or prevents the emission of dust from the O3.1 measures have been implemented at the WWC Pit Top. Compliant premises. Conditions during site visit were at times windy - no visible or intrusive dust noticed in the vicinity of the pit-top area.

Material removed during conveyor belt cleaning operations must be contained for dust free disposal or reuse. It Not able to be O3.2 Site was not operational at the time of the audit so this issue was unable to be verified. must not be discharged to the ground. Verified

5. Monitoring and Recording Conditions

Monitoring Records M1 The results of any monitoring required to be conducted by this licence or a load calculation protocol must be M1.1 This was noted, however the audit did not require a finding to be made on this point. Noted recorded and retained as set out in this condition. All records required to be kept by this licence must be: a) in a legible form, or in a form that can readily be reduced to a legible form; M1.2 Data uploaded to EMD by environmental consultants. EMD reviewed and found compliant. Compliant b) kept for at least 4 years after the monitoring or event to which they relate took place; and c) produced in a legible form to any authorised officer of the EPA who asks to see them. The following records must be kept in respect of any samples required to be collected for the purposes of this licence: Field Sheets for sampling undertaken by staff sighted confirming these elements of the a) the date(s) on which the sample was taken; M1.3 records. Compliant b) the time(s) at which the sample was collected; Noise reports contain date, time and location of noise monitoring. c) the point at which the sample was taken; and d) the name of the person who collected the sample.

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Requirement to monitor concentration of M2 pollutants discharged

For each monitoring/discharge point or utilisation area specified below (by a point number), the licensee must monitor (by sampling and obtaining results by analysis) the concentration of each pollutant specified in Column M2.1 1. The licensee must use the sampling method, units of measure, and sample at the frequency, specified opposite in the other columns:

M2.2 Air Monitoring Requirements

Recommendation - These points do not align with results reported in Annual Reviews. Annual Reviews to be reviewed to ensure the correct monitoring points are reported. Compliant No exceedances attributable to WWC reported in Annual Return and Annual Review 2013, 2014, 2015.

M2.3 Water and/ or Land Monitoring Requirements

No loss of samples. Compliant Note: Site to seek to have monitoring frequencies changed.

No discharge from this point within audit period - therefore no collection of samples. Compliant

Testing Methods - Concentration Limits M3

Monitoring for the concentration of a pollutant emitted to the air required to be conducted by this licence must be done in accordance with: a) any methodology which is required by or under the Act to be used for the testing of the concentration of the pollutant; or Sighted monthly Environmental Monitoring Report (Carbon Based, June 2016) stating M3.1 Compliant b) if no such requirement is imposed by or under the Act, any methodology which a condition of this licence sampling in accordance with AS/NZS standards. requires to be used for that testing; or c) if no such requirement is imposed by or under the Act or by a condition of this licence, any methodology approved in writing by the EPA for the purposes of that testing prior to the testing taking place.

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Note: The Protection of the Environment Operations (Clean Air) Regulation 2010 requires testing for certain purposes to be conducted in accordance with test methods contained in the publication "Approved Methods for the Sampling and Analysis of Air Pollutants in NSW". The monitoring reports confirmed that sampling and analysis was conducted in accordance Compliant Subject to any express provision to the contrary in this licence, monitoring for the concentration of a pollutant with the EPA methodologies for air quality. M3.2 discharged to waters or applied to a utilisation area must be done in accordance with the Approved Methods Publication unless another method has been approved by the EPA in writing before any tests are conducted. Environmental Monitoring - Requirement to M4 Monitor Noise

To determine compliance with condition L5.1, attended noise monitoring must be undertaken in accordance with conditions L5.5 and L5.6, and (a) at each one of the locations listed in condition L5.1; (b) occur quarterly within the reporting period of the Environment Protection Licence with at least 2 months between monitoring periods; (c) occur during each day, evening and night period as defined in the NSW Industrial Noise Policy (EPA 2000) for a minimum of 15 minutes for three of the quarters; Email stating Global Acoustic compliance with standards. M4.1 (d) the night time 15 minute attended monitoring in accordance with c) must be undertaken between the hours Compliant Compliance as per quarterly Noise Monitoring Reports, Global Acoustics. of 1am and 4am; (e) one quarterly monitoring must occur during each day, evening and night period as defined in the NSW Industrial Noise Policy (EPA 2000) for a minimum of 1.5 hours during the day; 30 minutes during the evening; and 1 hours during the night, and (f) each quarterly monitoring must be undertaken on a different day of the week not including Saturdays, Sundays and public holidays; and (g) these monitoring conditions take effect in the 2015 Reporting period.

For the Annual Reporting Period 2014 the EPA will accept all monitoring required by the current Department of Planning and Environment consent (usually quarterly monitoring for noise as dB(A) Leq15minutes) for M4.2 Sighted Annual Noise Reports as attachments to Annual Reports. Compliant compliance with noise monitoring requirements in this licence, as a single report attached to the Annual Return for the premises. Weather Monitoring M5

For each monitoring point specified in the table below, the licensee must monitor (by sampling obtaining results M5.1 by analysis) the parameters specified in Column 1. The licensee must use the sampling method, units of measure, averaging period and sample at the frequency, specified opposite in the other columns.

Non-compliant Met Station.

Not Compliant E 1 Medium

M5.2 For the purpose of condition M5.1 , Point 19 refers to meteorological station established on the premises. This was noted, however the audit did not require a finding to be made on this point.

M5.3 The licensee must fully comply with condition M5 by 31 July 2013. Non-compliant Met Station - sensors too high

Recording of Pollution Complaints M6

The licensee must keep a legible record of all complaints made to the licensee or any employee or agent of the Verified on website - last update June 2016. M6.1 Compliant licensee in relation to pollution arising from any activity to which this licence applies. No complaints received since October 2013.

The record must include details of the following: a) the date and time of the complaint; b) the method by which the complaint was made; c) any personal details of the complainant which were provided by the complainant or, if no such details were M6.2 provided, a note to that effect; Verified complaint details recorded during audit visit. Compliant d) the nature of the complaint; e) the action taken by the licensee in relation to the complaint, including any follow-up contact with the complainant; and f) if no action was taken by the licensee, the reasons why no action was taken. M6.3 The record of a complaint must be kept for at least 4 years after the complaint was made. Verified from 'Xtrasafe' - records back to 2011 Compliant

M6.4 The record must be produced to any authorised officer of the EPA who asks to see them. No such requests in the audit period. Not Triggered

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Telephone Line Complaints M7 The licensee must operate during its operating hours a telephone complaints line for the purpose of receiving Business Hours and 24 Hour Contact Numbers available on WWC website. M7.1 any complaints from members of the public in relation to activities conducted at the premises or by the vehicle Number verified on site. Compliant or mobile plant, unless otherwise specified in the licence. Operating hours have changed since cease of operations. The licensee must notify the public of the complaints line telephone number and the fact that it is a complaints On website, subsidence signs and contained in Community Newsletter. Contact phone M7.2 Compliant line so that the impacted community knows how to make a complaint. number is provided on the gate of the WWC Pit-Top operations area. M7.3 The preceding two conditions do not apply until 3 months after: the date of the issue of this licence. Outside of Audit Period Noted

Requirement to Monitor Volume or Mass M8 For each discharge point or utilisation area specified below, the licensee must monitor: a) the volume of liquids discharged to water or applied to the area; b) the mass of solids applied to the area; c) the mass of pollutants emitted to the air; at the frequency and using the method and units of measure, specified below. - In contravention of Condition number L3.1, an overtopping of dam wall spillway resulted in a failure to monitor the total volume from EPA Point 2 following rainfall between 16/11/2013 and 18/11/2013.

- In contravention of Condition number L3.1, an overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 25/4/2014. M8.1 Not Compliant E 2 Medium - In contravention of Condition number L3.1, an overtopping of Bottom Dam and North- East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 21/4/2015.

- In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 6/1/2016.

6. Reporting Conditions

Annual Returns R1

The licensee must complete and supply to the EPA an Annual Return in the approved form comprising: a) a Statement of Compliance; and R1.1 b) a Monitoring and Complaints Summary. EPA Annual Returns for EPL 1360 reviewed for 2013, 2014, 2015. Compliant At the end of each reporting period, the EPA will provide to the licensee a copy of the form that must be completed and returned to the EPA.

R1.2 An Annual Return must be prepared in respect of each reporting period, except as provided below.

Note: The term "reporting period" is defined in the dictionary at the end of this licence. Do not complete the Noted Annual Return until after the end of the reporting period. Where this licence is transferred from the licensee to a new licensee: a) the transferring licensee must prepare an Annual Return for the period commencing on the first day of the reporting period and ending on the date the application for the transfer of the licence to the new licensee is R1.3 This had not occurred in the audit period Not Triggered granted; and b) the new licensee must prepare an Annual Return for the period commencing on the date the application for the transfer of the licence is granted and ending on the last day of the reporting period.

Note: An application to transfer a licence must be made in the approved form for this purpose. Noted

Where this licence is surrendered by the licensee or revoked by the EPA or Minister, the licensee must prepare an Annual Return in respect of the period commencing on the first day of the reporting period and ending on: R1.4 a) in relation to the surrender of a licence - the date when notice in writing of approval of the surrender is given; This had not occurred in the audit period. Not Triggered or b) in relation to the revocation of the licence - the date from which notice revoking the licence operates.

The Annual Return for the reporting period must be supplied to the EPA by registered post not later than 60 days R1.5 after the end of each reporting period or in the case of a transferring licence not later than 60 days after the date Sighted Aus Post post records to verify submission dates Compliant the transfer was granted (the 'due date'). The licensee must retain a copy of the Annual Return supplied to the EPA for a period of at least 4 years after the R1.6 Maintained electronically - sighted back to 2012 Compliant Annual Return was due to be supplied to the EPA.

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Within the Annual Return, the Statement of Compliance must be certified and the Monitoring and Complaints Summary must be signed by: R1.7 Signed and initialled by Directors AR 2013, 2014, 2015 Compliant a) the licence holder; or b) by a person approved in writing by the EPA to sign on behalf of the licence holder.

Notification of Environmental Harm R2 Note: The licensee or its employees must notify all relevant authorities of incidents causing or threatening material harm to the environment immediately after the person becomes aware of the incident in accordance Incident reporting reviewed, no evidence of incidents not reported in the audit period Compliant with the requirements of Part 5.7 of the Act. R2.1 Notifications must be made by telephoning the Environment Line service on 131 555. Noted

The licensee must provide written details of the notification to the EPA within 7 days of the date on which the Incident Reports reviewed indicated that notification timing was within the 7 days required R2.2 Compliant incident occurred. for the EPA

Written Report R3

Where an authorised officer of the EPA suspects on reasonable grounds that: a) where this licence applies to premises, an event has occurred at the premises; or b) where this licence applies to vehicles or mobile plant, an event has occurred in connection with the carrying R3.1 This was noted, however the audit did not require a finding to be made on this point. Noted out of the activities authorised by this licence, and the event has caused, is causing or is likely to cause material harm to the environment (whether the harm occurs on or off premises to which the licence applies), the authorised officer may request a written report of the event.

The licensee must make all reasonable inquiries in relation to the event and supply the report to the EPA within R3.2 No evidence of the exceedence of timing requests from the EPA in the audit period. Compliant such time as may be specified in the request. The request may require a report which includes any or all of the following information: a) the cause, time and duration of the event; b) the type, volume and concentration of every pollutant discharged as a result of the event; c) the name, address and business hours telephone number of employees or agents of the licensee, or a specified class of them, who witnessed the event; d) the name, address and business hours telephone number of every other person (of whom the licensee is R3.3 This was noted, however the audit did not require a finding to be made on this point. Noted aware) who witnessed the event, unless the licensee has been unable to obtain that information after making reasonable effort; e) action taken by the licensee in relation to the event, including any follow-up contact with any complainants; f) details of any measure taken or proposed to be taken to prevent or mitigate against a recurrence of such an event; and g) any other relevant matters. The EPA may make a written request for further details in relation to any of the above matters if it is not satisfied R3.4 with the report provided by the licensee. The licensee must provide such further details to the EPA within the No such request made during the audit period. Not Triggered time specified in the request. Other Reporting Conditions - Noise Monitoring R4 Report The licensee must submit to the EPA a noise compliance assessment report at the end of each reporting period which is a culmination of the three days of monitoring. The report must be submitted with the Environment Protection Licence Annual Return. The report must be prepared by a suitably qualified and experienced acoustical consultant which:

(a) details the noise monitoring undertaken in accordance with condition M4; R4.1 Verified reports attached for 2015, 2014 Compliant (b) assess compliance with noise limits presented in condition L5.1, and (c) outlines any management actions taken within the monitoring period to address any exceedences of limits contained in condition L5.1.

Note: within the 2013-14 Annual Return Period condition M4.1(d) may not be complied with as quarterly monitoring may have occurred prior to the date of this licence issue. 7. General Reporting Conditions

Copy of Licence Kept at Premises or Plant G1 G1.1 A copy of this licence must be kept at the premises to which the licence applies. Sighted Compliant G1.2 The licence must be produced to any authorised officer of the EPA who asks to see it. Not Triggered Not Triggered

G1.3 The licence must be available for inspection by any employee or agent of the licensee working at the premises. Available on website and intranet Compliant

Environment Protection Licence 1360 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk 8. Pollution Studies and Reduction Programs Coal Mine Particulate Matter Control Best U1 Practice Outside of audit period The Licensee must conduct a site specific Best Management Practice (BMP) determination to identify the most The Oceanic Coal Australia Limited Coal Mine Particulate Matter Control Best Management U1.1 Compliant practicable means to reduce particle emissions. Practice Determination for WWC (Xstrata Coal, September 2012) was completed on 28 September 2012. The Licensee must prepare a report which includes, but is not necessarily limited to, the following: - identification, quantification and justification of existing measures that are being used to minimise particle emissions; - identification, quantification and justification of best practice measures that could be used to minimise particle Outside of audit period. emissions; The Oceanic Coal Australia Limited Coal Mine Particulate Matter Control Best Management U1.2 Compliant - evaluation of the practicability of implementing these best practice measures; and Practice Determination for WWC (Xstrata Coal, September 2012) was completed on 28 - a proposed timeframe for implementing these best practice measures. September 2012.

In preparing the report, the Licensee must utilise the document entitled Coal Mine Particulate Matter Control Best Practice – Site Specific Determination Guideline – November 2011. U1.3 All cost related information is to be included as Appendix 1 of the Report required by condition U1.2 above. Outside of audit period Compliant

The Report required by condition U1.2 must be submitted by the Licensee to the Office of Environment and U1.4 Outside of audit period Compliant Heritage’s Regional Manager Hunter, at PO Box 488G, NEWCASTLE WEST 2302 by 28 September 2012.

The report required by condition U1.2 above, except for cost related information contained in Appendix 1 of the U1.5 Outside of audit period Compliant Report, must be made publicly available by the Licensee on the Licensee’s website by 5 October 2012.

Assessment of metals leaving the premises U2

At Points 1, 2, 3 and 11 the licensee must monitor (by sampling and obtaining results by analysis) the concentration of each pollutant specified in Column 1. The licensee must use the sampling method, units of measure, and sample at the frequency specified opposite in the other columns. Upon completion of 24 months of monitoring for metals the licensee must within two (2) months conduct an U2.1 assessment of metals detected in waste water discharges from the mine in accordance with ANZECC water quality guidelines and provide this assessment to the EPA Regional Manager Hunter within one (1) month.

Note: The EPA will use this assessment to vary the EPL to include metal discharge limits if the assessment in accordance with ANZECC criteria indicates limits may be required to protect receiving waters.

EPA have accepted complete report - latest version of EPL (in draft) does not include Compliant Pollution Reduction Program for Metals (PRP)

9. Special Conditions

Noise Monitoring Report E1

During the 2013-14 reporting period quarterly 15 minute attended monitoring at sensitive receivers that was undertaken under the planning consent issued to the project may be used by the licensee in an annual noise compliance report. During the 2013-14 Reporting period monitoring will only be required on one day at Noise Monitoring Reports (Global Acoustics Pty Ltd) for 2014, and 2015 attached to AR E1.1 Compliant monitoring point 18 as this was added to the licence part way through the reporting period. 2014 and AR 2015.

This report must be provided with the 2013-14 Annual Return.

Environment Protection Licence 1360 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independant Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk NSW Office of Water Licence Certificate 20BL173331 - Ground water monitoring bore above LW44

Issued 21 September 2012

Conditions THE LICENCE SHALL LAPSE IF THE WORK IS NOT COMMENCED AND COMPLETED WITHIN ONE YEAR OF THE DATE 1 Installed 18/10/2012, verified from Engineering Bore Log viewed on site. Compliant OF THE ISSUE OF THE LICENCE. THE LICENSEE SHALL WITHIN TWO (2) MONTHS OF COMPLETION OR AFTER THE ISSUE OF THE LICENCE IF THE WORK IS EXISTING, FURNISH TO THE NSW OFFICE OF WATER:-

(A) DETAILS OF THE WORK AS SET OUT IN THE ATTACHED FORM "A" (MUST BE COMPLETED BY A DRILLER).

(B) A PLAN SHOWING ACCURATELY THE LOCATION OFTHE WORK IN REL ATION TO PORTION AND PROPERTY 2 BOUNDARIES, No Drilling in Audit Period Not Triggered

(D) DETAILS OF ANY WATER ANALYSIS AND/OR PUMPING TESTS,

IF DURING THE CONSTRUCTION OF THE WORK, SALINE OR POLLUTED WATER IS ENCOUNTERED ABOVE THE PRODUCING AQUIFER, SUCH WATER SHALL BE SEALED OFF BY:-

(A) INSERTING THE APPROPRIATE LENGTH OF CASING TO A DEPTH SUFFICIENT TO EXCLUDE THE SALINE OR POLLUTED WATER FROM THE WORK. 4 No Drilling in Audit Period Not Triggered (B) CEMENTING BETWEEN THE CASING(S) AND THE WALLS OF THE BORE HOLE FROM THE BOTTOM OF THE CASING TO GROUND LEVEL.

ANY DEPARTURE FROM THESE PROCEDURES MUST BE APPROVED BY THE DEPARTMENT BEFORE UNDERTAKING THE WORK.

(A) THE LICENSEE SHALL NOTIFY NSW OFFICE OF WATER IF A FLOWING SUPPILY OF WATER IS OBTAINED. THE BORE SHALL THEN BE LINED WITH CASING AND CEMENTED AND A SUITABLE CLOSING GEAR SHALL BE ATTACHED TO THE BOREHEAD AS SPECIFIED BY THE DEPARTMENT OF WATER AND ENERGY. 5 No Drilling in Audit Period Not Triggered (B) IF A FLOWING SUPPLY OF WATER IS OBTAINED FROM THE WORK, THE LICENSEE SHALL ONLY DISTRIBUTE WATER FROM THE BORE HEAD BY A SYSTEM OF PIPE LINES AND SHALL NOT DISTRIBUTE IT IN DRAINS, NATURAL OR ARTIFICIAL CHANNELS OR DEPRESSIONS.

IF WORK IS ABONDONED AT ANY TIME THE LICENSEE SHALL NOTIFY NSW OFFICE OF WATER THAT THE WRK HAS BEEN ABONDONED AND SEAL OFF THE AQUIFFER BY:- 6 (A) BACKFILLING THE WORK TO GROUND LEVEL WITH CLAY OR CEMENT AFTER WITHDRAWING THE CASING Not abandoned - still in use. Not Triggered (LINING): OR (B) SUCH METHODS AS AGREED TO OR DIRECTED BY NSW OFFICE OF WATER.

THE LICENSEE SHALL NOT ALLOW ANY TAILWATER/DRAINAGE TO DISCHARGE INTO OR ONTO:- - ANY ADJOINING PUBLIC OR CROWN ROAD; -ANY OTHER PERSONS LAND; 7 - ANY CROWN LAND; No Drilling in Audit Period Not Triggered - ANY RIVER, CREEK OR WATERCOURSE; - ANY NATIVE VEGETATION AS DESCRIBED UNDER THE NATIVE VEGETATION CONSERVATION ACT 1997; - ANY WETLANDS OF ENVIRONMENTAL SIGNIFICANCE.

WATER SHALL NOT BE PUMPED FROM THE BORE AUTHORISED BY THIS LICENSE FOR ANY PURPOSE OTHER THAN Installed as monitoring bore, no extraction has occurred as per dicussion with Environment 8 Compliant GROUND WATER INVESTIGATION. and Community Officer.

Water Licence 20BL173331 Oceanic Coal Australia West Wallsend 2016 Independant Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk NSW Office of Water Licence Certificate 20BL173332 -Ground Wtaer Monitoring Bore for D6, D7, D8

Issued 21 September 2012

Conditions

THE LICENCE SHALL LAPSE IF THE WORK IS NOT COMMENCED AND COMPLETED WITHIN ONE YEAR OF THE DATE 1 Installation of bores within time period as verified in on site records. Compliant OF THE ISSUE OF THE LICENCE.

THE LICENSEE SHALL WITHIN TWO (2) MONTHS OF COMPLETION OR AFTER THE ISSUE OF THE LICENCE IF THE WORK IS EXISTING, FURNISH TO THE NSW OFFICE OF WATER:-

(A) DETAILS OF THE WORK AS SET OUT IN THE ATTACHED FORM "A" (MUST BE COMPLETED BY A DRILLER).

(B) A PLAN SHOWING ACCURATELY THE LOCATION OFTHE WORK IN REL ATION TO PORTION AND PROPERTY Not able to be 2 BOUNDARIES, Outside of audit period Verified (C) A ONE LITRE WATER SAMPLE FOR ALL LICENCES OTHER THAN THOSE FOR STOCK, DOMESTIC TEST BORES AND FARMING PURPOSES.

(D) DETAILS OF ANY WATER ANALYSIS AND/OR PUMPING TESTS,

IF DURING THE CONSTRUCTION OF THE WORK, SALINE OR POLLUTED WATER IS ENCOUNTERED ABOVE THE PRODUCING AQUIFER, SUCH WATER SHALL BE SEALED OFF BY:-

ANY DEPARTURE FROM THESE PROCEDURES MUST BE APPROVED BY THE DEPARTMENT BEFORE UNDERTAKING THE WORK.

(A) THE LICENSEE SHALL NOTIFY THE NSW OFFICE OF WATER IF A FLOWING SUPPILY OF WATER IS OBTAINED. THE BORE SHALL THEN BE LINED WITH CASING AND CEMENTED AND A SUITABLE CLOSING GEAR SHALL BE ATTACHED TO THE BOREHEAD AS SPECIFIED BY THE DEPARTMENT OF WATER AND ENERGY. 5 No Drilling in Audit Period Not Triggered (B) IF A FLOWING SUPPLY OF WATER IS OBTAINED FROM THE WORK, THE LICENSEE SHALL ONLY DISTRIBUTE WATER FROM THE BORE HEAD BY A SYSTEM OF PIPE LINES AND SHALL NOT DISTRIBUTE IT IN DRAINS, NATURAL OR ARTIFICIAL CHANNELS OR DEPRESSIONS.

IF WORK IS ABONDONED AT ANY TIME THE LICENSEE SHALL NOTIFY NSW OFFICE OF WATER THAT THE WRK HAS BEEN ABONDONED AND SEAL OFF THE AQUIFFER BY:- 6 (A) BACKFILLING THE WORK TO GROUND LEVEL WITH CLAY OR CEMENT AFTER WITHDRAWING THE CASING Not aboandoned - still in use. Not Triggered (LINING): OR (B) SUCH METHODS AS AGREED TO OR DIRECTED BY NSW OFFICE OF WATER.

WATER SHALL NOT BE PUMPED FROM THE BORE AUTHORISED BY THIS LICENSE FOR ANY PURPOSF OTHER THAN Installed as monitoring bore, no extraction has occurred as per dicussion with Environment 8 Compliant GROUND WATER INVESTIGATION. and Community Officer.

Water Licence 20BL173332 Oceanic Coal Australia West Wallsend 2016 Independant Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk NSW Bore License 20BL173511 - GW Bore Licence for two bores P1 and P2

License Valid From 17 May 2013 to Perpetuity

Conditions

THE LICENCE SHALL LAPSE IF THE WORK IS NOT COMMENCED AND COMPLETED WITHIN ONE YEAR OF THE DATE 1 Not Triggered OF THE ISSUE OF THE LICENCE.

THE LICENSEE SHALL WITHIN TWO (2) MONTHS OF COMPLETION OR AFTER THE ISSUE OF THE LICENCE IF THE WORK IS EXISTING, FURNISH TO THE NSW OFFICE OF WATER:-

(A) DETAILS OF THE WORK AS SET OUT IN THE ATTACHED FORM "A" (MUST BE COMPLETED BY A DRILLER, DULY LICENSED IN NEW SOUTH WALES). Not able to be 2 (B) A PLAN SHOWING ACCURATELY THE LOCATION OFTHE WORK IN REL ATION TO PORTION AND PROPERTY Information not available verified BOUNDARIES,

(D) DETAILS OF ANY WATER ANALYSIS,

IF DURING THE CONSTRUCTION OF THE WORK, SALINE OR POLLUTED WATER IS ENCOUNTERED ABOVE THE PRODUCING AQUIFER, SUCH WATER SHALL BE SEALED OFF BY:-

(A) INSERTING THE APPROPRIATE LENGTH OF CASING TO A DEPTH SUFFICIENT TO EXCLUDE THE SALINE OR POLLUTED WATER FROM THE WORK. Not able to be 4 Information not available verified (B) CEMENTING BETWEEN THE CASING(S) AND THE WALLS OF THE BORE HOLE FROM THE BOTTOM OF THE CASING TO GROUND LEVEL.

ANY DEPARTURE FROM THESE PROCEDURES MUST BE APPROVED BY THE DEPARTMENT BEFORE UNDERTAKING THE WORK.

(A) THE LICENSEE SHALL NOTIFY NSW OFFICE OF WATER IF A FLOWING SUPPILY OF WATER IS OBTAINED. THE BORE SHALL THEN BE LINED WITH CASING AND CEMENTED AND A SUITABLE CLOSING GEAR SHALL BE ATTACHED TO THE BOREHEAD AS SPECIFIED BY THE DEPARTMENT OF WATER AND ENERGY. 5 Not triggered during audit period Not Triggered (B) IF A FLOWING SUPPLY OF WATER IS OBTAINED FROM THE WORK, THE LICENSEE SHALL ONLY DISTRIBUTE WATER FROM THE BORE HEAD BY A SYSTEM OF PIPE LINES AND SHALL NOT DISTRIBUTE IT IN DRAINS, NATURAL OR ARTIFICIAL CHANNELS OR DEPRESSIONS.

IF WORK IS ABONDONED AT ANY TIME THE LICENSEE SHALL NOTIFY NSW OFFICE OF WATER THAT THE WRK HAS BEEN ABONDONED AND SEAL OFF THE AQUIFFER BY:- 6 (A) BACKFILLING THE WORK TO GROUND LEVEL WITH CLAY OR CEMENT AFTER WITHDRAWING THE CASING Not abandoned during audit period Not Triggered (LINING): OR (B) SUCH METHODS AS AGREED TO OR DIRECTED BY NSW OFFICE OF WATER.

THE LICENSEE SHALL NOT ALLOW ANY TAILWATER/DRAINAGE TO DISCHARGE INTO OR ONTO:- - ANY ADJOINING PUBLIC OR CROWN ROAD; -ANY OTHER PERSONS LAND; Not able to be 7 - ANY CROWN LAND; Information not available verified - ANY RIVER, CREEK OR WATERCOURSE; - ANY NATIVE VEGETATION AS DESCRIBED UNDER THE NATIVE VEGETATION CONSERVATION ACT 1997; - ANY WETLANDS OF ENVIRONMENTAL SIGNIFICANCE.

WATER SHALL NOT BE PUMPED FROM THE BORE AUTHORISED BY THIS LICENSE FOR ANY PURPOSF OTHER THAN Installed as monitoring bore, no extraction has occurred as per dicussion with Environment Not Able to be 8 GROUND WATER INVESTIGATION. and Community Officer. Verified

Water Licence 20BL173511 Oceanic Coal Australia West Wallsend 2016 Independant Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk NSW Bore License 20BL169793

renewal License Valid From 12 August 2015 to 11 August 2020

Conditions

IF WORK IS ABONDONED AT ANY TIME THE LICENSEE SHALL NOTIFY NSW OFFICE OF WATER THAT THE WORK HAS BEEN ABONDONED AND SEAL OFF THE AQUIFFER BY:- 3 (A) BACKFILLING THE WORK TO GROUND LEVEL WITH CLAY OR CEMENT AFTER WITHDRAWING THE CASING Work has not been abandoned Not Triggered (LINING): OR (B) SUCH METHODS AS AGREED TO OR DIRECTED BY NSW OFFICE OF WATER.

THE LICENSEE SHALL INSTALL TO THE SATISFACTION OF NSW OFFICE OF WATER IN RESPECT TO LOCATION, TYPE AND CONSTRUCTION AN APPLIANCE(S) TO MEASURE THE QUANTITY OF WATER EXTRACTED FROM THE WORKS. THE APPLIANCE(S) TO CONSIST OF EITHER A MEASURING WEIR OR WEIRS WITH AUTOMATIC RECORDER, OR METER OR METERS OF THE DETHRIDGE TYPE, OR SUCH OTHER CLASS OF METER OR MEANS OF MEASUREMENT Mechanical Flowmeters attached for monitoring 5 AS MAY BE APPROVED BY NSW OFFICE OF WATER. THE APPLIANCE(S) SHALL BE MAINTAINED IN GOOD WORKING Not Compliant E 2 Medium ORDER AND CONDITION . A RECORD OF ALL WATER EXTRACTED FROM THE WORKS SHALL BE KEPT AND SUPPLIED Flow meters not calibrated. TO THE DEPARTMENT UPON REQUEST. THE LICENSEE WHEN REQUESTED MUST SUPPLY A TEST CERTIFICTE AS TO THE ACCURACY OF THE APPLIANCE(S) FURNISHED EITHER BY THE MANUFACTURER OR BY SOME PERSON DULY QUALIFIED.

THE VOLUME OF GROUNDWATER EXTRACTED FROM THE WORKS AUTHORISED BY THIS LICENCE SHAL NOT 6 Volume exceedences as reported in ARs Not Compliant D 1 Medium EXCEED 360 MEGALITRES IN ANY 12 MONTH PERIOD COMMENCING 1ST JULY.

THE LICENCE HOLDER MUST INCLUDE IN THE ANNUAL ENVIRONMENTAL REVIEW AS REQUIRED TO BE PREPARED ON AN ANNUAL BASIS UNDER THE DEVELOPMENT CONSENT:

(1) THE TOTAL VOLUME OF GROUNDWATER EXTRACTED FROM THE BORE DURING THE RELEVANT PERIOD OF REPORTING. See Water Balance in Ars. 7 (2) AN ESTIMATE OF THE TOTAL VOLUME OF GROUNDWATER TAKEN FROM THE ALLUVIAL WATER SOURCE(S): Compliant This information is reported. AND

(3) AN ESTIMATE OF THE TOTAL VOLUME OF WATER TAKEN FROM THE UNREGULATED RIVER WATER SOURCE.

NOTE: ANY ESTIMATE OR REPORT OF WATER EXTRACTED CAN BE AMMENDED BY NOTICE TO THE DEPARTMENT IF AT ANY TIME THE LICENCE HOLDER BELIEVES PREVIOUS ESTIMATES OR REPORTS RE NOT CORRECT

Water Licence 20BL169793 Oceanic Coal Australia West Wallsend 2016 Independant Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk NSW Office of Water Licence Certificate 20BL173531 - Groundwater Monitoring Bore

License Valid from 2 October 2013 to Perpetuity

Conditions

THE LICENSEE SHALL WITHIN TWO (2) MONTHS OF COMPLETION OR AFTER THE ISSUE OF THE LICENCE IF THE WORK IS EXISTING, FURNISH TO THE NSW OFFICE OF WATER:-

(A) DETAILS OF THE WORK AS SET OUT IN THE ATTACHED FORM "AG".

(B) A PLAN SHOWING ACCURATELY THE LOCATION OFTHE WORK IN REL ATION TO PORTION AND PROPERTY 1 Information not available Not Compliant E 3 Low BOUNDARIES,

(C)DETAILS OF ANY PUMPING TESTS CARRIED OUT.

(D) DETAILS OF ANY WATER ANALYSIS,

IF DURING THE CONSTRUCTION OF THE WORK, SALINE OR POLLUTED WATER IS ENCOUNTERED ABOVE THE PRODUCING AQUIFER, SUCH WATER SHALL BE SEALED OFF BY:-

(A) INSERTING THE APPROPRIATE LENGTH OF CASING TO A DEPTH SUFFICIENT TO EXCLUDE THE SALINE OR POLLUTED WATER FROM THE WORK. Not able to be 3 Information not available verified (B) CEMENTING BETWEEN THE CASING(S) AND THE WALLS OF THE BORE HOLE FROM THE BOTTOM OF THE CASING TO GROUND LEVEL.

ANY DEPARTURE FROM THESE PROCEDURES MUST BE APPROVED BY THE DEPARTMENT BEFORE UNDERTAKING THE WORK.

(A) THE LICENSEE SHALL NOTIFY THE NSW OFFICE OF WATER IF A FLOWING SUPPILY OF WATER IS OBTAINED. THE BORE SHALL THEN BE LINED WITH CASING AND CEMENTED AND A SUITABLE CLOSING GEAR SHALL BE ATTACHED TO THE BOREHEAD AS SPECIFIED BY THE DEPARTMENT OF WATER AND ENERGY. 4 Not triggered during audit period Not Triggered (B) IF A FLOWING SUPPLY OF WATER IS OBTAINED FROM THE WORK, THE LICENSEE SHALL ONLY DISTRIBUTE WATER FROM THE BORE HEAD BY A SYSTEM OF PIPE LINES AND SHALL NOT DISTRIBUTE IT IN DRAINS, NATURAL OR ARTIFICIAL CHANNELS OR DEPRESSIONS.

IF WORK IS ABONDONED AT ANY TIME THE LICENSEE SHALL NOTIFY NSW OFFICE OF WATER THAT THE WRK HAS BEEN ABONDONED AND SEAL OFF THE AQUIFFER BY:- 5 (A) BACKFILLING THE WORK TO GROUND LEVEL WITH CLAY OR CEMENT AFTER WITHDRAWING THE CASING Not abandoned during audit period Not Triggered (LINING): OR (B) SUCH METHODS AS AGREED TO OR DIRECTED BY NSW OFFICE OF WATER.

WATER SHALL NOT BE PUMPED FROM THE BORE AUTHORISED BY THIS LICENSE FOR ANY PURPOSE OTHER THAN 6 Monitoring bore only. Compliant GROUND WATER INVESTIGATION.

Water Licence 20BL173531 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Consolidated Coal Lease No 718 Approved May 2011, Expires January 2030 1. Notice to Landholders Within a period of three months from the date of grant/renewal of this lease, the lease holder must serve on each landholder a notice in writing indicating that this mining lease has been granted/renewed and whether the (a) Ten or more landholders Not Triggered lease includes the surface. A plan identifying each landholder and individual land parcel subject to the lease area, and a description of the lease area must accompany the notice.

If there are ten or more landholders, the leaseholder may serve the notice by publication in a newspaper circulating in the region where the lease area is situated. The notice must indicate that this mining lease has (b) Not done. Not Compliant E 3 Low been granted/renewed: state whether the lease includes the surface and must contain a plan and description of the lease area. If a notice is made under conditions 1(b), compliance with condition 1(a) is not required. 2. Rehabilitation OCAL Complex Closure MOP, 2016 includes planning for closure criteria to the satisfaction Any disturbance resulting from the activities carried out under this mining lease must be rehabilitated to the of the Minister. Not Triggered satisfaction of the Minister. However closure activities are not completed yet, therefore this condition is not triggered. 3. Mining Operations Plan and Annual Rehabilitation Report The lease holder must comply with an approved Mining Operations Plan (MOP) in carrying out any significant surface disturbing activities, including mining operations, mining purposes and prospecting. The leaseholder Compliance with REMP/MOPs assessed elsewhere in audit. (a) Compliant must apply to the Minister for approval of a MOP. An approved MOP must be in place prior to commencing any significant surface disturbance activities, including mining operations, mining purposes and prospecting.

The MOP must identify the post mining land use and set out a detailed rehabilitation strategy which: During the audit period, WWC operated in accordance with the following approved (i) identifies areas that will be disturbed; REMP/MOPs; (ii) details the staging of specific mining operations, mining purposes and prospecting; (iii) identifies how the mine will be managed and rehabilitated to achieve the post mining land use; - Mining Operations Plan for the Closure of the OCAL Complex, 2016 - conditionally (iv) identifies how mining operations, mining purposes and prospecting will be carried out in order to prevent (b) approved until October 2016. Compliant and minimise harm to the environment; and - Mining Operations Plan (MOP) (October 2015 to October 2016) - Approved (v) reflects the conditions of approval under: - WWC Rehabilitation and Environmental Management Plan, Umwelt 2012 - the Environmental Planning and Assessment Act 1979; - the Protection of the Environment Operations Act1997; and which cover these requirements. - any other approvals relevant to the development including the conditions of this mining lease.

it is not a breach of this condition if: (i) the operations which, but for this condition 3(e) would be breach of condition 3(a), were necessary to comply with a lawful order or direction given under the Environmental Planning and Assessment Act 1979, the Protection of the Environment Operations act 1997, the Mine Health and Safety Act 2004/Coal Mine Health and (e) This was noted, however the audit did not require a finding to be made on this point. Noted Safety Act 2002 and Mine Health and Safety Regulation 2007/Coal mine Health and Safety Regulation 2006 or the Work Health and Safety Act 2011; and (ii) the Minister had been notified in writing of the terms of the order or direction prior to the operations constituting the breach being carried out.

The leaseholder must prepare a Rehabilitation Report to the satisfaction of the Minister. The report must: (i) provide a detailed review of the progress of rehabilitation against the performance measures and criteria As verified in Annual Reviews 2013, 2014 and 2015. established in the approved MOP; (f) Compliant (ii) be submitted annually on the grant anniversary date (or at such other times as agreed by the minister); and Letters of satisfaction for 2014, and 2013 AEMR from DRE. (iii) be prepared in accordance with any relevant annual reporting guidelines published on the departments website.

Note: the Rehabilitation Report replaces the Annual Environmental Management Report This was noted, however the audit did not require a finding to be made on this point. Noted

CCL 718 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Consolidated Coal Lease No 718 4. Compliance Report The leaseholder must submit a Compliance Report to the satisfaction of the Minister. The report must be (a) prepared in accordance with any relevant guidelines or requirements published by the minister for compliance reporting. The Compliance Report must include: (i) the extent to which the conditions of this mining lease or any provisions of the Act or the regulations applicable to activities under this mining lease, have or have not been complied with; (b) (ii) particulars of any non-compliance with any such conditions or provisions; (iii) the reason for any such non-compliance; (iv) any action taken, or to be taken, to prevent any occurrence, or to mitigate the effects, of that non- compliance. The Compliance Report must be lodged with the Department annually on the grant anniversary date for the life Renewal Anniversary Date November 2015, therefore compliance report not due until (c) Not Triggered of this mining lease. November 2016. Previous license conditions did not include this requirement. In addition to annual lodgement under condition 4(c) above, a Compliance Report; (i) must accompany any application to renew this mining lease under the Act; (d) (ii) must accompany any application to transfer this mining lease under the act; and (iii) must accompany any application to cancel, or to partially cancel, this mining lease under the Act.

Despite the submission of any Compliance Report under (c) or (d) above, the titleholder must lodge a (e) Compliance Report with the Department at any date or dates otherwise required by the Minister. A Compliance Report must be submitted one month prior to the expiry of this mining lease, where the licence (f) holder is not seeking to renew or cancel this mining lease. 5. Environmental Incident Report The leaseholder must notify the Department of all; (i) breaches of the conditions of this mining lease or breaches of the Act causing or threatening material harm to the environment; and (Iii) breaches of the environmental protection legislation causing or threatening material harm to the (a) No incidents within the footprint of the CCL, within the audit period Not Triggered environment (as defined in the Protection of the Environment Administration Act 1991), arising in connection with significant surface disturbing activities, including mining operations, mining purposes and prospecting operations, under this mining lease. The notification must be given immediately after the lease holder becomes aware of the breach. The lease holder must submit an Environmental Incident Report to the Department within 7 days of all breaches referred to in condition 5(a)(i) and (ii). The Environmental Incident Report must include; (i) the details of the mining lease; (ii) contact details for the leaseholder; (iii) a map identifying the location of the incident and where material harm to the environment has or is likely to occur; (b) No incidents within the footprint of the CCL, within the audit period Not Triggered (iv) a description of the nature of the incident or breach, likely causes and consequences; (v) a timetable showing actions taken or planned to address the incident and to prevent future incidents or breaches referred to in 5(a). (vi) a summary of all previous incidents or breaches which have occurred in the previous 12 months relating to significant surface disturbing activities, including mining operations, mining purposes and prospecting operations under this mining lease.

In addition to the requirements set out in conditions 5(a) and (b), the lease holder must immediately advise the Department of any notification made under Section 148 of the Protection of the Environment Operations Act (c) No incidents within the footprint of the CCL, within the audit period Not Triggered 1997 arising in connection with significant surface disturbing activities including mining operations, mining purposes and prospecting operations, under this mining lease 6. Extraction Plan In this condition; (i) approved Extraction Plan means a plan, being: A. An extraction plan or subsidence management plan approved in accordance with the conditions of a relevant development consent and approved to the Secretary ; or (a) B. A subsidence management plan relating to the mining operations subject to this lease: Noted Noted I. submitted to the Secretary on or before 31 December 2014; II. approved by the Secretary. (ii) relevant development consent means a development consent or project approval issued under the Environmental Planning and Assessment Act 1979 relating to the mining operations subject to this lease. the lease holder must not undertake any underground mining operations that may cause subsidence except in (b) LW51 and 52 Extraction Plan Compliant accordance with an approved Extraction Plan. The lease holder must ensure that the approved Extraction Plan provides the effective management of risks Risk assessment conducted during development of the LW51 and 52 Extraction Plan. (c) Compliant associated with any subsidence resulting from mining operations carried out under this lease.

CCL 718 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Consolidated Coal Lease No 718 the lease holder must notify the Secretary within 48 hours of any; (i) incident caused by subsidence which has a potential to expose any person to health and safety risks; (ii) significant deviation from the predicted nature, magnitude, distribution, timing and duration of subsidence effects, and the potential impacts and consequences of those deviations on built features and the health and safety of any person; or (d) No such subsidence incidents in the audit period. Not Triggered (iii) significant failure or malfunction of a monitoring device or risk control measure set out in the approved Extraction Plan addressing; A. built features; B. public safety; or C. subsidence monitoring. 8. Group Security the lease holder is required to provide and maintain a security deposit to secure funding for the fulfilment of obligations of all or any kind under the mining lease, including obligations of all or any kind under the mining lease that may arise in the future. the amount of the security deposit to be provided as a group security has been assessed by the Minister at Sighted ANZ Bank Guarantee for this figure within accounting system. Compliant $29,910,000. Sighted letter from DRE stating deposit of this figure being held in security. The leases covered by this group security include; Private Lands Lease No 153 (act 1906), CCL No's 718, 725, 760, Coal Lease No 532 and Mining Purposes Lease No 323 (Act 1973) and Mining Lease No's 1336, 1438, 1451, 1459, 1532 and 1567 (Act 1992).

CCL 718 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Consolidated Coal Lease No. 725 Approved May 2014, Expiry October 2029 1. Notice to Landholders Within a period of three months from the date of grant/renewal of this lease, the lease holder must serve on each landholder a notice in writing indicating that this mining lease has been granted/renewed and whether the (a) Ten or more landholders Not Triggered lease includes the surface. A plan identifying each landholder and individual land parcel subject to the lease area, and a description of the lease area must accompany the notice.

If there are ten or more landholders, the leaseholder may serve the notice by publication in a newspaper circulating in the region where the lease area is situated. The notice must indicate that this mining lease has (b) Not done on renewal in 2014. Not Compliant E 3 Low been granted/renewed: state whether the lease includes the surface and must contain a plan and description of the lease area. If a notice is made under conditions 1(b), compliance with condition 1(a) is not required. 2. Rehabilitation OCAL Complex Closure MOP, 2016 includes planning for closure criteria to the satisfaction Any disturbance resulting from the activities carried out under this mining lease must be rehabilitated to the of the Minister (conditionally approved until October 2016). Not Triggered satisfaction of the Minister. However closure activities are not completed yet, therefore this condition is not triggered. 3. Mining Operations Plan and Annual Rehabilitation Report The lease holder must comply with an approved Mining Operations Plan (MOP) in carrying out any significant surface disturbing activities, including mining operations, mining purposes and prospecting. The leaseholder Compliance with REMP/MOPs assessed elsewhere in audit. (a) Compliant must apply to the Minister for approval of a MOP. An approved MOP must be in place prior to commencing any significant surface disturbance activities, including mining operations, mining purposes and prospecting.

The MOP must be prepared in accordance with the ESG3: Mining Operations Plan (MOP) Guidelines September (c) Assessed elsewhere in audit. Compliant 2013 published on the Departments website. (d) The leaseholder must apply to the Minister to amend an approved MOP at any time. No versions of the MOP being used by the site are not approved by the minister. Compliant it is not a breach of this condition if: (i) the operations which, but for this condition 3(e) would be breach of condition 3(a), were necessary to comply with a lawful order or direction given under the Environmental Planning and Assessment Act 1979, the Protection of the Environment Operations act 1997, the Mine Health and Safety Act 2004/Coal Mine Health and (e) This was noted, however the audit did not require a finding to be made on this point. Noted Safety Act 2002 and Mine Health and Safety Regulation 2007/Coal mine Health and Safety Regulation 2006 or the Work Health and Safety Act 2011; and (ii) the Minister had been notified in writing of the terms of the order or direction prior to the operations constituting the breach being carried out.

Note: the Rehabilitation Report replaces the Annual Environmental Management Report

CCL 725 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Consolidated Coal Lease No. 725 4. Compliance Report The leaseholder must submit a Compliance Report to the satisfaction of the Minister. The report must be (a) prepared in accordance with any relevant guidelines or requirements published by the minister for compliance reporting. The Compliance Report must include: (i) the extent to which the conditions of this mining lease or any provisions of the Act or the regulations applicable to activities under this mining lease, have or have not been complied with; (b) (ii) particulars of any non-compliance with any such conditions or provisions; (iii) the reason for any such non-compliance; (iv) any action taken, or to be taken, to prevent any occurrence, or to mitigate the effects, of that non- compliance. The Compliance Report must be lodged with the Department annually on the grant anniversary date for the life (c) Renewal Anniversary Date January 2015, Compliance Report not prepared. Not Compliant D 3 Medium of this mining lease. In addition to annual lodgement under condition 4(c) above, a Compliance Report; (i) must accompany any application to renew this mining lease under the Act; (d) (ii) must accompany any application to transfer this mining lease under the act; and (iii) must accompany any application to cancel, or to partially cancel, this mining lease under the Act.

Despite the submission of any Compliance Report under (c) or (d) above, the titleholder must lodge a (e) Compliance Report with the Department at any date or dates otherwise required by the Minister. A Compliance Report must be submitted one month prior to the expiry of this mining lease, where the licence (f) holder is not seeking to renew or cancel this mining lease. 5. Environmental Incident Report The leaseholder must notify the Department of all; (i) breaches of the conditions of this mining lease or breaches of the Act causing or threatening material harm to the environment; and Breaches of the conditions of this license not reported though the site may not (at the time (Iii) breaches of the environmental protection legislation causing or threatening material harm to the of the audit) be aware of these breaches. (a) Compliant environment (as defined in the Protection of the Environment Administration Act 1991), arising in connection No environmental incidents relevent to this condition in the reporting period, no material with significant surface disturbing activities, including mining operations, mining purposes and prospecting or threatened harm to the environment. operations, under this mining lease. The notification must be given immediately after the lease holder becomes aware of the breach. The lease holder must submit an Environmental Incident Report to the Department within 7 days of all breaches referred to in condition 5(a)(i) and (ii). The Environmental Incident Report must include; (i) the details of the mining lease; (ii) contact details for the leaseholder; (iii) a map identifying the location of the incident and where material harm to the environment has or is likely to Breaches of the conditions of this license not reported though the site may not (at the time occur; of the audit) be aware of these breaches. (b) Compliant (iv) a description of the nature of the incident or breach, likely causes and consequences; No environmental incidents relevent to this condition in the reporting period, no material (v) a timetable showing actions taken or planned to address the incident and to prevent future incidents or or threatened harm to the environment. breaches referred to in 5(a). (vi) a summary of all previous incidents or breaches which have occurred in the previous 12 months relating to significant surface disturbing activities, including mining operations, mining purposes and prospecting operations under this mining lease.

In addition to the requirements set out in conditions 5(a) and (b), the lease holder must immediately advise the Department of any notification made under Section 148 of the Protection of the Environment Operations Act (c) No notifications made under S148 Not Triggered 1997 arising in connection with significant surface disturbing activities including mining operations, mining purposes and prospecting operations, under this mining lease 6. Extraction Plan In this condition; (i) approved Extraction Plan means a plan, being: A. An extraction plan or subsidence management plan approved in accordance with the conditions of a relevant development consent and approved to the Secretary ; or (a) B. A subsidence management plan relating to the mining operations subject to this lease: This was noted, however the audit did not require a finding to be made on this point. Noted I. submitted to the Secretary on or before 31 December 2014; II. approved by the Secretary. (ii) relevant development consent means a development consent or project approval issued under the Environmental Planning and Assessment Act 1979 relating to the mining operations subject to this lease. the lease holder must not undertake any underground mining operations that may cause subsidence except in (b) No subsidence related mining operations undertaken during audit period. Not Triggered accordance with an approved Extraction Plan. The lease holder must ensure that the approved Extraction Plan provides the effective management of risks (c) See extraction plan assessed elsewhere in the audit. Compliant associated with any subsidence resulting from mining operations carried out under this lease.

CCL 725 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Consolidated Coal Lease No. 725 the lease holder must notify the Secretary within 48 hours of any; (i) incident caused by subsidence which has a potential to expose any person to health and safety risks; (ii) significant deviation from the predicted nature, magnitude, distribution, timing and duration of subsidence effects, and the potential impacts and consequences of those deviations on built features and the health and safety of any person; or No subsidence impacts to built features beyond predictions in the audit period. (d) Not Triggered (iii) significant failure or malfunction of a monitoring device or risk control measure set out in the approved No subsidence impacts that pose a risk to public safety in the audit period. Extraction Plan addressing; A. built features; B. public safety; or C. subsidence monitoring. 8. Group Security the lease holder is required to provide and maintain a security deposit to secure funding for the fulfilment of obligations of all or any kind under the mining lease, including obligations of all or any kind under the mining lease that may arise in the future. the amount of the security deposit to be provided as a group security has been assessed by the Minister at Sighted ANZ Bank Guarantee for this figure within accounting system. Compliant $29,910,000. Sighted letter from DRE stating deposit of this figure being held in security. The leases covered by this group security include; Private Lands Lease No 153 (act 1906), CCL No's 718, 725, 760, Coal Lease No 532 and Mining Purposes Lease No 323 (Act 1973) and Mining Lease No's 1336, 1438, 1451, 1459, 1532 (Act 1992).

CCL 725 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk ML's 1438, 1451, 1336 (Renewal Date November 2014) Extraction of Coal

The lease holder shall extract as large a percentage of the coal in the subject area as is practicable consistent ML 1438 (1) This is a commercial consideration, there was no evidence of excessive sterilisation of with the provisions of the Coal Mines Regulation Act 1982 and the Regulations there under and shall Compliant ML1451 (1) coal reserves in the audit period. comply with any direction given or which may be given in this regard by the Minister.

Extraction Plan In this condition; (i) approved Extraction Plan means a plan, being: A. An extraction plan or subsidence management plan approved in accordance with the conditions of a relevant development consent and approved to the Secretary ; or ML 1336(6)(a) B. A subsidence management plan relating to the mining operations subject to this lease: This was noted, however the audit did not require a finding to be made on this point. Noted I. submitted to the Secretary on or before 31 December 2014; II. approved by the Secretary. (ii) relevant development consent means a development consent or project approval issued under the Environmental Planning and Assessment Act 1979 relating to the mining operations subject to this lease. the lease holder must not undertake any underground mining operations that may cause subsidence except No subsidence related mining operations in the footprint of ML1336 undertaken during ML 1336(6)(b) Not Triggered in accordance with an approved Extraction Plan. audit period. The lease holder must ensure that the approved Extraction Plan provides the effective management of risks ML 1336(6)(c) No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered associated with any subsidence resulting from mining operations carried out under this lease.

the lease holder must notify the Secretary within 48 hours of any; (i) incident caused by subsidence which has a potential to expose any person to health and safety risks; (ii) significant deviation from the predicted nature, magnitude, distribution, timing and duration of subsidence effects, and the potential impacts and consequences of those deviations on built features and the health and safety of any person; or ML 1336(6)(d) No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered (iii) significant failure or malfunction of a monitoring device or risk control measure set out in the approved Extraction Plan addressing; A. built features; B. public safety; or C. subsidence monitoring. Mining, Rehabilitation, Environmental Management process (MREMP) Mining Operations Plan (MOP) The lease holder must comply with an approved Mining Operations Plan (MOP) in carrying out any significant surface disturbing activities, including mining operations, mining purposes and prospecting. The leaseholder ML 1336 (3)(a) No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered must apply to the Minister for approval of a MOP. An approved MOP must be in place prior to commencing any significant surface disturbance activities, including mining operations, mining purposes and prospecting.

The MOP must identify the post mining land use and set out a detailed rehabilitation strategy which: During the audit period, WWC operated in accordance with the following approved (i) identifies areas that will be disturbed; REMP/MOPs; (ii) details the staging of specific mining operations, mining purposes and prospecting; (iii) identifies how the mine will be managed and rehabilitated to achieve the post mining land use; - Mining Operations Plan for the Closure of the OCAL Complex, 2016 - conditionally (iv) identifies how mining operations, mining purposes and prospecting will be carried out in order to prevent ML 1336 (3)(b) approved until October 2016. Compliant and minimise harm to the environment; and - Mining Operations Plan (MOP) (October 2015 to October 2016) - Approved (v) reflects the conditions of approval under: - WWC Rehabilitation and Environmental Management Plan, Umwelt 2012 - the Environmental Planning and Assessment Act 1979; - the Protection of the Environment Operations Act1997; and which cover these requirements. - any other approvals relevant to the development including the conditions of this mining lease.

The MOP must be prepared in accordance with the ESG3: Mining Operations Plan (MOP) Guidelines ML 1336 (3)(c) No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered September 2013 published on the Departments website.

Mining operations, including mining purposes, must be conducted in accordance with a Mining Operations Plan (the Plan) satisfactory to the Director-General. This Plan together with environmental conditions of ML 1451 (2) (1) development consent and other approvals will form the basis for: No versions of the MOP being used by the site are not approved by the Minister. Compliant (a) Ongoing mining operations and environmental management; and (b) Ongoing monitoring of the project.

The Plan must be prepared in accordance with the Director-General's guidelines current at the time of ML 1451 (2) (2) No versions of the MOP being used by the site are not approved by the Minister. Compliant lodgement. A Plan must be lodged with the Director-General: (a) Prior to the commencement of mining operations (including mining purposes); ML 1451 (3) No versions of the MOP being used by the site are not approved by the minister. Compliant (b) Subsequently as appropriate prior to the expiry of any current Plan; and (c) In accordance with any direction issued by the Director-General.

Mining Leases Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk ML's 1438, 1451, 1336 (Renewal Date November 2014) The Plan must present a schedule of proposed mine development for a period of up to seven years and contain diagrams and documentation which identify: During the audit period, WWC operated in accordance with the following approved (a) Area(s) proposed to be disturbed under the Plan; REMP/MOPs; (b) Mining and rehabilitation method(s) to be used and their sequence; (c) Areas to be used for disposal of tailings/waste; - Mining Operations Plan for the Closure of the OCAL Complex, 2016 - conditionally (d) Existing and proposed surface infrastructure; ML 1451 (4) approved until October 2016. Compliant (e) Progressive rehabilitation schedules; - Mining Operations Plan (MOP) (October 2015 to October 2016) - Approved (f) Areas of particular environmental sensitivity; - WWC Rehabilitation and Environmental Management Plan, Umwelt 2012 (g) Water management systems (including erosion and sediment controls); (h) Proposed resource recovery; and which cover these requirements. (i) Where the mine will cease extraction during the term of the Plan, a closure plan including final rehabilitation objectives/methods and post mining land use/vegetation.

ML 1451 (5) The Plan when lodged will be reviewed by the Department of Mineral Resources. This was noted, however the audit did not require a finding to be made on this point. Noted

The Director-General may within 2 months of the lodgement of the Plan, require modification and re- ML 1451 (6) This was noted, however the audit did not require a finding to be made on this point. Noted lodgement.

If a requirement in accordance with clause 6 is not issued within two months of the lodgement of a Plan, ML 1451 (7) lease holder may proceed with implementation of the Plan submitted subject to the lodgement of the This was noted, however the audit did not require a finding to be made on this point. Noted required security deposit within the specified time.

During the life of the Mining Operations Plan, proposed modifications to the Plan must be lodged with the ML 1451(2)(8) No versions of the MOP being used by the site are not approved by the minister. Compliant Director-General and will be subject to the review process outlined in clauses (5)-(7) above.

ML 1336 (3)(d) The leaseholder must apply to the Minister to amend an approved MOP at any time. No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered

it is not a breach of this condition if: (i) the operations which, but for this condition 3(e) would be breach of condition 3(a), were necessary to comply with a lawful order or direction given under the Environmental Planning and Assessment Act 1979, the Protection of the Environment Operations act 1997, the Mine Health and Safety Act 2004/Coal Mine ML 1336 (3)(e) No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered Health and Safety Act 2002 and Mine Health and Safety Regulation 2007/Coal mine Health and Safety Regulation 2006 or the Work Health and Safety Act 2011; and (ii) the Minister had been notified in writing of the terms of the order or direction prior to the operations constituting the breach being carried out.

The leaseholder must prepare a Rehabilitation Report to the satisfaction of the Minister. The report must: (i) provide a detailed review of the progress of rehabilitation against the performance measures and criteria established in the approved MOP; ML 1336 (3)(f) (ii) be submitted annually on the grant anniversary date (or at such other times as agreed by the minister); No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered and (iii) be prepared in accordance with any relevant annual reporting guidelines published on the departments website. Note: the Rehabilitation Report replaces the Annual Environmental Management Report

Mining operations, including mining purposes, must be conducted in accordance with a Mining Operations Plan (the Plan) satisfactory to the Director-General. This Plan together with environmental conditions of ML 1438 (2)(1) Compliance with REMP/MOPs assessed elsewhere in audit. development consent and other approvals will form the basis for: Compliant ML1451 (2)(1) (a) Ongoing mining operations and environmental management; and (b) Ongoing monitoring of the project.

ML 1438 (2)(2) The Plan must be prepared in accordance with the Director-General's guidelines current at the time of Assessed elsewhere in audit. Compliant ML1451 (2)(2) lodgement. A Plan must be lodged with the Director-General: ML 1438 (2)(3) (a) Prior to the commencement of mining operations (including mining purposes); No versions of the MOP being used by the site are not approved by the minister. Compliant ML1451 (2)(3) (b) Subsequently as appropriate prior to the expiry of any current Plan; and (c) In accordance with any direction issued by the Director-General.

Mining Leases Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk ML's 1438, 1451, 1336 (Renewal Date November 2014)

The Plan must present a schedule of proposed mine development for a period of up to seven years and contain diagrams and documentation which identify: During the audit period, WWC operated in accordance with the following approved (a) Area(s) proposed to be disturbed under the Plan; REMP/MOPs; (b) Mining and rehabilitation method(s) to be used and their sequence; (c) Areas to be used for disposal of tailings/waste; - Mining Operations Plan for the Closure of the OCAL Complex, 2016 - conditionally ML 1438 (2)(4) (d) Existing and proposed surface infrastructure; approved until October 2016. Compliant ML1451 (2)(4) (e) Progressive rehabilitation schedules; - Mining Operations Plan (MOP) (October 2015 to October 2016) - Approved (f) Areas of particular environmental sensitivity; - WWC Rehabilitation and Environmental Management Plan, Umwelt 2012 (g) Water management systems (including erosion and sediment controls); (h) Proposed resource recovery; and which cover these requirements. (i) Where the mine will cease extraction during the term of the Plan, a closure plan including final rehabilitation objectives/methods and post mining land use/vegetation.

ML 1438 (2)(5) The Plan when lodged will be reviewed by the Department of Mineral Resources. This was noted, however the audit did not require a finding to be made on this point. Noted ML 1438 (2)(6) The Director-General may within 2 months of the lodgement of the Plan, require modification and re- This was noted, however the audit did not require a finding to be made on this point. Noted lodgement. If a requirement in accordance with clause 6 is not issued within two months of the lodgement of a Plan, ML 1438 (2)(7) lease holder may proceed with implementation of the Plan submitted subject to the lodgement of the This was noted, however the audit did not require a finding to be made on this point. Noted required security deposit within the specified time. ML 1438 (2)(8) During the life of the Mining Operations Plan, proposed modifications to the Plan must be lodged with the No versions of the MOP being used by the site are not approved by the minister. Compliant Director-General and will be subject to the review process outlined in clauses (5)-(7) above. Compliance Report The leaseholder must submit a Compliance Report to the satisfaction of the Minister. The report must be ML 1336 (4)(a) prepared in accordance with any relevant guidelines or requirements published by the minister for compliance reporting. The Compliance Report must include: (i) the extent to which the conditions of this mining lease or any provisions of the Act or the regulations applicable to activities under this mining lease, have or have not been complied with; ML 1336 (4)(b) (ii) particulars of any non-compliance with any such conditions or provisions; (iii) the reason for any such non-compliance; (iv) any action taken, or to be taken, to prevent any occurrence, or to mitigate the effects, of that non- compliance. The Compliance Report must be lodged with the Department annually on the grant anniversary date for the ML 1336(4)(c) No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered life of this mining lease. In addition to annual lodgement under condition 4(c) above, a Compliance Report; (i) must accompany any application to renew this mining lease under the Act; ML1336(4)(d) (ii) must accompany any application to transfer this mining lease under the act; and (iii) must accompany any application to cancel, or to partially cancel, this mining lease under the Act.

Despite the submission of any Compliance Report under (c) or (d) above, the titleholder must lodge a ML 1336(4)(e) Compliance Report with the Department at any date or dates otherwise required by the Minister. A Compliance Report must be submitted one month prior to the expiry of this mining lease, where the licence ML1336(4)(f) holder is not seeking to renew or cancel this mining lease. Environmental Incident Report The leaseholder must notify the Department of all; (i) breaches of the conditions of this mining lease or breaches of the Act causing or threatening material harm to the environment; and (Iii) breaches of the environmental protection legislation causing or threatening material harm to the ML 1336(5)(a) environment (as defined in the Protection of the Environment Administration Act 1991), arising in connection with significant surface disturbing activities, including mining operations, mining purposes and prospecting operations, under this mining lease. The notification must be given immediately after the lease holder becomes aware of the breach. The lease holder must submit an Environmental Incident Report to the Department within 7 days of all breaches referred to in condition 5(a)(i) and (ii). The Environmental Incident Report must include; (i) the details of the mining lease; (ii) contact details for the leaseholder; (iii) a map identifying the location of the incident and where material harm to the environment has or is likely No incidents in the footprint of the lease in the audit period. Not Triggered to occur; ML1336(5)(b) (iv) a description of the nature of the incident or breach, likely causes and consequences; (v) a timetable showing actions taken or planned to address the incident and to prevent future incidents or breaches referred to in 5(a). (vi) a summary of all previous incidents or breaches which have occurred in the previous 12 months relating to significant surface disturbing activities, including mining operations, mining purposes and prospecting operations under this mining lease.

Mining Leases Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk ML's 1438, 1451, 1336 (Renewal Date November 2014) In addition to the requirements set out in conditions 5(a) and (b), the lease holder must immediately advise the Department of any notification made under Section 148 of the Protection of the Environment Operations ML1336(5)(c) Act 1997 arising in connection with significant surface disturbing activities including mining operations, mining purposes and prospecting operations, under this mining lease

Annual Environmental Management Report

Within 12 months of the commencement of mining operations and thereafter annually or, at such other times ML 1438 (3)(1) as may be allowed by the Director-General, the lease holder must lodge an Annual Environmental Annual Reviews lodged 2013, 2014, 2015 Compliant ML 14351 (3)(1) Management Report (AEMR) with the Director-General.

The AEMR must be prepared in accordance with the Director-General's guidelines current at the time of reporting and contain a review and forecast of performance for the preceding and ensuing twelve months in terms of: (a) The accepted Mining Operations Plan; ML 1438 (3)(2) (b) Development consent requirements and conditions; Department Approvals sighted Compliant ML 14351 (3)(2) (c) Environment Protection Authority and Department of Land and Water Conservation licences and approvals; (d) Any other statutory environmental requirements; (e) Details of any variations to environmental approvals applicable to the lease area; and (f) Where relevant, progress towards final rehabilitation objectives. After considering an AEMR the Director-General may, by notice in writing, direct the lease holder to ML 1438 (3)(3) undertake operations, remedial actions or supplementary studies in the manner and within the period Actions required, and actions taken by WWC in response, from Previous Annual Reviews Compliant ML1451 (3)(3) specified in the notice to ensure that operations on the lease area are conducted in accordance with sound included in AR 2013, 2014 and 2015. mining and environmental practice. ML 1438 (3)(4) The lease holder shall, as and when directed by the Minister, co-operate with the Director-General to conduct No such direction made during audit period. Not Triggered ML1451 (3)(4) and facilitate review of the AEMR involving other government agencies. Management and Rehabilitation of Lands (General)

ML1438 (19) The lease holder shall observe any instruction given or which may be given by the Minister with a view to No such instruction during the audit period. Not triggered ML 1451 (19) minimising or preventing public inconvenience or damage to public or private property.

If required to do so by the Minister and within such time as may be stipulated by the Minister the lease ML1438 (20) holder shall carry out to the satisfaction of the Minister surveys of structures, buildings and pipelines on No such direction during the audit period. Not triggered ML 1451 (20) adjacent landholdings to determine the effects of operations on any such structures, buildings and pipelines.

Upon completion of operations on the surface of the subject area or upon the expiry or sooner determination of this authority or any renewal thereof, the lease holder shall remove from such surfaces such buildings, This process had only just begun at the time of the site inspection, equipment and plant ML 1451 (22) Not Triggered machinery plant, equipment, constructions and works as may be directed by the Minister and such surface was being brought to the surface but the surface infrastructure was still in use. shall be rehabilitated and left in a clean, tidy and safe condition to the satisfaction of the Minister. If so directed by the Minister the lease holder shall rehabilitate to the satisfaction of the Minister and within ML 1438 (23) such time as may be allowed by the Minister any lands within the subject area which may have been No such direction during the audit period. Not triggered ML 1451 (23) disturbed by mining or prospecting operations whether such operations were or were not carried out by the lease holder. The lease holder shall provide and maintain to the satisfaction of the Minister efficient means to prevent contamination, pollution, erosion or siltation of any river, stream, creek, tributary, lake, dam, reservoir, watercourse, groundwater or catchment area or any undue interference to fish to their environment and Pollution controls in place at all relevant locations. ML 1451 (25) Compliant shall observe any instruction given or which may be given by the Minister with a view to preventing or The pit top area (where there is the most risk) lies outside these lease footprints. minimising the contamination, pollution, erosion or siltation of any river, stream, creek, tributary, lake, dam, reservoir, watercourse, groundwater or catchment area or any undue influence to fish or their environment. Any disturbance resulting from the activities carried out under this mining lease must be rehabilitated to the ML 1336 (2) No mining operations undertaken in the footprint of ML1336 during the audit period. Not Triggered satisfaction of the Minister. Trees (Planting and Protection of) Flora and Fauna and Arboreal Screens If so directed by the Minister the lease holder shall ensure that operations are carried out in such a manner so ML 1451 (27) No such direction from the Minister. Not Triggered as to minimise disturbance to flora and fauna within the subject area. Roads

The lease holder shall pay to Lake Macquarie City Council, Department of Land and Water Conservation or the Chief Executive, Roads and Traffic Authority the cost incurred by such Council or Department or Chief No damage to roads or other infrastructure that would require payment of costs by the ML1438 (31) Executive of making good any damage caused by operations carried on by or under the authority of the Not Triggered leaseholder within the audit period. registered holder to any road adjoining or traversing the surface or the excepted surface, as the case may be, of the subject area.

Mining Leases Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk ML's 1438, 1451, 1336 (Renewal Date November 2014) The lease holder shall pay to Lake Macquarie City Council, Department of Land and Water Conservation or the Chief Executive, Roads and Traffic Authority the cost incurred by such Council or Department or Chief Executive of making good any damage caused by operations carried on by or under the authority of the registered holder to any road adjoining or traversing the surface or the excepted surface or the excepted surface, as the case may be, of the subject area. No damage to roads or other infrastructure that would require payment of costs by the ML 1451 (31) Not Triggered PROVIDED HOWEVER that the amount to be paid by the leaseholder as aforesaid shall be reduced by such leaseholder within the audit period. sum of money if any as may be paid to the said Council and the Department of Conservation and Land management or the Chief Executive, Roads and Traffic Authority as the case may be from the Mine Subsidence Compensation Fund constituted under the Mine Subsidence Compensation Act, 1961, in settlement of a claim for compensation for the same damage.

Transmission Lines, Communication Lines and Pipelines The lease holder shall as far as is practicable so conduct operations as not to interfere with or impair the ML 1438 (41) stability of efficiency of any transmission line, communication line or pipeline traversing the surface or the No interference with utility infrastructure during the audit period Not Triggered ML 1451 (41) excepted surface of the subject area and shall comply with any direction given or which may be given by the Minister in this regard. Service of Notices Within a period of three months from the date of renewal of this lease or such further time as the Minister may allow, the lease holder must serve on each landholder of of the land a notice in writing indicating that this lease has been renewed and whether the lease includes the surface. An adequate plan and description of Ml 1438 (46) the lease area must accompany the notice. Ml 1451 (46) Applicable only to ML 1336 - No notification issued following renewal. Not Compliant E 3 Low If there are ten or more landholders affected, the leaseholder may serve the notice by publication in a ML 1336 (1) newspaper circulating in the region where the lease area is situated. The notice must indicate that this lease has been renewed: state whether the lease includes the surface and must contain an adequate plan and description of the lease area. Prospecting (General) Where the lease holder desires to commence prospecting operations in the subject area the lease holder shall ML 1451 (50) (a) notify the Director-General in writing and shall comply with such additional conditions as the Minister may No prospecting undertaken during audit period. Not Triggered ML 1438 (50) (a) impose including any condition requiring the lodgement of an additional bond or other form of security for rehabilitation of the area affected by such operations. Where the lease holder notifies the Director-General pursuant to sub-paragraph (a) of this condition the lease ML 1451 (50) (b) holder shall furnish with that notification details of the type of prospecting methods that would be adopted No prospecting undertaken during audit period. Not Triggered ML 1438 (50) (b) and the extent and location of the area that would be affected by them.

Mining Leases Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Private Lands Lease No 153 (ACT 1906) Date of Lease: 29 March 1923, Expiry of Lease: 29 March 2004, Period of Renewal Unl: 29 March 2024 1. Notice to Landholders Within a period of three months from the date of renewal of this lease or such further time as the Minister may allow, the lease holder must serve on each landholder of of the land a notice in writing indicating that this lease has been renewed and whether the lease includes the surface. An adequate plan and description of the lease area must accompany the notice. Not able to be Outside Audit Period If there are ten or more landholders affected, the leaseholder may serve the notice by publication in a Verified newspaper circulating in the region where the lease area is situated. The notice must indicate that this lease has been renewed: state whether the lease includes the surface and must contain an adequate plan and description of the lease area. 2. Mining, Rehabilitation, Environmental Management Process (MREMP), Mining Operations Plan (MOP)

Mining Operations, including mining purposes, must be conducted in accordance with a Mining Operations Plan (the Plan) satisfactory to the Director-General. The Plan together with environmental conditions of development Compliance with REMP/MOPs assessed elsewhere in audit. 1 consent and other approvals will form the basis for: Compliant (a) ongoing mining operations and environmental management; and (b) ongoing monitoring of the project.

The Plan must be prepared in accordance with the Director General's guidelines current at the time of 2 Assessed elsewhere in audit. Compliant lodgement. A Plan must be lodged with the Director General: (a) prior to the commencement of mining operations (including mining purposes); 3 No versions of the MOP being used by the site are not approved by the minister. Compliant (b) subsequently as appropriate prior to the expiry of any current Plan; and (c) in accordance with any direction issued by the Director-General.

the Plan must present a schedule of proposed mine development for a period of up to seven (7) years and contain diagrams and documentation which identify; (a) area(s) proposed to be disturbed under the plan; During the audit period, WWC operated in accordance with the following approved (b) mining and rehabilitation method(s) to be used and their sequence; REMP/MOPs; (c) areas to be used for disposal of tailings/waste; (d) existing and proposed surface infrastructure; - Mining Operations Plan for the Closure of the OCAL Complex, 2016 - conditionally 4 (e) existing flora and fauna on the site; approved until October 2016. Compliant (f) progressive rehabilitation schedules; - Mining Operations Plan (MOP) (October 2015 to October 2016) - Approved (g) areas of particular environmental, ecological and cultural sensitivity and measures to protect these areas; - WWC Rehabilitation and Environmental Management Plan, Umwelt 2012 (h) water management systems (including erosion and sediment controls); (i) proposed resource recovery; and which cover these requirements. (j) where the mine will cease extraction during the term of the Plan, a closure plan including final rehabilitation objectives/methods and post mining land use/vegetation.

5 The Plan when lodged will be reviewed by the Department. This was noted, however the audit did not require a finding to be made on this point. Noted

6 The Director-General may within 2 months of the lodgement of the Plan, require modification and re-lodgement. This was noted, however the audit did not require a finding to be made on this point. Noted If a requirement in accordance with clause 6 is not issued within two months of the lodgement of a Plan, lease 7 This was noted, however the audit did not require a finding to be made on this point. Noted holder may proceed with implementation of the Plan. During the life of the Mining Operations Plan, proposed modifications to the Plan must be lodged with the 8 No versions of the MOP being used by the site are not approved by the minister. Compliant Director-General and will be subjected to the review process outlined in clauses (5) - (7) above.

3. Annual Environmental Management Report (AEMR) Within 12 months of the commencement of mining operations and thereafter annually or, at such other times as 1 may be allowed by the Director-General , the lease holder must lodge an Annual Environmental Management Annual Reviews lodged 2013, 2014, 2015 Compliant Report (AEMR) with the Director General. The AEMR must be prepared in accordance with the Director-General's guidelines current at the time of reporting and contain a review and forecast of performance for the proceeding and ensuing twelve months in terms of: (a) the accepted Mining Operations Plan; 2 (b) development consent requirement and conditions; Department Approvals sighted. Compliant (c) Department of Environment and Conservation and the Department of Planning licences and approvals; (d) any either statutory environmental requirements; details of any variations to environmental approvals applicable to the lease area; and (f) where relevant, progress towards final rehabilitation objectives.

Private Land Lease No.153 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Private Lands Lease No 153 (ACT 1906) After considering an AEMR the Director-General may, by notice in writing, direct the lease holder to undertake operations, remedial actions or supplementary studies in the manner and within the period specified in the Actions required, and actions taken by WWC in response, from Previous Annual Reviews 3 Compliant notice to ensure that operations on the lease area are conducted in accordance with sound mining and included in AR 2013, 2014 and 2015. environmental practice. The lease holder shall, as and when directed by the Minister, co-operate with the Director-General to conduct 4 No such direction during audit period, note other agencies receive the Ars. Not Triggered and facilitate review of the AEMR involving other government agencies. 4. Subsidence Management

(a) The lease holder shall prepare a Subsidence Management plan prior to commencing any underground mining operations which will potentially lead to subsidence of the land surface. (b) underground mining operations which will potentially lead to subsidence include secondary extraction panels such as long walls or miniwalls, associated first workings (gate roads, installation roads and associated main headings, etc) and pillar extractions, and are otherwise defined by the Applications for Subsidence Management Approvals guidelines (EDG17) (c) The leaseholder must not commence or undertake underground mining operations that will potentially lead to subsidence other than in accordance with a Subsidence Management Plan approved by the Director General, No subsidence related mining operations undertaken in the area covered by this lease Not Triggered an approval under the Coal Mine Health and Safety Act 2002 , or the document New Subsidence Management during audit period. Plan Approval Process - Transitional Provisions (EDP09) (d) Subsidence Management Plans are to be prepared in accordance with the Guideline for Applications for Subsidence Management Approvals. (e) Subsidence Management Plans as approved shall form part of the mining Operations Plan required under Condition 2 and will be subject to the Annual Environmental Management Report process as set out under Condition 3. The SMP is also subject to the requirements for subsidence monitoring and reporting set out in the document New Approval Process for Management of Coal Mining Subsidence - Policy.

6. Control of Operations

(a) If an Environmental Officer of the Department believes that the lease holder is not complying with any provision of the Act or any condition of the lease relating to the working of the lease, he may direct the lease holder to; (i) cease working the lease; or (ii) cease that part of the operation not complying with the act or conditions; No such direction made during audit period. Not Triggered until in the opinion of the Environmental Officer the situation is rectified

(b) The lease holder must comply with any direction given. the Director-General may confirm, vary or revoke any such direction. (c) A direction referred to in this condition may be served on the Mine Manager.

7. Reports

The leaseholder must provide an exploration report, within a period of twenty eight days after each anniversary of the date this lease has effect or at such other date as the Director General may stipulate, of each year. The report must be to the satisfaction of the Director-General and contain the following: (a) full particulars, including results, interpretation and conclusions, of all exploration conducted during the twelve month period: No exploration during audit period. Not Triggered (b) details of expenditure incurred in that exploration; (c) a summary of all geological findings acquired through mining development evaluation activities; (d) particulars of exploration proposed to be conducted in the next twelve month period; (e) All plans, maps, sections and other data necessary to satisfactorily interpret the report.

15. Exploratory Drilling At least twenty eight days prior to commencement of drilling operations the lease older must notify the relevant 1 Department of Natural Resources regional hydrologist of the intention to drill exploratory drill holes together No exploration on this lease in the audit period Not Triggered with information on the location of the proposed holes.

Private Land Lease No.153 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Private Lands Lease No 153 (ACT 1906)

If the lease holder drills exploratory drill holes he must satisfy the Director General that; (a) all cored holes are accurately surveyed and permanently marked n accordance with Departmental guidelines so their location can be easily established; (b) all holes cored or otherwise are sealed to prevent the collapse of the surrounding surface; (c) all drill holes are permanently sealed with cement plugs to prevent surface discharge of groundwaters; (d) if any drill hole meets natural or noxious gases it is plugged or sealed to prevent their escape; 2 The lease was not renewed in the audit period or in the 3 months prior to the audit period Not Triggered (e) if any drill hole meets an artesian or sub-artesian flow it is effectively sealed to prevent contamination of aquifers. (f) once any drill hole ceases to be used the hole must be sealed in accordance with Departmental guidelines. Alternatively, the hole must be sealed as instructed by the Director-General. (g) once any drill hole ceases to be used the land and its immediate vicinity is left in a clean, tidy and stable condition.

16. Prevention of Soil Erosion and Pollution

Operations must be carried out in a manner that does not cause or aggravate air pollution, water pollution (including sedimentation) or soil contamination or erosion, unless otherwise authorised by a relevant approval No mining operations undertaken within the footprint of this lands lease during audit and in accordance with an accepted Mining Operations Plan. For the purpose of this condition water shall be Not Triggered period. taken to include any watercourse, water body or groudwaters. The lease holder must observe and perform any instructions given by the Director-General in this regard.

Private Land Lease No.153 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Environmental Assessment: West Wallsend Colliery Continued Operations Project (Umwelt, 2010) 1.0 Introduction Overview of the Project 1.3

The key features of the Project are outlined below in Table 1.1.

This was noted, however the audit did not require a finding to be made on this point. Noted

2013 AR: 3.8 million tonnes ROM As outlined in Table 1.1, the peak potential production rate for the Project is 5.5 million tonnes per annum 2014 AR: 3.4 million tonnes ROM Compliant (Mtpa). 2015 AR: 1.85 million tonnes ROM 1.3 At this stage, there will be no major modification to the existing WWC pit-top facilities as a result of the Project. No major modification to existing WWC pit-top facilities during the audit period. Not Triggered Overview of the Planning and Approval Process 1.5

If the Project Approval is granted under Part 3A of the EP&A Act, various approvals, licences and permits will also be required for certain activities associated with the Project. These include:

Approval under the Coal Mine Health and Safety Act 2002 for secondary extraction. WWC currently holds all relevant approvals under the Coal Mine Health and Safety Act 2002 for existing operations. Further approval will be required for future operations as discussed further in Section 4.0;

A modification to the existing Environment Protection Licence (EPL) under the Protection of the Environment This was noted, however the audit did not require a finding to be made on this point. Noted Operations Act 1997 (POEO Act). WWC currently holds EPL 1360 for the existing operations. The WWC EPL will need to be verified if the Project is approved, mainly related to the proposed construction of the Mining Services Facility; and Approval under s138 of the Roads Act 1993 to undertake road works associated with the proposed Mining Services Facility.

WWC currently holds a number of licences under the Water Act 1912 , primarily associated with the extraction of mine water and monitoring bores. Further approvals will need to be obtained for future operations.

A new surface mining lease will be required for the proposed mining services facility, refer to Section 4.2.2. MSF not constructed. Not Triggered

WWC currently has an approved SMP for the mining of Long walls 38 to 40. It is proposed to continue mining within the area approved under the SMP in accordance with current development consents whilst this project is being determined. On completion of underground mining of the currently approved SMP area, WWC will seek to Sighted letter from DPI acknowledging surrender of old consents, signed 17/12/13 Compliant surrender all other development consents that relate to activities that are adequately covered in the new Project Approval.

2. Description of Continued Operations Current OCAL Approvals 2.2.2 The current Project Application pursuant to Part 3A of the EP&A Act seeks to provide a consolidated approval that covers all of the existing and future mining operations and surface facilities of WWC. WWC currently has an approved SMP for mining of Long walls 38 to 40. It is proposed to continue mining within the area approved under the SMP in accordance with current development consents whilst this project application is being Sighted letter from DPI acknowledging surrender of old consents, signed 17/12/13 Compliant determined. On completion of underground mining of the currently approved SMP area, WWC will seek to surrender all other development consents that relate to activities that are adequately covered in the new Project Approval. Conceptual Mine Plan 2.3.2 2.3.2 The Project will involve the continued use of the long wall retreating system of mining. This was noted, however the audit did not require a finding to be made on this point. Noted Pit Top Facilities and Vent Shafts 2.3.3.1 The No. 2 and No. 3 ventilation shafts and the existing ballast borehole facility are existing infrastructure of This was noted, however the audit did not require a finding to be made on this point. Noted WWC, which will continue to be used as part of this Project.

The existing Long wall 11 borehole facility will continue to be utilised as part of the Project. This was noted, however the audit did not require a finding to be made on this point. Noted

There will be no major modification to the existing WWC pit-top facilities as a result of the Project. Minor surface facility upgrades may be required over time as mining progresses. At this stage, this includes the addition of a No major modification to existing WWC pit-top facilities during the audit period. Not Triggered proposed demountable training building, additional service boreholes, minor works associated with the water re- use project and noise mitigation measures.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Proposed Mining Services Facility 2.3.3.3 The proposed mining services facility (located as shown on Figure 1.3) will be developed to transfer essential services to the continued underground operations of WWC. The facility will be a constructed compound and provide the following services for the underground operations: A ballast and concrete delivery borehole, used for the provision of materials to maintain underground roadways and construct underground concrete structures. MSF not constructed. Not Triggered Solcenic oil storage tanks, which will supply a pre-mixed water and oil emulsion via a borehole to the underground operations for use in the long wall roof supports. Power to the proposed site will be obtained from the existing power supply in the vicinity of Wakefield Road. Telemetry communication devices from the Mining Services Facility. Other Ancillary Surface Infrastructure 2.3.3.4 A range of potential other minor ancillary mining infrastructure will be required above the continued underground mining area including access tracks, service boreholes and gas drainage and flaring facilities. The exact location and number of these minor facilities will be determined as the project progresses, depending on operational needs, coal seam gas make, geological conditions, safety considerations and other mining and environmental variables. The final locations will be determined as part of the detailed mine planning process for each set of panels and will be included in the Mining Operations Plan (MOP) and SMP provided to DP&I prior to their construction. The final locations will avoid known archaeological sites, threatened species and threatened ecological communities.

Prior to construction of the proposed ancillary infrastructure, a detailed due diligence assessment process will be undertaken. This due diligence assessment process will include the following steps: The GDP process covered these requirements and no work was identified that did not have Compliant GDP authorisation in the audit. The location of the proposed ancillary infrastructure will first seek to minimise potential environmental impacts by minimising the area of disturbance, utilising existing access tracks (where possible) and avoiding drainage lines; A detailed inspection of the potential environmental constraints associated with the proposed ancillary infrastructure areas, typically in the order of 30 metres by 30 metres, will then be completed. This inspection will include assessment of the potential environmental constraints such as Aboriginal archaeological sites, ecological constraints such as threatened species and general environmental issues such as drainage, erosion and sediment control; The proposed infrastructure will then be located, where possible, to avoid the potential environmental constraints identified during the inspection; and The inspection will be completed by suitably qualified experts and undertaken in consultation with the relevant stakeholders, including the registered Aboriginal stakeholders. Underground Mine Water Management 2.3.4.2

The water transfer project, approved by LMCC in November 2009 (DA 1221/2007) and included as part of the Project, will consist of two mine water pipelines which will transfer excess mine water to Metromix Quarry to be re-used for operational purposes. The pipeline route will commence at the Long wall 11 boreholes, and continue along the road reserve of Rhondda Road for approximately 1.1 kilometres. The two pipelines, one of which will run from the dewatering borehole at Long wall 11 and the other from Westside Mine, will be buried side by side within a single trench along the entire route, with the exception of the point at which the pipelines cross a tributary of Cockle Creek. The pipelines will end at two discharge boreholes adjacent to Metromix Quarry, which will be drilled to provide access to the previously mined Northern Extended Colliery workings. The mine water will then be discharged to the Northern Extended workings in the Fassifern coal seam, from where it will be gravity fed through the Northern Extended workings under Metromix Quarry. Metromix will then draw the water from a dam adjacent to their licensed discharge point where groundwater from the Northern Extended workings surfaces. The location of the water transfer pipeline is shown on Figure 1.3. Water transfer project did not go ahead Not Triggered Discussions are currently being held with DECCW, Metromix and Rhondda Colliery (who hold the licensed discharge point where the mine water will surface) to arrange for the appropriate EPL variations that will be required to operate the transfer system. Following the approval of these licence variations, construction of the water transfer project will commence. When operating, this system will result in the reduction of saline mine water discharges to Burkes and Cockle Creeks. WWC is currently investigating a mine water re-use project which, when implemented, will have the benefit of reduced potable water usage and reduced offsite discharge volumes. The current mine water discharge pipeline extends from the Long wall 11 borehole facility to Westside Mine for discharge. It is proposed to extend the current pipeline from Westside Mine to the WWC pit-top. The mine water will be mixed with potable water in a mixing facility which will consist of a main holding tank and associated pumps, flow metres and control systems. The mixed water will be sent underground via the existing pipe network for use in the underground operations. The conceptual water re-use project layout is shown in Figure 1.-3.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Ongoing Exploration Activities 2.5.2 To allow for further activities to occur, a review of the potential environmental impacts from exploration activities will be completed, prior to any works to ensure that the activities are located and designed, as far as practical, to have minimal environmental impact. This review will be undertaken in accordance with the assessment process previously discussed in Section 2.3.3.4. Following the environmental assessment of the No exploration in audit period. Compliant proposed disturbance footprint, these areas will be prepared using small earthmoving equipment to allow for the work to be undertaken safely and in a manner that minimises environmental impacts. These works will continue to comply with the licence requirements of DECCW. No exploration in audit period. Following the completion of exploration activities, boreholes will be decommissioned in accordance with DP&I requirements. All disturbed areas including access tracks, drill pads and survey lines will be rehabilitated in Compliant LW 51 Extensometer only relevant site decommissioned and rehabilitated in audit period - consultation with DECCW and relevant stakeholders. rehabilitation site inspected during audit visit. Surveying 2.3.6.1 Prior to the installation of survey marks, detailed descriptions of the survey marks and their location will be forwarded to the relevant stakeholders, including DECCW and DP&I. Establishment of survey lines will not involve any excavation of the ground surface. The survey lines range in Sighted during audit visit. Compliant length depending on the features or area being monitored, with the survey marks being spaced at approximately 10 metres. Where possible the line will be moved to avoid large trees, reducing the extent of vegetation clearing required. An example of a typical survey line is shown in Plate 2.5.

Aerial Laser Scan flown 22/09/13 and two weeks after completion of LW44 (Ditton It is also proposed to use aerial surveying techniques to monitor the surface above the long wall extraction areas. Geotechnical Services, January 2014) Aerial monitoring techniques will be useful in areas where the surface is difficult to access and will also potentially LIDAR/Aerial Laser Scan flown after completion of LW42 and commencement of LW43 Compliant eliminate the need for clearing of vegetation to establish survey marks. The aerial surveying will also provide a (Ditton Geotechnical Services, March 2015) large amount of information on the post mining surface landform. LIDAR/Aerial Laser Scan flown after the completion of LW46 and LW51 (Ditton Geotechnical Services, March 2016) Inspections 2.3.6.2 Subsidence monitoring inspections will be undertaken in accordance with the existing Public Safety SMP (PSSMP). The existing PSSMP sets out how WWC will monitor and remediate potential subsidence impacts in areas which See Subsidence Monitoring Plans and Public Safety Management Plans developed for long Compliant can be accessed by the public. The aim of the PSSMP is to reduce the potential for public safety incidents to occur walls. as a result of subsidence impacts. Surface Crack Remediation 2.3.6.3 This was observed in the site inspection and noted in audit interviews. Remediation of surface cracks will be required above the continued underground mining area, mainly in publicly There have been no subsidence related complaints in the audit period. accessible areas. The surface cracks, which will be identified during the subsidence inspections, will be remediated Compliant where a significant risk to public safety exists, typically on access tracks within the SSCA.

The remediation will be undertaken in accordance with the existing PSSMP and Subsidence Crack Remediation Remediation undertaken during the audit period limited to gravel insertion. Erosion and sed procedure. Typically the remediation involves the backfilling with inert fill and compaction of the affected area. control used as evidenced in the GDPs for remediation works that were sighted. Extent of Compliant Furthermore appropriate rehabilitation strategies, including the use of endemic species and erosion/sediment works not large enough to warrant the development of rehabilitation strategies including control measures will be employed in the remediation works, where necessary. the use of endemic species as no plantings occurred. Due Diligence Assessments for Subsidence Management 2.3.6.4 Activities Where subsidence remediation activities have the potential to impact upon sensitive environmental features, due diligence assessments will be undertaken to assess the best approach to implementing the required subsidence management activities. This will include a review of the management approaches required to minimise potential Covered in GDP process. Compliant impacts related to cultural and historical heritage, ecology and general environmental issues such as erosion and sediment control.

Where due diligence assessments are required, they will be undertaken in consultation with the relevant As per GDP process. Compliant stakeholders, prior to commencement of the works. Eg. installation of Subsidence Monitoring Lines LW51 and LW52 - OEH Approval Conditions Workforce and Hours of Operation 2.3.7

This was noted, however the audit did not require a finding to be made on this point.

2013 AR: 327 full-time workers. At full production, the project will continue to employ approximately 390 full time equivalent employees. 2014 AR: 276 full-time workers. Noted 2015 AR: 170 full-time workers.

Site closure is underway, therefore workforce is being reduced accordingly.

This was noted, however the audit did not require a finding to be made on this point. Mining operations are planned to continue to be undertaken 24 hours per day, seven days per week, as per the Noted existing operations. Mining operations ceased 7th July 2016. The site is now operated in business hours.

This was noted, however the audit did not require a finding to be made on this point. No significant changes to the existing workforce numbers or hours of operation are proposed as part of the Noted Project. Site closure is underway, therefore workforce is being reduced accordingly.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk 3.0 Stakeholder Consultation Authority Consultation 3.1 There will be ongoing consultation with the relevant service organisations, including Telstra, Optus, NextGen, Gencom and Jemena, during the continued operations of WWC regarding management of subsidence impacts on Sighted correspondence and consultation during site visit. Compliant infrastructure. WWC has a long history of effective consultation with these service providers. Community Consultation 3.2.1 West Wallsend Colliery Community Consultative Committee meeting minutes available for WWC will continue to discuss the Project with the Westside Mine Community Consultative Committee. Compliant November 2013, April 2014, November 2014, May 2015, February 2016. 4.0 Planning Considerations Native Title Act 1993 4.1.2 The Part 3A Project Approval process under the EP&A Act does not trigger the 'right to negotiate' provisions in the Native Title Act. However, should any Native Title claims be made in the future, the relevant provisions of the No Native Title claims in audit period Not Triggered Act will be followed in relation to the granting and renewal of any additional mining tenements for the Project.

Mining Act 1992 4.2.2 A new surface mining lease will be required for the proposed mining services facility. MSF not constructed. Not Triggered LW42 and 43 SMP LW44 and 45 SMP OCAL currently operates under an approved MOP and SMP for the existing operations. As mining progresses, new LW46 SMP MOPs and SMPs, or any other future relevant management requirements under the Mining Act, will also be LW51 and 52 SMP Compliant prepared and submitted to the DP&I for approval, in accordance with the conditions of the relevant MLs. WWC REMP and MOP 2012-2018 MOP 2015-2016

Protection of the Environment Operations Act 1997 4.2.3 OCAL currently holds EPL No. 1360 which applies to the OCAL complex, including WWC but excluding Westside This was noted, however the audit did not require a finding to be made on this point. Noted Mine. Should the Project be approved, OCAL will seek to vary the existing EPL to incorporate the Project.

Roads Act 1993 4.2.4

As discussed in Section 2.3.3.3, the proposed mining services facility site is to be located on land owned by LMCC, adjacent to Wakefield Road. A service road is proposed as part of the MSF, allowing access from Wakefield Road. MSF not constructed. Not Triggered As a result, road works will be required on Wakefield Road, to establish entry and exit ramps. A permit will be required under the Roads Act 1993 from LMCC to undertake these works.

The Project also has the potential to impact on local and Crown roads and road reserves, including Wakefield Road, due to subsidence, and approval under Section 138 of the Act will be required prior to any road works Has occurred outside audit period. Not Triggered associated with subsidence remediation.

Coal Mine Health and Safety Act 2002 4.2.5 Clause 88 of the Coal Mine Health and Safety Regulation 2006 imposes a requirement to obtain approval for Subsidence Management Plan - Extraction Plan secondary workings (including extraction by underground methods) as that which existed previously in Section Compliant 138 of the Coal Mines Regulation Act 1982. WWC will require an approval under Clause 88 for the extraction of Approvals all in place. coal by long wall methods in the continued underground mining area. Mine Subsidence Compensation Act 1961 4.2.6 Under the Mine Subsidence Compensation Act 1961, the approval of the MSB is required for the erection or alteration of improvements within a mine subsidence district. The continued underground mining area is located No surface infrastructure relevant to this condition constructed in the audit period. Not Triggered within the Killingworth/Wallsend Mine Subsidence District and approval under s15 of the Act will be required for the construction of any new surface infrastructure, including the proposed mining services facility. Water Act 1912 4.2.8 Groundwater that flows into the underground mine will continue to be pumped from the mine under the existing Part 5 licence held under the Water Act. A variation to the existing Part 5 licence is currently being sought to cater Reviewed all relevant water licences, EPL and Water Management Plan Compliant for existing and planned extraction of predicted groundwater inflows as discussed in Section 5.4. Crown Land Act 1989 4.2.10 A number of Crown road reserves are located within the southern portion of the continued underground mining area. Subsidence remediation works may be required in Crown road reserves within the continued underground MSB conduct this remediation work. Not Triggered mining area and approval would be required for any works. Any required approvals would be obtained prior to such works being undertaken.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk National Parks and Wildlife Act 1974 4.2.11 These provisions require that should WWC wish to apply for a new ML or renew an ML, the concurrence of the All relevant MLs reviewed in this audit. Minister for Environment, Climate Change and Water will be required. As discussed in Section 4.2.2, WWC Compliant currently holds the MLs required for continued mining operations within SCA. However, a surface mining lease MSF not constructed will be required for the proposed mining services facility which is located outside the SCA. State Environmental Planning Policy 44 - Koala Habitat 4.3.4 Protection A koala habitat assessment was completed as part of the ecological assessment for this Project and core koala habitat was identified within the continued underground mining area (refer to Section 5.3). Therefore a koala Koala Plan of Management sighted. Compliant plan of management is required for the Project. State Environmental Planning Policy 55 - Remediation of 4.3.5 Land Controls in place, note the storage of 35% Hydrochloric acid on a shelf over 215L drums of OCAL will continue to implement controls to prevent contamination and the storage and handling of chemicals mineral oils and risk to 215L containers in case of spill. Compliant will be undertaken in accordance with Australian Standards and DECC guidelines. Recommendation - review stored chemicals to ensure risks are addressed adequately. A conceptual closure and decommissioning strategy will be developed for the closure and decommissioning of the OCAL Complex Closure MOP, January 2016, conditionally approved at time of audit Compliant Project in consultation with DI&I (refer to Section 5.15). 5.0 Environmental Assessment Subsidence 5.2 LW44 and 45 Built Features Management Plan LW 45 Wakefield Rd Management Plan WWC as part of the approved SMP for the Western domain, has established long term relationships and existing LW44 and 45 Telstra Copper cable Management Plan subsidence management plans with the respective surface feature stakeholders within the continued LW44 and 45 Transgrid Transmission Tower Management Plan Compliant underground mining area. As the Project progresses, these management plans will be revised in consultation with LW51 and 51 Built Features Management Plan the existing stakeholders to reflect the surface features within the continued underground mining area. Consultation sighted during site visit Similarly, WWC as part of the existing SMP and associated stakeholder management plans, has developed and implemented effective subsidence remediation strategies. These existing remediation strategies will be revised in Written into subsidence/extraction management plans Compliant consultation with the respective stakeholders as the project progresses to address potential subsidence impacts within the continued underground mining area. Subsidence Processes 5.2.1 The predictions and impact assessment have been undertaken based on empirical modelling and comparison from previously recorded monitoring data in the context of the conceptual mine plan for the Project. As mining progresses, there will be ongoing refinement of the predictive model as a result of subsidence monitoring and End of Panel Reports: LW42 Subsidence Review, LW43 Subsidence Review, LW44 End of Compliant comparison with predictions. The mine layout will also continue to be refined as the Project progresses resulting Panel Report, LW45 End of Panel Report, LW46 Subsidence Review in changes to subsidence predictions. Any changes to the mine layout and subsidence predictions will be assessed as part of the SMP or other relevant process at that time. Surface Cracking 5.2.3.1 During mining, daily inspections of all surface access tracks and fire trails will be undertaken to identify potential See Subsidence Monitoring Program surface cracking that may pose a public safety risk (refer to Section 5.2.4). The proposed subsidence remediation Compliant strategies to address potential surface cracking impacts are discussed further in Section 5.2.4. Daily inspection record provided as evidence. Valley Closure and Uplift 5.2.3.4 The development of upsidence cracking may also cause localised deviation of surface flows in rocky, ephemeral No surface flow deviation in the audit period. Not Triggered creek beds. Should this occur, surface flows would be expected to resurface downstream of the impacted area. Table 5.2 - Summary of Proposed Subsidence Management Measures See Subsidence Monitoring Plans and Public Safety Management Plans developed for long walls. Surface crack remediation works will primarily be carried out in accessible areas where required, mainly where surface cracking occurs across access roads and tracks, or potentially in ephemeral watercourses. Surface cracks Sighted Ecological Due Diligence Assessment undertaken by Kleinfelder for the purposes of Compliant will be identified during subsidence monitoring inspections and appropriate remediation strategies developed for LW51 and 52 Crack Remediation. each situation. The remediation is to be conducted on subsidence cracks of varying lengths, widths and depths identified through monitoring of the site. The cracks can be accessed via the Quarry Trail and other un-named tracks in the south of Sugarloaf SCA.

Surface Cracking All surface crack remediation will be undertaken in consultation with the relevant stakeholders and may involve either the ripping/tilling of small to moderate sized cracks or pouring crushed rock, gravel, concrete or grout into This was noted, however the audit did not require a finding to be made on this point. Noted larger sized cracks. The specific remediation strategies are further detailed in the existing WWC Surface Crack Remediation procedure.

Management strategies to address subsidence crack impacts in creeks and watercourses include undertaking pre- mining and post-mining inspections. This includes daily inspections of surface access tracks/fire trails when mining is being undertaken. The results of these inspections are then communicated to the respective stakeholders. No impact to creeks and watercourses during the audit period. Not Triggered Should a significant impact be identified during these inspections, an appropriate remediation strategy is developed. Specified monitoring requirements are outlined in Section 5.2.4.2.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk The practical options available for controlling sub-surface fracturing are limited to the following (in order of increasing impact to proposed mining layouts): Sub-surface - Address large surface cracks as soon as possible if they occur along the creeks, assess the potential for grouting; This was noted, however the audit did not require a finding to be made on this point. Noted Cracking and - Decrease the long wall mining height to reduce the potential for continuous subs-surface fracture heights.

WWC will continue the existing strategies which are used to address subsidence crack impacts in creeks and watercourses, including: - Undertaking pre-mining and post-mining inspections to assess potential subsidence impacts; Creeks and - Communicating inspection results to the respective stakeholders; No impact to creeks and watercourses during audit period. Not Triggered Watercourses - Any impacts identified during inspections will result in the development of a remediation strategy, in consultation with the relevant stakeholders; - Remediation strategies may include remediating large surface cracks, as soon as possible, if they occur along the creeks and assessing the potential for grouting.

To reduce the potential for adverse impacts form slope and cliff line instability and increased erosion due to cracking, the proposed subsidence management strategy will include: - Surface slop and cliff line monitoring (combined with general subsidence monitoring along cross lines and centre lines); - Removal of potentially unstable boulders from cliff lines in close proximity to public access tracks; Slope Stability All of these approaches are followed dependent on applicability of approach to situation. Compliant - Placement of signs along public access ways warning of rock fall dangers and mine subsidence impacts; - Infilling of surface cracking, where possible, to prevent ingress of run-off into the slopes and cliffs; and - On-going review and appraisal of any significant changes to surface slopes such as cracking along ridges, increased erosion down slopes, foot slope seepage and drainage path adjustments observed after each long wall is extracted.

Install and monitor survey lines along ephemeral drainage gullies and along gully crests during and after long wall Verified in Subsidence Monitoring Program. Compliant undermining. Valley Closure - Review predictions of upsidence and valley crest movements after each long wall. Verified in EOP Reports Compliant "uplift" Assess whether repairs to cracking, as a result of upsidence or gully slope stabilisation works are required to Verified in Subsidence Monitoring Program. Compliant minimise the likelihood of long-term degradation to the environment or risk to personnel and the general public.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk A suitable monitoring and trigger response plan, based on consultation with the DECCW and other relevant authorities, will be developed to assess potential ponding impacts on existing vegetation (refer to Section 5.3). Ponding In water management plan (section 7.1 includes TARPs and unforseen impacts protocol) Compliant The on-going review and appraisal of changes to surface drainage paths and surface vegetation in areas of ponding development (if they occur), after each long wall is extracted. The development of a suitable monitoring and response plan based on consultation with the relevant Aboriginal Subsidence Monitoring Plan detailed in the Aboriginal Cultural Heritage Management Plan, Compliant Aboriginal Cultural stakeholders and DECCW, to ensure potential impacts to sites are managed appropriately. Umwelt 2012 Heritage Sites Development of appropriate monitoring and remediation strategies in accordance with the recommendations Subsidence Monitoring Plan detailed in the Aboriginal Cultural Heritage Management Plan, Compliant outlined in Section 5.8 and Appendix 13. Umwelt 2012 Gencom Communication The development of a suitable monitoring and response plan based on consultation with Gencom, to ensure the Towers and impacts on the towers and powerlines do not result in unsafe conditions or loss of serviceability during and after Built Features Management Plans, Services Easement Management Plan Compliant proposed power- mining. line

The development of suitable monitoring and response plan for the GNW, based on consultation with DECW and Land and Management Authority, to ensure the management of impacts on the walk does not result in unsafe LW42 and LW43 GNW Management Plans as Part of relevant extraction plans (developed conditions during and after the effects of mining. Compliant through consultation with DRE and OEH-National Parks) Management of subsidence impacts to the GNW are proposed to be based on inspections and prompt remediation. Great North Walk Erection of signage along the affected area which cautions users of the GNW of the hazards associated with mine Observed during site visit. Compliant subsidence. A contact phone number would be provided in the event that subsidence impacts are encountered. Impacts were remediated and 24 hr inspection program was applied during undermining- sighted inspection forms during site visit. Emergency response plans will be developed to close the road temporarily at short notice if required. Compliant 100 mm to 300 mm wide cracks. Cracks remediated with crushed rock to maintain road in safe and serviceable condition.

The development of a suitable monitoring and response plan, based on the previous subsidence management Wakefield Rd Management Plan LW 45 plan developed in consultation with LMCC, to ensure the management of impacts on the roads does not result in Compliant Wakefield Rd Management Plan LW 44 unsafe conditions during and after the effects of mining.

To effectively manage public safety concerns, 24 hour surveillance of the road (and embankment) by a roadwork Sighted TMP and invoices for 24 hr surveillance undertaken during undermining of Wakefield Road Compliant crew, while the road is being undermined, as cracking may develop rapidly. Wakefield Rd (2014)

The stability of the embankment will also be monitored along the crests and toes, with cracks repaired as soon as Sighted daily inspection subsidence report for period of underming of Wakefield Rd (2014) Compliant possible to prevent excessive moisture ingress into the embankment.

The development of a suitable specific monitoring and response plans with the respective stakeholders.

Conduct periodic subsidence monitoring of the F3 Freeway and the services easement, including the following: Pre-mining surveys and condition assessments of the F3 Freeway pavement edges, drainage structures, cuttings F3 Freeway, and Archery Road; RMS F3 Freeway LW 44 and 45 Management Plan Compliant Services Easement Visual inspections of the Northbound and Southbound pavement of the F3 Freeway and Archery Road during mining periods; Post mining surveys and condition assessments of the F3 Freeway pavement edges, drainage structures, cuttings and Archery Road; Conduct a review of monitoring data after the completion of each long wall panel; and Conduct a pre and post mining risk assessment on the Freeway fill embankments. The development of suitable monitoring and response plan, based on consultation with DECCW and regulatory As per Subsidence Monitoring Program. No risk of cumulative impacts in the audit period as Not Triggered authorities, to address the potential for cumulative subsidence impacts. no bord and pillar workings were undermined. Abandoned Board and Pillar Workings Any subsidence cracks, steps or pot holes will be infilled or repaired in accordance with the WWC Surface Crack No subsidence cracks, steps or pot holes infilled or repaired for abandoned workings in the Not Triggered Remediation procedure (refer to Appendix 5c) and consultation with the MSB. audit period.

Fences and The development of a suitable monitoring and response plan, based on consultation with owners and regulatory Livestock As per Land Management Plans developed in conjunction with each LW EP/SMP Compliant authorities. Management Proposed Subsidence Survey Monitoring Program 5.2.4.2

To monitor and assess the potential subsidence impacts on the identified surface, natural and built features, a detailed Subsidence Survey Monitoring Program has been developed for the Project and is included as Appendix LW51 and 52 Subsidence Monitoring Program 5A. The monitoring program will involve the following: Subsidence Monitoring Program LW44 Stage 1 Subsidence Monitoring Program LW44 Stage 2 Compliant The installation of subsidence survey points to monitor potential subsidence impacts on the identified surface LW41 Subsidence Monitoring Program features; LW45 Subsidence Monitoring Program Conducting visual inspections within the continued underground mining area to assess potential subsidence impacts and to identity any potential remediation that may be required;

Installation of monitoring for potential sub-surface impacts on groundwater; and Satisfied by Groundwater Monitoring Program and Water Management Plans Compliant

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

Undertaken as part of the development of Subsidence Reports and End of Panel Reports: Post mining interrogation of aerial photography. LW42 Subsidence Review, LW43 Subsidence Review, LW44 End of Panel Report, LW45 End Compliant of Panel Report, LW46 Subsidence Review and LW51 End of Panel Report (DRAFT)

The results of the monitoring program will be communicated to the respective stakeholders in accordance with the previously discussed SMPs and used to refine the ongoing management of subsidence as the Project Sighted survey monitoring communications with stakeholders during site visit. Compliant progresses. Subsidence Management Plan 5.2.4.3 LW41 Extraction Plan SMP WWC currently has an approved SMP for the mining of Long walls 38 to 40. It is proposed to continue mining LW42 and 43 SMP within the area approved under the SMP in accordance with current development consents whilst this project is LW44 and 45 SMP being determined. A comprehensive SMP (or Extraction Plan) will be developed for the Project to provide detailed LW46 SMP Compliant guidance for subsidence management, as required by project approval conditions. This plan will be developed LW51 and 52 SMP based on the existing SMP and will refine subsidence management strategies including mitigation, monitoring and WWC REMP and MOP 2012-2018 remediation. MOP 2015-2016

LW44 and 45 Built Features Management Plan The SMP will also include revised stakeholder SMPs that have been established with each of the identified LW 45 Wakefield Rd Management Plan stakeholders within the continued underground mining area. These plans specify subsidence predictions and LW44 and 45 Telstra Coppercable Management Plan Compliant specific management measures for natural and man-made surface features. LW44 and 45 Transgrid Transmission Tower Management Plan LW51 and 51 Built Features Management Plan 5.3 Ecology Impact Mitigation Strategy 5.3.4 Mine Plan updated to avoid EECs in the first instance. As part of the Project, the existing West Wallsend Biodiversity and Land Management Plan will be updated to include the commitments in the Ecological Assessment impact mitigation strategy (refer to Appendix 6) and to LW 46 Biodiversity Management Plan Compliant guide the ongoing management of ecological values identified in the continued underground mining area. WWC Biodiversity Management Plan LW51 and 52 Biodiversity Management Plan Where it will be necessary to disturb areas of native vegetation for these types of infrastructure, the following due diligence processes will be implemented: • Due-diligence inspections will be completed by a suitably qualified ecologist to identify any significant ecological features at identified potential infrastructure sites and any required management and mitigation measures; • Disturbance to native vegetation communities will be limited to the minimum area required; • Areas of known ecological significance (refer to Figures 5.9 and 5.10) will be avoided where possible (that is, areas containing known records of threatened species, Endangered Populations and TECs. Hollow-bearing trees As covered in GDP processes. Compliant should be retained, where possible); • Appropriate disturbance setbacks to known or identified significant ecological features will be established where possible; and • Pre-clearance surveys of any sites containing hollow-bearing trees or significant habitat features. Due diligence inspections will ensure that only the minimum area required for surface infrastructure developments will be cleared and that flora and fauna species, including threatened species will not be significantly impacted. As discussed in Section 5.3.3, there are several areas within the continued underground mining area that may be susceptible to direct hydraulic connection. A detailed subsidence monitoring program will be undertaken in these areas to identify potential connective cracking issues. In the event that such cracking is observed a due diligence process as outlined above, will be followed to minimise the potential for impacts upon sensitive ecological This was noted, however the audit did not require a finding to be made on this point. Noted features. Where possible existing tracks will be utilised, however due to the extensive vegetation cover and remote nature of the areas, new access tracks may be required. If required, new access tracks will be constructed so as to minimise the potential for impact on ecological features.

In the event that unpredicted, adverse impacts on ecological values are identified during management and Aside from Grout Spill Incident (cleaned up and signed off elsewhere), no significant impacts monitoring of the continued underground mining area, WWC will respond to the issues identified. WWC will identified. investigate appropriate remediation and mitigation requirements, in consultation with the relevant government Not Triggered authorities and in the event that significant impacts on identified ecological values are identified and cannot be adequately remediated, WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Example - LW43 had large subsidence impact, installed temporary fencing and employed Offset Strategy in consultation with DECCW and DoP. security guard, geotechnical engineer assessment, ACH groups and ecological due diligence. 5.4 Groundwater Management Strategies 5.4.4 Central Creek LW 46 Water Management plan "It is proposed to install two additional boreholes (hand augured 50mm poly pipe) to WWC will review the need for establishment of alluvial monitoring in Central Creek within the continued monitor the alluvial groundwater above LW 46. Piezometers with continuous data loggers Compliant underground mining area prior to commencement of mining in Long wall 46 in consultation with NOW. are to be installed. Consultation with the NSW Office of Water has been undertaken and the proposed locations approved." - see Table 6.1, LW 46 Water Management Plan Diega Creek Due to the previous mining history in this area, two monitoring bores have been constructed in the Diega Creek alluvium to confirm the conclusions of this assessment. Ongoing monitoring of these bores will continue. WWC Installation of additional alluvium bores, in consultation with OEH required as part of Compliant will also review the need for establishment of further alluvial monitoring in Diega Creek prior to commencement Extraction Plan LW 46 - Water Management Plan. of mining in Long wall 46 in consultation with NOW.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Ryhope Creek

Three monitoring bores have been installed in the creek to monitor the groundwater in the alluvium. One of these has been established near the groundwater-fed dam utilised by the Ryhope Nursery. Continued monitoring of these bores will be undertaken. If the monitoring indicates any adverse impact on the groundwater in the Ongoing monitoring evident in 2013 AR, 2014 AR, 2015 AR. Not Triggered alluvial area downstream, investigations will be undertaken and remedial measures may be required to assist in No adverse impacts on groundwater reported. restoring the flow in the creek from upstream. The necessary measures would most likely comprise grouting of any cracks in the drainage line, so that the normal flow regime is restored.

Palmers Creek

Palmers Creek will not be undermined by any long wall panels, the nearest of which will be located more than 300 metres to the north. Nevertheless, because of the importance of the alluvial aquifer in the creek and the Ongoing monitoring evident in 2013 AR, 2014 AR, 2015 AR. shallow depth of cover, one monitoring site has been established for ongoing monitoring. This site is the Compliant No adverse impacts on groundwater reported. registered bore (No. 64025) that is closest to the proposed mine workings. Ongoing monitoring of this bore will continue as part of the project.

5.5 Surface Water Existing Water Management System 5.5.2.1 WWC has an existing water management system which includes mine dewatering systems, water storages, This was noted, however the audit did not require a finding to be made on this point. Noted sediment dams, drains and earth bunding around the laydown hardstand areas and fuelling areas. "Works will be undertaken on each of the dams to increase the capacity of the water management system in order to handle heavy rainfall events." - 2013 AR

"During the reporting period WWC commenced civil earthwork upgrades to the sites water management system to improve the operations capacity to handle runoff generated from heavy rainfall events. The works commenced in November 2014 and are scheduled to be The existing WMS will continue to be used to control and treat runoff from the WWC pit-top site with surface completed Q1 2015." - AR, 2014 Compliant runoff directed to the water management system dams for use as dust suppression or discharge. "The water management works were completed in March 2015 and included minor excavation of existing sediment basins on the WWU Pit Top to increase the water storage capacity." - AR, 2015

Dams reviewed in the site inspection.

Pollution Reduction and Water Efficiency Program WWC will complete a series of investigations within 12 months of Project Approval, including: • A more detailed desktop investigation of the various salt concentrations at other Xstrata operations and relevance to WWC; Outside Audit Period Compliant • Trialling shandying percentages based on the more detailed investigations of salts; and Trial was completed. • Determining the most appropriate shandying percentage taking into consideration potential water quality impacts on the life and maintenance of the underground mining equipment. The optimal water re-use strategy confirmed by the investigations will be implemented within two years of Project Approval. If the investigations indicate that shandying potable water with mine water for re-use on site is Was investigated but did not go ahead. Compliant not viable, WWC will investigate the feasibility of other options for mine water treatment and re-use, e.g. reverse osmosis. Existing Surface Facilities 5.5.2.2 The existing WWC pit-top facilities will continue to be managed in accordance with the existing water monitoring This was noted and found comploant in the site audit, see the Water Manegment section of Compliant and management procedures. the audit. Subsidence Impacts 5.5.3.1 Loss of surface water runoff as a result of subsidence cracking with direct hydraulic connection has the potential to reduce the surface water available for downstream users. In areas where surface cracking occurs, investigations will be undertaken to determine whether remediation works are required. Remediation works, including natural self healing mechanisms, surface tilling and grouting, will be undertaken to fill the cracks at the Detailed in Extraction and Subsidence Management Plans. Compliant surface and limit potential ingress of surface runoff into the proposed underground mining operations, where required. These remediation works will be undertaken in a manner so as to minimise the potential for adverse environmental impacts through utilising the due diligence assessment process as outlined in Section 5.3.4. Summary of Impacts 5.5.3.4

Three dam overtopping discharge events occurred during 2013, overtopping of WWC Pit In terms of water quality, the only discharges from the WWC mine water management system other than clean Top Water Management Dams following heavy rainfall in April 2014, overflow and offsite water diversions will be from licensed DECCW discharge points which are monitored and controlled. discharge from North East and Bottom Dam spillways as a result of a significant rainfall Not Compliant E 1 Medium Consequently, potential water quality impacts will be limited to that associated with the EPL. event of 336mm from 20 - 22 April 2015 (NB: This rainfall volume exceeds the design criteria for the water management system).

WWC also propose to continue to transfer treated effluent from the on-site STP to MCPP for re-use. WWC will This was noted, however the audit did not require a finding to be made on this point. Noted continue to review the use of potable water and methods to reduce this usage. Contingency Measures 5.5.3.5 Soil If surface stabilisation during remediation works or earthworks for the Mining Services Facility is required due to surface rilling, tilling with gypsum or lime during reshaping and prior to revegetation may be required and MSF not constructed. Not Triggered additional erosion and sedimentation controls will be implemented. Monitoring and Management 5.5.4

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW41 Extraction Plan SMP LW46 Water Management Plan The proposed remediation and monitoring protocols will be included in the SMP/Extraction Management Plan LW51 and 52 Water Management Plan Compliant (EMP) or equivalent process throughout the life of the Project to minimise surface water impacts. West Wallsend Colliery Surface Water Management Plan

Surface water quality monitoring at WWC will continue for the life of the Project. Existing water monitoring and reporting programs will be reviewed and incorporated into the Water Management Plan (WMP) for WWC should consent be granted for the Project. This plan will address all aspects of the ongoing management and monitoring Evident in AR 2013, AR 2014, AR 2015 Compliant of water at WWC and will include surface and groundwater monitoring programs and a sediment and erosion control plan. General Monitoring 5.5.4.1

During the construction of the Mining Services Facility, all works and the erosion and sediment controls will be inspected on a regular basis to ensure that all required controls are in place and effective. Following the completion of construction works, the work area will be inspected in accordance with WWC’s current inspection MSF not constructed. Not Triggered program (weekly) and after any rainfall events generating runoff until revegetation and stabilisation of drainage structures are complete.

During the operational phase of the Project, monitoring of the water management controls will be undertaken on Monthly Surface Water Monitoring (quality and discharge) from EPL Point 2 verified. - post Compliant a monthly basis and after major storm events. storm event inspection (8-6-16) provided as evidence. The walls of all water management dams will be inspected biennially (every two years) for their structural Parsons Brinckerhoff (WSP) conducts Structural Integrity Inspections for WWC as per this Compliant integrity and for any maintenance requirements. condition. Surface water monitoring results will be reported in the WWC Annual Environmental Management Report (AEMR) which is distributed to DoP, DI&I, DECCW and other relevant government agencies and made available to Evident in AR 2013, AR 2014, AR 2015 Compliant the community through OCAL’s website. The results of the water quality monitoring will be used to review the effectiveness of the WWC mine water management system on an ongoing basis.

Water usage, rainfall, dam volumes and discharges (including transfers) at WWC will also continue to be Evident in AR 2013, AR 2014, AR 2015 Compliant monitored for the entire operation to assist in the management of the mine water management system.

In contravention of Condition number EPL L3.1, an overtopping of dam wall spillway resulted in a failure to monitor the total volume from EPA Point 2 following rainfall between 16/11/2013 and 18/11/2013. In contravention of Condition number EPL L3.1, an overtopping of dam wall spillway (with associated seepage) resulted in a failure to monitor the total volume from EPA Point 2 Water management system dams will be monitored to ensure that any overflows or discharges are to an following rainfall on 25/4/2014. Not Compliant E 1 Medium appropriate standard and in accordance with EPL conditions. In contravention of Condition number EPL L3.1, an overtopping of Bottom Dam and North- East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 21/4/2015. In contravention of Condition number EPL L3.1, an overtopping of North-East Dam resulted in a failure to monitor the total volume from EPA Point 2 following rainfall on 6/1/2016.

Subsidence Impact Monitoring A comprehensive monitoring regime will be implemented to monitor drainage lines and the locations identified in Figure 5.12 for potential subsidence impacts. Monitoring procedures will include: • Monitoring of vertical and horizontal subsidence along second order drainage lines as determined in consultation with the DI&I; • Monitoring, measuring and recording (e.g. photographic records) of the extent and magnitude of any surface cracking along the second order drainage line and first order drainage lines in depths of cover less than 100 metres that may occur during and post mining operations. If works are required (sealing of cracks), methods approved by the DECCW and DI&I would be adopted; • Visual inspection and recording of stream bed and bank condition and riparian vegetation along the second order drainage line, including collection of baseline data and monitoring during and post mining operations;

• Monitoring of geomorphological response of each watercourse to the predicted subsidence, as follows:

Prior to mining review the potential geomorphological response of each watercourse to the predicted subsidence using the guidelines included in River Hydrology and Energy Relationships – Design Notes for the Mining Industry published by Department of Water and Energy (November 2007) and the methods described below; Satisfied by the Subsidence Monitoring Programs in place. Compliant For each watercourse within the continued underground mining area: - Describe the existing (i.e. pre-mining) watercourse characteristics including bed controls using approaches outlined in AUSRIVAS (Australian River Assessment System); - Calculate the stream power for the existing and predicted subsidence conditions; - Determine threshold limits of stream power for incision and bed load deflation, taking into consideration existing stream stability, surface and substrate soil conditions and stream grades; - Refine the monitoring program, including monitoring of: - Any bed control points; - Areas where subsidence may increase the stream power above the determined threshold limits potentially causing channel erosion/instability; - Monitoring may include long section and cross section surveys, photographic records and/or methods outlined in AUSRIVAS; - Investigate and implement any remediation required to mitigate potential impacts of changes in stream power as a result of underground mining activities; and

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk During and post mining, monitor watercourses, in accordance with the developed monitoring program; • Ongoing monitoring and maintenance will be necessary for any areas requiring surface mitigation works to facilitate effective rehabilitation. Management 5.5.4.2 Subsidence Impact Management Where remediation works are required, it is not considered practical to divert runoff from upstream catchment areas around potential impact areas due to the steepness of the catchment, surrounding topography and No stream remediation works undertaken during audit period. Not Triggered vegetation. Therefore, it is proposed that all remediation works be managed in stream. This situation is considered typical of the drainage lines within the continued underground mining area. Subsidence impact management procedures include: • Management of surface water runoff post mining until completion of remediation. The volumes of runoff likely to be encountered in a rainfall event and how to control this water will need to be considered; • Erosion and sediment controls where required, including: ^Ensuring the erosion and sediment controls are installed as a first step within the works program; ^Limiting access tracks into works areas, including use of existing access tracks where possible; ^Where disturbance is required ensure that the disturbance is minimal; ^Construction and regular maintenance of sediment fences down slope of disturbed areas; ^Applying gypsum, where required, to reduce the dispersibility of subsoils; ^Prompt revegetation of disturbed areas; and This was noted, however the audit did not require a finding to be made on this point. Noted ^Where new access tracks are required, construction of these in accordance with Guidelines for the planning, construction and maintenance of tracks published by Department of Land and Water Conservation (1994), including: - Construction of access tracks along the contour where possible (i.e. limit grade changes); - Minimising disturbance of existing ground, e.g. where possible limiting works to slashing vegetation when constructing tracks; - Limiting construction of access tracks across existing drainage lines; - Maintaining vegetation buffers between access tracks and watercourses where possible; - Ensuring tracks are free draining; and - Including cross fall and outfall drainage, where required, to prevent concentration of runoff. Water Management System WWC is proposing to use the existing licensed discharge facility, EPA Point 2 under EPL No. 1360, continued use of the extraction of water from Long wall 11 under 20BL169793 and transfer of sewage effluent to MCPP for re-use EPL 1360 reviewed elsewhere. to manage the predicted site water surplus. The transfer of surplus underground water to the Metromix quarry Compliant for re-use will also be undertaken. The re-use project facilitates a reduction of the overall potential impact on Re-use project investigated but not developed. regional surface waters for the life of the Project Infrastructure Works Management Erosion and sediment control measures will be carried out in accordance with relevant guidelines, including: • Managing Urban Stormwater Soils and Construction (the Blue Book) Volume 1 (Landcom, 2004) and Volume 2E Mines and Quarries (DECC, 2008); and • Draft Guidelines for the Design of Stable Drainage Lines on Rehabilitated Mine sites in the Hunter Coalfields (DIPNR, undated). The erosion and sediment control measures proposed to be incorporated into infrastructure construction, primarily the proposed mining services facility, and potential subsidence remediation works during the Project include: • Clearly identifying and delineating areas required to be disturbed and ensuring that disturbance is limited only to those areas, clearing vegetation only as required to achieve the works and minimising machinery disturbance outside of these areas; • Construction of erosion and sediment controls prior to the commencement of any substantial construction or Erosion and sediment controls implemented and triggered in accordance with GDP earth works; procedures. • Limiting the number of roads and tracks established; • Constructing diversion drains upslope of areas to be disturbed to convey clean runoff away from disturbed Compliant Erosion and sediment controls employed when dams were upgraded. areas; • Construction and regular maintenance of sediment fences downslope of disturbed areas, including the Dam walls seeded post work. construction sites for sediment dams, diversion drains and catch drains; • Seeding and controlled fertilising of disturbed areas to provide for rapid grass cover establishment. Areas will be seeded with a grass mix specific to the needs of the area to be revegetated; • Regular inspections of all works and immediately after significant rainfall events to ensure sediment and erosion controls are performing adequately; • Regular maintenance of erosion control works and rehabilitated areas; and • Provision for the repair or redesign of sediment and erosion controls that are not performing adequately, as soon as practicable. Construction and remediation plans will detail the specific inspection, maintenance and revegetation requirements for the construction and remediation works proposed. These control measures will be set out in a detailed Erosion and Sediment Control Plan for the Project, to be prepared as part of the proposed water management plan. The Mining Services Facility will be bunded in accordance with AS 1940 – 2004: The Storage and Handling of Flammable and Combustible Liquids. Clean water captured in the bund will be released to the downstream The MSF was not constructed. Not Triggered drainage systems. Any contaminated water will be removed by a licensed contractor. WWC will provide an onsite spill kit for use in a spill emergency. On site personnel will be trained in spill management techniques.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk When the mine is decommissioned, water management dams will either remain in use as stormwater dams or will be removed. If the dams are to be retained, the capacity of the dams will be reviewed and the size/volume Mine not decommissioned in audit period. Not Triggered modified, if required. The proposed diversion drains, catch drains and site bunding will remain in place as part of the final landform. 5.6 Air Quality WWC Pit-top Facilities 5.7.5.1 WWC is committed to mitigating the noise impact from the coal breaker by approximately 10 dB by enclosing the existing coal breaker. Following the completion of this work, the achievable noise goal for Killingworth would be Completed outside audit period. Compliant 41 dB(A) (3 dB(A) over PSNLs) and the WWC pit-top facility would achieve the target Project-specific Noise Levels in Barnsley.

WCC will also investigate whether there are any feasible opportunities for further noise reduction at Killingworth in relation to: Noise Management Plan (2015) states the following noise mitigation measures have been implemented; regular maintenance of all equipment and machinery to ensure it is maintained and operated in a proper and efficient manner; operation of mobile plant equipment (dozer, • Noise mitigation of the service conveyors from the crusher through the systematic replacement of noisy dump truck, grader) with reversing alarms set on the lowest level; with some reversing conveyor idlers; alarms replaced with a “quacker” style alarm which is not tonal in nature; minimising the use of mobile plant and equipment during the night time wherever possible; full or partial enclosure of surface coal conveyors; partial enclosure of conveyor drive heads; installation of a noise attenuation curtain on the conveyor transfer points adjacent the Bradford Breaker, above the 2000T ROM Bin; maintenance of a ‘plug’ in the bottom of the ROM coal • Noise mitigation of the bin loadout operations by managing the level of raw coal in the bin or by providing bin to reduce the banging of coal falling into the bin; tar sealing and maintenance of the Compliant sound attenuation to the bin; private haul road from WWU to the MCPP to reduce the noise from empty haul trucks; enforcement of speed restrictions on site access roads; installation of a noise impact polymer under the grizzly chute wear plates to reduce coal impact noise through the delivery chute to the Bradford Breaker; installation of conveyor curtain screening around • Review of loading procedures and operator training; and strategic sections of the Bradford Breaker infrastructure to further assist with reducing directional noise toward residential areas; construction and installation of acoustic cladding over the body of the Bradford Breaker; and periodic inspections of the noise attenuation measures have been added to the WWU maintenance system to ensure they are operating effectively. These inspections are undertaken by a noise specialist familiar with the installations. • Review of bin design and the coal truck loading facility.

The No. 2 Vent Fan 5.7.5.2

Noise attenuation works have been completed here in December 2012, as reported in West Wallsend Colliery Noise Compliance Report: Bradford Breaker (Global Acoustics, April 2013).

WWC is committed to managing the noise impact from the No. 2 Vent Shaft through the installation and Noise Management Plan (2015) states the following noise mitigation measures have been maintenance of appropriate noise control measures on the vent shaft fan and motor room and, as appropriate, implemented; through negotiation with the adjacent affected landowners. The selection and installation of noise mitigation The No.2 Ventilation Fan is located immediately adjacent to a residential receiver to the controls on the No. 2 Vent Fan will be dependent on the future operational requirements of the No. 2 Vent Fan north of the existing pit top facilities. The No.2 Ventilation Fan however only operates at a Compliant and performance of the vent fan against the target PSNLs for each of the receiver locations in the surrounding maximum of 30 per cent of its operational capacity. This serves to greatly reduce the noise region. The performance/noise impacts of the No. 2 Vent Fan will be assessed if the operational requirements of emissions from the fan. Additionally, WWU has completed the following noise mitigation No. 2 Vent Fan change as a result of changes in ventilation needs the WWC underground workings or as a result measures on the fan to reduce noise impacts at nearby residential receivers: replacement of of the No. 3 Vent Fan undergoing maintenance. existing noise attenuators; sealing of gaps between equipment housings; and installation of a new noise louver. WWU has also established a private noise agreement with the private resident adjacent to the No.2 Ventilation Fan. In the event the capacity of the No.2 Ventilation Fan is required to be increased for operational purposes, the performance/noise impacts of

If the noise impacts from the No. 2 Vent Fan are found to be unacceptable, WWC will enter into a Pollution Noise impacts were acceptable. Not Triggered Reduction Program regarding the attenuation of the No. 2 Vent Fan as a part of WWC’s EPL. Proposed Mining Services Facility 5.7.5.3 Following the completion of any noise mitigation works it is recommended that WWC implement a monitoring program that will specifically address: • Compliance with the project-specific noise level LAeq, 15 minute descriptor; and • Measurement and assessment of any transient noise levels using the sleep disturbance criteria descriptor of LA1, 1 minute. The noise monitoring will be based around an attended monitoring program that: • Measures LA90,15 minute and LAeq,15 minute ambient noise levels; MSF not constructed. Not Triggered • Measures and/or calculates the contributed noise level from the operation; and • Measures other statistical noise levels representative of the noise environment including the maximum and minimum noise levels measured during the interval; and • Records weather conditions at the monitoring site. The monitoring program should be undertaken during periods of normal production with the objective of confirming the acoustic performance of the facility.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk 5.8 Greenhouse Gas Emissions Management and Mitigation 5.8.5

WWC has prepared an Energy Savings Action Plan (ESAP) as part of their requirements under the NSW Government’s ESAP legislation (DEUS, 2005). The purpose of the ESAP was to review energy usage, identify energy savings opportunities, and implement on-going energy management activities. Actions that have been implemented or identified for further investigation include (WWC, 2008): An annual energy review was facilitated by Energetics in September 2013 to determine • Baseline assessment of energy usage across WWC operations, including a change of mine plan and a review of Energy Savings Action Plan (ESAP) and Energy Efficiency Opportunities (EEO) actions for the the production cycle; 2014 report period. • Identification and tracking of energy use per ROM tonne of coal as a key performance indicator; During 2014, the following energy savings actions were implemented: • basic energy awareness training was undertaken through crew toolbox talks; • Improved energy metering and data logging capacity on site; • energy efficiency for purchasing of any new equipment items was assessed through the Not Compliant D 1 Medium • Water management – including an assessment of water re-use underground and a new underground water internal purchasing approvals system; and pump; • performance indicators for energy consumption were developed and tracked in • Power factor correction; accordance with the Glencore compliance management system. • Compressor system review and audit; Tracking of energy use per ROM tonne is not tracked. • Conveyor review – including a plan to reduce energy use from conveyor drives and No. 2 Ventilation Fan; All of the listed power reduction initiatives that are listed were not funded. • Hydraulic circuits at the long wall; • Voltage study and potential regulation on site; • Alternative energy sources for the bathhouse (potential use of gas); • Energy efficiency opportunities in the administration offices; and • High efficiency motor review and variable speed drive review. Most of these opportunities for improving energy efficiency and reducing GHG emissions from the current operations are directly applicable to the Project. The ongoing mitigation measures for the Project will be largely These opportunities were not applied to the project. Noted focused on energy management, energy efficiency and the potential reduction in automotive diesel oil consumption for mine plant and equipment. The Project will seek to provide for maximum resource extraction with maximum efficiency. WWC will also WWU Air Quality and Greenhouse Gas Management Plan, 2016 assess and consider implementation, where feasible, of further GHG and energy management and mitigation Noted initiatives during the design, operation and decommissioning of the Project.

As part of Xstrata Coal, WWC will also participate in Xstrata Coal’s response to the following programs: • The National Greenhouse and Energy Reporting System (NGERS); Reporting sighted during audit visit. Compliant • The Energy Efficiency Opportunities (EEO) Program; and • The proposed Carbon Pollution Reduction System (CPRS). Six principal management outcomes are included in the strategy for the management of the landscape features of As verified in the Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant cultural value. WWC has committed to:

WWC has modified its mine plans to avoid impact to the ‘stone arch’. This mine plan modification was undertaken in recognition of the Aboriginal cultural value of this landscape • Modification of the mine plan to protect the stone arch and one rockshelter site in the Bangalow Creek feature. Compliant catchment and two rockshelter sites in the Cockle Creek catchment; The mine plan modifications have also acted to protect three rockshelters (Rockshelters 1, 2 and 8) recorded as landscape features of high Aboriginal cultural value.

• Following subsidence the inspection of the second wet soak feature recorded in the Diega Creek catchment and the infilling of any cracks caused by subsidence with imported fill and if required and feasible, erosion control Mine plan modifications related to depth of cover will mean impact will be avoided. Not Triggered works upslope to prevent infilling of the wet soak if subsidence results in any slope destabilisation;

• Following subsidence the collection of loose fragments of clay pigment (if any) from the pigment source Not Impacted. Not Triggered 5.9.6.1 identified by the registered Aboriginal stakeholders in the upper tributary system of Bangalow Creek; • Prior to subsidence two stone cairns/stacks in the Bangalow Creek catchment are photographed from each side. Following undermining the replacement of any stones dislodged during subsidence by the registered Aboriginal Not impacted due to mine plan changes Not Triggered stakeholders using the photographs as a reference, and the infilling of any cracks caused by subsidence with imported fill; • Following subsidence the inspection of the boulder identified as ‘Kangaroo Rock’ and the infilling of any cracks No remediation of Kangaroo Rock required. Not Triggered in the topsoil caused by subsidence with imported fill; and

• Following subsidence the inspection of the five known rockshelters (not recorded as Aboriginal archaeological sites) within the proposed continued underground mining area and repairs to the roof, walls and floor in a Rock shelters not impacted, therefore were not remediated Not Triggered culturally appropriate manner (where necessary, safe and feasible).

Following undermining, information will be recorded in relation to the impacts of subsidence on the various Satisfied by Subsidence Impact Reports and End of Panel Reports prepared for each Long landscape features. This information will be used to inform future underground mining projects. The details of Compliant Wall and used, where possible, to inform the extraction plan of proceeding LWs. how this information will be recorded/reported are discussed in Appendix 12).

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Aboriginal Archaelogical Sites 5.9.6.2 Seven principal management outcomes are included in the strategy for the management of Aboriginal archaeological sites within the proposed continued underground mining area if long wall mining is approved (these are detailed in Appendix 12). It is recommended that the management strategy be implemented as a This was noted, however the audit did not require a finding to be made on this point. Noted staged process as long wall mining progresses and in compliance with an ACHMP prepared in consultation with the relevant registered Aboriginal stakeholders, NPWS/DECCW and approved by DoP. The management outcomes proposed for Aboriginal archaeological sites are: • Modification of the mine plan to protect the Palmers Creek 1 Grinding Grooves 1 #38-4-1007 and Palmers Mine Plan modified to avoid these sites (Section 7.1 of the Aboriginal Cultural Heritage Compliant Creek Grinding Grooves 2 sites and the Western Domain 5 (#38-4-0993 - wet soak with artefact scatter site); Management Plan, Umwelt 2012). The chain pillar beneath this site has also been widened to lessen the • Modification of the mine plan to lessen the probability of impact to the Palmers Creek Grinding Grooves 3 site, probability of cracking (Section 7.1 of the Aboriginal Cultural Heritage Management Plan, Compliant and mitigation of impacts due to subsidence (if any); Umwelt 2012) • Prior to undermining of the Diega Creek Grinding Grooves 1 site to monitor the impacts of subsidence on the Only one grinding groove site cracked. Diega Creek Grinding Grooves 2 to 6 sites and if more than 50 per cent of these sites are cracked following Compliant subsidence to revise the management strategy in relation to Diega Creek Grinding Grooves 1; Monitoring was conducted. • Prior to undermining the manual excavation of 30 per cent of the deposit from the Cockle Creek 1 Rock shelter with Artefacts and PAD and the propping of the roof of the rockshelter (if safe and feasible); and following Verified in the Archaeological Investigation of Cockle Creek Rock shelter (Umwelt, 2016) Compliant subsidence repairs to any cracks in the walls, floor and roof (if necessary safe and feasible) and the return of any excavated material (if safe and feasible); • Prior to undermining the preparation of a photographic record and scale drawing of the two stone arrangement sites. Following undermining the inspection of the stone arrangements and if any movement of stones has been caused by subsidence, the registered Aboriginal stakeholders to replace the stones in their original arrangement. Not impacted due to mine plan changes Not Triggered Any remediation works in the area to consist of infilling cracks in the topsoil with imported fill to avoid further site impact; • Prior to undermining the preparation of a photographic record and scale drawing of three scarred tree sites. Sighted Photographic Record, scale drawing and inspection record. Following undermining the inspection of the three Aboriginal scarred trees and the infilling of any cracks in the Compliant No remediation was required. topsoil caused by subsidence with imported fill; and • The provision of offsets for potential loss of Aboriginal cultural and archaeological values that may arise due to subsidence within the proposed continued underground mining impact area (refer to Section 5.9.7); and if Satisfied by Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant required following subsidence, the mitigation of any subsidence impacts using protocols and procedures detailed in an ACHMP prepared in consultation with the relevant registered Aboriginal stakeholders and the DECCW). Conservation Offset Strategy 5.9.7 WWC proposes a multi-faceted approach to providing a conservation offset strategy for its project. Sections 5.9.7.1 to 5.9.7.5 outline the conservation offsets proposed by WWC as part of its overall management strategy This was noted, however the audit did not require a finding to be made on this point. Noted which aims to meet the requirements of Intergenerational Equity and offset any loss of Aboriginal cultural heritage and archaeological values that may arise as an outcome of subsidence. Mine Plan Modification 5.9.7.1 WWC has committed to modifying its mine plans to avoid impact to the Palmers Creek 1 (#38-4-1007) and Palmers Creek 2 Grinding Groove sites and the Western Domain 5 (#38-4-0993 - wet soak with artefact scatter Mine Plan modified to avoid these sites (Section 7.1 of the Aboriginal Cultural Heritage Compliant site). The mine modifications are proposed in recognition of the Aboriginal cultural value and archaeological Management Plan, Umwelt 2012). significance of these sites. WWC has modified its mine plans to avoid impact to the ‘stone arch’. This mine plan modification was undertaken in recognition of the Aboriginal cultural value of this landscape WWC has committed to modifying its mine plans to avoid impact to the ‘stone arch’. This mine plan modification feature. Compliant is proposed in recognition of the Aboriginal cultural value of this landscape feature. The mine plan modifications have also acted to protect three rockshelters (Rockshelters 1, 2 and 8) recorded as landscape features of high Aboriginal cultural value.

Funding for Management of Cultural Heritage in SSCA 5.9.7.2

To offset the potential loss of Aboriginal cultural and archaeological values that may arise as a result of subsidence impacts within the proposed continued underground mining area, WWC has committed to providing Sighted during site visit Compliant $200,000 over the life of the proposed continued underground mine project to assist with the management of Aboriginal cultural and archaeological sites/values within the SSCA. WWC will set aside the $200,000 prior to mining commencing and will administer the funds. The funds will be No projects undertaken to date, the fund remains at its full balance (verified during site allocated on a project basis. All projects will be undertaken in consultation with the relevant registered Aboriginal Compliant visit) stakeholders and the NPWS/DECCW. Funding for Ongoing Monitoring/Reporting of Subsidence 5.9.7.3 Impacts To offset the potential loss of Aboriginal cultural and archaeological values that may arise as a result of subsidence impacts within the proposed continued underground mining area, WWC has committed to fund a Satisfied by ongoing operations as per the ACHMP. Compliant program of monitoring and reporting of subsidence impacts on landscape features of Aboriginal cultural value and Aboriginal archaeological sites recorded within the proposed continued underground mining area.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk It is proposed that following the cessation of subsidence related to each long wall WWC will fund an inspection of the subsided sites/landscape features of Aboriginal cultural heritage value in order to collect a detailed database on exactly how each of the sites is impacted. The inspection and reporting will be undertaken by the relevant registered Aboriginal stakeholders and a suitably qualified archaeologist. The purpose of the monitoring is threefold. Initially it is to observe: • What percentage of the sites do/do not crack? • What is the level and nature of the impact? • How does this relate to the location of the site relative to long walls/chain pillars and their situation (e.g. on a slope, on a sandstone bench, within a sandstone creek bed, in a cliff line, pre-existing cracking and jointing)?

• Does this information allow refinement of the predicted impacts and therefore management of subsidence on Satisfied by Subsidence Impact Reports and End of Panel Reports prepared for each Long the sites within the proposed continued underground mining area? Wall and used, where possible, to inform the extraction plan of proceeding LWs. Compliant • If so, does this information allow the revision of the management strategy for the remainder of the grinding groove sites for which subsidence is proposed? Also reported on in Annual Reviews. The second aim of the monitoring is to provide a more detailed database for use for future mining assessments and to monitor the success of remediation works (where required) on all site types within the proposed continued underground mining area. The third aim is to ensure compliance with the various aspects of the management strategy that relate to monitoring either before or after subsidence. In this regard it is proposed to record the: • Impacts of subsidence (if any); • Requirements for remediation (if any); • Nature and extent of the remediation works; • Suitability of the remediation works; • Success of remediation works; and • Project approval compliance. It is proposed that full pictorial records will be prepared for each landscape feature/site to inform the reporting Maintained as part of database Compliant process for the DECCW and DoP. One aspect of the monitoring process will be to ascertain if more than 50 per cent of the Diega Creek Grinding Grooves 2 to 6 sites have been impacted by cracking due to subsidence. This monitoring will be undertaken prior to any long wall mining that may impact the Diega Creek Grinding Grooves 1 site. If more than 50 per cent (3 or Only one grinding groove site cracked. more) of these sites crack WWC has committed to revising its management strategy in consultation with the Compliant registered Aboriginal stakeholders and the NPWS/DECCW. Revisions to the management strategy may include Monitoring was conducted. conservation of the site or to further survey to locate other sites that could be conserved as an appropriate offset for any potential damage to Diega Creek Grinding Grooves 1. Funding for Further Survey of the SSCA 5.9.7.4

For WWC to be able to meet the requirements of Intergenerational Equity without further modifications to the mine plan, WWC must demonstrate that Aboriginal archaeological sites of equal cultural heritage and archaeological significance and research potential to the Bangalow Creek 1, 2, 3, 4, 5, 6 and #38-4-0461 Grinding Grooves sites exist within the broader SSCA and outside of mine leases and that these sites can be managed in a culturally appropriate way that will ensure their long-term conservation and availability for teaching purposes to present and future generations of Awabakal people and Aboriginal people that live in, and/or visit the area. In this regard WWC has committed to funding a program of survey within the SSCA in consultation with the registered Aboriginal stakeholders and the NPWS/DECCW. The information recorded during the survey will be provided to the NPWS/DECCW to assist in the preparation of the POM for the SSCA.

It is proposed that: • During the approval process a meeting will be arranged by WWC with NPWS/DECCW, in consultation with ADTOAC, ALALC, ATOAC, CCC, NSWALC (an archaeologist may be included in this meeting if thought appropriate by WWC, ADTOAC, ALALC, ATOAC, CCC and NSWALC) to discuss: . WWC setting up a fund which they will administer for survey within the SSCA (outside the proposed continued Program of survey culminated in the development of the Intergenerational Equity underground mining area and outside ML areas); Compliant Statement of Significance, Umwelt 2014 . The nature of the survey strategy; and . The requirements of the POM being prepared by the NPWS/DECCW for the SSCA so that the requisite information can be recorded during the survey; • The survey will include at least 20 days of survey and recording of sites and landscape values/resources within the SSCA by the relevant registered Aboriginal stakeholders and an archaeologist (the breakdown of this time between the ALALC and KLALC boundaries will be subject to consultation between the Aboriginal stakeholder groups and WWC); • Funding will also be provided for the preparation and production of site cards (including the production of maps, plans, photographs); and

• Following the completion of the survey and the compilation of the site cards, additional funding will be provided to commission a suitably qualified person to assist WWC to prepare a statement, in consultation with the relevant registered Aboriginal stakeholders, for provision to DoP and NPWS/DECCW in relation to the suitability (in terms of their Aboriginal cultural and archaeological significance and conservation value) of the sites located outside MLs and within the SSCA as an offset (in terms of Intergenerational Equity) for the impact predicted from subsidence to the Bangalow Creek 1, 2, 3, 4, 5, 6 and #38-4-0461 Grinding Grooves 3 sites.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk WWC will commit to revising the management strategy for the Bangalow Creek 1, 2, 3, 4, 5, 6 and #38-4-0461 Grinding Grooves sites if it cannot be demonstrated that: As stated in the ACHMP (Umwelt 2016) - Not yet approved by DPE "Forty additional grinding grooves sites were identified and recorded during the survey of land within the SSCA and outside mining leases. As it was determined that adequate sites • There are suitable sites outside the proposed continued underground mining area and outside MLs in the SSCA that met the criteria for Intergenerational Equity were present within the SCA and outside Compliant that can be managed/conserved into the future to meet the requirements of Intergenerational Equity for all or of mining leases and where they could be managed for conservation by OEH/NPWS, further some of the Bangalow Creek 1, 2, 3, 4, 5, 6 and #38-4-0461 Grinding Grooves sites (this will be site specific and mine plan modifications were not required." depend on the outcomes of the survey and further consultation with NPWS/DECCW). Note: No impact due to subsidence is reported for these grinding grooves.

The revisions to the management strategy may include further survey or alternative offsets assessed as This was noted, however the audit did not require a finding to be made on this point. Noted appropriate from an Aboriginal cultural and archaeological perspective and endorsed by DECCW and DoP.

While the strategy above proposes a start date for the survey within 24 months of site impact, WWC may commence work on the strategy at an earlier date if it would prefer to know the outcome of the survey sooner This was noted, however the audit did not require a finding to be made on this point. Noted and to obtain more certainty for the proposed continued underground mining project. Additional Conservation Offsets 5.9.7.5 Each of the registered Aboriginal stakeholder groups has requested an additional cultural heritage conservation See below. Compliant offset package which they assess as necessary for WWC to balance the requirements of Intergenerational Equity.

As some groups requested that the supply of details related to their additional offset requests be restricted to the Aboriginal stakeholders, WWC, NPWS/DECCW and DoP, the information has been included in Appendix L of This was noted, however the audit did not require a finding to be made on this point. Noted Appendix 12, which will not be available for public review.

As part of its overall conservation offset strategy WWC has committed to the provision of $25,000 to four of the registered Aboriginal stakeholders and $10,000 to a fifth Aboriginal stakeholder as an additional offset for Verified - money not been spent to date Compliant specific cultural heritage projects. Aboriginal Cultural Heritage Management Plan (ACHMP) 5.9.8 The ACHMP will be in operation throughout the life of the proposed continued underground mining project. The aim of the ACHMP is to ensure WWC meet the requirements of the Project Approval which it is proposed should Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant include a request for: • Details of the proposed implementation of, and methodology for, the conservation offset strategy; Section 7, Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant

Section 8.2.3 (ACHMP, 2012), Archaeological Salvage Program 2013 (AR 2013), • A detailed salvage program for Aboriginal archaeological sites within the proposed continued underground Archaeological Salvage Program 2014 (AR 2014), Artefact sites located within close mining area including isolated finds, artefact scatters (if subsidence remediation works are required in the site proximity to existing subsidence cracks above LW 43 were salvaged by an archaeologist and Compliant areas) and the Cockle Creek Rock shelter with Artefacts and PAD (refer to Appendix 12 for a detailed Research members of the AAC in order to avoid potential impacts from further subsidence and Design and Methodology); remediation works in the future (AR 2015).

• A detailed description of the mitigation measures that would be undertaken for all Aboriginal archaeological sites and landscape features of Aboriginal cultural value within the proposed continued underground mining area Section 8, Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant prior to and/or following subsidence;

• A detailed description of the measures that would be implemented to protect Aboriginal archaeological sites Section 7, Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant and landscape features of Aboriginal cultural value for the life of the project;

• A detailed methodology for inspection of locations proposed for surface ventilation infrastructure construction Section 8, Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant and future exploration boreholes (for further details refer to Appendix 12); • A description of the measures that would be implemented if any new Aboriginal sites/artefacts or skeletal Section 8, Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant remains are discovered during works associated with the Project; • The provision of Aboriginal cultural awareness training for WWC personnel and for contractors as part of the Section 8, Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant induction process; and • A protocol for the ongoing consultation and involvement of the Aboriginal stakeholder groups and NPWS/DECCW in the conservation and management of Aboriginal cultural heritage within the proposed Section 6, Aboriginal Cultural Heritage Management Plan, Umwelt 2012 Compliant continued underground mining area. Historic Heritage 5.10 Management Strategy 5.10.4 The following management measures will be implemented for the Project: • The recorded historic heritage items will be mapped on relevant project drawings and plans used during subsidence remediation works to provide that their presence is considered in planning such works; • WWC personnel involved in subsidence remediation works will be briefed about the location of the recorded No recorded heritage items requiring management within the Project area. Not Triggered heritage items and their heritage status in an induction prior to conducting work in the continued underground mining area; and • Inspections will be undertaken following completion of undermining the recorded historic heritage sites to determine if any remediation works are necessary. In the unlikely event that unexpected archaeological remains or potential heritage items not identified as part of this report are discovered during the continuation of underground mining, all surface works in the immediate No unexpected archaeological remains or potential heritage items identified during audit area would cease, the remains and potential impacts would be assessed by a qualified archaeologist or heritage Not Triggered period. consultant and, if necessary, the Heritage Branch, Department of Planning notified in accordance with Section 146 of the Heritage Act 1977 (NSW).

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Traffic and Transport 5.11 Traffic Management 5.11.4 All coal will continue to be exclusively transported from WWC via the existing private haulage road to the MCPP All coal transported on private haulage road. Compliant in Teralba or Eraring Power Station. No coal will be transported by local public roads.

As identified in Section 5.11.1.1, intersection markings, specifically on the approach from The Broadway, have Line markings observed to be visible during site visit. Not able to be considerably faded. WWC will consult with LMCC to have the road markings at the intersection of Wakefield Road Verified and The Broadway repainted to appropriately delineate control and lane lines. Consultation with LMCC not able to be verified. The proposed Mining Services Facility will require the construction of a new intersection with Wakefield Road. In accordance with the recommendations of the traffic assessment, the design and operation of the Mining Services Facility intersection will provide for: • Onsite turning and parking provisions to ensure all vehicles are stopped away from the deceleration and merge lanes, and to ensure that all vehicles enter and depart the Mining Services Facility in a forward direction; MSF not built. Not Triggered • A 60 to 70 metre deceleration lane and 50 to 60 metre merge lane be provided; • Access restriction, specifically that heavy vehicles enter the Mining Services Facility exclusively from the south, and depart exclusively to the north. Light vehicle access from the north will be provided, based on the very low number of turning vehicles; and • Signage on both approaches to the Mining Services Facility notifying of Warning: Truck Entering, and Truck Access Ahead. The final design of the new intersections associated with the Mining Services Facility will be prepared in MSF not built. Not Triggered consultation with LMCC and will require an approval from LMCC under the Roads Act (refer to Section 4.2.4). Visual Impact 5.12 Proposed Visual Controls 5.12.5 The Project is expected to have minimal impact on the visual amenity of the area. WWC proposes to maintain and implement a range of visual controls to screen views of the Mining Services Facility and minimise the visual impacts. These include: • Where possible, trees are retained to maintain visual amenity; MSF not built. Not Triggered • Planting of vegetation screening, where necessary, to shield the proposed Mining Services Facility and future ancillary infrastructure; and • The Mining Services Facility and future ancillary infrastructure will be coloured in suitable natural tones. Waste 5.13 Management Principles 5.13.1 The underpinning strategy for waste management is minimisation and segregation of waste at the source. The Section 2.4 AR 2013, Section 2.4 AR 2014, Section 6.6.8 AR 2015. management principles above will be addressed through the following processes: • Detailed project design to minimise the potential for wastage; No design in the audit period • Procurement of materials including consideration of packaging and potential for re-use or recycling; See email from CP/storeman • Establishment of contracts and purchasing of equipment and supplies in such a manner that minimises waste Not able to be verified generation (e.g. waste packaging); Not able to be • Identification and segregation of re-usable and recyclable materials; Observed segregation of recyclable paper, scrap metal products during site visit. Verified • Education of workforce on waste avoidance, waste stream segregation and recycling; Waste education observed to be included in in staff training. At the time of the audit there was a large amount of recycling occurring both in reuse and • Processing materials for recycling; recycling. • Considering environmental impacts for waste removal and disposal processes; and No evidence of this occurring at the time of the audit. Waste Contractor JR Richards conducts waste inspections and provides monthly waste • Monitoring and inspection regimes. reports. Predicted Waste Streams 5.13.2 Whilst no major changes to the existing WWC surface infrastructure are proposed as part of the Project, a new Mining Services Facility and potential gas ventilation infrastructure are also proposed to be constructed. No major MSF not constructed. Not Triggered modification to the existing pit-top facility will be required for this Project. Therefore, there are no significant changes in waste type or volumes predicted from the Project.

The construction of the Mining Services Facility will involve predominantly modular/prefabricated components, which are assembled offsite and transported to the site for installation. These construction activities are therefore not expected to generate a significant amount of waste materials. The excavated material generated MSF not constructed. Not Triggered during the earthworks phase of construction will be re-used on site. Inert waste such as concrete will be disposed of in approved areas on site.

Office Waste The main type of office waste is waste paper, comprising general office paper, photocopy paper, office stationery and paper from other sources. Paper recycling bins are provided at the WWC offices and workshops, which are disposed of by licences contractors. Other office waste includes cardboard and packaging, toner cartridges from Observed during site visit. Compliant printers, photocopiers and facsimile machines. Toner cartridges are removed by a licensed contractor for recycling. The quantity of office waste generated by the Project will be minimal and the majority will be recycled. Domestic Waste Domestic waste includes food scraps, aluminium cans, glass bottles, plastic and paper containers and putrescible waste. Domestic waste will be generated by employees and contractors at the site and recycled where Observed during site visit. Noted practicable. Bulk bins are provided onsite and disposed of by a licensed contractor.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Sewage Treatment and Disposal Sewage and bathhouse wastewater generated at WWC is treated on site through the biological sewage treatment plant (STP). Sewage and bathhouse wastewater will continue to include waste from toilets, bathhouses, kitchen Observed STP during site visit. Noted sinks and basins. Treated sewage effluent is pumped approximately 3.2 kilometres to the maturation ponds at the MCPP and subsequently used as process water. Sewage sludge from the treatment plant is pumped out and disposed of by a This was noted, however the audit did not require a finding to be made on this point. Noted licensed contractor, as required. Portable lavatory facilities are provided for employees working underground. These portable lavatories are This was noted, however the audit did not require a finding to be made on this point. Noted serviced and replaced by a licensed sanitary contractor. Operational Waste Workshop and maintenance activities associated with the operation of the mine generate wastes such as rags, gloves, general packing material, empty drums, used replacement parts, oils, lubricants and paints. Labelled bins, Waste management inspected during site inspection. Reasonable waste management and Compliant which are disposed of by a licensed contractor, are available at the workshop for operational waste. These segregation given the state of the site due to closure operations. wastes will be recycled where possible and otherwise disposed of via a licensed landfill facility. Fuel Oil and Grease Containment and Disposal The proposed Mining Services Facility will contain a solcenic mixing station, which will supply pre-mixed solcenic oil to the underground operations. The mixing station will be bunded in accordance with relevant Australian MSF not constructed. Not Triggered Standards and DECCW requirements.

All oils, greases and detergents stored on-site are contained within bunded, covered concrete storage areas. There are approximately 10,000 litres of oils and greases stored on the site at any one time. The primary machine wash down area is located so that wash down water drains through an oil containment pit, which is No evidence of risk to the environment through storage of chemicals though there was a serviced by an oil/water separator. Treated water is then discharged to the sites dirty water treatment system. A risk of increased waste amounts due to mixed storage of mineral oils and acids and due to licensed waste contractor collects any oil captured by the separator, along with other waste oil on a regular basis. the storage of large amounts of equipment at the pit top. Compliant The secondary machine wash down area drains to a containment sump which subsequently overflows via a Recommendation - Careful management of potential environmental contaminants is concrete drain into the North East Dam. An oil boom is located within the drain to prevent any potential oily required during the site changes from operation to closure. water from entering the dam. Water from the North East dam is pumped back to the main surface dams and treated as part of the sites dirty water treatment system.

The waste management program at WWC involves the collection and disposal of waste oil, waste coolant, 20 litre waste oil drums, oil filters, oil absorbents, oil rags and used oil-absorbent materials. A licensed waste contractor JR Richards are licensed contractors for these waste products Compliant is engaged to manage these wastes in accordance with the waste provisions of the POEO Act. Socio-Economic Assessment 5.14 Community Involvement 5.14.1.2 WWC is also currently operating under an established Social Involvement Plan (SIP) as part of its EMS for its existing operations. The SIP identifies the stakeholders with an interest in the WWC operations, assesses stakeholder needs and outlines the sites Stakeholder Engagement Strategy. The Stakeholder Engagement Strategy Stakeholder engagement observed through the development of management plans, Compliant also incorporates the sites annual face to face consultation program and annual community donation and support Community Consultative Committee, AAC, etc. programs. Consultation with relevant stakeholders includes affected landholders, the surrounding community, relevant government agencies, service providers and Aboriginal stakeholder groups (refer to Section 3.0).

As part of Xstrata Coal’s annual corporate social involvement program, Xstrata has committed financial support to over 20 community projects across the Hunter Region (Xstrata Coal 2009). This will provide financial assistance This was noted, however the audit did not require a finding to be made on this point. Noted to a range of community, health, environment, education and arts based initiatives throughout the local area. Evaluation of Social Impacts 5.14.1.3 Site closure is underway, therefore workforce is being reduced accordingly. WWC will continue to maximise the use of existing operations and surface facilities, with limited changes proposed to the existing facilities. The current workforce is not expected to change significantly, and therefore, 2013 AR: 327 full-time workers. Noted existing services in the area that currently cater for the existing workforce will continue to provide their services 2014 AR: 276 full-time workers. without pressure or increased demand. 2015 AR: 170 full-time workers. Management and Ongoing Community Involvement 5.14.3 WWC is committed to the implementation of a Social Involvement Plan. Should the Project be approved, WWC Establishment and ongoing meetings with the Community Consultative Committee, will continue to engage the community in consultation for the purposes of providing the community with neighbouring landholders, affected residential areas, LMCC, Regulatory Agencies and local information relating to the Project and operations in general and to gain feedback. This will also enable the community members. Compliant community to provide feedback to WWC and raise any issues or concerns. It is currently anticipated that consultation will include the following: OCAL Newsletter November 2015, November 2013 available on website (others available • Distribution of a community newsletter as appropriate; Compliant for outside of audit period). • Continued operation of a 24 hour community hotline for receipt of community complaints. WWC undertakes to 24 hr contact number provided on website. Currently only manned during business hours respond to community complaints promptly following receipt. All complaints will be investigated and the results Compliant due to cessation of 24 hour mining operations. of the investigation reported to the complainant in a timely manner; and • Reporting of all community complaints in the sites AEMR and DECCW Annual Return. Section 4.2 AR 2013, Section 4 AR 2014, Section 9 AR 2015. Compliant

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Land Management, Decommissioning and Rehabilitation 5.15 Mine Closure and Rehabilitation Strategy 5.15.3 The following mine closure and rehabilitation strategy addresses the WWC Pit Top and associated surface facilities at the planned completion of mining. As the extent of the WWC additional surface disturbance footprint for this Project is limited to the proposed Mining Services Facility, there is limited scope for progressive rehabilitation throughout the life of mine. The three components of the existing WWC surface facilities are shown in Figure 1.3 and include the following: • WWC pit-top area; This Mine Closure and Rehabilitation Strategy is superseded by the 2014 EA, and the 2016 • No. 2 Ventilation Shaft; Noted OCAL Complex Closure MOP. • No. 3 Ventilation Shaft and ballast borehole facility; and • Long wall 11 borehole facility. It is expected that as part of the mine closure process some minor rehabilitation may be required to be undertaken on the surface to remediate potential subsidence cracking and associated impacts in the continued underground mining area. These activities are outlined in Section 5.15.3.8. However, as discussed in Section 5.2 subsidence remediation works will be undertaken progressively throughout the life of the Project. Xstrata Coal NSW Mine Closure Planning Process 5.15.3.1 It is the intention that this Conceptual Closure Plan will form the basis of the Detailed Closure Plan, which is to be developed following the completion of the detailed mine closure planning process and be submitted to the relevant government authorities at least two years prior to the planned closure date.

WWC has developed a Conceptual Closure Plan in accordance with the XCN Closure Standard. This plan includes This Mine Closure and Rehabilitation Strategy is superseded by the 2014 EA, and the 2016 details regarding preliminary final land use objectives and closure criteria, rehabilitation and final void Noted OCAL Complex Closure MOP. management strategies as well as the process for engaging relevant stakeholders in the closure planning process to be adopted throughout the mine life. It is the intention that this Conceptual Closure Plan will form the basis of the Detailed Closure Plan, which is to be developed following the completion of the detailed mine closure planning process and be submitted to the relevant government authorities at least two years prior to the planned closure date. Proposed Post Mining Land Use 5.15.3.2 There are a number of final land use options that may be applicable to the WWC pit-top including residential, light industrial or a return to native bushland. As part of the development of a detailed mine closure plan, an analysis will be conducted to determine the most appropriate final land use for each of the sites associated with WWC within five years of the planned completion of mining. This analysis will be carried out in accordance with XCN Closure Standard, and will include: • the development of post-mining land use options for each site associated with WWC; • Selection of potential land use options in consultation with XCN; • A detailed analysis of XCN approved land use options from above; • Identification of scope and cost of decommissioning works and completion criteria to achieve objectives of each approved land use; • An independent evaluation of each land use option; and • A cost-benefit analysis of each land use option to determine most feasible land use option. This Mine Closure and Rehabilitation Strategy is superseded by the 2014 EA, and the 2016 Noted The outcomes of this study will influence the design of the final landform for the sites and the development of OCAL Complex Closure MOP. detailed completion criteria for the Detailed Mine Closure Plan. Land use options for the other domains, including the No. 2 and No. 3 Ventilation shafts and the Mining Services Facility will most likely be returned to native bushland. However, in recognition of the approximate 12 to 15 years of operational life of the Project, the potential for other sustainable and economically productive post-closure land uses will be investigated in light of any local and state government land use strategies that may have further evolved towards the end of the mine life. This process will be undertaken as part of the detailed mine closure process (refer to Section 5.15.2.1) in consultation with the relevant government and community stakeholders. Following the cessation of mining activities, the land above the continued underground mining area will remain as the Sugarloaf State Conservation Area. Proposed Post Mining Landform 5.15.3.3 The extent of land occupied by WWC’s surface facilities is approximately 14 hectares. A conceptual final The proposed post mining landform is superseded by the 2014 EA, and the 2016 OCAL landform for the areas will be designed following the selection of a post-mining land use for each site associated Complex Closure MOP. These documents included conceptual landforms but DRE required Compliant with WWC and will be included in the Detailed Mine Closure Plan. An overview of the general reshaping works more detail in the docs in general at the time of the audit. that are likely to be undertaken is outlined in Section 5.15.3.6.

Closure and Rehabilitation Principles and Objectives 5.15.3.4

The primary objectives of the closure, decommissioning and rehabilitation of WWC will be to:

• return land affected by the operations to a condition suitable for a range of sustainable future land uses; • minimise the potential for long-term environmental impact and liability; and • provide for the safety of employees and the public during and following mine closure. Secondary objectives will be to: • Prevent access to disused underground workings; • Minimise the potential impacts from closure activities; • Comply with relevant regulatory requirements and attain regulatory consensus on the successful closure and These Closure and Rehabilitation Principles and Objectives are superseded by the 2014 EA, rehabilitation of the site; Noted and the 2016 OCAL Complex Closure MOP. • Complete the closure, decommissioning and rehabilitation works as quickly and cost effectively as possible whilst achieving the objectives outlined above; • Provide for recovery of the security bond held by the DI&I;

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk • Ensure that the rehabilitated post-closure landform, including remaining structures will be physically and chemically stable and will not present a hazard to public health and safety; • Through rehabilitation of disturbed areas, provide a sustainable vegetation cover; • Implement appropriate control and remediation strategies in the event that contamination sources are identified, so as to prevent off-site impacts; and • Ensure that the design periods and factors of safety for all site works take into account extreme events and other natural processes such as erosion. Preliminary Closure and Rehabilitation Criteria 5.15.3.5 Completion criteria, determined in consultation with the relevant agencies, will be utilised to demonstrate achievement of rehabilitation objectives developed in accordance with the XCN Closure Criteria Development and Rehabilitation Monitoring standard. The achievement of the completion criteria will be monitored and reported within relevant internal and external reports including the AEMR.

The preliminary rehabilitation criteria have been developed to meet the mine closure objectives described in Section 5.15.3.4. The preliminary closure criteria will be reviewed and revised throughout the life of the mine and used as the basis for further refinement following the commencement of rehabilitation activities and consideration of stakeholder feedback. It is envisaged that this process will occur as part of the revision of the MOP and subsequent AEMRs that are submitted to DoP, DI&I, LMCC and other key agencies. This is superseded by the 2014 EA, and the 2016 OCAL Complex Closure MOP. Noted

Xstrata operations undertake a holistic approach to rehabilitation and mine closure planning from a conceptual project planning phase through to the preparation of detailed rehabilitation and mine closure plans. Detailed rehabilitation design is undertaken as part of the preparation or revision of the existing MOP for an operation and approved by DI&I. The MOP approval also provides for the monitoring of performance against rehabilitation objectives over the life of an operation as well as the requirement to submit and periodically review a rehabilitation security bond held by the DI&I. Prior to the commencement of decommissioning and rehabilitation works at WWC, a Decommissioning MOP will be submitted to DI&I for approval.

Scope of Mine Closure Decommissioning Works 5.15.3.6 Site Services Electricity services to the underground mine will be removed upon completion of mine sealing at which time the ventilation fans are no longer required. Power to the buildings, including power lines, will be removed prior to demolition. Depending upon the outcomes of the final land use study, electricity supply may be retained to the site to support the proposed post mining land use option. These decommissioning activities had not commenced at the time of the audit. Not Triggered It is envisaged that the 11kV power line to the No. 3 Ventilation Fan site will be removed as part of the decommissioning of this site, however this will be confirmed as part of the final land use analysis. The same situation exists for the Mining Services Facility, with the proposed power line to be removed unless otherwise required. Buildings and Fixed Plant All buildings and fixed plant (including conveyors, transfer stations, breaker bins, etc.) will be demolished and removed from the site. Where appropriate the materials recovered in the demolition will be sold for re-use or recycled. All concrete footings and pads will be broken up and removed with the waste material being buried in the MCPP tailings dam, used for filling ventilation shafts, or other locations deemed appropriate on the WWC site. These locations will be determined based on the final land use and will be selected in consultation with the appropriate government agencies (e.g. DI&I). These decommissioning activities had not commenced at the time of the audit. Not Triggered Provided that it does not pose a constraint to the proposed final land use, there may be circumstances where structures such as footings, underground water pipelines and disconnected power cables may be left in situ. Such circumstances may include where it is not practical to retrieve the structures or where their removal may lead to environmental damage (e.g. erosion or loss of vegetation through clearing). In such circumstances, the location of these remaining structures will be surveyed and recorded on a plan. Road works, Car Parks and Rail Lines If not required by the post mining land use, the bitumen roadways, car parks and hardstand areas around the administration building, stores area and workshop will be ripped up with the waste material being placed in the drift and shafts and buried. Bitumen will be broken up and removed with the waste material being buried in the MCPP tailings dam or other locations deemed appropriate on the WWC site. These locations will be determined based on the final land use and will be selected in consultation with the appropriate government agencies (e.g. These decommissioning activities had not commenced at the time of the audit. Not Triggered DI&I).

The railway lines on the pit-top area around the store and workshop will be ripped up where appropriate and will be sold for re-use, recycled or disposed of at an authorised waste facility.

Salvage and Removal of Mine Equipment In consideration that the mine commenced operations in 1969 and that mine closure is not anticipated until approximately 2022, the assessment of end of mine life rehabilitation liability assumed that the majority of machinery and equipment would not be worth salvaging and therefore would be left underground. The decision to salvage selected machinery and equipment will be made based on the outcome of an environmental and safety risk assessment and will be undertaken in consultation with the relevant stakeholders. Much of the plant and machinery that could be safely extracted for the UG workings had Compliant been removed at the time of the audit Plant and equipment that is salvaged from the mine will be cleaned and temporarily stored at the pit-top prior to removal off site. Prior to storage, all equipment and machinery will be inspected for any actual or potential hydrocarbon or fluid leakages, which will be appropriately contained and treated. Regular inspections will continue whilst the machinery/equipment is stored on site.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Hazardous Materials Management Leading up to the cessation of mining activities, hydrocarbon stocks will be depleted and additional stocks only ordered as required. Upon cessation of operations, all remaining hydrocarbons stored in tanks such as diesel, lubricants and soluble oil will be drained and either utilised or disposed of via an authorised contractor. The storage tanks will be removed and depending on their condition either sold or disposed of appropriately. Discussed with site personnel at interview and found to be generally compliant though not a Not able to be documented process. Verified In the lead up to the cessation of mining activities, stocks of dangerous goods on-site will be depleted, with new stock being purchased only as required. It is envisaged that the majority of dangerous goods remaining on-site will include gas bottles and cleaning agents, which will be utilised during decommissioning activities or disposed of off site via an authorised waste contractor. Sewage Treatment Infrastructure Following the demolition of all surface buildings, the on-site sewage treatment system will be decommissioned. The decommissioning of the system will involve the following: • The removal and disposal of sewage sludge from the tanks by a licensed waste contractor; • The removal of the aeration tanks for either off-site disposal at an authorised landfill or depending on their condition, for re-use at another site; and These decommissioning activities had not commenced at the time of the audit. Not Triggered • At least partial removal of the buried effluent pipeline from WWC to the MCPP. It is envisaged that the pipeline will be removed in areas where it may be exposed or where there may be a risk to future exposure as a result of erosion (e.g. creek crossings). Sections of the pipeline may be left where their removal would cause more environmental disturbance then leaving them in place.

Water Management Infrastructure The final design of the water management system will be dependent upon the outcomes of the final land use study and will be detailed in the closure and decommissioning MOP. However, depending on the chosen final land use, issues that will need to be considered as part of future water management system may include: • The removal of the oily water treatment system following the demolition of the workshop and associated facilities; These decommissioning activities had not commenced at the time of the audit. Not Triggered • Removal of excess sediment from the pit-top dams for future use by the subsequent land owner or alternatively filling and shaping of the dams if they are no longer required; • Where dams are to be retained, provide that drainage structures are designed to capture runoff from sufficient catchment area so that the dam can be utilised for its intended use; and • The installation of sediment and erosion control measures for areas where drainage by-passes the surface dams and is discharged off site. ROM Coal Stockpile The carbonaceous material (coal) on the base of the emergency ROM pad and emergency storage area will be stripped and removed. Once this has been completed, the area will be suitably capped with inert material in These decommissioning activities had not commenced at the time of the audit. Not Triggered consultation with DI&I prior to being rehabilitated. Removal of Carbonaceous/Contaminated Material 5.15.3.7 Excess coal material remaining at closure will be scraped-up and either reprocessed or disposed of within the MCPP tailings/coarse reject emplacement areas on site. Where potential contamination may have occurred as a result of site activities (e.g. re-fuelling areas, workshops, etc.), appropriate investigations will be undertaken to determine the presence and extent of any contamination. These decommissioning activities had not commenced at the time of the audit. Not triggered Where it is identified, contaminated material will be either bioremediated on site or disposed of off site at an authorised waste facility. Further investigations involving sampling will be undertaken to validate that contamination has been remediated to acceptable levels. Underground Infrastructure

One of the key considerations of the closure, decommissioning and rehabilitation of WWC will be the sealing of shafts, drifts and boreholes which are associated with its mining operations. A list of these mine openings and their associated ML as well as the status of each is outlined in Table 5.23.

The general strategy for sealing each of these mine openings will be developed by WWC in consideration of the latest DI&I guidelines for mine sealing (refer to Section 2.1.3). Engineered drawings of the proposed mine seals These decommissioning activities had not commenced at the time of the audit. Not Triggered will be submitted to the DI&I for review and consensus of the design prior to the commencement of mine sealing activities. The construction of the mine seals will be verified by an appropriately qualified engineer in consultation with the DI&I. As-constructed drawings will then be subsequently submitted to DI&I to be included as part of the record tracings for the mine. Reshaping Works

Following the demolition of the buildings and site infrastructure, it is expected that any concrete slabs and footings will be broken-up and either incorporated into the shaft fill material, buried on site or disposed of at the MCPP tailings dam. Reshaping works may also include the removal of sedimentation dams, which may no longer be required following rehabilitation. In regards to the WWC pit-top area, reshaping works will also be required along the embankment of the storage pad adjacent to The Broadway to provide that it is of a suitable grade for long term stability. These decommissioning activities had not commenced at the time of the audit. Not Triggered

The entire area will then be trimmed to facilitate the appropriate drainage of surface runoff from the site, rock raked to reduce surface rock and subsequently ripped to promote rainfall infiltration and plant root development whilst minimising the potential for erosion. The area will be covered with topsoil material, or a suitable alternative, and a pasture grass and/or native tree mix will be applied to the entire site.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Rehabilitation Strategy 5.15.3.8

A rehabilitation strategy will be developed in consideration of a range of factors including the following:

• Characteristics of the WWC surface areas including the opportunities and constraints associated with existing land resources in relation to soils and land capability (refer to Section 5.15.1);

• Key environmental features of the WWC surface areas and surrounds including ecological features; WWC Rehabilitation and Environmental Management Plan, July 2012 - July 2018, which was then superseded by the 2015-2016 MOP and then the OCAL Closure MOP 2016. • Relevant government strategic land use objectives for the area and surrounds; Compliant • The Strategic Framework for Mine Closure (ANZMEC/MEC); and Note the MOP was under review at the time of the audit as DRE were not satisifed with • The pit-top is to be returned to a condition where its landforms, soils, hydrology, flora and fauna are self- detail on closure. The site was operating under an approved MOP though. sustaining, and compatible with the surrounding land use. The rehabilitation process that will be employed to achieve the aims of the conceptual closure strategy is described in detail in below and is summarised as follows: • Stabilising disturbed landforms and ensuring they are free-draining; • Revegetating these areas in accordance with their planned final land use; and • Ongoing monitoring and maintenance of rehabilitated areas to ensure rehabilitation is meeting the designated objectives and criteria, which will enable lease relinquishment. Proposed Rehabilitation Techniques Due to the limited availability of topsoil on site, topsoil or a suitable alternative will need to be sourced from external sources for rehabilitation purposes. The general surface preparation activities to be undertaken at WWC include: • Prior to revegetation activities, soils will be characterised to determine the type and application rate that may be required for the addition of soil ameliorants (e.g. gypsum, lime, fertiliser, biosolids, etc.); • Appropriate soil ameliorants will be applied for incorporation into the final shaped surface; • Where direct tree seeding is planned, final shaped surfaces will be deep ripped parallel with the contour prior to the application of seed to provide for an adequate seed bed; • Where grass seeding is planned the surface will be harrowed/tilled across the contour to provide for an adequate seed bed; • Suitable erosion control measures (e.g. catch drains, sediment dams, silt fences, mulches, etc.) will be implemented to minimise soil loss from areas undergoing rehabilitation; These decommissioning activities had not commenced at the time of the audit. Not Triggered • Where appropriate and practical, structures such as tree hollows, logs and other woody debris will be incorporated into the final landform to augment the habitat value of the site (whether or not this is an appropriate measure will depend on the final land use); and • The installation of appropriate habitat structures (e.g. ponds) where practical and where consistent with the final land use. Revegetation techniques utilised at WWC will be dependent upon the final land use option selected for each site. Further details regarding revegetation activities will be specified in the Detailed Mine Closure Plan and will be consistent with industry techniques for the establishment of either open grassland or native ecosystems. Where appropriate, revegetation activities will be undertaken during spring and autumn. However, opportunistic revegetation may be practised if areas become available for seeding or planting in summer and winter. After surface soil amelioration and tillage is completed for any given area, revegetation will commence as soon as practical. Proposed Rehabilitation Monitoring 5.15.3.9 As per the XCN Closure Criteria and Rehabilitation Monitoring Standard, WWC will implement a rehabilitation XCN Closure Criteria and Rehabilitation Monitoring Standard replaced by GCCAA Mine Compliant monitoring program to include but not be limited to the aspects outlined below. Closure Planning Protocol. Active Mining Records 5.15.3.9 During active mining operations, WWC will maintain active records as to processes that may impact upon the rehabilitation of the site. This will provide the basis for interpretation of later rehabilitation monitoring outcomes. Amongst these records to be maintained include the following: • Detailed rehabilitation procedures; Subsidence Remediation Procedures and monitoring records. Compliant • Register of any contaminated sites including bioremediation areas; Currently investigated in the WWC area, registers maintained for the rest of the Complex Compliant • Records of production wastes and other waste streams and where they are located on site; Records of wastes, production waste not relevant to this sight Compliant • Environmental monitoring records, including surface and groundwater quality; and Sighted during audit visit. Compliant • Environmental incident records. Sighted during audit visit. Compliant Rehabilitation Methodology Records 5.15.3.9 WWC will record the details of each rehabilitation campaign during the decommissioning process, so that they are available for later interpretation of rehabilitation monitoring results with the aim of continually improving rehabilitation standards on site. Amongst the key monitoring parameters to be included in the program relate to the following: • Landform design details; • Drainage design details; • Substrate characterisation; These decommissioning activities had not commenced at the time of the audit. Not Triggered • Site preparation techniques (e.g. topsoil and source, time of sowing, soil ameliorants used etc.); • Revegetation methodologies (e.g. rate and type of fertiliser, cover crop and rate, seed viability); • Weather conditions; • Photographic records; and • Initial follow-up care and maintenance works. Such records from other OCAL operations will also be utilised when designing rehabilitation campaigns at WWC.

Environmental Assessment 2010 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Annual Rehabilitation Inspection 5.15.3.9 At least annual inspections of rehabilitated areas will be undertaken to assess soil conditions and erosion, drainage and sediment control structures, runoff water quality, revegetation germination rates, plant health and weed infestation. Outcomes of the annual rehabilitation inspection will be recorded and any required Sighted inspection records of rehabilitated areas. Compliant management actions that are identified as part of the inspection implemented as soon as practical. Where necessary, rehabilitation procedures will be amended accordingly with the aim of continually improving rehabilitation standards. Long Term Rehabilitation Monitoring 5.15.3.9 The objective of this monitoring is to evaluate the progress of rehabilitation towards fulfilling long term land use objectives. The monitoring program will be continued within rehabilitated areas until it can be demonstrated that rehabilitation has satisfied the closure criteria. Information from this monitoring program will also be used to refine closure criteria as required.

The exact scope of the long term rehabilitation monitoring program will be included as part of the detailed Superseded by rehabilitation monitoring program included in current and Closure MOP. Noted closure plan, which will be developed in consultation with DoP, DECCW and DI&I. Broadly, the long term rehabilitation monitoring program will include vegetation monitoring, habitat assessment and fauna monitoring where the post mining land use objective is to return to native ecosystem. Whilst the program will be designed to be comparable between monitoring periods, the program will also be flexible to enable the incorporation of a range of industry accepted techniques that will enable sites to be tracked against meeting the closure criteria.

Long term monitoring programs for other post-mining land use options will be developed as required. This was noted, however the audit did not require a finding to be made on this point. Noted Revegetation Care and Maintenance 5.15.3.10 Depending upon the outcomes of the rehabilitation monitoring programs as outlined above, the scope of the rehabilitation care and maintenance phase may include the following: • Weed and feral animal control of rehabilitation; • Erosion control works; • Re-seeding/planting of rehabilitation areas that may have failed; These rehabilitation activities had not commenced at the time of the audit. Noted • Maintenance fertilising; and • Repair of fence lines, access tracks and other general related land management activities. It is envisaged that this program will be continued as required until it can be demonstrated that the rehabilitation has satisfied the closure criteria. Cumulative Impact 5.16 Groundwater 5.16.2 The hydro geological assessment determined that both of these potential risks are negligible. WWC will continue Ongoing monitoring evident in 2013 AR, 2014 AR, 2015 AR. to monitor groundwater as the Project progresses. Should review of the monitoring data identify unexpected No adverse impacts on groundwater reported. Compliant and/or unusual results and these relate to cumulative interactions, WWC will investigate and liaise with relevant government agencies to determine an appropriate groundwater management response. Confirmed in Water Management Plan

Environmental Assessment 2010 Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Letter 6 April 2011 Due to the minimal level of disturbance, WWC are not proposing to offer any land based offsets for the Project. Letter 6 April Alternatively, WWC are proposing to undertake stream remediation works within the SSCA to a value of $50,000 This was noted, however the audit did not require a finding to be made on this point. Noted 2011 per annum over the life of the Project. Attachment 1 Detailed Response to DECCW Submission Subsidence and Water Resource 1 Impacts In the event that subsidence remediation within intact vegetation is required, it would be necessary to remove elements of the canopy, shrub and ground layers to allow for access to earthmoving machinery. The remediation 1 of surface cracking within forest vegetation communities would be managed, however, to reduce the amount of Approval from OEH-NPWS for canopy trimming on access tracks. Compliant vegetation that would be disturbed or removed as a result of earthworks. In order to achieve this, small earthmoving machinery would be used in these areas as much as possible.

It is considered unlikely that mature trees will need to be cleared to complete the required subsidence 1 remediation; however, in the unlikely circumstances where it is required, clearing would be undertaken in GDP applies to Pit-Top, rest of area is SCA therefore under control of SCA Compliant accordance with WWC's detailed pre-clearance procedure (Appendix 3 of the Response to Submissions Report).

WWC are continuing to undertake work to further understand the height of fracturing. WWC have recently installed an extensometer, as committed to in the EA and Response to Submissions Report. The extensometer has been installed in Long wall 39 (refer to Figure 1) in order to measures the height of continuous and discontinuous fracturing above the Long wall 39 goaf. Once the long wall extraction is completed, the data will 1 Installed in LW 39 and 40. Compliant be provided to a geotechnical engineer for analysis and further calibration of the subsidence predictions at this location. The extensometer will allow further understanding of WWC will be able to further refine the subsidence predictions within the areas of depth of cover between 70 metres and 100 metres. This will allow WWC to better manage any potential subsidence impacts associated with the Project. Surface Water Impacts 2 WWC proposes to continue to manage surplus water by three methods, as follows: i Surface water runoff from the pit-top facilities at WCC discharged to Burkes Creek, via EPA Point 2 (EPL 1360). EPL/Water Management Plan Compliant ii Surplus water from underground mining operations: - Transfer to Westside Mine and discharge via EPA Point 4 (EPL 4033). Confirmed at interview and in EPL review Compliant - Discharge to Burkes Creek, via EPA Point 2 (EPL 1360) on temporary basis during equipment maintenance Confirmed at interview and in EPL review Compliant periods at the borehole at Long wall 11. iii Sewage effluent transferred to Macquarie Coal Preparation Plant (MCPP) for re-use. Outside audit scope Noted WWC also has approval to transfer surplus water to Metromix Quarry via the borehole at Long wall 11. Any 2 further implementation of this option depends on both the need for such contingency and establishing Water Transfer project did not go ahead. Not Triggered satisfactory commercial arrangement with the quarry operator.

It is recognised that further beneficial use of mine water on site and thereby reduction of discharge from the site 2 would be desirable. For this reason, in the EA and subsequently in the Response to Submissions, WWC has made This was noted, however the audit did not require a finding to be made on this point. Noted the following commitments in regard to surface water discharges and associated water quality:

Within 12 months of project approval, WWC will submit for the approval of the Director General an updated The first draft of the Draft Surface Water Management Plan West Wallsend Colliery (Xstrata Surface Water Management Plan for the Project. The Plan will be prepared in consultation with NoW and will Coal) was submitted on 24 July 2012 which is within 6 months from consent. 6.6.1 Compliant include a Surface Water Monitoring Program, Groundwater Monitoring Program, Sediment and Erosion Control Plan and Subsidence Remediation Monitoring Program. Outside Audit Period

The existing Water Management System will continue to be used to control and treat runoff from the WWC pit- 6.6.2 top site with surface runoff directed to the water management system dams for use as dust suppression or Ongoing. Compliant discharge. 6.6.3 WWC will complete a series of investigations within 12 months of Project Approval, including: A more detailed desktop investigation of the various salt concentrations at other Xstrata operations and 2 relevance to WWC. Did not go ahead Not Triggered 2 Trialling shandying percentages based on the more detailed investigations of salts. Determining the most appropriate shandying percentage taking into consideration potential water quality 2 impacts on the life and maintenance of the underground mining equipment.

WWC also proposes to continue to extract surplus water from the WWC underground workings, via a borehole at Long wall 11. This extraction of water from WWC is licensed under 20BL1697963. This water is then managed Extraction of water from LW 11 ongoing. 2 by the operations at Westside. Westside Mine is proposed to cease operations in late 2011/early 2012. WWC Compliant proposes to continue discharges of surplus underground water from WWC to Cockle Creek after operations Note: Rest of condition not applicable to this audit scope. cease at Westside Mine. It is envisaged that at this time EPL 4033 will be transferred to OCAL.

Environmental Assessment 2010 Amendments Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

WWC have also committed to confirm and implement the optimal water re-use strategy by the proposed investigations detailed in the Surface Water Assessment within two years of Project Approval. If the 2 Did not go ahead. Not Triggered investigations indicate that shandying potable water with mine water for re-use on site is not viable, WWC will investigate the feasibility of other options for mine water treatment and re-use e.g. reverse osmosis. WWC has committed to undertaking additional surface water investigations relating to the proposed underground mining areas. These include preparation of a Watercourse Stability Report to be included as a standalone report supporting the Water Management Plan (WMP). The Watercourse Stability Report would address the following matters, as requested by NoW: Geomorphic description of streams and rivers within and downstream of the project site (i.e. river stule, geomorphic energy regime to bankfull discharge). Long profile survey along each watercourse to be subsided to the nearest stable (i.e. rock) control point upstream and downstream, on an appropriately expanded scale, with stable rock control points.

Nature of bedload material and estimated steam power relationships along each watercourse to be subsided. 2 Water Course Stability Report (Umwelt, 2012) - developed Outside Audit Period Compliant Effective bank full discharge volume, velocity and tractive stress under pre- and post-subsidence conditions. Velocities under pre and post subsidence modelled for 2 year, 10 year and 20 year ARI storm events. Change in stream velocity and stream power relationships under subsidence conditions against threshold limits to bedload transport. Location and nature of geomorphic controls through each long wall and upstream to the nearest geomorphologically stable control (i.e. presence of rock controls). Nomination of critical thresholds to steam incision for each long wall panel and means to limit subsidence impacts to below threshold limits. Mitigation measures to prevent/limit incision and subsequent degradation of stream channels for each long wall and the cumulative subsidence envelope. WWC has commenced the additional investigations outlined above, including modelling of all watercourses in the proposed underground mining area. That is, in addition to the existing model of the upper reaches of Diega 2 Creek, modelling of a 1st order tributary of Cockle Creek, two 1st order tributaries of Palmers Creek, a 2nd order Water Course Stability Report (Umwelt, 2012) - developed Outside Audit Period Compliant tributary of Palmers Creek and two 2nd order tributaries of Bangalow Creek. The approach to these further investigations is outlined below. For each watercourse the 2 year (approximately blank full), 10 year and 20 year ARI storm events were modelled for the existing landform and post mining landform with the predicted subsidence. Using the outputs from the modelling and existing flow characteristics and post mining flow characteristics, including velocities, tractive stresses and stream power are analysed. Where the modelling indicates that the longitudinal grades, velocities, bed stresses and stream power would have more than negligible or minor changes with the predicted subsidence, additional analysis is panned to be undertaken. This analysis includes: Select appropriate permissible velocity and permissible tractive stress values for each reach along the watercourse based on targeted field inspections. Compare the values selected for permissible velocity and permissible tractive stress against the modelling results for the watercourse for the existing landform considering information gathered during site inspections to 2 Water Course Stability Report (Umwelt, 2012) - developed Outside Audit Period Compliant determine potential zones of stability, marginal stability and instability. Consider the modelled potential changes in velocity and tractive stress relative to the permissible values and assessment of the existing stable/unstable zones of the watercourse. Develop a monitoring program including details of: Monitoring of any bed control points. Monitoring of areas where subsidence may increase the stream power above the determined threshold limits potentially causing channel erosion/instability. Long section and cross section surveys, photographic records and/or methods outlined in AUSRIVAS. Investigate and detail any proposed remediation methods to mitigate potential impacts of changes in stream power as a result of underground mining activities. Preliminary values for velocity and tractive stress for the watercourses in the proposed underground mining area have been selected with consideration of the bed and bank materials and the vegetation coverage. The selected 2 Water Course Stability Report (Umwelt, 2012) - developed Outside Audit Period Compliant values for each watercourse form are listed in Table 5. These thresholds will be further refined during subsequent site inspections and modelling that will be carried out during these additional investigations.

Apart from a 1st order tributary of Cockle Creek, all areas of potential instability are located in Diega Creek or Palmers Creek, in areas that are a minimum of 12 months from long wall progression. In relation to the potential changes to the stability of tributary of Cockle Creek, these will soon be undermined by Long wall 39 (refer to 2 Figure 5). Chart 1 and Chart 2 below show clearly the potential changes to the maximum tractive stresses within This was noted, however the audit did not require a finding to be made on this point. Compliant this section of Cockle Creek as a consequence of the mining operations. Therefore it is planned that these sections of Cockle Creek be prioritised for proactive stream stabilisation works to minimise the potential for generation and export of sediment from the area.

Environmental Assessment 2010 Amendments Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Continued Operations Project - DECCW Comments on Response to Submissions (Umwelt, April 2011) West Wallsend Colliery Surface Water Management Plan (May 2016) In relation to other areas with potential stability impacts, these will be subject to further detailed investigation 2 LW51 and 52 Water Management Plan (September 2015) Compliant as part of the Water Management Plan. LW46 Water Management Plan (September 2014)

Additional field work and modelling programs are proposed to refine the initial estimated threshold values used in the preliminary assessment of potential stability impacts and will be also used to further refine the 2 assessment of potential stability impacts. This will allow for a review of the likelihood and potential changes to, The lack of significant impacts in streams removed the requirement for this to go ahead. Not Triggered downstream water quality as a result of changes to watercourse stability associated with the proposed underground mining.

The additional level of understanding that this additional field work and modelling program will provide will allow for the development of a proactive stability management strategy to minimise the potential increase in erosion from the affected streams. This program will likely include the placement of stream bed controls that are 2 The lack of significant impacts in streams removed the requirement for this to go ahead. Not Triggered strategically located based on the outcomes of the stream stability modelling. In this way, the streams can be allowed to return to long term stable profiles over a period of time that is more sympathetic to the surrounding environment. The purpose of this proactive stream bed stabilisation program is to provide stable creek systems within the affected area, minimising the erosion of bed material and therefore the potential for export of sediments. The 2 The lack of significant impacts in streams removed the requirement for this to go ahead. Not Triggered need or otherwise for further consideration of these areas in the WWC EPL will be determined in consultation with DECCW during the preparation of the Water Management Plan. Water Management Plan 3 As outlined in Section 1, WWC have committed to further refine the mine plan in response to DECCW's concerns. The additional mine plan changes will result in removing an area with a lower depth of cover, which contains 3 Approval reflects these changes. Compliant approximately 2 hectares of Alluvial Tall Moist Forest EEC. Consequently, there will only be a minor area, approximately 0.1 hectares, of EEC located within the continued underground mining area.

Management strategies to address subsidence crack impacts in creeks and watercourses include undertaking pre-mining and post-mining inspections. This includes daily inspections of surface access tracks, fire trails and 3 watercourses when mining is being undertaken. Should a significant impact be identified during these no cracks in creeks or water courses during audit period. Not Triggered inspections, an appropriate remediation strategy is developed. All remediation activities are undertaken as soon as practicable, in consultation with the relevant stakeholders, including DECCW.

WWC proposes to continue the existing strategies which are used to address subsidence crack impacts in creeks and watercourses, including: LW44 and 45 Extraction Plan (March 2013) Undertaking pre-mining and post-mining inspections to assess potential subsidence impacts. LW46 Extraction and Subsidence Management Plan (September 2014) 3 Compliant Communicating inspection results to the respective stakeholders. LW51 and 52 Extraction and Subsidence Management Plan (May 2015) Any impacts identified during inspections will result in the development of a remediation strategy, in consultation with the relevant stakeholders. Remediation strategies may include remediating large surface cracks, as soon as possible, if they occur along the creeks and assess the potential for grouting. Any remediation works required to rectify surface water ponding is not expected to be substantial based on previous experience at WWC. Due to the limited remediation works undertaken as part of the existing operations, any future remediation works are expected to also be limited in extent and be able to be undertaken 3 Monitoring continues for ponding sites, no remediation undertaken currently. Not Triggered either by hand or small earthmoving equipment, e.g. bobcat, in accessible areas. As such, the remediation works are not likely to significantly impact on the occurrence of riparian or aquatic vegetation within the predicted subsidence affectation zone or in downstream creek lines. Threatened Species and 4 Biodiversity As discussed in Section 5.11.2, it may be necessary to disturb some areas of native vegetation for the No surface facility construction occurred, any works conducted on the surface in the audit 4 construction of these surface facilities. Where this is unavoidable, areas containing significant ecological features Compliant period required a GDP that met these requirements. such as known threatened species habitat, or hollow-bearing trees will be avoided.

A due diligence procedure has been recommended when determining the location of ancillary infrastructure. Due diligence inspections will be completed by a suitably qualified and experience ecologist to identify any significant ecological features at potential ancillary infrastructure sites and to advise of any required 4 management and mitigation measures. The due diligence process will allow for the avoidance, where possible, Due Diligence undertaken through GDP (Ground Disturbance Permit) Procedures Compliant of significant ecological features (that is, areas containing known records of threatened species, endangered ecological populations and TECs; significant fauna habitats including hollow-bearing tree) and will ensure that disturbance to native vegetation communities will be limited to the minimum area required.

Environmental Assessment 2010 Amendments Oceanic Coal Australia West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

In the event that unpredicted, adverse impacts on ecological values are identified during management and monitoring of the continued underground mining area, WWC will respond to the issues identified and engage LW 41 VBM, Kleinfelder and Umwelt engaged to assess impact. appropriate experts where required. WWC will investigate all appropriate remediation and mitigation 4 requirements, in consultation with the relevant government authorities and in the event that significant impacts Compliant Biodiversity offset not triggered, monetary offset was negotiated following discussion with on identified ecological values are identified that cannot be adequately remediated, WWC will engage a suitably OEH qualified and experienced ecologist to prepare a Biodiversity Offset Strategy in consultation with DECCW and DoP.

WWC are proposing to undertake stream remediation works within the SSCA which will improve the ecological values of the riparian zones and general EEC health within the SSCA. WWC will commit to providing $50,000 per This was not required as stream impacts were not significant enough to require 4 Not Triggered annum over the life of the mine to fund stream remediation works within the SSCA. This funding, in conjunction remediation. with the additional mine plan modifications, is considered a significant environmental outcome.

4 The borehole locations will be selected, where possible, to avoid large trees and items of ecological significance. Installation of LW51 extensometer - GDP reflected these avoidance measures. Compliant

Each borehole location will require the excavation of sumps to hold drilling muds. Each sump will be approximately 3 metres long and 2 metres wide and 2 metres deep. A shallow trench approximately 15 to 20 cm Drill hole installed for extensometer for LW 51, installation undertaken under new 4 Not Triggered deep by 20 to 30 cm wide and up to 1.5 metres long will also be excavated to allow water to drain through PVC guidelines therefore no sump was used. piping before entering the sump. Where required sediment fences will be erected down slope of the sumps. Once drilling is complete any water retained in the sumps will be removed using a water truck, the sumps and 4 No sump was used. Not Triggered associated trench will be backfilled and sediment fences removed. Remote Sensing Pilot Program 5.2

XCN are undertaking a pilot program to utilise remote sensing to quantify the effects of long wall mining on Outside of audit period. native vegetation. The pilot program is currently being undertaken at West Wallsend Colliery and Ulan mine. The pilot program was conducted. 5.2 Selected panels currently identified as West Wallsend (panels 38 to 40) and Ulan (panels 26 and west 3) will be Compliant assessed using a combination of newly acquired remotely sensed data (LiDAR and satellite imagery), directed field survey and rigorous statistical analysis.

The objectives of the pilot program will be to: - Derive LiDAR based vegetation condition parameters (foliar density and canopy height); - Derive satellite imagery based condition parameters (vegetation indices); 5.2 - Sample remotely sensed derived vegetation condition parameters to permit statistical comparison of control LiDAR fly-overs occured, vegetation analysis was not conducted. Not Compliant E 1 Medium and impact site information; and - Develop and implement stratified random field sampling design to permit statistical comparison of control and impact site information.

Environmental Assessment 2010 Amendments Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Proposed Long walls 51 and 52 Environmental Assessment Umwelt, January 2014 3. Description of the Project Resource and Geotechnical 3.2.1 Drilling

WWC is also seeking approval to undertake further resource and geotechnical drilling in the vicinity of LW 51 and LW 52 to provide further information to facilitate mining. Drilling will be undertaken in consultation with OEH for works in the SSCA and also in consultation with the WWC Cultural Heritage working group. Prior to drilling activities occurring, a review of the potential environmental impacts from the planned activities This was noted, however the audit did not require a finding to be made on this point. Noted will be completed so that the activities are located and designed, as far as practical, to have minimal environmental impact. Following the environmental assessment of the proposed disturbance footprint, these areas will be prepared using small earthmoving equipment to allow for the work to be undertaken safely and in a manner that minimises environmental impacts.

"Rehabilitation was undertaken at a number of coal quality drilling sites in accordance with WWC procedures. Rehabilitation of drill sites involves the filling in of excavated sumps, spreading of cleared vegetation around the site and the seeding of these areas with native Following completion of drilling activities, boreholes will be decommissioned in accordance with DRE tree species" - AR 2013 requirements. All disturbed areas including access tracks and drill pads will be rehabilitated in consultation with Compliant relevant stakeholders, including OEH for any works in the SSCA. No coal quality or exploration drilling activities were undertaken during audit period.

LW 51 Extensometer only relevant site decommissioned and rehabilitated in audit period - rehabilitation site inspected during audit visit.

Subsidence Inspections 3.2.2.2

See Subsidence Monitoring Plans and Public Safety Management Plans developed for longwalls. Subsidence monitoring inspections will be undertaken in accordance with the existing Public Safety Subsidence Management Plan (PSSMP). The process includes pre-mining inspections and recording of features (eg cliff Sighted Ecological Due Diligence Assessment undertaken by Kleinfelder for the purposes of lines), and post mining inspections to record surface subsidence impacts and identify the appropriate Compliant LW51 and 52 Crack Remediation. subsidence management measures to be implemented. WWC will implement this process for LW 51 and LW 52 The remediation is to be conducted on subsidence cracks of varying lengths, widths and and will monitor and remediate subsidence impacts within the Project Area. depths identified through monitoring of the site. The cracks can be accessed via the Quarry Trail and other un-named tracks in the south of Sugarloaf SCA.

Surface Crack Remediation 3.2.2.3 Remediation of surface cracks will be required in the Project Area. The surface cracks, which will be identified WWU holds a number of licences for undertaking works within the SSCA. These licences during the subsidence inspections, will be remediated in accordance with the existing WWC Subsidence Crack include: Remediation Procedure. • one licence granted by the National Parks and Wildlife Service (NPWS) for general subsidence management and monitoring activities (valid for five years from 23 July 2012 to 22 July 2017); Compliant All remediation works within the SSCA are undertaken in consultation with OEH and also in accordance with a • one licence granted by the NPWS for the use of grouting as a remediation method (valid consent issued by OEH for such remediation works. Any remediation works on other land are undertaken in for life of the operation) (refer to Section 8.0); and consultation with the land owner. • two licences for coal quality drilling activities, which include one licence for five boreholes and one licence for eleven boreholes.

Due Diligence Assessments for Subsidence Management 3.2.2.4 Activities

Where subsidence remediation activities have the potential to impact upon sensitive environmental or cultural Due Diligence, GDP,signed off by OEH. heritage features, due diligence assessments will be undertaken to assess the best approach to implementing Compliant the required subsidence management activities. Registered Aboriginal Parties inspect areas pre and post mining activities

Ecology: This will include a review of the management approaches required to minimise potential impacts related to Ground Disturbance Permits (GDPs) Compliant cultural and historical heritage, ecology and general environmental issues such as erosion and sediment control. Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation

Where environmental or cultural due diligence assessments are required, they will be undertaken in Due Diligence, GDP,signed off by OEH. Compliant consultation with the relevant stakeholders, prior to the commencement of the works. Registered Aboriginal Parties inspect areas pre and post mining activities

Environmental Assessment 2014 (LW51 and LW 52) Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Proposed Long walls 51 and 52 Environmental Assessment 6. Environmental Assessment

Subsidence 6.2

As the project progresses, existing subsidence management plans and the WWC SMP/Extraction Plan will be LW51 and 52 Extraction Plan and Subsidence Management Plan (May, 2015) - Approved Compliant revised in consultation with the existing stakeholders to reflect the surface features within the project area. WWC as part of its existing SMP and associated management plans, has developed and implemented subsidence remediation strategies for the mining undertaken by WWC. These existing remediation strategies will be LW51 and 52 Extraction Plan and Subsidence Management Plan (May, 2015) and LW51 Compliant updated in consultation with relevant stakeholders to address potential subsidence impacts of mining in the and 52 Subsidence Contingency Plan (September, 2015) Project Area.

Subsidence Processes 6.2.1

"It is required as part of the Extraction Plan process to review the results of previous subsidence monitoring to inform the required monitoring program for the Long walls which are included as part of this application. Subsidence predictions were developed for As mining progresses, there will be ongoing refinement of the predictive model as a result of subsidence the LW 51 and LW 52 EA (DGS, 2014) with these predictions reviewed and updated in 2015 monitoring and comparison with predictions. The mine layout will also continue to be refined as the Project to incorporate the minor changes that have been made to the LW 51 and LW 52 layout progresses potentially resulting in changes to subsidence predictions. Any changes to the mine layout and Compliant since the LW 51 and LW 52 EA was completed, refer to (DGS, 2015)." - LW51 and 52 subsidence predictions will be assessed as part of the SMP/Extraction Plan or other relevant process at that Extraction Plan and Subsidence Management Plan. time. End of Panel Reports: LW42 Subsidence Review, LW43 Subsidence Review, LW44 End of Panel Report, LW45 End of Panel Report, LW46 Subsidence Review

Surface Cracking 6.2.4.1

See Subsidence Monitoring Program. Daily inspections provided as evidence During mining, daily inspections of all surface access tracks and fire trails will be undertaken to identify potential Hourly inspections of Great North Walk during undermining. Compliant surface cracking that may pose a public safety risk. Weekly walk over by Geotech, E and C inspections of access tracks and incorporated in Public Safety Inspections. Ephemeral Creeks, Tributaries 6.2.4.8 and Alluvium The proposed management of subsidence impacts on the drainage system will be developed based on the existing management strategies which have been successfully employed by WWC for managing similar impacts LW51 and 52 Extraction Plan and Subsidence Management Plan meets this requirement. Compliant on previously mined areas.

Environmental Assessment 2014 (LW51 and LW 52) Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Proposed Long walls 51 and 52 Environmental Assessment Proposed Subsidence 6.2.5.1 Management Strategies

Table 6.3 provides an outline of the subsidence management strategies relating to the natural and built features within the Project Area that will be implemented as part of the Project.

Table 6.3

As per LW51 and LW52 Extraction and Subsidence Management Plan and Subsidence Compliant Monitoring Program.

Environmental Assessment 2014 (LW51 and LW 52) Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Proposed Long walls 51 and 52 Environmental Assessment

Proposed Subsidence Survey 6.2.5.2 Monitoring Program

To monitor and assess the potential subsidence impacts on the identified surface, natural and built features , A Subsidence Monitoring Program (WWC SD PLN 0151) has been developed for LW 51 and the existing WWC Subsidence Monitoring Program will be updated and implemented for the project. The details LW 52, in accordance with Project Approval conditions and considers recommendations Compliant of the monitoring program are included in the SMP/Extraction Plans prepared by OCAL and approved by contained within the subsidence assessment, and is included as Appendix L of the LW51 relevant government agencies prior to mining in each area. and 52 Extraction Plan and Subsidence Management Plan.

The monitoring program will involve the following: - the installation of subsidence survey points to monitor potential subsidence impacts on the identified surface features; - conducting visual inspections within the Project Area to assess potential subsidence impacts and to identify any included in Subsidence Monitoring Program. Compliant potential remediation that may be required; - installation of monitoring for potential sub-surface impacts on groundwater; and - post mining aerial photography interpretation. The results of the monitoring program will be communicated to the respective stakeholders in accordance with Sighted fortnightly status report submitted to relevant stakeholders and inspection results Compliant the SMP/Extraction Plan and used to refine the ongoing management of subsidence as the project progresses. communicated by stakeholders.

Subsidence Management Plan 6.2.5.3

A comprehensive SMP/Extraction Plan will be developed for the Project to provide detailed guidance for subsidence management, as required by Project Approval conditions. This plan will be developed based on the LW51 and 52 Extraction Plan and Subsidence Management Plan meets this requirement. Compliant existing SMP/Extraction Plan and will refine subsidence management strategies including mitigation, monitoring and remediation techniques utilised by WWC. The SMP/Extraction Plan will also include revised stakeholder Subsidence Management Plans that have been Trigger Action Response Plans developed in consultation with the relevant built feature and established with each of the identified stakeholders within the Project Area. These plans specify subsidence land owners affected by long wall mining at WWC included in LW51 and 52 Subsidence Compliant predictions and specific management measures for natural and built surface features. Contingency Plan (Section 3).

Ecological Impact Assessment 6.3.3

Ground Disturbance Permits (GDPs) Where impacts are required to undertake remediation work, ecological due diligence inspections will be Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Compliant undertaken to inform the required management measures to be implemented to minimise ecological impacts. Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation

Environmental Assessment 2014 (LW51 and LW 52) Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Proposed Long walls 51 and 52 Environmental Assessment Ecological Impact Mitigation and 6.3.3.3 Management Strategies

Prior to the commencement of mining, subsidence monitoring lines are installed to allow OCAL to quantitatively assess the level of subsidence. The installation of these monitoring lines requires the trimming of shrub and groundcover vegetation within one metre of the line to a height of approximately 100 millimetres. The ecological impact of these subsidence monitoring lens is expected to be low, however OCAL will ensure that an ecological Ground Disturbance Permits (GDPs) Compliant due diligence inspection of any proposed subsidence monitoring lines is undertaken by a suitably qualified Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines ecologist prior to the installation of the lines. This ecological due diligence inspection will allow specific ecological values that will be affected by the subsidence monitoring line to be identified and appropriate strategies to minimise ecological impacts to be developed and implemented.

Where subsidence occurs and requires remediation, OCAL will ensure that an ecological due diligence inspection of any proposed subsidence remediation areas is undertaken by a suitably qualified ecologist prior to the Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation Compliant commencement of any remediation works that may impact on ecological values. Where potential impacts on threatened species, EP's or TEC's are identified, strategies to minimise impacts will Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Compliant be determined and implemented. Due diligence inspections will also be undertaken at the location of any proposed boreholes so that boreholes can be located and constructed in a manner that will not result in an adverse impact on threatened flora and No boreholes installed during this audit period Not Triggered fauna species or their habitat. Biodiversity Monitoring 6.3.3.4 Requirements

WWC has an existing program of annual biodiversity monitoring. The current program aims to establish two permanent monitoring plots above each long wall panel at least two years prior to mining. The location of the monitoring plots are selected based on the highest potential for ecological impact as a result of long wall mining; Methodology confirmed in BMRs 2013, 2014, 2015. Compliant being their proximity to riparian areas, steep slopes and proximity to the end of a long wall panel. Each monitoring plot is then monitored on an annual basis during the time of mining of the corresponding long wall panel and fro two years following mining (usually five years in total). Due to the progression of long wall mining at West Wallsend, seven new monitoring sites were added in 2014 including site 21 (long wall 46), site 22 (long wall 46), Grevillea This existing monitoring program will be applied to LW 51 and LW 52, with two permanent monitoring plots to parviflora subsp. parviflora 1 (Gparv1) (long wall 46), site 29 (long wall 51), Grevillea Compliant be established above the long wall extraction area and monitored annually before, during and after mining. parviflora subsp. parviflora 2 (Gparv2) (long wall 51), site 31 (long wall 52) and site 32 (long wall 52).

Management Strategy 6.4.6

"- Conservation of Palmers Creek GG1 and GG2 As part of the project, WWC will implement subsidence monitoring programs to identify the potential for any - Widening of chain pillar below Palmers Creek GG3 ACHMP / Conservation Offset Strategy indirect impacts to Aboriginal sites (eg erosion and sedimentation). Where the potential for impacts are - Pre-mining baseline recording and post-subsidence monitoring Compliant identified, appropriate management strategies will be implemented (eg cracking remediation, sediment - If required, remediation of grinding grooves in consultation with Aboriginal stakeholders controls) - Removal of artefacts prior to mining. Return after mining." (LW51 and LW 52 Extraction Plan)

It is assessed that the most appropriate management option for Palmers Creek IF5 is to collect the surface artefact in compliance with a revised version of the ACHMP that includes the management of Aboriginal Palmers Creek IF5 (Isolated Find) archaeological sites in the Project Area. The artefact will be returned to the Palmers Creek IF5 area following the Artefact collected, not yet returned to Country. Compliant cessation of subsidence remediation works. The artefact will be returned as close as possible to its collection location. A new site card will be provided to OEH identifying the new location.

WWC will revise the WWC ACHMP to include the Aboriginal cultural and archaeological management Revision of the WWC ACHMP commitments made in this report. The revised ACHMP will provide detailed management strategies for all Currently operating under ACHMP, April 2012. ACHMP, Feb 2016 not yet approved. Compliant identified Aboriginal archaeological sites within the WWC mining area including the Project Area.

Environmental Assessment 2014 (LW51 and LW 52) Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Proposed Long walls 51 and 52 Environmental Assessment Monitoring, Remediation, 6.5.5 Licensing and Reporting

If subsidence remediation works are required, it is not considered practical to divert run-off from upstream catchment areas around potential impact areas due to the steepness of the catchment areas and surrounding topography and vegetation. Therefore, any remediation works would need to be managed in-stream. This No stream impacts within the audit period that required remediation works. Not Triggered situation is considered typical of the drainage lines within the existing WWC underground mining area. Where such works are required, appropriate sediment and erosion controls will be implemented to avoid impacts to downstream water quality until such time as the area affected by the work is stabilised.

Where surface mitigation works are required to be undertaken, appropriate erosion and sediment control As per GDP process. measures will be designed and implemented during site works and establishment of vegetation. All surface Compliant mitigation works will be undertaken in consultation with OEH and DRE when within the SSCA and with all works Consent for monitoring and remediation granted by NPWS and OEH for work in the SCA. requiring the consent of OEH. The existing surface water monitoring and watercourse remediation protocols in place for the existing operations at WWC an included in the SMP/Extraction Plan and existing WWC Surface Water Management Plan This was noted, however the audit did not require a finding to be made on this point. Noted will be applied to the Project.

Socio-Economic 6.7.5

OCAL will continue to engage with the community as part of the implementation of the Project. It is currently anticipated that this engagement will include the following; - periodic distribution of a community newsletter; Community Newsletter November 2015, periodicity assessed elsewhere in the audit. - continued operation of a 24 hr community hotline for receipt of community complaints. WWC undertakes to 24 hr contact number available on website. Compliant respond to community complaints promptly following receipt. All complaints are investigated and the results of Community complaints included in AR 2015. the investigation reported to the complainant in a timely manner; and - reporting of all community complaints in the sites DP&I Annual Review as well as on the WWC website.

Summary of Environmental 7 Monitoring and Measurement The measures outlined below that are specific to the mining of LW 51 and LW 52 will be implemented as part of the Project;

LW51 and 52 Extraction Plan and Subsidence Management Plan meets this requirement.

WWU holds a number of licences for undertaking works within the SSCA. These licences include: The Project will include implementation of subsidence management strategies and subsidence monitoring in • one licence granted by the National Parks and Wildlife Service (NPWS) for general Subsidence accordance with the SMP/Extraction Plan that will be prepared for the Project. All relevant works within the subsidence management and monitoring activities (valid for five years from 23 July 2012 to Compliant SSCA will continue to be undertaken in accordance with consents issued by OEH. 22 July 2017); • one licence granted by the NPWS for the use of grouting as a remediation method (valid for life of the operation) (refer to Section 8.0); and • two licences for coal quality drilling activities, which include one licence for five boreholes and one licence for eleven boreholes.

Ecology due diligence inspections will be undertaken for any proposed surface disturbances (eg boreholes, subsidence monitoring lines) and for subsidence remediation works that may impact on ecological values. These Ecology ecological inspections will identify specific ecological values that may be impacted and allow specific strategies Ground Disturbance Permits (GDPs) to minimise impacts to be determined and implemented. Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Compliant Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation As with existing practice at WWC, to reduce the potential for ecological impact resulting from the subsidence remediation works, remediation works be undertaken either using manual techniques or using the smallest practical machinery. This existing monitoring program will be applied to LW 51 and LW 52, with two permanent monitoring plots to Verified in BMR 2014 and BMR 2015. Compliant be established above the long wall extraction area and monitored annually before, during and after mining.

Consistent with the existing approach in place at WWC (as outlined in Commitment 6.4.1 of the WWCCOP EA), in the event that significant impacts on identified ecological values are identified and cannot be adequately No significant impacts identified during the audit period. Not Triggered remediated, WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset Strategy in consultation with OEH and DP&I.

Environmental Assessment 2014 (LW51 and LW 52) Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Proposed Long walls 51 and 52 Environmental Assessment WWC will revise the WWC ACHMP to include the Aboriginal cultural and archaeological management Aboriginal Latest revision of ACHMP available is April 2012. commitments made in this EA. The revised ACHMP will provide detailed management strategies for all identified Cultural Heritage Compliant Aboriginal archaeological sites within the Project Area. The ACHMP includes provisions for undertaking and Archaeology Updated ACHMP has been submitted and approved by OEH, but not by DP&E. archaeological due diligence inspections prior to undertaking certain works associated with mining.

Collection of the Palmers Creek IF5 surface artefact. The artefact will be returned to the Palmers Creek IF5 site area following cessation of subsidence remediation works. The artefact will be returned as close as possible to Collected but not yet returned. Compliant its collection location. A new site card will be provided to OEH identifying the new location.

Monitoring of the scarred tree following subsidence to assess the level of impact (if any) and to employ the most appropriate subsidence mitigation for the ongoing care of the tree. Mitigation options following cessation of subsidence include: - if there area no obvious subsidence impacts to the tree or the soil profile in its surrounds post subsidence re- inspect the tree approximately one month and three months after undermining and if still in god health no further management is required; or Post-subsidence inspection undertaken. No impacts identified. - if there are no obvious subsidence impacts to the tree but the soil profile in its surrounds has cracked, infill the Not Triggered cracks as soon as practicable with imported fill avoiding any damage to the tree. Re-inspect the tree No further points triggered. approximately one month and three months after undermining and if still in good health no further management required; or - if the tree has fallen and/or the tree is dying, with the assistance of a suitably qualified aboriculturalist remove the section of the tree with the scar. Treat the section of the tree removed for its preservation and in consultation with the registered Aboriginal parties determine an appropriate location for its ongoing storage.

Implementation of the subsidence monitoring program to review the potential for any erosion and sedimentation from subsidence cracking, and the potential for sediment to enter the creeks upstream of the No impacts to grinding groove sites have been identified during monitoring or post mining Not Triggered grinding groove sites. Appropriate erosions and sediment controls will be implemented where the potential for inspections. impact exists. Ongoing monitoring by the registered Aboriginal parties and a qualified archaeologist following the cessation of all subsidence impacts to record actual impacts to sites, if any, due to subsidence and identify any required Pre and post-mining inspections undertaken - no impacts noted Compliant management measures. Using clean imported fill, sourced from the closest available location, to repair soil cracking near Aboriginal sites, Not able to be Confirmed at interview, no written evidence available. rather than ripping/dozing. Verified Extend the existing surface water monitoring program to include the Project. This existing program includes parameters such as creek cross-sections, longitudinal profile, geomorphic units, riparian vegetation, erosion or Surface Water accretion, sediment trypa and the amount of exposed bedrock. Monitoring is conducted prior to the Verified in 2015 Annual Review. Compliant commencement of mining, immediately after the first post-mining storm event, three months to six months post mining and 12 months to 18 months post mining. Where surface subsidence mitigation works are required to be undertaken, appropriate erosion and sediment control measures will be designed and implemented during site works and establishment of revegetation. All Application of GDPs Compliant surface mitigation works will be undertaken in consultation with OEH and DRE when within the SSCA. Monitoring for groundwater level and water quality in the two monitoring bores installed in the Palmers Creek Ground Water Monitoring of P4 verified from AR 2015. Compliant alluvium (P4 and GW063752) for the duration of the project. Results for R1 and Q2 included in 2015 Annual Review. Ongoing monitoring of the three monitoring bores in the lower section of the Ryhope Creek alluvium (R1, R5 and The updated groundwater quality monitoring program for LW 51 and LW 52 commenced in Compliant Q2) for the duration of the Project. October 2015. A summary of the groundwater monitoring results is provided in Table 7.7 and Figure 7.5 (AR 2015) Ongoing monitoring of groundwater level in Slattery's bore (P3) (No. 64025), located to the south of the Project Verified in annual Review 2015 (Up to Jan 2016) Compliant Area, for the duration of the Project. In the unlikely event that an unpredicted significant impact occurs to Slattery's bore, OCAL will implement remedial actions in consultation with the owner as required by condition 15 of Schedule 4 of the WWC Project TARP Triggers Noted Approval. Historic heritage due diligence inspections will be undertaken for any proposed surface disturbances (eg. boreholes, subsidence monitoring lines) and for subsidence remediation works that may impact on historic Historic Heritage Noted - no historic heritage Noted heritage values. These inspections will be undertaken in conjunction with Aboriginal archaeology due diligence inspections. In the unlikely event that any presently unknown historic heritage sutes are identified as part of these inspections, these sites will be managed in accordance with the mitigation measures outlined within WWC's Noted - none encountered Not Triggered heritage Management Plan.

Environmental Assessment 2014 (LW51 and LW 52) Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51/52, 46, 44/45, 42/43

Background LW 42/43 (1.1) LW 42/43 (1.1) A subsidence monitoring program for the LWs will be developed and implemented in consultation with the This was noted, however the audit did not require a finding to be made on this point. Noted LW 46 (1.1) Principal Subsidence Engineer – DRE. LW51/52 (1.1) The mining operations will be conducted in a responsible manner, considering the existing and future LW 46 (1.1) environment and the community, while optimising resource recovery in the area in accordance with the Noted Noted principles of ecologically sustainable development. A subsidence monitoring program for the Long wall will be developed and implemented in consultation with Subsidence monitoring program (Stage 1) included in LW 46 Extraction and Subsidence LW 46 (1.1) Compliant the Principal Subsidence Engineer – DRE. Management Plan Management Plans for the built features will be developed with the infrastructure owner/managers for LW 42 and 43 Extraction Plan, including Built Features Management Plan approved by LW 42/43(1.1) Compliant approval by DP&I and DRE prior to impact by the LWs. DP&I 8/4/2014 Incidents and Complaints Management LW51/52 (3.5.2) West Wallsend provides a contact number for the community for complaints or enquiries regarding the LW42/43 (7.1) operations of WWC. The contact details are advertised on the West Wallsend Colliery website and are also Contact number on website and at the entry to the site. Compliant LW46 (7.1) communicated via the distribution of the OCAL community newsletter. LW44/45 (7.1) Environmental Incidents reported in; LW51/52 (3.5.2) All environmental incidents will be investigated to a level commensurate to their risk level in consultation AR 2013, Section 4.0 LW42/43 (7.1) with the OCAL Environment and Community Manager. All subsidence related incidents will be reported to AR 2014, Section 4.0 Compliant LW46 (7.1) relevant stakeholders and annually in the Annual Review. AR 2015, Section 11.0 LW44/45 (7.1) Incident reports and associated communication reviewed. LW51/52 (3.5.2) LW42/43 (7.1) Additionally, reporting of environmental incidents will be undertaken in accordance with Condition 7, LW46 (7.1) Schedule 6 of the Project Approval: LW44/45 (7.1) ‘The Proponent shall notify the Secretary and any other relevant agencies of any incident that has caused, or Sighted notification correspondence and formal reports submitted to EPA and DP&E for Compliant LW51/52 (3.5.2) has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. incidents within audit period. LW42/43 (7.1) For any other incident associated with the project, the Proponent shall notify the Secretary and any other LW46 (7.1) relevant agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of LW44/45 (7.1) the date of the incident, the Proponent shall provide the Secretary and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’ LW51/52 (3.5.2) The written report to relevant stakeholders will include the following details: The date, time and nature of the LW42/43 (7.1) incident; Identify the likely cause of the incident; Description of the response action that has been undertaken As verified in incident reports. Compliant LW46 (7.1) to date; and Description of the proposed measures to address the incident. LW44/45 (7.1) Assessment Against Performance Criteria Assessment against the Project Approval criteria will be undertaken as outlined in the relevant management plans, refer to Section 3.5.1 and Section 4.0. LW51/52 (3.5.3) In the event that progressive assessment against the criteria identifies that subsidence impacts have the No subsidence impacts above predictions occurred during audit period except for LW46. LW44/45 (7.2) potential to exceed the performance criteria in the long term, the following steps will be taken to: Engage a The results from LW46 were used to adapt the predicitons and design for the subsequent Compliant LW42/43 (7.2) subsidence geotechnical consultant to review monitoring results against predictions; Adapt remediation and longwalls and no futher exceedences occurred. LW46 (7.2) management measures to reduce impacts on subsequent long wall; and Report monitoring results and amended management measures to the relevant government agencies and other relevant stakeholders. Irregular Results Protocol In the event of irregular and/or unpredicted monitoring results or impacts associated with long wall mining, as outlined in the Trigger levels of the relevant Management Plan TARPs, the following protocol will be implemented: Relevant only to LW46 and LW51 - Provide notification to landholder and relevant agencies as outlined in the relevant TARP; LW 51/52 (3.5.4) -conduct a preliminary review of the nature of the impact, including: LW 46 EOP Report mentions exceedence, as does AR 2015, but I can't find anything LW 46 (7.3) - any relevant monitoring data; and current mine activities and land use practices; about consultation with government agencies about it. Compliant LW 42/43 (7.3) - commission an investigation into the unforeseen impact to confirm cause and effect and consider LW 44/45 (7.3) relevant options for amelioration of impact(s) as appropriate; LW 51 EOP Report - minor exceedance of the Environmental Performance Measures has - prepare an action plan, including remediation, if appropriate, in consultation with the appropriate occurred during the mining of LW51 regulatory agency and landowner; NOTE:LW 51 exceedence wont be in AR 2015 due to timing of report. - mitigate causal factors where possible; and - implement additional monitoring as necessary to measure the effectiveness of the controls implemented.

Long Wall Extraction Plans Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51/52, 46, 44/45, 42/43 Relevant only to LW46 and LW51

LW 46 EOP Report mentions exceedence, as does AR 2015, but I can't find anything LW 51/52 (3.5.4) about consultation with government agencies about it. The outcomes of the investigations into any irregular and/or unpredicted monitoring results or impacts and LW 46 (7.3) the controls / remediation actions implemented will be undertaken in consultation with the relevant Compliant LW 42/43 (7.3) LW 51 EOP Report - minor exceedance of the Environmental Performance Measures has regulatory agencies, and will be reported in the Annual Review. LW 44/45 (7.3) occurred during the mining of LW51

Sighted presentation to relevant authorities NOTE:LW 51 exceedence wont be in AR 2015 due to timing of report. Groundwater Management Measures and Monitoring Results of groundwater monitoring and this analysis will be reported annually in the WWC Annual Review. LW 51/52 (4.1.4) Additionally, WWC monitor the volume of groundwater extracted from the underground workings via LW11. LW46 (6.4.3.2) This data is also analysed on a quarterly basis to identify any potential increases in groundwater inflows into Groundwater monitoring continues as outlined in Section3.4.1 AR 2013, Section 3.4.1 AR Compliant LW44/45 (6.4.3.1) the underground workings. The TARP in the WMP requires further investigation on the potential causes of the 2014 and 7.2.3 AR 2015. LW42/43 (6.4.3.1) increased groundwater inflow, if extracted groundwater volumes exceed the 100 ML per month or 1000 ML per year. Landscape Feature Management Any remediation works to be undertaken will be undertaken in accordance with WWC’s approved LW 51/52 (4.2.3.1) Noted, verified elsewhere in the audit Compliant remediation procedures (refer to Appendix M and Appendix N). WWC will monitor landscape features following subsidence as per the requirements of the subsidence LW 51/52 (4.2.3.2) monitoring program (refer to Appendix L), with the landscape feature assessments repeated to determine LW 44/45 (6.4.2.2) impacts. Upon completion of the post-mining assessments, the results will be compared in the impact Satisfied by Subsidence Impact Reports and End of Panel Reports prepared for each Long Compliant LW 46 (6.4.2.1) landscape feature register to pre-mining conditions to determine compliance with the landscape Wall and used, where possible, to inform the extraction plan of proceeding LWs. performance criteria, and will be incorporated into the sites subsidence model to inform future subsidence predictions. Biodiversity Impact Assessment

Some impacts to ecological values are predicted due to subsidence and associated remediation works, however, the mining of LW 51 and LW 52 is not predicted to result in a substantial loss of vegetation communities or significant impact on the floristic composition of vegetation communities; fauna species or habitat; or threatened species, EPs and TECs or their habitat. Any such disturbance works will be undertaken LW 51/52 (4.3.2) in accordance with the site ground disturbance process and will involve a pre-clearance due diligence survey Satisfied by GDP Process and due diligence checks triggered. Compliant by a qualified ecologist. Clearing of vegetation will also be undertaken in accordance with the tree felling procedure outlined in the WWC LW 51 and LW 52 Biodiversity Management Plan (refer to Appendix E). Additionally, to minimise the impact on native vegetation and fauna habitats from subsidence remediation activities, a low impact grouting procedure has been developed by WWC and approved by OEH (refer to Appendix N).

Additional activities potentially resulting in clearing of minor quantities of vegetation within the SSCA include subsidence monitoring and remediation, drilling activities and potential construction of new access tracks. LW 44/45 (6.4.1.1) Any such disturbance works will be undertaken in accordance with the site clearance for work procedure and Satisfied by GDP Process and due diligence checks triggered. Compliant LW 46 (6.4.1.1) will involve a pre-clearance due diligence survey by a qualified ecologist. Clearing of vegetation will also be undertaken in accordance with the tree felling procedure outlined in Section 6.2.2 of the WWC Biodiversity Management Plan Threatened Species Management

The WWC operations are not predicted to result in the substantial loss of vegetation communities or the floristic composition of vegetation communities; fauna species or habitat; or threatened species, populations LW 51/52 (4.3.3.2) and TECs or their habitat. However, for activities that involve clearing as a result of the mining of LW 51 and Satisfied by GDP Process and ecological due diligence checks triggered. Compliant LW 52, specific threatened species management actions are detailed below within the LW 51 and LW 52 Biodiversity Management Plan (refer to Appendix E).

In the event that unpredicted, adverse impacts on black-eyed Susan (Tetratheca juncea) and small flower LW 51/52 (4.3.3.2) grevillea (Grevillea parviflora subsp. Parvilfora) are identified during management and monitoring of the EP LW42/43 (6.4.1.3) No unpredicted adverse impacts identified during the audit period. Compliant Application Area, WWC will investigate appropriate remediation and mitigation requirements, in consultation LW 44/45 (6.4.1.3) with the relevant government authorities. WWC will maintain an accurate database for all known records of clumps of black-eyed Susan (Tetratheca LW 44/45 (6.4.1.3) Sighted GIS layer showing locations. juncea), small flower grevillea (Grevillea parviflora subsp. Parvilfora) and all other threatened flora species on Compliant LW 46 (6.4.1.1) Used as part of GDP process. site. This database will then be utilised for any proposed future works LW 42/43 (6.4.1.3) targeted surveys for this species will be undertaken between the months of July and December, at the LW 44/45 (6.4.1.3) As per Biodiversity Monitoring Program Compliant nominated monitoring locations to identify any previously undiscovered clumps of the Black-eyed Susan LW 46 (6.4.1.1) LW 42/43 (6.4.1.2) In the event that unpredicted, adverse impacts on this EEC are identified during management and monitoring EEC and GDE Management LW 44/45 (6.4.1.2) of the continued underground mining area, WWC will investigate appropriate remediation and mitigation No unpredicted adverse impacts identified during the audit period. Not Triggered LW 46 (6.4.1.1) requirements, in consultation with the relevant government authorities.

Long Wall Extraction Plans Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51/52, 46, 44/45, 42/43 Biodiversity Monitoring WWC has established a detailed biodiversity monitoring program to collect ecological data on the pre and post mining conditions above each long wall panel (refer to Figure 6). Sites have been located in areas where subsidence impacts are predicted to be greatest, and will be LW 51/52 (4.3.3.3) monitored at least two years prior to impact (where possible). Targeted monitoring sites have also been LW 46 (6.4.1.1) placed within the EECs and areas known to contain Black-eyed Susan and small flower grevillea. Monitoring As per Biodiversity Monitoring Program. Compliant LW44/45 (6.4.1.4) sites will be removed from the program once it can be demonstrated that subsidence impacts have resulted in no discernible impact on the vegetation and fauna characteristics of the sites, at least two years after mining. As required by the Project Approval and as detailed within the LW 51 and LW 52 EA (Umwelt, 2014) WWC has installed additional biodiversity monitoring points within LW 51 and LW 52, including a small flower grevillea location at the southern extent of LW 51.

Sites have been located in areas where subsidence impacts are predicted to be greatest, and will be monitored at least two years prior to impact (where possible). Targeted monitoring sites have also been LW 42/43 (6.4.1.4) placed within the EECs and areas known to contain Black-eyed Susan. Monitoring sites will be removed from As per Biodiversity Monitoring Program. Compliant LW 46 (6.4.1.1) the program once it can be demonstrated that subsidence impacts have resulted in no discernible impact on the vegetation and fauna characteristics of the sites, at least two years after mining.

Historic Heritage Management

During the development of the WWCOP EA and the WWC Aboriginal Cultural Heritage Management Plan, a LW 42/43 (6.5.1.1) range of management and monitoring measures were agreed to with the Registered Aboriginal Parties. WWC as per ACHMP. Compliant will manage the sites in accordance with the management measures ACHMP

If during the course of works any previously unknown historical archaeological material or heritage LW 51/52 (4.4.2.1) sites/items are uncovered or identified, all work in the area of the item(s) shall cease immediately and a LW 42/43 (6.5.2.1) qualified heritage consultant/archaeologist consulted. If the archaeologist considers the material uncovered No previously unknown historical archaeological material or heritage sites/items LW 44/45 (6.5.2.1) Not Triggered constitutes an archaeological ‘relic’ or a heritage item, the Heritage Branch, OEH will be consulted, in uncovered or identified during the audit period. LW 45 (6.5.1.2) accordance with Section 146 of the Heritage Act 1977 (NSW), to determine an appropriate course of action LW 46 (6.5.1.2) prior to the recommencement of work in the area of the item.

If during the course of works, should a previously unknown Aboriginal archaeological site be located within LW 51/52 (4.4.2.1) any part of the subsidence affectation area, WWC will inform the Aboriginal Cultural Heritage Management LW 42/43 (6.5.2.1) Committee (ACHMC) members who will visit the site to assess its Aboriginal cultural value and archaeological No previously unknown Aboriginal archaeological site has been located within any part LW 44/45 (6.5.2.1) Not Triggered significance (refer to Appendix H). If the site is within an area proposed for remediation works, all works in of the subsidence affectation area during the audit period. LW 45 (6.5.1.2) the vicinity of the site will cease until such time as appropriate management has been discussed and LW 46 (6.5.1.2) endorsed by the ACHMC, the suitably qualified archaeologist and OEH (refer to Appendix H).

In the event that a burial site or human skeletal remains are exposed in any area subject to ground surface cracking or subsidence remediation works, the procedure below is to be implemented in accordance with the Policy Directive – Exhumation of Human Remains (NSW Department of Health 2008), Skeletal Remains – Guidelines for the Management of Human Skeletal Remains under the Heritage Act 1977 (NSW Heritage Office 1998) and the Aboriginal Cultural Heritage Standards and Guidelines Kit (NPWS 1997): LW 51/52 (4.4.2.1) - as soon as remains are exposed, work is to halt immediately to allow assessment and management; LW 42/43 (6.5.2.1) - contact local police, OEH and the Heritage Branch; No burial site or human skeletal remains have been exposed in any area subject to LW 44/45 (6.5.2.1) Not Triggered - a physical or forensic anthropologist should inspect the remains in situ, and make a determination of ground surface cracking or subsidence remediation works during the audit period. LW 45 (6.5.1.2) ancestry (Aboriginal or non-Aboriginal) and antiquity (pre-contact, historic or forensic); LW 46 (6.5.1.2) - if the remains are identified as forensic the area is deemed as a crime scene; or - if the remains are identified as Aboriginal, the site is to be secured and the OEH and all registered Aboriginal parties are to be notified in writing; or - if the remains are non-Aboriginal (historical) remains, the site is to be secured and the Heritage Branch is to be contacted.

LW 51/52 (4.4.2.1) If any additional potential impacts or deterioration to the identified heritage items are identified, other than LW 42/43 (6.5.2.1) those discussed, additional assessment may be required. In the event that historical heritage items are No historic heritage items, apart from those of Aboriginal Cultural Heritage value, have LW 44/45 (6.5.2.1) Compliant identified within the subsidence affectation area of the LW, OCAL will consult with DP&E to determine an been identified in the Project Area. LW 45 (6.5.1.2) appropriate management strategy. LW 46 (6.5.1.2)

Long Wall Extraction Plans Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51/52, 46, 44/45, 42/43 The sites listed in Table 9 below will be salvaged by WWC in accordance with the ACHMP prior to the mining LW (4.3.1.1) of LW 46.

Verified as salvaged from OCAL Heritage Register during site visit. Compliant LW (4.3.1.1) (Table 9)

Summary of Environmental Management and Monitoring

LW 51/52 (4.6)

This was noted,The monitoring strategies are encompassed by the Subsidence Compliant Monitoring Program(s).

Proposed Subsidence Survey Monitoring Program To monitor and assess the potential subsidence impacts on the identified surface, natural and built features, LW 51/52 (5.2) the existing WWC Subsidence Monitoring Program (Appendix L) will be updated and implemented for the Satisfied by LW 51 and 52 Subsidence Monitoring Program (WWC SD PLN 0151) Compliant mining of LW 51 and LW 52 The monitoring program will involve the following: - the installation of subsidence survey points to monitor potential subsidence impacts on the identified surface features; LW 51/52 (5.2) - conducting visual inspections within the AP area to assess potential subsidence impacts and to identify any Satisfied by LW 51 and 52 Subsidence Monitoring Program (WWC SD PLN 0151) Compliant potential remediation that may be required; - installation of monitoring for potential sub-surface impacts on groundwater and post mining aerial photography interpretation.

The results of the monitoring program will be communicated to the respective stakeholders in accordance LW 51/52 (5.2) Sighted communication of monitoring results to relevant stakeholders. Compliant with the Extraction Plan and used to refine the ongoing management of subsidence.

Long Wall Extraction Plans Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51/52, 46, 44/45, 42/43 External Reporting

A summary of monitoring results will be provided in the WWC Annual Review. The following information will be reported in the Annual Review in accordance with Condition 4 of Schedule 6 of the Project Approval: By the end of March each year (or other such timing as agreed by the Director-General), the WWC shall submit a review of the environmental performance of the project to the satisfaction of the Director-General. This review must: describe the works (including any rehabilitation) carried out in the past calendar year, and the works proposed to be carried out over the current calendar year; include a comprehensive review of the LW 51/52 (6.2.1) monitoring results and complaints records of the project over the past calendar year, which includes a Satisfied by Annual Reviews 2013, 2014 and 2015. Compliant LW 46 (8.1) comparison of these results against the: relevant statutory requirements, limits or performance measures/criteria; monitoring results of previous years; and relevant predictions in the EA; identify any non- compliance over the past calendar year, and describe what actions were (or are being) taken to ensure compliance; identify any trends in the monitoring data over the life of the project; identify any discrepancies between the predicted and actual impacts of the project, and analyse the potential cause of any significant discrepancies; and describe what measures will be implemented over the current calendar year to improve the environmental performance of the project.

In addition, any significant findings regarding the implementation of any management plan will be reported in LW 51/52 (6.2.1) the Annual Review. The Annual Review will also document complaints relating to the performance, As contained in Annual Reviews 2013, 2014 and 2015. Compliant LW 46 (8.1) maintenance and/or failure of any management system. An End of Panel Report will also be prepared for each long wall and submitted to DRE. The End of Panel Satisfied by LW42 Subsidence Review, LW43 Subsidence Review, LW44 End of Panel LW 46 (8.1) Report will also include a summary of the monitoring results and remediation activities completed in Report, LW45 End of Panel Report, LW46 Subsidence Review and LW51 End of Panel Compliant accordance with this plan. Report (DRAFT) Environmental Incidents reported in; AR 2013, Section 4.0 LW 51/52 (6.2.1) Subsidence related incidents (subsidence impacts greater than predictions) will be reported in accordance AR 2014, Section 4.0 Compliant LW 46 (8.1) with Section 7.1. AR 2015, Section 11.0 Reviewed Incident reports and associated communication documents and found compliance with this requirement.

WWC is currently establishing an Independent Review Committee (IRC) in consultation with the relevant LW 42/43 (6.2.2.2) government agencies to monitor the progress of mining in the Diega Creek catchment. The committee will IRC established, meeting minutes sighted. Compliant undertake the required monitoring review prior to the extraction of LW42.

Review of the Extraction Plan and Environmental Management Plans Ongoing monitoring and review on the performance and implementation of this Plan will be undertaken in accordance with WWC Environmental Management Strategy. In accordance with Condition 5 of Schedule 6, West Wallsend shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Secretary, within 3 months of the submission of: LW 51/52 (6.3) Sighted Management Plan Revision Notification letter submitted to DP&E in accordance (a) the submission of an annual review under condition 4 above; Compliant LW 46 (8.2) with this condition for 2013, 2014 and 2015. (b) the submission of an incident report under condition 7 below; (c) the submission of an audit report under condition 9 below; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), the Proponent shall review and, if necessary revise the strategies, plans and programs required under this approval to the satisfaction of the Secretary The Environment and Community Manager (or delegate) will review and if necessary, revise this plan and resubmit to DP&E every year or earlier if required. Any changes made to the plan as a result of the review will LW 51/52 (6.3) be made in consultation with DP&E and DRE. A copy of the revised plan will be supplied to the Secretary of Current versions of extraction plans available on WWC website. Compliant LW 46 (8.2) DP&E for approval. The EP will reflect changes in requirements, technology and operational procedures. Updated versions of the approved EP will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/). Adaptive Management In the event that unpredicted, adverse impacts are identified during management and monitoring of the LW 51/52 (6.4) continued underground mining area, West Wallsend will respond to the issues identified and engage No unpredicted adverse impacts identified during management and monitoring. Compliant LW 46 (8.3) appropriate experts where required.

Example - LW43 had large subsidence impact, installed temporary fencing and employed LW 51/52 (6.4) West Wallsend will investigate all appropriate remediation and mitigation requirements, in consultation with security guard, geotechnical engineer assessment, ACH groups and ecological due Compliant LW 46 (8.3) the relevant government authorities. diligence. All remediation is conducted in consultation with OEH - NPWS and for technical difficulties, the grouting incident shows consultation with DP&E, DRE, OEH and the EPA.

Long Wall Extraction Plans Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51/52, 46, 44/45, 42/43 Impact Assessment Based on Increased Subsidence LW 42/43 (6.3) Prior to the extraction of each long wall block, West Wallsend Colliery management develops a subsidence As per LW 42 and LW 43 Extraction and Subsidence Management Plan, LW 45 Subsidence LW 44/45 (6.3) monitoring program (refer to appendix 13) with the relevant stakeholders and DRE that will provide adequate Compliant Monitoring Program, LW 46 Extraction and Subsidence Management Plan. LW 46 (6.3) information for implementing appropriate subsidence impact management plans. Flora and Fauna Monitoring

Surface disturbance will be limited to minor clearing required for subsidence monitoring and remediation to LW 42/43 (6.4.1.1) Satisfied by GDP process. Compliant be undertaken in accordance the WWC PA and in consultation with OEH (NPWS).

WWC has developed a detailed channel stability monitoring plan for the LWs as shown on Figure 11. The purpose of the monitoring program is to assess changes in the morphology, sedimentology and hydrology over the life of the mine, and includes the following: visual assessments of channel stability, stream flows and LW 42/43 (6.4.3.1) stream health; detailed survey profiles to assess changes in gradient; and an assessment of potential Surface Water Courses Sighted completed Geomorphic Monitoring and Inspection Form for Point 6 (LW 46). Compliant LW 46 (6.4.3.1) mitigation works required for sections of creeks predicted to be impacted by mining (refer to Appendix 6 for further details on in-stream works); and This monitoring will be completed prior to impact, after the first storm event following mining and 3-6 months and 12-18 months post mining.

Additionally, WWC has committed to remediating subsidence cracking within surface watercourses where LW 42/43 (6.4.3.1) required to limit the potential ingress of surface run-off into the underground mining operations. These No stream impacts within the audit period that required remediation works. Not Triggered LW 46 (6.4.3.1) remediation activities will be conducted in accordance with the WWC Biodiversity Management Plan and the WWC Land Management Plan The current management plans and monitoring programs for the Services Easement will be updated and Services Easement LW 46 (6.5.2) LW 46 did not undermine any of the services due to finishing up short. Not Triggered submitted to DP&E and DRE for approval prior to impact of LW 46 on the Services Easement.

RMS will also be engaging an expert to provide advice and help develop the LW 46 RMS Management Plan M1 Motorway LW 46 (6.5.3) from an RMS perspective. The updated RMS Management Plan for LW 46 will be submitted to DP&E and DRE LW 46 did not undermine any of the services due to finishing up short. Not Triggered for approval prior to any subsidence impact from the long wall.

Wakefield Road will be undermined by LW 46 with the predicted subsidence to be managed utilising the Wakefield Rd LW 46 (6.5.4) management measures detailed in the LW 46 Wakefield Road Management Plan which will be developed LW 46 did not undermine any of the services due to finishing up short. Not Triggered prior to any impacts to Wakefield Road. WWC will implement the monitoring and measurement measures described in Wakefield Road Public Safety LW 46 did not undermine any of the services due to finishing up short. Not Triggered Management Plan (WWC SD PLN 0124) so public safety and the roads serviceability is maintained. These subsidence predictions are likely to result in cracking on access tracks. These impacts will be remediated by WWC upon identification and will be managed through the implementation of: Tracks and Fire Trails LW 46 (6.5.5) - WWC Land Management Plan (WWC SD PLN 0119); these plans reviewed separately - WWC Public Safety Management Plan (WWC SD PLN 0124); and - WWC Subsidence Remediation Safe Work Procedure (WWC SD PRO 0053) In the event that a survey control mark is impacted by extraction of LW 46 at WWC, the mark will be re- Survey Control Marks LW 46 (6.5.6) No survey control mark impacted by LW 46. Not Triggered surveyed in consultation with LPMA. Environmental Incidents reported in; AR 2013, Section 4.0 All environmental incidents will be investigated to a level commensurate to their risk level in consultation AR 2014, Section 4.0 Incidents and Complaints LW 46 (7.1) with the OCAL Environment and Community Manager. All subsidence related incidents will be reported to Compliant AR 2015, Section 11.0 relevant stakeholders and annually in the Annual Review. Incident reorts and associated communication were also reviewed and found compliant with this requirement.

Additionally, reporting of environmental incidents will be undertaken in accordance with Condition 7, Schedule 6 of the Project Approval:

‘The Proponent shall notify the Director-General and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. For any other incident associated with the project, the Proponent shall notify the Director- Sighted notification correspondence and formal reports submitted to EPA, DRE, OEH and General and any other relevant agencies as soon as practicable after the Proponent becomes aware of the Compliant DP&E for incidents within audit period. incident. Within 7 days of the date of the incident, the Proponent shall provide the Director-General and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’

The written report to relevant stakeholders will include the following details: The date, time and nature of the incident; Identify the likely cause of the incident; Description of the response action that has been undertaken to date; and Description of the proposed measures to address the incident.

Long Wall Extraction Plans Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51/52, 46, 44/45, 42/43 Assessment against the Project Approval criteria will be undertaken as outlined in the relevant management plans. In the event that progressive assessment against the criteria identifies that subsidence impacts have the Assessment Against potential to exceed the performance criteria in the long term, the following steps will be taken: LW 46 (7.2) No exceedences identified from progressive assessment during the audit period. Compliant Performance Criteria - Engage subsidence geotechnical consultant to review monitoring results against predictions; - Adapt remediation and management measures to reduce impacts on subsequent long wall; and - Report monitoring results and amended management measures to the relevant government agencies and other relevant stakeholders.

In the event of irregular and/or unpredicted monitoring results or impacts associated with long wall mining, as outlined in the Trigger levels of the relevant Management Plan TARPs, the following protocol will be implemented: - Provide notification to landholder and relevant agencies as outlined in the relevant TARP; - conduct a preliminary review of the nature of the impact, including: Surface impacts of LW 46 are not significant enough to warrant extensive remediation. - any relevant monitoring data; and - current mine activities and land use practices; "It is noted that only minor cracking (< 100 mm) occurred in the zone of higher - commission an investigation into the unforeseen impact to confirm cause and effect and consider relevant subsidence above LW46, and observed impacts did not exceed the predicted crack Irregular Results Protocol LW 46 (7.3) options for amelioration of impact(s) as appropriate; Not Triggered widths of estimated performance indicators in Table 1 of the PA Conditions where - prepare an action plan, including remediation, if appropriate, in consultation with the appropriate applicable." (LW 46 Subsidence Review, DGS 2016) regulatory agency and landowner; - mitigate causal factors where possible; and - implement additional monitoring as necessary to measure the effectiveness of the controls implemented.

The outcomes of the investigations into any irregular and/or unpredicted monitoring results or impacts and the controls / remediation actions implemented will be undertaken in consultation with OEH, DP&E and DRE, and will be reported in the Annual Review.

Long Wall Extraction Plans Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

Coal Quality Drilling Activities 2.1.3

Prior to the commencement of any coal quality drilling activities undertaken outside the SSCA, due diligence 2.1.3 No coal drilling activities undertaken during audit period. Not Triggered assessments will be undertaken to determine the potential environmental impacts.

No exploration during audit period. Following the completion of exploration activities, boreholes will be decommissioned in accordance with DRE LW 51 Extensometer only relevant site decommissioned and rehabilitated in audit period - 2.1.3 requirements (e.g. EDG01 - Borehole Sealing Requirements on Land). All disturbed areas including access Compliant rehabilitation site inspected during audit visit. tracks, drill pads and survey lines will be rehabilitated in accordance with site procedures.

Mining Method and Resource 2.1.4 Description

Underground mining at WWC will be undertaken in the continued underground mining area (refer to Figure 2.1.4 Noted 1.1).

Construction Activities 2.2

Minor construction activities that will be required throughout the REMP period will be undertaken in 2.2 No construction activities requiring approval undertaken during audit period. Not Triggered accordance with any relevant approvals and legislative requirements.

3. Environmental Management

Environmental Management at WWC is undertaken in accordance with the OCAL Environmental Management System (EMS) and the WWC Environmental Management Plan (EMP). Documents such as management plans and procedures contained within the WWC EMP are regularly reviewed and updated in 3 Assessed throughout the audit through auditing of individual management plans. Compliant accordance with regulatory requirements, changes in operations or as required by review of the WWC Environment and Community Operational Risk Assessment. New management plans and procedures are developed for the operation as required.

Air Quality 3.1 The key management controls undertaken at WWC in order to minimise the dust emissions from the site [See Air Qual MP for further detial] include: The use of manually-operated water sprays for unpaved areas and paved ring road at the WWC pit-top, used sighted Compliant by trucks transporting coal to MCPP via the private haul road; Periodic sweeping of the haul road and other paved areas including the car park area to reduce road surface Not able to be Site not operating at the time of the audit so this was not able to be verified. silt loadings. Verified 3.1 Not able to be Use of loading flaps during truck loading at the surface bin to restrict dust; and Flaps were I place but the audit team were not able to observe them in use. Verified Full or partial enclosure of surface coal conveyors. sighted as partially enclosed Compliant An air quality monitoring network for all OCAL sites is currently in operation. The results obtained from the AR 2013, Section 3.2 locations specific to WWC will be reported in the WWC Annual Review, in accordance with Condition 4 of AR 2014, Section 3.2 Compliant Schedule 6 of the Project Approval. AR 2015, Section 6.2 Water Quality 3.2 Water quality at WWC is managed through two management plans as required by the Project Approval. The 3.2 two plans are the WWC Water Management Plan (WMP) and the WWC Surface Water Management Plan This was noted, however the audit did not require a finding to be made on this point. Noted (SWMP). Surface Water 3.2.1

- An exceedance of TSS value at EPA Point 2 was recorded during a rain event between 16/11/2013 and 18/11/2013.

- Overtopping of dam wall spillway (with associated seepage) and exceedance of total suspended solids limit at EPA Point 2 during heavy rainfall event on 24/4/2014. WWC is required to comply with discharge limits for both quality and quantity from the WWC pit-top area as 3.2.1 described in EPL 1360. Discharge limits apply to the WWC pit-top area through discharge of surface water via Not Compliant E 1 Medium - Two surface water dams at West Wallsend Colliery (WWC), known as the Bottom Dam and the EPA Point 2 at Burkes Creek. North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015.

- An overtopping of North-East Dam resulted in a failure to monitor the pollutant concentration from EPA Point 2 following rainfall on 6/1/2016.

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

To prevent inundation of the WWC underground workings, water is pumped to a large goaf area underground which provides for the effective settlement of particles. Water is then pumped to the surface via the Long 3.2.1 wall 11 borehole facility. Presently, mine water that is pumped to the surface is piped to Westside Mine, Noted where it is discharged to Cockle Creek via the Westside EPL. This situation is proposed to continue for the REMP term. The majority of surface water generated at the WWC pit-top is diverted into the sediment control dams (refer 3.2.1 Observed during site inspection. Compliant to Figure 3.1) for treatment, prior to being discharged via EPA Point 2. EPA Point 2 is shown on Figure 3.1. In addition to these components, water is also managed via an existing separate water management system 3.2.1 As covered in the WWU Surface Water Management Plan. Compliant at the No. 3 Vent Shaft site (refer to Figure 3.2). In accordance with the WWCCOP EA, during the construction of the MSF, all works and erosion and sediment controls will be inspected on a regular basis to ensure that all required controls are in place and effective. 3.2.1 MSF not constructed. Not Triggered Following the completion of construction works, the work area will be inspected in accordance with the WWC's current inspection program. Groundwater 3.2.2 In the unlikely event that the WWC operations result in impact on groundwater aquifers in the region, the Impacts on Groundwater TARP contained in LW42 and 43 Water Management Plan, LW46 Water 3.2.2 WWC WMP provides Trigger Action Response Plans (TARPs) to respond to identified potential groundwater Compliant Management Plan, LW51 and LW52 Water Management Plan. impact sections. Erosion and Sedimentation 3.2.3

All runoff from disturbed areas at the WWC pit-top area is collected and treated within the water management system (refer to Figure 3.1). Runoff from the coal stockpiles at WWC is directed into sediment 3.2.3 basins/sumps before flowing into the mine water management system for further treatment by flocculation Observed during site visit. Compliant prior to discharge. The sediment sumps and sumps are cleaned out regularly to maintain sufficient capacity in the event of a storm. This system is managed through inspections.

During the REMP term, where ground disturbance is necessary at the WWC surface facilities, appropriate soil erosion and sedimentation controls will be implemented and maintained in accordance with the OCAL 3.2.3 Pit-Top surface dam upgrade undertaken in September 2014 - GDP process and approval sighted. Compliant Clearance for Work process. The process is required to be undertaken prior to any ground disturbance works by or on behalf of OCAL operations.

The process provides for the assessment of impacts of proposed activities and details the necessary controls for the works. Any erosion and sediment controls implemented for works at WWC surface facilities will be 3.2.3 Pit-Top surface dam upgrade undertaken in September 2014 - GDP process and approval sighted. Compliant maintained until the area is rehabilitated and deemed to no longer be required through inspections of the works area. As outlined in the WMC WMP, remediation works will be undertaken to rehabilitate the impact of secondary 3.2.3 workings on specific streams in the continued underground mining area, this may take the form of specific Channel stability monitoring showed no in-stream impacts, therefore no works required. Not Triggered erosion and sediment control measures within streams.

Contaminated Land 3.3 3.3 The potential for land contamination to occur at WWC is minimised through: The appropriate handling of materials; Included in Site Familiarisation Training Immediate clean-up of spills; Included in Site Familiarisation Training Bunds surrounding storage and handling areas for hazardous materials; Minor instances of unbunded oils viewed during site inspection, generally compliant Compliant Regular environmental inspections; Completed inspection forms sighted during audit visit. Training of staff in the handling and management of hazardous materials; and Included in Site Familiarisation Training Training of staff in emergency spill response. Included in Site Familiarisation Training Ecology 3.5

Works to be undertaken within buffer land owned by WWC will be managed in accordance with the OCAL 3.5 Biodiversity and Land Management Plan. Works undertaken within these areas will be subject to the Addressed in BMP and LMP review Noted Clearance for Work process, where required (refer to Section 3.2.3).

The WWC BMP provides for the management of potential impacts of mining on aquatic and terrestrial flora 3.5 and fauna, with particular focus on threatened species. The BMP provides specific controls for any works to Noted and assessed in audit of Biodiversity Management Plan. Noted be undertaken in the continued underground mining area, including: Completion of the OCAL Clearance for Work process prior to any works that require ground disturbance or Noted and assessed in audit of Biodiversity Management Plan. Noted vegetation clearance;

Completion of due diligence assessments for the clearing of previously undisturbed vegetation; Included in Site Familiarisation Training - directs GDP to occur Compliant

Noted and assessed in audit of Biodiversity Management Plan. Note trees are avaoided where Implementation of a tree felling procedure prior to the clearance of any woody vegetation; and Noted ever possible (see GDPs)

Undertaking subsidence remediation and stream remediation works in a manner that minimises impacts on All remediation undertaken in accordance with a GDP, Ecological Due Diligence Assessment and Compliant flora in accordance with requirements of the BMP. Subsidence Remediation Scope and Hazard Checklist all completed and approved by OEH/NPWS.

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

Works for the proposed MSF will be undertaken in a previously disturbed area which is currently dominated 3.5 MSF not constructed. Not Triggered by weed species, in particular lantana. Flora 3.5.1

An extensive ecological monitoring program has been developed at WWC and will be updated as mining Monitoring specifications in Biodiversity Monitoring Plan. 3.5.1 progresses. The monitoring program allows for at least two years of monitoring pre and post mining to Compliant identify any potential impacts to ecological features as a result of subsidence impacts. Biodiversity Monitoring Reports 2013, 2014 2015

Fauna 3.5.2

Potential impacts on threatened fauna species will be managed in accordance with the WWC Extraction Plan 3.5.2 and the BMP for the continued underground mining area. Works undertaken at WWC surface facilities will Noted and assessed in audit of Biodiversity Management Plans and Extraction Plans. Noted also be undertaken in accordance with the WWC BMP.

Weeds and Pests 3.6

Weed and pest management works undertaken at WWC surface facilities will be undertaken in accordance Weed and pest inspections form part of monthly environmental inspection protocols. 3.6 with the OCAL Biodiversity and Land Management Plan. This includes regular inspections for weed Compliant Kleinfelder develops weed action plan for site and buffer areas on an annual basis. infestations and feral animals, and targeted weed control works by experienced personnel. The presence of introduced species within rehabilitated areas (e.g. exploration drilling sites) within the 3.6 continued underground mining area will be monitored. If required, WWC will undertake weed control works Sighted in post remediation monitoring inspection forms completed during site inspections. Compliant in these areas in consultation with OEH. Blasting 3.7 When required, minor blasting is carried out underground at the long wall face to fracture rock and allow for 3.7 the progression of mining activities. There is no surface blasting required to be undertaken during the REMP This was noted, however the audit did not require a finding to be made on this point. Noted term. Noise Management 3.8

WMC has employed and will continue to employ, various management measures to mitigate noise impacts from its operation. These include the coal loading bin, which maintains a coal plug in the base of the bin Observed during site inspection though the effects could only be determined through the 3.8 Compliant which prevents coal from hitting the sides of the bin, thereby reducing noise. In addition, noise mitigation monitoring program. measures such as baffles have been installed on the ventilation infrastructure. Under the Project Approval and in accordance with the NMP, noise will be monitored quarterly, with results 3.8 Noise Monitoring results reported in Annual Review 2015, 2014 and 2013 Compliant reported in the WMC Annual Review. Additionally, WWC has committed to undertaking further noise reduction measures to achieve an operational 3.8 noise reduction of 10dB(A) at the coal breaker. These works are scheduled to be undertaken during late 2012. Section 3.9.3 Annual Review 2013 Compliant Details regarding these works will be reported in the WWC Annual Review.

Visual Lighting 3.9 A tree screen planting was planted during 2006 along the heavy vehicle entrance to WWC. Tree screening will 3.9 Observed during site inspection Compliant be maintained for the life of the project. Bushfire 3.13 OCAL is currently in the process of developing a Bushfire Management Plan for its entire landholdings in 3.13 OCAL Bushfire Management Plan, Eco Logical Australia, 2012 Compliant consultation with the NSW Rural Fire Service. Mine Subsidence 3.14 LW 42 Post Mining Subsidence Review, Ditton Geotechnical Services, 2015 LW 43 Post Mining Subsidence Review, Ditton Geotechnical Services, 2015 LW 44 Post Mining Subsidence Review, Ditton Geotechnical Services, 2014 LW 45 Post Mining Subsidence Review, Ditton Geotechnical Services, 2014 The results of subsidence monitoring and remediation will be provided in future WWC Annual Reviews and LW 46 Post Mining Subsidence Review, Ditton Geotechnical Services, 2016 3.14 Compliant End of Panel Reports. Annual Review 2013, Section 3.13 Annual Review 2014, Section 3.13 Annual Review 2015, Section 6.6

Sewage Treatment and Disposal 3.15.1.1

Sewage and bathhouse wastewater generated at WWC is treated on-site through the biological Sewage 3.15.1.1 Treatment Plant (STP). Treated effluent is pumped approximately 3.2 kilometres via a dedicated pipeline to Observed during site inspection Compliant the maturation ponds at the MCPP and subsequently used as process water.

Fuel Containment

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

The bulk diesel storage facility has a maximum storage capacity of 55,000 litres and is bunded. The bulk 3.15.1.2 facility transfers diesel via a pipeline to a smaller storage tank located in the underground workings This was noted, however the audit did not require a finding to be made on this point. Noted approximately 180 metres below the surface. Oil and Grease Containment and 3.15.1.3 Disposal All oils, greases and detergents stored on-site are contained within bunded, covered concrete areas. There are approximately 10,000 litres of oils and greases stored on the site at any one time. There are Minor instances of unbunded oils viewed during site inspection thorugh generally compliant, approximately 10,000 litres of oils and greases stored on the site at any one time. The workshop wash down 3.15.1.3 review of surface storage is recommended due to the changes in management of the surface Compliant area is located so that wash down water drains through an oil containment pit, which is served by an areas of the site. oil/water separator. The waste oil captured by the oil/water separator is collected by a licensed waste contractor for recycling on a regular basis.

The waste management program at WWC involves the collection and disposal of waste oil, waste coolant, oil drums, oil filters, and oily rags. A licensed waste contractor is engaged to dispose of wastes in accordance 3.15.1.3 JR Richards waste contractor engaged for collection and disposal. Compliant with the waste provisions of the Protection of the Environment Operations Act 1997 (POEO Act) and the Protection of the Environment Operations (Waste) Regulation 2005.

Public Safety 3.15.2 WWC is committed to undertaking its operations in a manner which minimises the risks to the public. Safety 3.15.2 management actions undertaken include: Development of management plans for each piece of infrastructure potentially impacted by subsidence from Built Features Management Plans and Individual MP for each extraction plan WWC mining activities; Regular monitoring and inspections in accordance with the WWC Public Safety Management Plan; Built Features Management Plans and Individual MP for each extraction plan Compliant 24 hour monitoring during undermining of the Great North Walk; and Inspection forms sited. Security fencing around operational areas. Observed during site inspection

WWC has developed a safety management system that outlines mine safety issues and how they are managed. In addition, all visitors and contractors are required to sign in and out when they enter and leave 3.15.2 Outside audit scope Noted the site retrospectively, all contractors are required to be inducted to work at the site and all underground visitors are to be accompanied by a mine representative.

Traffic Management 3.15.3

Prior to the commencement of construction works at the approved MSF location, a Traffic Management Plan will be prepared and submitted in accordance with Condition 23 of Schedule 4 of the Project Approval. The 3.15.3 MSF not contracted. Not Triggered Traffic Management Plan will focus on traffic management along Wakefield Road to minimise potential risks associated with the intersection of Wakefield Road and the MSF access road.

Post-Mining Land Use 4.1

In accordance with XCN SD ANN 10.1 Mine Closure (XCN Mine Closure Annexure), a Pre-Feasibility Constraints 4.1 and Opportunities Analysis for Mine Closure is currently being prepared for the OCAL complex to identify potential final land use options for the OCAL land holdings. Closure process ongoing - summary provided in text of audit report. Compliant The outcomes of this study will identify a number of feasible final land use options for the site and assist with the development of detailed completion criteria for the rehabilitation program. Further details regarding the 4.1 outcomes of this study will be incorporated into the detailed closure planning process and future WWC Annual Reviews. Project Approval Rehabilitation 4.2.1 Conditions WWC is required to rehabilitate the site to the satisfaction of the Executive Director - Mineral Resources in Complete relinquishment of the site has not yet occurred - remediation activities have not yet accordance with Condition 27 of Schedule 4 of the Project Approval. In accordance with Condition 27 of commenced - still in planning phase. 4.2.1 Schedule 4 of the Project Approval, rehabilitation is required to be consistent with the objectives outlined in Compliant Section 4.3.1. Under Condition 28 of Schedule 4, WWC are also required to carry out rehabilitation of the site OCAL Complex Closure MOP, 2016 through to finalisation of the site is approved by DRE progressively as soon as reasonably practicable following disturbance. conditionally until October 2016 - Detailed closure plan not yet finalised.

DRE Guidelines 4.2.2

The DRE has several guidelines and policies relevant to mine closure available on their website. These OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016 - 4.2.2 documents will be consulted during the preparation of the detailed closure plan and Decommissioning REMP Compliant Detailed closure plan not yet finalised. which will be submitted to DRE for approval prior to the commencement of closure activities.

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

Environmental Protection 4.2.3 Licence It is likely that the OEH will require that environmental monitoring be continued during active decommissioning works and potentially as part of post mine closure until the site is fully decommissioned and 4.2.3 This was noted, however the audit did not require a finding to be made on this point. Noted rehabilitated. The exact scope of ongoing monitoring will be confirmed with the OEH as part of the development of the detailed mine closure plan.

Rehabilitation Objectives 4.3.1 Additional detail regarding progression of works to achieve the objectives provided in Table 4.1 will be included within the detailed closure planning process which commenced for the operation as of the beginning OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016 - 4.3.1 Compliant of 2012. Detailed closure information will be included within a future Decommissioning and Closure REMP Detailed closure plan not yet finalised. which will be prepared prior to closure. WWC has commenced the process of identifying the most appropriate land uses through the Pre-Feasibility 4.3.1 Constraints and Opportunities Analysis. The outcomes of this analysis will be reported in the WWC Annual Closure process ongoing - summary provided in text of audit report Compliant Review and will be incorporated into further detailed mine closure planning activities. Following the cessation of mining activities, the land above the continued underground mining area will 4.3.1 This was noted, however the audit did not require a finding to be made on this point. Noted remain as the SSCA. Planned Mine Closure Domains 4.3.2

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the conservation area.

It is expected that as part of the mine closure process some minor rehabilitation may be required to be In the background numerous trials where undertaken and methods assessed to remediation ie undertaken on the surface to remediate potential subsidence cracking and associated impacts in the urea-silicate, bark blower. See Subsidence Remediation Investigation Report, SLR 2016. 4.3.2 Compliant continued underground mining area. However, subsidence remediation works will be undertaken progressively throughout the life of WWC. Golder were commissioned to look at best contractors to undertake the work, see WWC Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

Preliminary Closure and 4.3.3 Rehabilitation Criteria Completion criteria, determined in consultation with the relevant agencies, will be utilised to demonstrate OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016 - 4.3.3 achievement of rehabilitation objectives. The achievement of the completion criteria will be monitored and Compliant Detailed closure plan not yet finalised. reported within relevant internal and external reports including the Annual Review.

The preliminary closure and rehabilitation criteria developed for WWC are outlined in Table 4.2. Refinement Noted - however these rehabilitation criteria are superseded by the OCAL Complex Closure MOP, 4.3.3 Compliant of closure criteria will be undertaken during the detailed mine closure planning process. 2016.

Rehabilitation Activities 4.4

As WWC has approval to operate until December 2021, it is unlikely that decommissioning and rehabilitation of surface facilities will be undertaken during the REMP term. Prior to closure, further information regarding OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016 - 4.4 Compliant rehabilitation and revegetation monitoring of areas proposed for decommissioning will be provided within a Detailed closure plan not yet finalised. Decommissioning and Closure REMP.

Prior to closure, further information regarding rehabilitation and revegetation monitoring of areas proposed OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016 - 4.4 Compliant for decommissioning will be provided within a Decommissioning and Closure REMP. Detailed closure plan not yet finalised.

The majority of WWC land to be rehabilitated is currently being utilised as operational areas, which will be 4.4 This was noted, however the audit did not require a finding to be made on this point. Compliant rehabilitated upon closure of WWC (for a list of surface facilities for WWC, refer to Section 1.3).

Minor rehabilitation activities will be undertaken to remediate subsidence cracks, coal quality drill sites and any other disturbance activities as soon as practicable. This process will continue for the REMP term, and will 4.4 Remediation undertaken in accordance with Public Safety Management Plan. Compliant be undertaken in accordance with the requirements of the WWC Extraction Plan and its sub-plans (refer to the Section 3.14) for works within the continued underground mining area.

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

Rehabilitation at a number of coal quality drill sites will be undertaken in accordance with WWC procedures LW 51 Extensometer only relevant site decommissioned and rehabilitated in audit period - and DRE guidelines for borehole sealing on land. Rehabilitation works will also be undertaken in accordance rehabilitation site inspected during audit visit. 4.4 with the relevant OEH access licence agreement, for works undertaken within the SSCA. Rehabilitation of drill Compliant sites involves the filling in of excavated sumps, spreading of cleared vegetation around the site and seeding with native tree species.

Disturbance works undertaken within surface facilities sites will be undertaken in accordance with the 4.4 relevant management plans for works in these areas (including the OCAL Biodiversity and Land Management Pit-Top surface dam upgrade undertaken in September 2014 - GDP process and approval sighted. Compliant Plan) and the OCAL Clearance for Work procedure.

Final Rehabilitation outcomes and the strategies to achieve them, as well as the decommissioning plans and OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016 - 4.4 schedule for infrastructure, have been developed conceptually as part of the Conceptual Closure Plan and will Compliant Detailed closure plan not yet finalised. be further detailed within the Decommissioning and Closure REMP.

Scope of Mine Closure 4.4.1 Decommissioning Works Site Services

Electricity services to the underground mine will be removed upon completion of mine sealing at which time the Vent Fans are no longer required. Power to the buildings, including power lines, will be removed prior to 4.4.1 Noted - see closure OCAL Complex Closure MOP, 2016. Not Triggered demolition. Depending upon the outcomes of the final land use study, electricity supply may be retained to the site to support the proposed post mining land use option.

It is envisaged that the 11 kilovolt (kV) power line to the No. 3 Vent Fan site will be removed as part of the 4.4.1 decommissioning of this site; however this will be confirmed as part of the final land use analysis. The same No 3 Vent Fan was not removed during audit period. Not Triggered situation exists for the MSF, with the proposed power line to be removed unless otherwise required.

Buildings and Fixed Plant

All buildings and fixed plan (including conveyors, transfer stations, breaker bins, etc.) will be demolished and removed from the site. Where appropriate, the materials recovered in the demolition will be sold for re-use or recycled. All concrete footings and pads will be broken up and removed and used for filling ventilation 4.4.1 No demolition undertaken during audit period, final land use not determined. Not Triggered shafts, or at other locations deemed appropriate on the WWC site. These locations will be determined based on the final land use and will be selected in consultation with the appropriate government agencies (e.g. DRE).

Provided that it does not pose a constraint to the proposed final land use, there may be circumstances where structures such as footings, underground water pipelines and disconnected power cables may be left in situ. 4.4.1 Such circumstances may include where it is not practical to retrieve the structures or where their removal Final land use not determined. Not Triggered may lead to environmental damage (e.g. erosion or loss of vegetation through clearing). In such circumstances, the location of these remaining structures will be surveyed and recorded on a plan.

Roadways, Car Parks and Rail Lines

If not required by the post mining land use, the bitumen roadways, car parks and hardstand areas around the administration building, stores area and workshop will be ripped up with the waste material being placed in 4.4.1 the drift and shafts and buried. Bitumen will be broken up and removed from the waste material being buried Final land use not determined. Not Triggered at locations deemed appropriate on the WWC site. These locations will be determined based on the final land use and will be selected in consultation the appropriate government agencies (e.g. DRE).

The railway lines on the pit-top area around the store and workshop will be ripped up where appropriate and 4.4.1 Railway lines remained in place during audit period. Not Triggered will be sold for re-use, recycled or disposed of an authorised waste facility.

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

Salvage and Removal of Mine Plant The decision to salvage selected machinery and equipment will be made based on the outcome of an 4.4.1 environmental and safety risk assessment and will be undertaken in consultation with the relevant Currently occurring Compliant stakeholders. Plant and equipment that is salvaged from the mine will be cleaned and temporarily stored at the pit-top prior to removal off site. Prior to storage, all equipment and machinery will be inspected for any actual or 4.4.1 Currently occurring, included in environmental inspections. Compliant potential hydrocarbon or fluid leakages, which will be appropriately contained and treated. Regular inspections will continue whilst the machinery/equipment is stored on site. Hazardous Materials Management Leading up to the cessation of mining activities, hydrocarbon stocks will be depleted and additional stocks only ordered as required. Upon cessation of operations, all remaining hydrocarbons stored in tanks such as Closure recently occurred, significant stocks left on site and will continue to be managed and 4.4.1 diesel, lubricants and soluble oil will be drained and either utilised or disposed of via an authorised Compliant removed from site. contractor. The storage tanks will be removed and depending on their conditions either sold or disposed of appropriately. In the lead up to the cessation of mining activities, stocks of dangerous goods on-site will be depleted, with new stock being purchased only as required. It is envisaged that the majority of dangerous goods remaining Closure recently occurred, significant stocks left on site and will continue to be managed and 4.4.1 Compliant on-site will include gas bottles and cleaning agents, which will be utilised during decommissioning activities or removed from site. disposed of off-site via an authorised waste contractor. Sewage Treatment Infrastructure Following the demolition of all surface buildings, the on-site sewage treatment system will be 4.4.1 decommissioned. The decommissioning of the system will involve the following: The removal and disposal of sewage sludge from the tanks by a licensed waste contractor; The removal of the aeration tanks for either off-site disposal at an authorised landfill or depending on their Not Triggered Not Triggered condition, for re-use at another site; and At least partial removal of the buried effluent pipeline from WWC to the MCPP. It is envisaged that the pipeline will be removed in areas where it may be exposed or where there may be a risk to future exposure as a result of erosion (e.g. creek crossings). Sections of the pipeline may be left where their removal would cause more environmental disturbance than 4.4.1 Noted Noted leaving them in place. Water Management Infrastructure The final design of the water management system will be dependent upon the outcomes of the final land use 4.4.1 study and will be detailed in the closure and decommissioning REMP. However, depending on the chosen final land use, issues that will need to be considered as part of future water management system may include: The removal of the oily water treatment system following the demolition of the workshop and associated facilities; Noted - see closure OCAL Complex Closure MOP, 2016. Not Triggered Removal of excess sediment from the pit-top dams for future use by the subsequent land owner or alternatively filling and shaping of the dams if they are no longer required; Where dams are to be retained, provide that drainage structures are designed to capture runoff from sufficient catchment area so that the dam can be utilised for its intended use; and The installation of sediment and erosion control measures for areas where drainage bypasses the surface dams and is discharged off site. ROM Coal Stockpile

The carbonaceous material (coal) on the base of the emergency ROM pad and emergency storage area will be 4.4.1 stripped and removed. Once this has been completed, the area will be suitably capped with inert material in Has not yet occurred. Not Triggered consultation with DRE prior to being rehabilitated.

Removal of Carbonaceous/Contaminated

Excess coal material remaining at closure will be scraped-up and either reprocessed or disposed of within the 4.4.1 Sighted material to be returned to Prep Plant during site inspection. Compliant MCPP tailings/coarse reject emplacement areas on site.

Where potential contamination may have occurred as a result of site activities (e.g. re-fuelling areas, workshops etc.), appropriate investigations will be undertaken to determine the presence and extent of any 4.4.1 contamination. Where it is identified, contaminated material will be either bioremediated on site or disposed SLR engaged to complete contamination assessments for the site during the audit visit. Compliant of offsite at an authorised waste facility. Further investigations involving sampling will be undertaken to validate that contaminated has been remediated to acceptable levels.

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk

West Wallsend Rehabilitaon and Environmental Management Plan (REMP): July 2012 - July 2018Applicable up to October 2015

Underground Infrastructure

One of the key considerations of the closure, decommissioning and rehabilitation of WWC will be the sealing OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016 - 4.4.1 Compliant of shafts, drifts and boreholes which are associated with its mining operations. Detailed closure plan not yet finalised.

Rehabilitation Monitoring and 4.6 Maintenance

For the REMP term, Subsidence crack remediation sites and coal quality borehole sites will be monitored LW 51 Extensometer decommissioned and rehabilitated in audit period - no requirement for following their rehabilitation in accordance with the relevant WWC procedures at set intervals. Channel ongoing monitoring. 4.6 stability rehabilitation works will be monitored in accordance with the WWC WMP. The rehabilitation of Compliant these areas is monitored to ensure the site is stabilised and to determine the requirement for any further Channel stability monitoring showed no in stream impacts, therefore no works or rehabilitation maintenance activity, if necessary. monitoring required.

Draft Rehabilitation and Environmental Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Mining Operations Plan Effective October 2015 to October 2016 WWC SD PLN 0159 (V2) 1. Introduction This Mining Operations Plan (MOP) details the operational and environmental management activities of WWU This was noted, however the audit did not require a finding to be made on this point. Noted during the period from 7 October 2015 to 30 October 2016 for the mining of LW 51 and LW 52.

Stakeholder Consultation 1.4

Stakeholder consultation at WWU is undertaken in accordance with the OCAL Social Involvement Plan (WWC SD This was noted, however the audit did not require a finding to be made on this point. Noted FWK 0008) and this will continue to be implemented during the MOP term

WWU also operates a 24 hour Community Complaints and Enquiries Line (02 4941 2100) to ensure that any Business Hours and 24 Hour Contact Numbers available on WWC website. community concerns can be recorded and responded to, as soon as possible. The number is advertised on the Number verified on site. WWU website and in the community newsletter. Any complaints received are managed in accordance with the Operating hours have changed since cease of operations. Compliant WWU Community Complaint and Environmental Incident Management Procedure (WWC SD PRO 0036). WWU will continue to engage all relevant stakeholders throughout this MOP period in regards to the detailed closure Complaint procedure sighted during audit visit. planning process at WWU. 2. Proposed Mining Activities Construction 2.3.3 If minor construction activities are required throughout the MOP term, these activities will be undertaken in No construction activities undertaken during the MOP period. Not Triggered accordance with any relevant approvals and legislative requirements. Demolition works to be undertaken as part of mine closure activities at OCAL will be included within the OCAL No demolition commenced at the time of the audit. Noted Mine Closure MOP. Progressive Rehabilitation and 2.3.10 Completion

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the conservation area.

Remediation did continue in the park in terms of natural fill, where access could be made (ie tracks), LW 43 cracking (significant amount of material used to rehab site) etc. See Subsidence Remediation Update, Glencore March 2016.

In the background numerous trials where undertaken and methods assessed to remediation ie urea-silicate, bark blower. See Subsidence Remediation Investigation Report, SLR 2016. Subsidence remediation activities will be undertaken during the mining of LW 51 and LW 52, refer to Section 3.2.1.5. Further information regarding detailed mine closure and the rehabilitation of the operations which form Golder were commissioned to look at best contractors to undertake the work, see WWC Compliant part of OCAL will be included in the OCAL Mine Closure MOP which is to be submitted to DRE. Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October 2016. Currently undergoing further revision to include greater detail on closure actions.

3. Environmental Issues Management Environmental Risk Assessment 3.1

The environmental management of WWU surface facilities is undertaken in accordance with a site Environment and Community Operational Risk Assessment that is reviewed annually by the operation. Section 3.2 includes Updated 2015, 2016. Compliant the management measures which will be implemented to manage WWU’s operations.

Mining Operations Plan 2015-2016 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Mining Operations Plan 3.2

Environmental management at WWU is undertaken in accordance with the OCAL Environmental Management System (EMS) and the WWU Environmental Management Plan (EMP). Documents such as management plans and procedures contained within the WWU EMP are regularly reviewed and updated in accordance with Assessed throughout the audit through auditing of individual management plans. Compliant regulatory requirements, changes in operations or as required by review of the Environment and Community Operational Risk Assessment.

Specific Risk Relating to 3.2.2 Rehabilitation Rehabilitation to be undertaken at WWU during the MOP term will include rehabilitation of surface subsidence This occurred in the audit period Compliant cracking predominantly related to the mining of LW 51 and LW 52.

Subsidence Remediation 3.2.2.5

The progress of subsidence impact remediation areas will be monitored against the following performance indicators: - OEH safety requirements (public and workplace) are met; - the site is neat and tidy (i.e. it does not contain any rubbish); - no weed management measures are required; Verified in Post Remediation Inspection forms viewed during audit visit. Compliant - renewed crack dilation is not evident; - drainage, erosion and/or sediment control measures are effective; - where appropriate, native vegetation is naturally regenerating or active revegetation is establishing; and - no further active revegetation measures are required.

Identification of the need for Subsidence Remediation

An assessment of the need to undertake subsidence remediation works is completed on a crack and crack area basis. The remediation priority assigned to an impact will be based on the risk profile (public safety, Cracks are identified, mapped and remediation prioritisation status assed. Prioritisation is Compliant environmental, slope stability) associated with the impact. determined Subsidence Remediation Framework for Sugarloaf State Conservation Area.

Following the assessment of each impact location the impact will be given a remediation priority rating of High, Verified from GIS database during site visit. Compliant Medium or Low in the WWU GIS Database. GIS data submitted to OEH and discussions undertaken regularly. These cracks will be discussed with OEH during remediation activities with the remediation of the cracks Compliant undertaken in accordance with the performance and completion criteria detailed in Table 6.2. Subsidence Remediation Works – Approval Process

All remediation undertaken in accordance with GDP, Ecological Due Diligence Assessment Prior to the commencement of any subsidence remediation activities, approval is to be received from the and Subsidence Remediation Scope and Hazard Checklist all completed and signed off by relevant landowner for the works. OCAL will submit crack remediation plan documentation to OEH for adequacy OEH/NPWS. Compliant and approval. This is to be co-ordinated and managed by the OCAL Environment and Community Manager or his/her delegate. Email of approval from OEH Ranger Lower Hunter Area, 6/4/16 sighted during audit visit.

If OEH give approval to proceed with the remediation proposal then this approval usually comes with determination conditions. These conditions will be included in the Ground Disturbance Permit (CCA HSEC PER CRA example from 14/5/15 sighted during site visit Compliant 0004) which are to be complied by OCAL and its contractor prior to the commencement of any works Subsidence Remediation Monitoring The progress of remediation will be recorded in the WWU GIS Database. Ongoing monitoring and review will Verified from GIS database during site visit. continue until agreement is obtained with the landowner / manager that the land is safe / stable and can be Compliant returned to public use. Five years monitoring to be undertaken before relevant areas returned to public use.

The WWU GIS Database (crack mapping file) will be used to catalogue and monitor the performance of the Database reviewed during site visit. measures implemented to remediate surface cracking. Monitoring will be focussed on ground and fill stability, soil erosion and revegetation effectiveness. Some surface disturbance areas will be rehabilitated during the life Verified in Post Remediation Inspection forms viewed during audit visit. Compliant of specific crack remediation programs, whereas others may remain until after the completion of mining operations in the area (e.g. centralised pump sites). Detailed closure plan not yet finalised.

Following the completion of remediation a formal post remediation inspection will be undertaken. Locations within the Continued Underground Mining Area where rehabilitation or remediation works have been Post Remediation Inspections undertaken in accordance with timelines specified in Compliant undertaken will be monitored in accordance with a long term monitoring plan which has been developed in monitoring program. consultation with OEH.

Mining Operations Plan 2015-2016 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Mining Operations Plan Following remediation, the condition of the cracks will be periodically monitored as per the long term Post Remediation Inspections including assessment of these elements undertaken in monitoring procedure. Specific areas assessed during the monitoring relate to (a) renewed crack dilation, (b) soil Compliant accordance with timelines specified in monitoring program. erosion, (c) slope instability and (d) status of revegetation.

Erosion and Sediment Control 3.2.2.6

During the MOP term, where ground disturbance is necessary at the WWU surface facilities, appropriate soil erosion and sedimentation controls will be implemented and maintained in accordance with the Ground As sighted in the GDP for the expansion of the Pit-Top Dam system. Compliant Disturbance Permit Procedure (CAA HSEC PRO 0002).

Any erosion and sediment controls implemented for works at WWU surface facilities will be maintained until the As sighted in the GDP for the expansion of the Pit-Top Dam system. Compliant area is rehabilitated and deemed to no longer be required through inspections of the works area. As outlined in the WMP (WWC SD PLN 0145), remediation works will be undertaken to rehabilitate the impact of secondary workings on specific streams in the continued underground mining area, this may take the form of Channel stability monitoring showed no in stream impacts, therefore no works or Compliant specific erosion and sediment control measures within streams. Refer to Section 3.2.1.4 for subsidence impact rehabilitation monitoring required. remediation details. Soil Type(s) and Suitability 3.2.2.7

A full rehabilitation soils balance will be completed as part of the detailed mine closure studies to understand the available topsoil at the site for re-use in rehabilitation of the infrastructure facilities post-closure. This Not Triggered Not Triggered assessment will be completed during the term of the forthcoming OCAL Mine Closure MOP for the site.

Any material sourced from offsite sources will be done so in accordance with the requirements of the POEO Act, This was noted, there was no evidence of the import of bulk soil/spoil materials in the Not Triggered waste regulations and the relevant EPA waste classification guidelines. audit period.

Ecology 3.2.2.8

Works to be undertaken within buffer land owned by WWU will be managed in accordance with the OCAL Biodiversity and Land Management Plan (WWC SD FWK 0007). Works undertaken within these areas will be Covered in LMP review Compliant subject to the Ground Disturbance Permit Procedure (CAA HSEC PRO 0002), where required.

Fauna 3.2.2.10

Potential impacts on threatened fauna species will be managed in accordance with the LW 51 and LW 51 Extraction Plan (WWC SD PLN 0128) and the BMP (WWC SD PLN 0149) for the Continued Underground Mining See audit of BMP, LW51-52 BMP and LMP plans for compliance. Compliant Area. Works undertaken at WWU surface facilities will also be undertaken in accordance with the BMP.

Air Quality 3.2.2.11

An air quality monitoring network for all OCAL sites is currently in operation. Air quality monitoring locations AR 2015, Section 6.2 specific to WWU operations have been selected from the existing OCAL locations and are described in the WWU AR 2014, Section 3.2 Compliant Air Quality and Greenhouse Gas Management Plan. The results obtained from the locations specific to WWU will AR 2013, Section 3.2 be reported in the WWU Annual Review, in accordance with Condition 4 of Schedule 6 of the Project Approval.

Contaminated Land 3.2.2.13 A contaminated land assessment will be undertaken as part of the detailed mine closure works to further assess whether there is any contamination which need to be managed across the OCAL operations and determine the SLR engaged to complete contamination assessments for the site during the audit visit. Compliant necessary remediation works required. Greenhouse Gases, Methane 3.2.2.15 Drainage / Venting

Site data reported monthly in corporate database WWU vent methane via the No.2 and No.3 ventilation shaft systems. In accordance with the WWU Air Quality NGERS reporting done by corporate and Greenhouse Gas Management Plan (WWC SD PLN 0054) and relevant legislation, WWU reports greenhouse gas intensity (TCO2-e/ROM tonne) and energy use intensity (GJ/ROM tonne) indicators on an annual basis Compliant Confirmation of NGERS reporting sighted for 12/13, 13/14, 14/15 . through the National Greenhouse and Energy Reporting System (NGERS) as part of Glencore NGERS reporting. The WWU ventilation system will continue to operate in accordance with WWU operating procedures. Reported monthly internally via GCP (Glencore Corporate Practice)

Visual and Lighting 3.2.2.17

Tree screening will be maintained at WWU whilst rehabilitation works are being undertaken. Tree screen still in place, remediation works are not yet complete Compliant

Mining Operations Plan 2015-2016 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Mining Operations Plan Noise 3.2.2.21

WWU has employed and will continue to employ various management measures to mitigate noise impacts from its operation. These include the coal loading bin, which maintains a coal plug in the base of the bin which As covered by audit of the West Wallsend Underground Noise Management Plan - Effective Noted prevents coal from hitting the sides of the bin, thereby reducing noise. In addition, noise mitigation measures October 2015 such as baffles have been installed on the ventilation infrastructure. WWU has developed a noise monitoring program to evaluate the performance of the operation. Under the As covered by audit of the West Wallsend Underground Noise Management Plan - Effective Project Approval and in accordance with the NMP, noise is monitored quarterly, with results reported in the Compliant October 2015 WWU Annual Review. Weeds and Pests 3.2.2.22 The presence of introduced species within rehabilitated areas (e.g. exploration drilling sites) within the Sighted in post remediation monitoring inspection forms completed during site continued underground mining area will be monitored. If required, WWU will undertake weed control works in Compliant inspections. these areas in consultation with OEH. Public Safety 3.2.2.23

Areas affected by subsidence impacts will be managed in accordance with the Public Safety and Land Management Plans and associated subsidence remediation procedures which are detailed within the LW 51 and As covered by audit of the relevant plans. Noted LW 52 Extraction Plan. Monitoring of rehabilitation or remediation works will be undertaken until the affected areas are considered to be stable, self-sustaining and no longer requiring management. 4. Post Mining Land Use Post Mining Land Use Goal 4.2 It is noted that OCAL are currently preparing a detailed mine closure plan for the OCAL operations and further information regarding the proposed final land use, final land form and land use goals will be included within the This was noted, however the audit did not require a finding to be made on this point. Noted OCAL Mine Closure MOP. The final landform and the rehabilitation to be utilised for the OCAL operations will be designed to produce a stable landform which is appropriate for the selected final land use for the respective domains. Rehabilitation This was noted, however the audit did not require a finding to be made on this point. Noted within the LW 51 and LW 52 Mining Area will include the completion of subsidence remediation works as required, which will largely relate to subsidence crack repairs.

Rehabilitation Objectives 4.3

The post-mining land use will include the progressive rehabilitation to self-sustaining locally occurring vegetation communities, which aims to emulate the pre-mining environment, enhance local and regional ecological linkages As demonstrated by the OCAL Complex Closure MOP, 2016 submitted and approved Compliant and provide for a sustainable final land use option (Section 6.0). Rehabilitation works will be completed to the conditionally until October 2016 - Detailed closure plan not yet finalised. satisfaction of the Director-General of DRE.

The rehabilitation of subsidence impacts within the Continued Underground Mining Area and the LW 51 and LW 52 Mining Area will be a focus for WWU during the completion of mining for LW 51 and LW 52. Rehabilitation See audit of relevant plans for compliance. Noted objectives for WWU are detailed in the Project Approval and are reproduced in Table 4.2. 5. Rehabilitation Planning and Management LW 51 and LW 52 Mining Area 5.2.4.1

Remediation of subsidence cracking will be undertaken in accordance with the OEH access agreement which has OEH-NPWS access agreement currently valid and sighted during audit visit. Compliant been developed for the mining to be undertaken within the LW 51 and LW 52 Mining Area. Continued Underground Mining 5.2.4.2 Area During the term of the MOP, there will be no long wall mining undertaken in the ‘non-active’ portions of the Continued Underground Mining Area, with mining restricted to LW 51 and LW 52 Mining Area. Activities to be This was noted, however the audit did not require a finding to be made on this point. Noted undertaken within the ‘non-active’ portion of the Continued Underground Mining Area will include works to ensure public safety is managed with subsidence remediation works to continue to be undertaken.

Mining Operations Plan 2015-2016 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Mining Operations Plan Rehabilitation Phases 5.4

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the In accordance with the requirements of the Project Approval, rehabilitation will be conducted at WWU as soon conservation area. as reasonably practicable following disturbance. Table 5.4 outlines the current phase of rehabilitation for each

site Domain. Remediation did continue in the park in terms of natural fill, where access could be made (ie tracks), LW 43 cracking (significant amount of material used to rehab site) etc. See Subsidence Remediation Update, Glencore March 2016.

In the background numerous trials where undertaken and methods assessed to remediation ie urea-silicate, bark blower. See Subsidence Remediation Investigation Report, SLR 2016. Compliant

Golder were commissioned to look at best contractors to undertake the work, see WWC Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

6. Performance Indicators and Completion/Requirement Criteria

The rehabilitation completion criteria for the OCAL Complex are attached to the OCAL OCAL will utilise the biodiversity monitoring results from analogue and rehabilitated sites to inform the Complex Closure MOP, 2016. performance indicators and completion criteria to be included in the OCAL Mine Closure MOP. Data from the biodiversity monitoring program will be used during detailed closure works to further refine the specific These completion criteria may be subject to refinement as the Detailed Closure Planning Compliant performance indicators and measurable completion criteria. OCAL will also utilise the results of the for the site progresses. geomorphology monitoring undertaken for the respective Water Management Plans to further refine performance indicators and completion criteria.

A risk assessment will be completed as part of the detailed mine closure planning phase to determine appropriate risk management strategies for the post closure phase of the project. It is noted in Table 6.2 that the final land use for the domains is based on the rehabilitation objectives as defined within Condition 27 of Not Triggered - detailed Mine Closure Plan due October 2016 Not Triggered Schedule 4 Project Approval with the final land use for pit top being defined as rehabilitation forest. This final land use is currently being reviewed by OCAL and may be altered within the OCAL Mine Closure MOP to be submitted to DRE.

8. Rehabilitation Monitoring and Research

Rehabilitation Monitoring 8.1.2

Rehabilitation monitoring will be undertaken in accordance with the Biodiversity Management Plan (WWC SD See audit of Biodiversity Monitoring Program. Noted PLN 0149)

Monitoring of these areas will be include visual inspections and photo monitoring and will focus on the No rehabilitation of areas requiring revegetation have occurred in the audit period. Not Triggered following: germination rates; success rates of tube stock; weed and feral pest infestation; and general condition.

Subsidence Monitoring 8.1.3

Subsidence remediation monitoring will also be undertaken within the MOP term in accordance with Section 3.2.1.5 following the completion of subsidence remediation a formal post remediation inspection will be Verified in Post Remediation Inspection forms viewed during audit visit. Compliant undertaken.

Locations within the Continued Underground Mining Area where rehabilitation or remediation works have been undertaken will be monitored in accordance with a long term monitoring plan which has been developed in consultation with OEH. Following remediation, the condition of the cracks will be periodically monitored as per Verified in Post Remediation Inspection forms viewed during audit visit. Compliant the long term monitoring plan as detailed within the LW 51 and LW 52 Extraction Plan and LW 51 and LW 52 Land Management Plan.

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Mining Operations Plan 9. Intervention and Adaptive Management

Threats to Rehabilitation 9.1

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the conservation area.

All rehabilitation activities will be undertaken as soon as practicable following the progressive completion of In the background numerous trials where undertaken and methods assessed to rehabilitation phases identified for the site in accordance with the requirements of the Project Approval. remediation ie urea-silicate, bark blower. See Subsidence Remediation Investigation Subsidence remediation works will be undertaken in accordance with the principles detailed in Section 3.2.1.5 Report, SLR 2016. Compliant and the LW 51 and LW 52 Extraction Plan (WWC SD PLN 0128). Rehabilitation of the OCAL operations including WWU will be defined within the OCAL Mine Closure MOP which will include a rehabilitation specific risk Golder were commissioned to look at best contractors to undertake the work, see WWC assessment for OCAL’s operations. Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

Trigger Action Response Plan 9.2

As discussed throughout the document, rehabilitation opportunities during the MOP term are considered to be low. Should subsidence related impacts be identified in publicly accessible areas during the MOP term, the Remediation of publically accessible areas discussed with staff during audit visit. management of these impacts will be undertaken in accordance with Section 3.2.1.5 and the LW 51 and LW 52 Noted Subsidence Contingency Plan (Appendix K of the LW 51 and LW 52 Extraction Plan) which details the TARPS’s to See audit of Public Safety Management Plan for further compliance. be implemented for a range of natural and built features and how these will be responded to by WWU.

10. Reporting During the MOP period, an Annual Review will be completed in accordance the Project Approval and WWU Mining Lease Requirements. The Annual Review will be completed to satisfy DPE and DRE requirements and will detail activities undertaken during the report period that support progression towards the final land use. The Annual Review will include: - summary of operations and rehabilitation undertaken during the report period; - monitoring results against key performance indicators, including: - rehabilitation performance air quality; Annual Review 2015 sighted Compliant - noise; surface and groundwater; - flora and fauna; weed control; and - bushfire. - summary of complaints and incidents during the report period; - analysis of all monitoring results; key trends in monitoring results; - non-compliances; and - any other environmental aspects required by DRE. In addition to this reporting process, WWU also maintains a website which provides updates on the operations status and environmental monitoring program results. Monitoring will also be undertaken during the MOP term Current and historic monthly environmental monitoring data available on website. Compliant in accordance with the requirements of the LW 51 and LW 52 Extraction Plan (WWC SD PLN 0128).

12. Review and Implementation of MOP

Review of the MOP 12.1 Ongoing monitoring and review on the performance and implementation of this MOP will be undertaken in Annual Reviews 2013, 2014, 2015 fulfil this requirement. Compliant accordance with the Project Approval. The Environment and Community Manager (or delegate) will review and if necessary, revise the MOP and resubmit to DRE at the conclusion of the specified MOP term or following any changes to the current operational This was noted, however the audit did not require a finding to be made on this point. Noted conditions on site. Any changes made to the MOP as a result of the review will be made in accordance with the current MOP guidelines.

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1. Introduction WWU is committed to implementing continued mining operations in the context of updated and contemporary Overview 1.1 This was noted, however the audit did not require a finding to be made on this point. Noted environmental management requirements. 2. Sustainable Environmental Management Planning

Legislation, Standards, Codes 2.1 and other External Requirements WWU will maintain awareness of ongoing changes to legislation, standards, codes and other external Updates in the form a Legal Review circulated by Internal Legal Council - sighted Q1 2016 requirements via the receipt of regular updates from Glencore and legal advisers, participation in industry Document Compliant groups such as the NSW Minerals Council and Hunter Coal Environment Group and communication with government departments and agencies. Attendance at Quarterly Glencore Environmental Meetings.

Where significant changes to legislation, standards, codes or other external requirements are identified as impacting upon processes or procedures at WWU, the relevant section of the EMP or site procedure will be No significant changes in the audit period, should these occur they are managed throgh the Not Triggered updated in accordance with the sites document control procedure. This will also be managed through the Risk change management system and an action plan. and Change Management Procedure (WWC SD PRO 0039).

Global Reporting Initiative 2.1.2.2 The GRI is an independent institution whose mission is to develop globally applicable standards and guidelines for sustainability reporting. Glencore has developed Global Corporate Practice (GCP) reporting platform to be This was noted, however the audit did not require a finding to be made on this point. Noted consistent with GRI and to ensure data integrity and consistency across all levels. OCAL is required to enter sustainability data for WWU into GCP. Environmental Risks and Change 2.2 Management All changes at a site level will be assessed in accordance with the Risk and Change Management Procedure (WWC SD PRO 0039). Where required, changes will be incorporated into the WWU EMP documents as soon as Electricians to read surface water levels as part of their work orders, change management practicable after the change has occurred. Changes to operations (and the associated changes in environmental included training package - sighted change management procedure form (WWC SD PRO Compliant or community risk) are also communicated to employees, contractors, suppliers and external stakeholders as 0039) required.

Planning for the closure of WWU will be undertaken in accordance with the Glencore Mine Closure Planning OCAL Complex Closure MOP, 2016 submitted and approved conditionally until October Compliant Protocol (CAA HSEC PCL 0027) to ensure the best outcome is achieved for the community and WWU. 2016 - Detailed closure plan not yet finalised. Detailed mine closure planning will include consultation with the local community and relevant government Detailed Mine Closure Stakeholder Engagement Strategy Compliant authorities. 3. Implementation and Operation Operational Controls 3.3

All environment and community training programs are competency based and are to include the following, where relevant: Sighted two training programs (Environmental Awareness, and Subsidence Remediation Training Package) that contain these requirements as relevant. - compliance with relevant legislation, approvals and licences; Not Compliant - the potential environmental and community impacts and associated controls for specific work activities; Administrative Not all training packages are competency based, but all major induction and awareness - the potential consequences of non-compliance with environmental legislation, approvals and licences, the programs have competency assessments. OCAL EMS and WWU EMP; and - environmental incident and community complaint management and reporting processes.

Management Plans and 3.4.1 Monitoring Programs

Operational procedures will be developed and implemented as a mechanism for assessing risk at WWU and to Environmental procedures contained on site intranet - sighted Water Sampling Procedure ensure systems are operating effectively. A list of the environmental procedures for WWU is contained and Compliant that includes Hazard and Risks Section. maintained within the sites document control system.

4. Monitoring and Corrective Actions Environmental Inspections 4.1.1

Formal monthly environmental inspections are undertaken to determine compliance with legislation, standards, codes and other internal and external requirements. The inspections apply a risk based approach across all activities undertaken onsite providing a comprehensive review of the operation. Inspections are conducted by Sighted Environmental inspection forms (29/4/2016 and 23/10/2015) Compliant the Environment and Community Manager or his/her delegate and are recorded on a site-specific inspection report form.

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In the event a non-conformance is identified during an inspection, corrective and/or preventative actions are to Sighted Corrective Actions process through to completion status in CMO management be developed in accordance with Section 4.6. The completion and effectiveness of the corrective and/or Compliant system preventative action is to be assessed post-implementation. Environmental Audits 4.2 All audits are undertaken in accordance with the Glencore Auditing Annexure (XCN SD ANN 0051), which Internal Audit Annexure sighted, High Risk Dam Audit 2015 sighted Compliant outlines the types of audits and auditing requirements for Glencore mine sites. Independent Environmental 4.2.1 Audit In accordance with Condition 9 of Schedule 6 of the Project Approval WWU is required to undertake an independent environmental audit by June 2013, and at three yearly intervals after this time. All findings following the audit are placed on the WWU website. The audit must: - be conducted by a suitably qualified, experienced and independent team of experts whose appointment has Independent Environmental Audit Undertaken by AECOM for the period 25th January 2012 been endorsed by the Secretary of the DP&E; to 30th June 2013. (AECOM, 2013) - include consultation with the relevant agencies; - assess the environmental performance of WWU and whether it is complying with the relevant requirements in Timing on last audit satisfactory for compliance Compliant the Project Approval and any relevant EPL or Mining Lease (including any assessment, plan or program required under these approvals); Final Revision Date = 20/9/2013 (more than 6 weeks after 30 June 2013??) - review the adequacy of any approved strategies, plans or programs required under these approvals; - and recommend measures or actions to improve the environmental performance of the complex and/or any strategy, plans or program required under these approvals.

A copy of the audit report is to be submitted to the DP&E within six weeks of its completion, along with an action plan for the recommendations made in the report. Environmental Reporting 4.3 4.3.1 WWU will communicate relevant environmental management information to its employees, contractors and visitors through avenues such as: - formal training and toolbox talks; Sighted training and awareness training packages delivered to contactors and crew. Compliant - regular crew talks; - inductions; and - incident / hazard / near miss communications. External Reporting 4.3.2 All external reporting will be undertaken in accordance with the Communication and Engagement Procedure (WWC SD PRO 0034) and the Community Complaint and Environmental Incident Management Procedure (WWC Sighted external reporting and Communication and Engagement Procedure Compliant SD PRO 0036). External reporting relating to environment and community performance will be facilitated by the Environment and Community Manager or his/her delegate as required. Community Consultation and 4.3.3 Complaints

Site environment and community management issues will be addressed in regular CCC meetings in accordance with Condition 6 of Schedule 6 of the Project Approval. CCC meetings will be conducted generally in accordance with the Guidelines for Establishing and Operating Community Consultative Committees for Mining Projects Sighted CCC Meeting Presentation from May 2015 meeting Compliant (Department of Planning, 2007, or its latest version). Specific issues relating to individual landowners and residents will be addressed directly by the Environment and Community Manager or his/her delegate as required.

Complaints relating to the environmental management of WWU are to be managed in accordance with the Community Complaint and Environmental Incident Management Procedure (WWC SD PRO 0036). This includes Procedure sighted, no complaints received during audit period. recording the complaint on the WWU incident report form, which is to be forwarded to the Environment and Compliant Community Manager to facilitate that corrective actions are implemented as well as circulated to the relevant CMO process sighted and telephone complaints procedure enacted demonstratively. WWU personnel.

Where a community complaint cannot be resolved using the procedure outlined above, the dispute will be resolved in accordance with the independent review process outlined in Schedule 5, Condition 2 of the WWU No requirement for independent review process during audit period Not Triggered Project Approval (Appendix 2). A summary of complaints will be made available to regulatory authorities on request and provided in the Annual Complaints in AR for audit period. Review report. Complaints will also be made publicly available on the WWU website in accordance with Complaint Condition 11 of Schedule 6 of the Project Approval. Complaints Register available on website and updated regularly.

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Environmental Incidents 4.3.4 Environmental Incidents reported in; AR 2013, Section 4.0 Environmental incidents will be investigated to a level commensurate to their risk level in consultation with the AR 2014, Section 4.0 Compliant Environment and Community Manager. Environmental incidents will be reported annually in the Annual Review. AR 2015, Section 11.0 Incident reports and communications reviewed. In addition, reporting of environmental incidents is required in accordance with Condition 7, Schedule 6 of the Project Approval, which states: ‘The Proponent shall notify the Secretary and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. For any Sighted notification correspondence and formal reports submitted to EPA, DRE, OEH and Compliant other incident associated with the project, the Proponent shall notify the Secretary and any other relevant DP&E for incidents within audit period. agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of the date of the incident, the Proponent shall provide the Secretary and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’ Non-Compliance and Corrective 4.3.5 Actions

Following the identified of a non-compliance, the following steps will be undertaken: - conduct a preliminary review of the nature of the non-compliance, including: - any relevant monitoring data; and As contained in Environmental Incident Reports prepared following incident. - current mine activities and land use practices; Compliant - commission an investigation into the non-compliance to confirm cause and effect and consider relevant All investigation actions tracked in CMO - sighted during audit visit. options for amelioration of potential impacts or prevention of further non-compliances as appropriate; - prepare an action plan in consultation with the relevant stakeholders; and - implement additional monitoring as necessary to measure the effectiveness of the controls implemented.

Independent Review and Land 4.4 Acquisition In the event a landowner considers WWU to be exceeding the relevant criteria outlined in Schedule 3 of the Project Approval, the independent review process outlined in Conditions 2-3, Schedule 5 of the Project Approval No such event during audit period. Not Triggered will be followed (Appendix 2). Additionally, in the event that WWU receives a written request from a landowner requesting acquisition, the acquisition procedure outlined in Conditions 4-5, Schedule 5 of the Project Approval will be followed (Appendix No such request during audit period. Not Triggered 2). It should be noted that there are no specific acquisition criteria outlined in the Project Approval.

5. Review and Improvement Environmental Management 5.1 Framework Review The Environment and Community Manager (or delegate) will review and if necessary, revise this Environmental Management Framework and resubmit to DP&E every year or earlier if required. The Environmental Sighted Management Plan Revision Notification letter submitted to DP&E in accordance Management Framework will reflect changes in environmental requirements, technology and operational Compliant with this condition for2013, 2014 and 2015. procedures. Updated versions of the approved Environmental Management Framework will be made publicly available on the WWU website. Continuous Improvement 5.2 The basis for continuous improvement is provided by reviewing performance and developing corrective/preventative actions as detailed in Section 4.5. As part of the review process, performance criteria will Example of Near-Miss Incident and proceeding updates of procedures Compliant be used to evaluate the performance of WWU against the Project Approval and internal requirements.

In addition, WWU also undertakes annual review of all environmental management plans as outlined in Section Sighted Management Plan Revision Notification letter submitted to DP&E in accordance 5.1. This review provides a proactive approach to environmental management at the site and allows for Compliant with this condition for2013, 2014 and 2015. continuous improvement of management practices on an ongoing basis.

Any opportunities for continuous improvement will be identified and incorporated into the WWU EMP where Demonstrated through regular updates of Management Plans Compliant appropriate.

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6. Principles of the Relaonship between WWCand the Registered Aboriginal Pares

Contractual Arrangements/Terms of 6.4 Engagement WWC will provide clear contractual arrangements/Terms of Engagement for the ongoing Sighted AAC Representative Nominations. participation of the registered Aboriginal parties. The details of the contract/terms will set out the roles and Compliant responsibilities of each of the signatory parties and will be subject to Purchase orders used for work done by RAPs. consultation between the registered Aboriginal parties and WWC.

Six Monthly Project Meetings 6.4.1

WWC will hold six monthly meetings throughout the life of the WWC COA Project to ensure that all registered Aboriginal parties are kept informed of mine progress and ongoing cultural heritage Minutes sighted for March 2016, June 2014, Dec 2014 meeting Compliant management tasks and outcomes.

For each meeting, WWC will provide information on, and provide time for discussion of, the following (as relevant) following the Welcome to Country and/or Acknowledgement of Country: - the progress of WWC funded Aboriginal Cultural Heritage Conservation Offset Projects (refer to Section 7.0 for details); - the progress of the WWC COA Project over the previous six months;  the results of any site/landscape feature monitoring undertaken over the previous six months (refer to Section 8.3 for details); - the results of any salvage works conducted in the previous six months (refer to Sections 8.4 and 8.5 for details); - the results of any remediation works undertaken in relation to Aboriginal cultural heritage Sighted in meeting minutes Compliant over the previous six months (refer to Section 8.7 for details); - the return of artefacts to Country (refer to Section 8.6 for details); - any additional cultural heritage matters raised during the past six months, such as the management of any new finds recorded within the COA (refer to Section 8.8 for details); - the potential Project impacts on Aboriginal cultural heritage proposed for the next six to 12 months and any required management procedures that will need to be planned for the next six to 12 months (e.g. any baseline recording, monitoring, inspections or salvage necessary) (refer to Sections 8.2, 8.4, 8.5, 8.7, 8.8 and 8.9); - the progress of any reporting required (refer to Section 8.10 for details); and - any review of the ACHMP planned prior to the next six monthly meeting (refer to Sections 8.2.10 and 8.11 for details). Project Updates/Meeting 6.4.1.1 Minutes

Project updates will be provided within the six monthly project meetings, with WWC to provide registered Aboriginal parties a copy of the meeting minutes within 28 days of the Sighted example from AAC Meeting held 14/8/2015, meeting minutes emailed to Compliant meeting. The meeting minutes will include notes from the project meeting and will provide a response to any participants on 24/8/2015. matters raised at the meeting where this is feasible.

Should any item discussed at a project meeting require feedback from registered Aboriginal parties, WWC will provide adequate review time (maximum of 28 days) of documentation provided. The Registered Aboriginal Parties will commit to providing their advice in a timely Evidence of consultation on review of ACHMP. Compliant manner that takes into account WWC’s project timeframes and obligations to its work force and government agencies.

Aboriginal Advisory Committee 6.4.2

WWC in partnership with ADTOAC, ALALC, ATOAC and CCC will set up an Aboriginal Sighted meeting minutes Compliant Advisory Committee (AAC) to oversee the implementation of the ACHMP The AAC will be made up of one representative of each of the registered Aboriginal parties. The representatives on the AAC will be chosen by the individual registered Aboriginal parties. The representatives on the AAC may change over the life of the COA Project. Any changes to representatives on the AAC will be discussed with WWC Verified in site discussions, meeting minutes and arch reports Compliant and WWC will be provided the opportunity to discuss mutually agreed replacements. In the event that an AAC member is unavailable to participate in activities for WWC, they may nominate a representative to act on their behalf, in consultation with WWC.

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Aboriginal Cultural Heritage 6.4.3 Management Committee The AAC will form part of the Aboriginal Cultural Heritage Management Committee (ACHMC). As facilitation and implementation of the ACHMP will require the participation of WWC, the ACHMC will include: - the WWC Environment and Community Manager; - the WWC Subsidence Management Coordinator (responsible for the day to day Sighted evidence during audit Compliant implementation and periodic review of the ACHMP); and - an on call suitably qualified archaeologist (responsible for the management of archaeological recording, monitoring, salvage and reporting) or other specialists e.g. an on call anthropologist. The suitably qualified on call archaeologist should be a person that is endorsed by the AAC and WWC and Sighted endorsement of Umwelt as preferred Archaeology company for all Culture & should have a demonstrated knowledge of the archaeological values of the WWC COA and broader Sugarloaf Heritage and consultation works within the Glencore (formerly Xstrata coal) mining lease Compliant Range area. It is not necessary that it is always the same archaeologist, as long as they meet the approval of the by Awabakal LALC ACHMC and have the appropriate knowledge of the WWC COA.

Dispute Resolution 6.5

The AAC will form part of the Aboriginal Cultural Heritage Management Committee (ACHMC). As facilitation and implementation of the ACHMP will require the participation of WWC, the ACHMC will include: - the WWC Environment and Community Manager; - the WWC Subsidence Management Coordinator (responsible for the day to day Sighted during audit visit. Compliant implementation and periodic review of the ACHMP); and - an on call suitably qualified archaeologist (responsible for the management of archaeological recording, monitoring, salvage and reporting) or other specialists e.g. an on call anthropologist. Intellectual Property Rights 6.6

In the event that WWC and the registered Aboriginal parties co-develop any materials, then such materials shall be jointly owned and each party shall be able to use such materials while referencing the other. The exclusion to No materials co-developed during audit period. Not Triggered this will be any information developed in relation to culturally sensitive material which may be identified by a registered Aboriginal party for ‘non-disclosure’ and the party retain copyright (refer to Section 6.7).

The intellectual property, however of any information regarding Awabakal and Aboriginal cultural heritage provided by the registered Aboriginal parties will not pass to WWC and/or its contractor and will remain the No such event during audit period. Not Triggered property of the author. Confidentiality 6.7

Occasionally it becomes necessary for registered Aboriginal parties to provide information in relation to a site/artefact/area that is of a culturally sensitive nature. This type of information is generally only shared when it becomes necessary to do so to ensure appropriate management of the site/artefact/area. Information of this No such event during audit period. Not Triggered nature will not be for public disclosure. WWC will commit to recognising the rights of the registered Aboriginal parties to keep such material confidential.

7.0 Aboriginal Cultural Heritage Conservation Offset Strategy

Mine Plan Modifications 7.1

WWC has modified its mine plans to avoid impact to the ‘stone arch’. This mine plan WWC will ensure that no direct or indirect impact from mining related activities occurs at these sites and modification was undertaken in recognition of the Aboriginal cultural value of this landscape features with the exception of the Palmers Creek 3 Grinding Grooves site where they will ensure that landscape feature. Compliant mine plan modifications lessen the potential for cracking. The mine plan modifications have also acted to protect three rock shelters (Rock shelters 1, 2 and 8) recorded as landscape features of high Aboriginal cultural value.

Aboriginal Cultural Heritage 7.2 Values Project

In accordance with Project Approval (refer to Appendix 1), WWC will provide funding for further investigations Application currently with groups, however not actioned to date. Not Triggered of the Aboriginal cultural heritage values of the Sugarloaf Range area.

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ACHVP Aims 7.2.1

The aims of the ACHVP are to provide funding to the registered Aboriginal parties to enable them to undertake research to build on their current knowledge of the Aboriginal cultural and spiritual importance of the Sugarloaf Range area and also research and gathering of information on the cultural heritage of the Awabakal People and their Traditional Country so that this information will be available for future generations of Awabakal People and other Aboriginal and non-Aboriginal Peoples. Research will include but will not be limited to: The recording of oral histories; Archival research; Understanding the impacts of the early contact period and the genocide phase; Ethno-botanical mapping; Application currently with groups, however not actioned to date. Not Triggered Additional survey to fill in gaps in knowledge of tangible Aboriginal heritage sites and landscape features of Aboriginal cultural value and cultural mapping; Preparation of teaching materials for schools; Videoing of the Aboriginal cultural values of the Sugarloaf Range area for posterity/teaching purposes; Delineating gender specific sites and areas; and Using all of the information obtained through the project to tell the story of the Awabakal Peoples and their relationship to the Sugarloaf Range and Awabakal Lands.

Interest Bearing Deposit 7.2.2.1

Within the six months of Project Approval WWC will set aside the ACHVP funding in an interest bearing deposit that will be administered by WWC; Sighted during audit visit Compliant All interest accrued on the deposit will go back into the funds to be used for further research; and

If not all funds are used over the life of the mine the remaining funds will be divided equally amongst the Not yet applicable. Not Triggered registered Aboriginal parties to advance cultural heritage practices.

Funding for Specific Registered 7.3 Aboriginal Party Projects

As part of its overall Conservation Offset Strategy, WWC has committed to the provision of $25,000 to each of Verified - money had not been spent to date of the audit Compliant the registered Aboriginal parties as an additional offset for specific cultural heritage projects.

Interest Bearing Deposit 7.3.1.1

Within the six months of Project Approval WWC will set aside the specific registered Aboriginal party project Outside of Audit Period, evidence of deposit sighted. Compliant funding in an interest bearing deposit that will be administered by WWC;

All interest accrued on the deposit will go back into the funds to be used for specific registered Aboriginal party Sighted during audit visit Compliant projects; and

if not all funds are used over the life of the mine the any remaining funds from the individual $25,000 packages will be provided to the relevant registered Aboriginal party to advance Aboriginal Not yet applicable. Not Triggered cultural heritage. Funding for Further Survey of the 7.4 SSCA

For WWC to be able to meet the requirements of Intergenerational Equity without further modifications to the mine plan (refer to Figure 1.4), WWC must demonstrate that Aboriginal cultural heritage sites of equal or greater cultural heritage and archaeological significance and research potential to the complex of grinding grooves sites in Bangalow Creek exist within the broader SSCA and outside of Mining Leases. In addition WWC must also Sighted during audit visit Compliant demonstrate that these sites can be managed in a culturally appropriate way that will ensure their long-term conservation and availability for teaching purposes, to present and future generations of Awabakal people and Aboriginal people that live in, and/or visit the area.

In order to address the requirements of Intergenerational Equity related to the potential impacts to these sites, WWC has committed to funding a program of survey within the SSCA in consultation with the registered Sighted during audit visit Compliant Aboriginal parties and the NPWS/OEH. The information recorded during the survey will be provided to the NPWS/OEH to assist in the preparation of the POM for the SSCA.

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Aboriginal Cultural Heritage Management Plan - West Wallsend Colliery Continued Operations Area (Umwelt) (April 2012) Prior to commencement of the survey a meeting will be arranged by WWC with NPWS/OEH, in consultation with ADTOAC, ALALC, ATOAC and CCC to discuss: The commitment of WWC to setting up a fund which they will administer for survey within the SSCA (outside the WWC COA and outside other ML areas); The methodology for the survey strategy to be prepared by the registered Aboriginal parties; Any permitting requirements; and The requirements of the POM being prepared by the NPWS/OEH for the SSCA so that the requisite information can be recorded during the survey. The following commitments have been made by WWC in relation to the survey in the SSCA: The program will include at least 20 days of field survey and recording of sites and landscape values/resources within the SSCA by the registered Aboriginal parties and a suitably qualified archaeologist and anthropologist; After the initial 20 day field survey period a meeting will be held between the registered Aboriginal parties and Program of survey culminated in the development of the Intergenerational Equity WWC to discuss the outcomes of the survey and any requirements for further survey; Compliant Statement of Significance, Umwelt 2014 Funding will also be provided for the preparation and production of site cards (including the production of maps, plans, photographs); and

Following the completion of the survey and the compilation of the site cards, additional funding will be provided to commission a suitably qualified person to assist WWC to prepare a Statement of Significance, in consultation with the registered Aboriginal parties, for provision to DP&I and NPWS/OEH in relation to the suitability (in terms of their Aboriginal cultural and archaeological significance and conservation value) of the sites located outside Mining Leases and within the SSCA as an offset (in terms of Intergenerational Equity) for the impact predicted from subsidence to the Bangalow Creek Grinding Grooves 1 (#38-4-1234); Bangalow Creek Grinding Grooves 2 (#38-4-1235); Bangalow Creek Grinding Grooves 3 (#38-4-1236); Bangalow Creek Grinding Grooves 4 (#38-4-1237); Bangalow Creek Grinding Grooves 5 (#38-4-1238); Bangalow Creek Grinding Grooves 6 (#38-4- 1239); and #38-4-0461 Grinding Grooves.

WWC will commit to revising the management strategy for the Bangalow Creek Grinding Grooves 1 (#38-4- 1234); Bangalow Creek Grinding Grooves 2 (#38-4-1235); Bangalow Creek Grinding Grooves 3 (#38-4-1236); Bangalow Creek Grinding Grooves 4 (#38-4- 1237); Bangalow Creek Grinding Grooves 5 (#38-4-1238); Bangalow As stated in the ACHMP (Umwelt 2016) - Not yet approved by DPE Creek Grinding Grooves 6 (#38-4-1239); and #38-4-0461 Grinding Grooves if it cannot be demonstrated that "Forty additional grinding grooves sites were identified and recorded during the survey of there are suitable sites outside the proposed continued underground mining area and outside Mining Leases in land within the SSCA and outside mining leases. As it was determined that adequate sites the SSCA that can be managed/conserved into the future to meet the requirements of Intergenerational Equity that met the criteria for Intergenerational Equity were present within the SCA and outside Compliant for all or some of the Bangalow Creek Grinding Grooves 1 (#38-4-1234); Bangalow Creek Grinding Grooves 2 of mining leases and where they could be managed for conservation by OEH/NPWS, (#38-4-1235); Bangalow Creek Grinding Grooves 3 (#38-4-1236); Bangalow Creek Grinding Grooves 4 (#38-4- further mine plan modifications were not required." 1237); Bangalow Creek Grinding Grooves 5 (#38-4-1238); Bangalow Creek Grinding Grooves 6 (#38-4-1239); and Note: No impact due to subsidence is reported for these grinding grooves. #38-4-0461 Grinding Grooves sites (this will be site specific and depend on the outcomes of the survey and further consultation with NPWS/OEH).

The revisions to the management strategy may include further survey or alternative offsets assessed as appropriate from an Aboriginal cultural and archaeological perspective and endorsed by OEH and DoP and This was noted, however the audit did not require a finding to be made on this point. Noted registered Aboriginal parties.

Administration of Funding for 7.4.1 Further Survey in the SSCA

The funding will be made available at least 12 months prior to project impact from subsidence in the area of the Bangalow Creek Grinding Grooves 1 (#38-4-1234); Bangalow Creek Grinding Grooves 2 (#38-4-1235); Bangalow Creek Grinding Grooves 3 (#38-4-1236); Bangalow Creek Grinding Grooves 4 Bangalow Creek was not undermined in the audit period. Not Triggered (#38-4-1237); Bangalow Creek Grinding Grooves 5 (#38-4-1238); Bangalow Creek Grinding Grooves 6 (#38-4- 1239); and #38-4-0461 Grinding Grooves sites.

The survey should commence at least 12 months before project impact from subsidence in the area of the Bangalow Creek Grinding Grooves 1 (#38-4-1234); Bangalow Creek Grinding Grooves 2 (#38-4-1235); Bangalow Creek Grinding Grooves 3 (#38-4-1236); Bangalow Creek Grinding Grooves 4 (#38-4-1237); Bangalow Creek Bangalow Creek was not undermined in the audit period. Not Triggered Grinding Grooves 5 (#38-4-1238); Bangalow Creek Grinding Grooves 6 (#38-4-1239) and #38-4-0461 Grinding Grooves sites.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

The survey results and Statement of Significance must be endorsed by the registered Aboriginal parties and should be provided to DP&I and OEH at least 6 months prior to project impact from subsidence in the area of the Bangalow Creek Grinding Grooves 1 (#38-4-1234); Bangalow Creek Grinding Grooves 2 (#38-4-1235); Bangalow Creek was not undermined in the audit period. Not Triggered Bangalow Creek Grinding Grooves 3 (#38-4-1236); Bangalow Creek Grinding Grooves 4 (#38-4-1237); Bangalow Creek Grinding Grooves 5 (#38-4-1238); Bangalow Creek Grinding Grooves 6 (#38-4-1239); and #38-4-0461 Grinding Grooves sites.

The funding will be administered by WWC and no funding applications will be required. All registered Aboriginal parties will be provided the opportunity to participate in the survey program. A suitably qualified archaeologist Intergenerational Equity Statement of Significance, Umwelt 2014 Compliant endorsed by the AAC and WWC will assist the registered Aboriginal parties with the survey program. WWC will ensure that suitable mapping, transportation, a camera and a GPS is made available for use by the Noted Noted registered Aboriginal parties during the monitoring program. Funding for Caring for Country 7.5

To offset the potential loss of Aboriginal cultural and archaeological values that may arise as a result of subsidence impacts within the proposed continued underground mining area, WWC has committed to providing $200,000 over the life of the WWC COA project to assist with Caring for Country, including, but not limited to the Documentation sighted during audit visit. Compliant management of Aboriginal cultural heritage sites and landscape features of Aboriginal cultural value within the SSCA. Administration of Funding for 7.5.1 Caring for Country in the SSCA

As a result of the discussions between WWC and the registered Aboriginal parties on 8 December 2011 the following protocol was reached in relation to funding for Caring for Country within the SSCA.

Interest Bearing Deposit 7.5.1.1

Within the six months of Project Approval WWC will set aside the funding in an interest bearing deposit that will Outside audit period, sighted evidence of funding Compliant be administered by WWC. All interest accrued on the deposit will go back into the fund to be used for projects Sighted statements showing interest is accrued. Compliant related to Caring for Country in the SSCA. If not all funds are used over the life of the mine any remaining funds will be provided to NPWS/OEH to fund Not yet applicable Not Triggered management of Aboriginal cultural heritage in the SSCA. Funding for Ongoing Monitoring/Reporting on 7.6 Subsidence Impacts

The post subsidence inspections of the registered Aboriginal sites in the vicinity of Long Following the cessation of subsidence related to each long wall, WWC will fund an inspection of the subsided walls 51 and 52 were undertaken on the 24 June 2016 by Aboriginal Advisory Committee sites/landscape features of Aboriginal cultural heritage value in order to collect a detailed database on exactly Representatives ADTOAC, ALALA, and ATOAC, Archaeologist-Umwelt and Environment and Compliant how each has been impacted. The inspection and reporting will be undertaken by the registered Aboriginal Community Officer- West Wallsend Colliery - Sighted letter from Umwelt, July 2016 parties and a suitably qualified archaeologist. Updated ACHMP (Umwelt, 2016) includes status reports and compliance register of ACH values as of 2015.

The second aim of the monitoring is to provide a more detailed database for use for future mining assessments GIS database maintained, including site cards (which are also submitted to AHIMS). Compliant and to monitor the success of remediation works (where required) on all site types within the WWC COA.

The third aim is to ensure compliance with the various aspects of the management strategy that relate to monitoring either before or after subsidence. In this regard it is proposed to record the: Subsidence caused cracking to Diega Creek Grinding Grooves Site 2 - this was identified Impacts of subsidence (if any); Compliant during post-subsidence monitoring. Requirements for remediation (if any); Remediation of Diega Creek Grinding Grooves Site 2 undertaken. Compliant WWC invited the registered Aboriginal parties (RAPs) to inspect the damage and discuss Nature and extent of the remediation works; plans for remediation. RAPs were then on site during the remediation to provide cultural Compliant advice. Suitability of the remediation works; Remediation undertaken in consultation with RAPs. Compliant Success of remediation works; and Grinding groove cracking repair reviewed and found compliant Compliant

Project approval status. This was noted, however the audit did not require a finding to be made on this point. Noted It is proposed that full pictorial records will be prepared for each landscape feature/site to inform the reporting Maintained as part of database Compliant process for the OEH and DP&I.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

One aspect of the monitoring process will be to ascertain if more than 50 per cent of the Diega Creek Grinding Grooves 2 (#38-4-1265), Diega Creek Grinding Grooves 3 (#38-4-1266) Diega Creek Grinding Grooves 4 (#38-4- 1267), Diega Creek Grinding Grooves 5 (#38-4-1268) and Diega Creek Grinding Grooves 6 (#38-4-1269) sites have Only one grinding groove site (Diega Creek GG 2) cracked - revision of management plan been impacted by cracking due to subsidence. This monitoring will be undertaken prior to any long wall mining not triggered. that may impact these sites. If more than 50 per cent (3 or more) of these sites crack, WWC has committed to Compliant revising its management strategy in consultation with the registered Aboriginal parties and the NPWS/OEH. Monitoring was conducted to establish baseline conditions and detect any impacts as a Revisions to the management strategy may include conservation of the site or to further survey to locate other result of mining. sites that could be conserved as an appropriate offset for any potential damage to Diega Creek Grinding Grooves 1 (#38-4-1264).

Administration of Funding for Monitoring/Reporting of 7.6.1 Subsidence Impacts

Sufficient funding will be set aside by WWC on an annual basis. The funding will be administered by WWC and no funding applications will be required. All registered Aboriginal parties will be provided the opportunity to participate in the archaeological monitoring program (including baseline recording of a number of specific sites RAPs are invited and participate in in pre and post inspections (facilitated by Umwelt). Compliant and landscape features – refer to Section 8.3.1 for details). A suitably qualified archaeologist endorsed by the AAC and WWC will assist with the monitoring program.

Provision of funding for baseline recording and monitoring will be ongoing throughout the life of the mine. Covered in this ACHMP Compliant

WWC will ensure that suitable mapping, transportation, a camera and a GPS is made available for use by the Verified through discussions on site Compliant registered Aboriginal parties during the monitoring program.

8. Aboriginal Cultural Heritage ManagementStrategy Management Protocols and 8.1 Procedures

The initial protocol involves the preparation of an Aboriginal Cultural Heritage Training package (Training Package) to ensure that mining personnel and contractors understand the principles behind the ACHMP, how it is implemented and how it relates to them and the tasks they will be undertaking within the COA. The Training Included in Subsidence Remediation and Site Familiarity Training Packages Compliant Package will also provide information in relation to recognition of Aboriginal cultural heritage sites and their Aboriginal cultural value and archaeological significance.

Cultural Heritage Awareness 8.2 Training The AAC in consultation with WWC will be responsible for organising the preparation of the Training Package. The Training Package will be prepared in partnership by WWC, the AAC and a suitably qualified archaeologist. The training package was developed without the involvement of the AAC Not Compliant D 2 Medium The Training Package will be provided to registered Aboriginal parties for review and WWC will provide 28 days for this review period.

The Training Package will form part of the annual environmental awareness training and will be provided to mine management and mine personnel that will be undertaking tasks that have the potential to impact Aboriginal cultural heritage sites or landscape features of Aboriginal cultural value. Where feasible, the training Included in Subsidence Remediation and Site Familiarity Training Packages Compliant package will be delivered by at least one member from the registered Awabakal Traditional Owner groups for this project (ADTOAC and/or ATOAC), with a suitably qualified archaeologist to also take an active co facilitator role in the presentation of the Training Package as part of annual environmental awareness training.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

The Training Package will include (but not necessarily be limited to) the following: - a discussion of the Aboriginal cultural significance of the Sugarloaf Range area and the rights and obligations of Aboriginal people to actively participate in the management of the landscape within the WWC COA including its known Aboriginal heritage sites and landscape features of Aboriginal cultural value; - information related to the types of Aboriginal heritage sites, artefacts and landscape features of cultural value that are known within the WWC COA and the broader SSCA (the detail of the information provided will be guided by what is deemed culturally appropriate by the AAC); - information related to the Aboriginal cultural heritage value and archaeological significance of the sites/artefacts/landscape features of cultural value (the detail of the information provided will be guided by what is deemed culturally appropriate by the AAC); - the provision of maps of sites/landscape features of cultural value and areas where ground disturbance for remediation is not allowed without further consultation with the ACHMC (this should form part of the Ground Disturbance Permit process); - procedures for contacting the WWC Environment and Community Manager should remediation work be required within proximity of a known site; - procedures for contacting the WWC Environment and Community Manager in the event a previously unknown site is located during ground disturbing activities associated with remediation activities; and The training package was not developed, the DVD was not made. Not Compliant D 1 Medium - information related to the relevant legislation for the protection of Aboriginal sites (termed objects) and that prosecution may arise if sites are disturbed/destroyed/defaced (refer to Section 4.1.1 for details).

The Training Package related to Aboriginal cultural values and rights and obligations to Care for Country will include a professionally produced DVD and endorsement sought from the registered Aboriginal parties. The DVD will be utilised by WWC for annual environmental awareness training, in the event that there are no representatives of the Awabakal Traditional Owner groups available to deliver the training. The video will also be used for site familiarisation inductions. It is proposed that the DVD will be finalised within 18 months of Project Approval.

The Training Package will be completed within 12 months of Project Approval. Until such time as the Training Package is completed and approved by the registered Aboriginal parties, WWC will continue to use its current induction materials related to Aboriginal Cultural Heritage Management for the site familiarisation inductions. Where feasible, a representative of the Traditional Owner groups will deliver annual environmental awareness training drawing on their cultural knowledge and existing training materials.

Aboriginal Heritage Site and 8.3 Landscape Feature Monitoring

As discussed in Section 7.6, WWC will undertake a program of Aboriginal heritage site and landscape feature of Pre and post mining inspections undertaken to inform EOP Reports. cultural value monitoring throughout the life of the mine to record the impact of subsidence on the sites/landscape features, to determine appropriate remediation (which may include no action) and to monitor Annual Reviews 2013, 2014 and 2015 include updates on monitoring process and results. the effectiveness of any remediation works undertaken. AAC Members help through participation in surveys and comments on any reports Compliant The information recorded during the monitoring process will be reported in the Annual Review (refer to Section provided to them. They generally didn't comment reports due to confidence in the 8.10). Umwelt Archaeologists. A summary of works done throughout the year goes into AR. AAC members will be actively involved in the annual review documentation and copies will be made available to the registered Aboriginal parties, OEH and DP&I. The monitoring program will include the following components.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Baseline Monitoring 8.3.1

The baseline recording will mainly be aimed at recording: - Existing cracking and sedimentation levels; and Verified in ACHMP, Umwelt 2016 Compliant - The actual construction of the stone arrangements/stone cairns so that they can be rebuilt if dislocation of stones occurs.

The baseline recording of individual Aboriginal heritage sites/landscape features should be undertaken prior to any subsidence that has the potential to impact on the site/landscape feature. The baseline recording of individual Aboriginal heritage sites/landscape features will be undertaken by all members of the AAC where Verified in ACHMP, Umwelt 2016 Compliant possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist.

Subsidence Monitoring 8.3.2

Following the cessation of subsidence Aboriginal heritage sites and landscape features of cultural value within the subsidence zone will be monitored to assess the impacts of subsidence and to determine remediation Ongoing monitoring continues as per project approval and ACHMP (Annual Review 2015, measures required (if any) for each of the sites/landscape features. Remediation measures will be formulated by Compliant ACHMP 2016) WWC in consultation with the AAC (and a suitably qualified archaeologist in relation to sites) and implemented in accordance with the management procedures detailed in Sections 8.4, 8.6, 8.7 and 8.8.

It is noted that due to the angle of draw, some Aboriginal heritage sites/landscape features may be impacted by subsidence from the removal of more than one long wall. WWC will ensure that monitoring is undertaken after Discussed during site interview, pre and post mining inspections provided and artefacts each episode of subsidence that has the potential to impact any Aboriginal heritage site/landscape feature. The Compliant salvaged (noted in Appendices to ACHMP). results of the monitoring will be included in a report which will be provided the registered Aboriginal parties and used to inform the ACHMP.

Surface Collection 8.4

Surface collection is only proposed for those artefact scatter and isolated find sites that may be impacted by remediation works. Following subsidence there will be an inspection of the Aboriginal heritage site area by a field team consisting of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist. To ensure thorough coverage, the area should be inspected in systematic transects with survey team members no more than 5 metres apart. If it is assessed that there is a requirement for remediation works and that surface collection of the artefacts will be necessary, the methodology for the surface artefact collection will be as follows: - the surface collection will be undertaken by all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist; - all identified surface artefacts will be marked by high visibility flags; - a photographic record will be undertaken of the Aboriginal heritage site, with artefact locations identified by high visibility flags; - a photographic record will be undertaken of the impacts to the site from subsidence (if Verified in ACHMP, 2016; any), with any artefacts exposed identified by the high visibility flags; Compliant - recording of surface artefact locations using a handheld GPS;

- preparation of a sketch plan of the site. Detailed site plans are not thought warranted for the majority of the sites due to their location within disturbed and/or eroded contexts, however, a GPS recording will be made of the location and distribution of the artefacts so that this information will be available for spatial analysis; - further details of the local environment will be recorded as part of the collection process to provide a more detailed context for the assemblages; - the artefacts will be collected; - all artefacts will be placed in individual bags and labelled with the date of collection, the mine name, the site name, artefact number and MGA grid coordinate and incorporated into a larger clip seal bag marked with the mine name, site name, date of collection and participants in the collection; and - detailed attribute recording and analysis will be undertaken of all collected artefacts (refer to Appendix 5 for details of the methodology for the artefact analysis and the research design).

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Following the cessation of subsidence and any necessary subsidence remediation the artefacts will be returned to Country (refer to Section 8.6 for details). Prior to the return of the artefacts to Country they will be analysed using the methodology set out in Section 5.4 of Appendix 5. The artefacts will be stored on the premises of the archaeologist involved in the salvage while they are analysed and then until it is safe for them to be returned to Country. It is noted that the registered Aboriginal parties have stipulated that the artefacts should remain within No artefacts returned to Country - consultation commenced at March AAC meeting. Not Triggered Awabakal Country at all times. The only exception would be for any artefacts selected for residue and use-wear analysis. It was recognised that this non-invasive form of analysis could add much to the knowledge of the ways in which Aboriginal people were using the Sugarloaf Range landscape and thus removal of artefact from Country would be allowed for this purpose. Upon return from residue and use-wear analysis the artefacts would be returned to Country.

Collection of Artefacts 8.4.1

Many of the artefact scatters and isolated finds within the project area are located on access tracks that are used by NPWS, WWC, the general public, 4WD enthusiasts and motor bike riders. These tracks are also subject to grading at regular intervals. Where artefacts are located on tracks within the project area where vehicle Salvaged but not relocated during audit period. Compliant use/track maintenance is assessed by all representatives of the AAC and an archaeologist as likely to result in harm to the artefacts, the artefacts will be relocated to a safe location as close as possible to where they were found.

The collection of the artefacts will be undertaken using the methodology in Section 8.4 and the relocation of the This was noted, however the audit did not require a finding to be made on this point. Noted artefacts will be undertaken using the methodology provided in Section 8.6.

Subsurface Investigation 8.5

Subsurface investigation will be undertaken of the Cockle Creek Rockshelter with Artefacts and PAD (#38-4- 1260), if it is determined it’s safe to undertake the investigations (refer to Figure 1.4). The rockshelter floor has an area of approximately 12.5 square metres. An area of 3.75 metres (approximately 30 per cent of the area of floor deposit) will be excavated. The following methodology will be undertaken for the manual excavation: the excavation will be undertaken by the AAC and two suitably qualified archaeologists; a scale plan will be prepared of the rock shelter floor and of the rock shelter profile; only 30 per cent of the floor area will be excavated so that 70 per cent of the floor area will remain for the future; the 30 per cent of the floor deposit to be removed will be through the centre of the south-eastern section of the rock shelter. The excavation will be 1.5 metres (across the rock shelter floor) by approximately 2.5 metres (from the back to the front of the rock shelter floor) in area as this will allow for the exposure of the area thought best suited for the placement of a prop/props to assist with supporting the roof of the shelter during subsidence; the central section of the rock shelter floor will be strung up and excavated as 50 centimetre quadrats; the excavation will be undertaken stratigraphically using trowels. If the stratigraphic layers exceed 5 centimetres they will be divided into spits and removed in 5 centimetre increments; due to the small size of the rock shelter and in order not to disturb those sections of the floor deposit to be left in situ either side of the excavation, the excavation will proceed from the front of the rock shelter to the rear removing the whole soil profile from each quadrat and uncovering the rock floor of the rock shelter which can then be used as a platform for continuing excavation leaving the remaining floor deposits undisturbed;

at least one soil sample will be collected from each stratigraphic layer/spit of each 50 centimetre quadrat and a representative sample of these will be subject to Munsell and pH testing/analysis. Further samples will be collected if hearth features are observed (refer to Section 8.5.1 for details of manual excavation of features). For consistency the Munsell and pH readings will all be undertaken by one person under the same light conditions after the completion of the excavation; XYZ coordinates will be recorded for all artefacts located in situ and for all features; if charcoal and/or sediments are encountered that are suitable for radiocarbon or thermoluminescence dating, they will be recovered using the techniques recommended by the dating laboratories and in accordance with the details provided in Section 8.5.1; Verified in the Archaeological Investigation of Cockle Creek Rockshelter (Umwelt, 2016) Compliant all deposit removed will be sieved using nested 2 millimetre and 5 millimetre sieves; all stone, bone, shell and plant material (if any) will be retained for analysis; the excavation will cease when the rock floor of the shelter is encountered and when the 3.75 metre area of floor deposit has been removed; the excavation will be photographed at regular intervals and all artefacts/features of interest will also be photographically recorded;

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Aboriginal Cultural Heritage Management Plan - West Wallsend Colliery Continued Operations Area (Umwelt) (April 2012) at the completion of the excavation the excavated area will be overlain on a copy of the floor plan of the rock shelter; a stratigraphic profile will be prepared of two walls of the excavation (please note that the south-western side of the excavation will be the back wall of the rock shelter when completed and the north-eastern side of the excavation will be the drop off to the cliff line and thus neither will retain a wall for profiling); the roof prop/props will then be installed within the excavated area; the majority of the excavated sediments will be bagged and placed around the prop/props to assist with keeping them in position and to prevent collapse of the remaining floor deposit into the excavated area (if necessary additional deposit will be obtained from the windrow beside the road located approximately 125 metres upslope to make up any shortfall – prior to use this will be pH tested to ensure it has the same or closer to neutral pH to the rock shelter sediments); sufficient excavated deposit will be retained to cover the bagged deposit and to return the aesthetics of the rock shelter back as closely as possible to the pre-excavation state; the backfilled/propped rockshelter will be photographed; artefactual material from the rock shelter excavation will be analysed and the results reported to the OEH (refer to Appendix 5 for details of the artefact analysis); if the rock shelter does not collapse following subsidence, after analysis the artefacts will be returned for reburial within the excavated deposits, if it is safe to do so (refer to Section 8.6); following subsidence any cracking of the roof, walls or floor will be repaired in a culturally appropriate manner if required by the AAC (if stable and safe the roof prop can be removed and the floor deposit stabilised); if the rock shelter does collapse following subsidence the artefacts will be deposited in an area nearby selected by the AAC; and OEH will be supplied with a new site card that provides all the relevant information in relation to the salvage and replacement of the artefacts. Excavation of Hearth Features 8.5.1

Should a possible hearth feature be identified during the manual excavation of the Cockle Creek Rockshelter with Artefacts and PAD (#384-1260) the following methodology will be implemented: - the surface of the feature will be cleaned back (using trowels and brushes as required) to allow the edges of the feature to be identified; - the top of the feature will be photographed and a plan drawn; - the feature will then be excavated in cross-section (half-sectioned) to investigate the dimensions and orientation of the feature; - the deposits from the feature will be excavated separately to the surrounding deposit to Verified in Archaeological Investigation of Cockle Creek Rockshelter, Umwelt 2016. Compliant avoid contamination; - the feature will be photographed in cross-section and a stratigraphic profile of the cross-section will be recorded; - all excavated materials from the feature will be retained for analysis and samples of relevant materials will be sent for additional analysis, including radiocarbon dating and/or thermoluminescence where applicable; and - following the removal of the entire feature the excavation can resume using the methodology outlined in Section 8.5.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Return of Artefacts to Country 8.6

Following the completion of subsidence and of remediation works and artefact analysis the return of artefacts to Country will be undertaken as follows: - a field team consisting of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist will return the artefacts to the site area; - a safe location will be chosen for the artefacts that is endorsed by all participants; - the artefacts will be reburied in the site area (or spread on the surface if that is the preference of the AAC representatives); - a photographic record will be taken of the new artefact location within the site area; the AAC representatives will undertake any cultural protocols/ceremony thought No artefacts returned to Country - consultation commenced at 2016 March AAC meeting. Not Triggered appropriate; - a photographic record will be taken of the remediated site area and notes will be made in relation to the outcomes of the remediation works (refer to Section 8.7); - a new site card will be completed for OEH for each site. The site card will include a discussion and photographs of the surface collection, the impacts of subsidence and subsidence remediation on the site, the site sketch and the results of the artefact analysis; - the site card will be provided to OEH; and - the return of the artefacts will be reported in the AEMR and overall report for the salvage.

It is highlighted that registered Aboriginal parties have requested that the artefacts not be in bags or containers when they are returned to Country. This was not thought appropriate from an Aboriginal cultural and No artefacts returned to Country - consultation commenced at 2016 March AAC meeting. Not Triggered environmental perspective. The artefacts will instead be wrapped in paperbark prior to burial.

Pre-Subsidence Mitigation 8.7.1

Only one Aboriginal heritage site (Cockle Creek Rockshelter with Artefacts and PAD (#38-4-1260) refer to Section 8.5 and Appendix 8) and five landscape features of Aboriginal cultural value (Rock shelters 3, 4, 7, 10, 11 – rock Mine changed to avoid rock shelters, therefore no pre-subsidence mitigation required. Not Triggered shelters without archaeological evidence at the time of the survey) will require pre-subsidence mitigation (beyond baseline recording).

Mitigation will include the installation of roof props (where safe to do so) in the rock shelters prior to subsidence. The installation of the roof props will be undertaken by a suitably qualified person with the guidance of a geotechnical engineer, following the completion of the required Occupational Health and Safety Mine changed to avoid rock shelters, therefore no pre-subsidence mitigation required. Not Triggered (OH&S) assessments as determined by WWC. It is noted that the rock shelters are in areas of steep gradient and have no access for machinery so that whatever is installed has to be carried in and fitted manually. Thus the roof props will need to be designed accordingly. Landscape Features of Cultural 8.7.2.2 Value

Suitable subsidence remediation works will be decided in consultation with the AAC and a suitably qualified archaeologist following the cessation of subsidence and subsidence monitoring (refer to Section 8.3). Verified in Diega Creek Grinding Groove 2 Remediation Report Compliant Subsidence remediation works should be designed to limit further disturbance to the sites/landscape features.

Aboriginal Heritage Sites 8.7.3.1

In relation to artefact scatters and isolated finds subsidence remediation works should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist; - the collection of any surface artefacts or artefacts exposed by cracking that may be All artefact scatters and isolated finds were salvaged, therefore no remediation works Not Triggered impacted by the subsidence remediation works (refer to Section 8.5); undertaken. - use of imported fill to fix cracks to avoid impacting subsurface artefacts; and - the replacement of artefacts and the completion of a new site card for OEH following completion of subsidence remediation works (refer to Section 8.6).

In relation to grinding groove sites remediation works should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist; - repair of cracking of sandstone/grooves in the least obtrusive manner if required and Verified in Diega Creek Grinding Groove 2 Remediation Report Compliant assessed as appropriate by registered Aboriginal parties; and - the installation of appropriate erosion/remediation controls upstream to prevent the addition of sediment load to creek line if assessed as necessary.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Aboriginal Cultural Heritage Management Plan - West Wallsend Colliery Continued Operations Area (Umwelt) (April 2012) In relation to the Cockle Creek Rockshelter with Artefacts and PAD (#38-4-1260) remediation works should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist; - repair of any cracks in the walls, floor or roof of the rock shelter in a culturally appropriate Archaeological investigations detailed in the Archaeological Investigation of Cockle Creek Compliant manner if feasible and safe and assessed as appropriate by the AAC; Rock Shelter, Umwelt 2016, were undertaken in accordance with this ACHMP. - removal of the roof props put in as mitigation measure if feasible and safe and assessed as appropriate by the AAC (refer to Section 8.5); and - return the artefactual material if feasible and safe and assessed as appropriate by AAC (refer to Section 8.6). In relation to the scarred trees remediation works should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist; and No scar tree remediation work undertaken during audit period. Not Triggered - repair of any topsoil cracking within the area of the scarred trees manually using imported fill in a manner that avoids impact to the scarred trees if assessed as appropriate by the AAC representatives. In relation to the stone arrangements remediation works should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist; - following subsidence, in the unlikely event that there is any movement of the stones in the No remediation of stone arrangements during audit period. arrangement, the scale plan and photographs prepared as part of the baseline recording Not Triggered process will be utilised to assist the AAC to replace the stones in the original Not impacted during audit period due to mine plan changes. arrangement (refer to Section 8.3.1 and Appendix 5); and - topsoil crack remediation will be accomplished manually using imported fill so that no impact is occasioned to the stone arrangements if assessed as appropriate by the AAC representatives. Landscape Features of Aboriginal 8.7.3.2 Cultural Value In relation to Rock shelters 3, 4, 7, 10 and 11 remediation works should include: - the participation all members of the AAC where possible (with a minimum of at least two representatives of the AAC required); - repair of any cracks in the walls, floor or roof of the rock shelter in a culturally appropriate Rock shelters not impacted during audit period, therefore were not remediated Not Triggered manner if feasible and safe and assessed as appropriate by the AAC representatives; and - removal of roof props installed as mitigation measure if feasible and safe and assessed as appropriate by the AAC representatives. In relation to clay pigment source in Bangalow Creek remediation should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required); Clay pigment source not impacted during audit period. Not Triggered - following subsidence, the AAC representatives are afforded the opportunity to collect any loosened fragments of clay pigment; and - the clay pigment will be used by the registered Aboriginal parties for teaching purposes. In relation to the stone cairns/stacks remediation works should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required); - following subsidence, if any movement of the stones in cairns/stacks has been caused by subsidence the AAC representatives will replace the stones in their proper arrangement Not impacted during audit period due to mine plan changes Not Triggered using photographs taken during baseline monitoring as a guide (refer to Section 8.3.1); and - any crack remediation in the surrounding area will be accomplished manually using imported fill so that no impact is occasioned to the stone cairns/stacks. In relation to Kangaroo Rock remediation works should include: - the participation of all members of the AAC where possible (with a minimum of at least two representatives of the AAC required); and No remediation of Kangaroo Rock during audit period. Not Triggered - following subsidence any cracks in the topsoil near the base of the rock will be infilled manually using imported fill.

Previously Unknown Sites/Human Skeletal Material/Faunal 8.8 Remains of Possible Cultural Origin

Previously Unknown Site 8.8.1

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Should a previously unknown site be located within any part of the WWC COA, WWC will inform the ACHMC Identified during pre-inspection of subsidence crack remediation, which included ACH due members who will visit the site to assess its Aboriginal cultural value and archaeological significance (this will diligence. Archaeologist and AAC representatives were present at the salvage of the Compliant require the participation of a representative of WWC and all members of the AAC where possible (with a artefacts. minimum of at least two representatives of the AAC required) and a suitably qualified archaeologist).

If the site is within an area proposed for remediation works, all works in the vicinity of the site will cease until such time as appropriate management has been discussed and endorsed by the ACHMC, the suitably qualified Sites identified during pre-works investigations. Not Triggered archaeologist and OEH.

If the site is within a subsidence impact area, but has not been subsided, WWC will undertake an impact assessment and the site will be subject to an Aboriginal cultural heritage values and archaeological significance assessment and appropriate management will be decided by WWC, the registered Aboriginal parties and OEH based on the outcomes of these studies. For isolated finds and artefact scatters this would include decisions in relation to any requirements for surface collection or subsurface testing and salvage. For scarred trees, grinding No such event during audit period. Not Triggered grooves, stone arrangements and rock shelters this would include baseline recording and decisions in relation to mitigation measures pre and post subsidence. Only in the highly unlikely case of an extremely significant site (e.g. burial, rock art site or ceremonial ground) would consideration be given to stopping long wall mining from progressing in that area. In the case of a site found during inspections related to currently unknown locations for surface infrastructure (refer to Section 8.9) and where it is not possible to avoid impact to the site, WWC will undertake an impact assessment and the site will be subject to an Aboriginal cultural heritage values and archaeological significance No such event during audit period. Not Triggered assessment and appropriate management will be decided by WWC, the registered Aboriginal parties and OEH based on the outcomes of these studies. A protocol has been prepared for previously unidentified artefact scatter and isolated find sites that are located during inspections or that are uncovered during ground disturbing works to guide the assessment process and This was noted, however the audit did not require a finding to be made on this point. Noted to determine where surface collection is appropriate, when subsurface testing may be required and when it may be necessary to undertake subsurface salvage. This protocol has been provided in Appendix 6.

If the site is within the area that will not be impacted by the COA project, the ACHMC will ensure that the OEH is Site Cards provided for all finds. Compliant supplied with a site card and that the site is managed in accordance with the ACHMP (if it is within the COA).

Where vegetation obscures the ground surface in an area proposed for impact, and it is thought possible that the vegetation may obscure objects/features, the AAC representatives will be given the opportunity to No such event during audit period. Not Triggered undertake/supervise manual vegetation clearance to further assess the location.

Previously Unknown Site 8.8.2

In the event that a burial site or human skeletal remains are exposed during the subsurface investigation of Cockle Creek Rockshelter with Artefacts and PAD (#38-4-1260) or in any area subject to ground surface cracking or subsidence remediation works, the procedure below is to be implemented in accordance with the Policy Directive – Exhumation of Human Remains (NSW Department of Health 2008), Skeletal Remains – Guidelines for the Management of Human Skeletal Remains under the Heritage Act 1977 (NSW Heritage Office 1998) and the Aboriginal Cultural Heritage Standards and Guidelines Kit (NPWS 1997): - as soon as remains are exposed, work is to halt immediately to allow assessment and management; - contact local police, OEH and the Heritage Branch; - a physical or forensic anthropologist should inspect the remains in situ, and make a determination of ancestry (Aboriginal or non-Aboriginal) and antiquity (pre-contact, No burial site or human skeletal remains discovered during audit period. Not Triggered historic or forensic); - if the remains are identified as forensic the area is deemed as crime scene; or - if the remains are identified as Aboriginal, the site is to be secured and the OEH and all registered Aboriginal parties are to be notified in writing; or - if the remains are non-Aboriginal (historical) remains, the site is to be secured and the Heritage Branch is to be contacted.

The above process functions only to appropriately identify the remains and secure the site. From this time, the management of the remains is to be determined through liaison with the appropriate stakeholders (New South Wales Police Force, forensic anthropologist, OEH, Heritage Branch, and registered Aboriginal parties etc.) and in accordance with the Public Health Act 1991.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Aboriginal Cultural Heritage Management Plan - West Wallsend Colliery Continued Operations Area (Umwelt) (April 2012) A site specific management policy for the removal of any potential human skeletal remains uncovered within the COA during archaeological investigation will be developed, in consultation with a physical anthropologist, the Heritage Branch, OEH and relevant stakeholder groups, if any skeletal remains are identified. The management policy would consider the issues detailed in the Heritage Branch Skeletal Remains Guidelines. These issues include but are not limited to: - Excavation issues - including personnel who may need to be required, Occupational Health and Safety and recording. No such event during audit period. Not Triggered - Access issues - including limited access, security and public and professional participation. - Management issues – including management during excavation and analysis, publicity, interpretation, location of interim resting place (in consultation with relevant stakeholders), ongoing curation of recovered materials and professional access to data. - Re-interment and commemoration.

Discovery of Faunal Remains of 8.8.3 Possible Cultural Origin

Should faunal remains that of possible cultural origin (e.g. a butchery site, food remains) be located within any part of the WWC COA, WWC will inform the ACHMC members who will visit the site to assess its Aboriginal cultural origin and value and archaeological significance.

If the faunal remains are identified as being of cultural origin and they are within an area proposed for remediation works, all works in the vicinity of the remains will cease until such time as appropriate management has been discussed and endorsed by the ACHMC, the suitably qualified archaeologist and OEH. If the faunal remains are identified as being of cultural origin and they are within a subsidence impact area, but have not been subsided, WWC will undertake an impact assessment and the site will be subject to an Aboriginal cultural heritage values and archaeological significance assessment and appropriate management will be decided by WWC, the Registered Aboriginal Parties and OEH based on the outcomes of these studies. In the case of faunal remains of cultural origin being found during inspections related to currently unknown No such event during audit period. Not Triggered locations for surface infrastructure (refer to Section 8.9) and where it is not possible to avoid impact to the remains, WWC will undertake an impact assessment and the site will be subject to an Aboriginal cultural heritage values and archaeological significance assessment and appropriate management will be decided by WWC, the Registered Aboriginal Parties and OEH based on the outcomes of these studies. If the faunal remains of cultural origin are within an area that will not be impacted by the WWC COA project, the ACHMC will ensure that the OEH is supplied with a site card and that the site is managed in accordance with the ACHMP (if it is within the WWC COA). It is noted that it may be necessary to excavate the faunal remains to allow for positive identification of their cultural origin. If excavation is required it will be endorsed by WWC, OEH and the registered Aboriginal parties and will be undertaken using the methodology provided in Appendix 6 for the excavation of features.

Cultural protocols in relation to the management and discussion of faunal remains will be developed by the AAC in consultation with an appropriately qualified forensic anthropologist/archaeologist.

Minor Surface Infrastructure 8.9

WWC will, wherever possible situate minor surface infrastructure/exploration boreholes outside culturally Cultural heritage assessed as part of GDP process. sensitive areas/known sites. Once the areas proposed for impact been identified by WWC they will be inspected No exploration works in the audit period. by all members of the AAC where possible (with a minimum of at least two representatives of the AAC required) Compliant All known artefacts salvaged and more substantial cultural heritage features were avoided and a suitably qualified archaeologist and assessed for their Aboriginal cultural value and archaeological in the mine plan. potential.

If sites/landscape features of Aboriginal cultural value are found in a location proposed for minor surface infrastructure or a borehole the proposed infrastructure/borehole will be moved wherever this is feasible. If this No such event during audit period. Not Triggered is not possible a management outcome will be reached in accordance with protocol set out in Section 8.8.1 and Appendix 6. Inspections should be undertaken wherever possible at least three months prior to the proposed works to allow No evidence provided to support the 3 month prior to subsidence inspections. No evidence Not able to be sufficient time for the inspection, discussions related to management and any investigations/salvage required. of inappropriate actions regarding Cultural Heritage matters. Verified

Annual Review 8.10

WWC will report on activities required by this ACHMP within the Annual Review. Copies of the Annual Review Verified in 2013, 2014 and 2015 Annual Reviews. Compliant will be submitted to OEH, DP&I and to the registered Aboriginal parties.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Auditing 8.11

If during auditing of environmental compliance the independent auditor is required to visit a known Aboriginal site or identified landscape feature of Aboriginal cultural value, WWC will contact the AAC and provide the AAC No such event during audit period. Not Triggered with the opportunity to accompany the independent auditor. If no members of the AAC are available this will not preclude the site visit.

ACHMP Review 8.12

This ACHMP will be reviewed within 12 months following approval of the ACHMP, with the ACHMP to be reviewed, and if necessary, revised on an annual basis in accordance with the Project Approval. Following a review, the ACHMP and will be provided to OEH and DP&I for approval if there are substantial revisions. The revisions of the ACHMP will reflect changes in cultural heritage requirements, technology and legislation. The Observed correspondence with Aboriginal parties on ACHMP revision Compliant review and revision process is to be conducted in partnership with the registered Aboriginal parties and the registered Aboriginal parties will be afforded the opportunity to provide comment on the revised draft ACHMP before its finalisation and submission to DP&I. The ACHMP will be a living document and it will be possible to make amendments as addendums in the periods between the ACHMP revisions. The addendums will be provided to OEH and DP&I for approval if they include Noted Noted substantial revisions. Other Reporting Requirements 8.13

As the salvage and monitoring program for the WWC COA project will be undertaken as a staged process as long wall mining progresses, a single report that covers all of the tasks (survey, monitoring, salvage and remediation) WWC reports on activities required by this ACHMP within the Annual Review, which are detailed within Sections 7.0 and 8.0 of this ACHMP will not be possible until long wall mining is completed. Compliant provided to these departments. Therefore, it is proposed that annual reports will be provided to the OEH and DP&I within the relevant Annual Review for all applicable tasks.

It is also proposed that a report will be provided to the OEH and DP&I at the conclusion of the survey of the SSCA to be undertaken as an offset for this project. At this time inter-site comparisons will be made between those sites located within the SSCA and those within the WWC COA to understand if there are other sites in the Satisfied by the Intergenerational Equity Statement of Significance, Umwelt 2014. Compliant SSCA that can be conserved into the future to address intergenerational equity requirements for the Bangalow Creek Grinding Groove sites.

The report that attempts to address the questions posed in the Research Design and Methodology (refer to Appendix 5) and pulls together all of the information from additional surveys will be prepared following the Satisfied by the Archaeological Investigation of Cockle Creek Rock Shelter , Umwelt 2016 completion of the excavation of the Cockle Creek Rockshelter Site with Artefacts and PAD (#38-4-1260) and will Compliant and the Intergenerational Equity Statement of Significance, Umwelt 2014 incorporate information derived from the survey and assessment of the COA, and of the survey of the broader SSCA.

Resourcing Registered Aboriginal 8.14 Parties for Review

WWC will commit to providing adequate resources to the registered Aboriginal parties to remunerate them for No evidence of RAPs not receiving payment during audit period. Compliant their expertise and time in reviewing reports and providing information for inclusion in reports.

This will also include (with agreement of WWC) covering the costs of any reasonable additional resources that No evidence to the contrary during audit period. Compliant may be needed to allow the registered Aboriginal parties to provide the required services.

Aboriginal Cultural Heritage Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan

Effective May 2016

Document Number WWC SD PLN 0054 (V8)

1. Introduction Purpose and Scope 1.2

The purpose of this Air Quality and Greenhouse Gas Management Plan (the Plan) is to: provide a description of the measures to be implemented by WWU to mitigate air quality and greenhouse gas impacts and to detail air quality and greenhouse gas monitoring requirements associated with WWU; provide a mechanism for assessing air quality monitoring results against the relevant air quality impact assessment criteria; provide employees and This was noted, however the audit did not require a finding to be made on this point. Noted contractors with a clear and concise description of their responsibilities in relation to air quality and greenhouse gas management during the operation of the mine; address the relevant conditions of the Project Approval for the WWCCOP (Section 1.3.1); and address all relevant commitments made in the WWCCOP Environmental Assessment (EA) (Umwelt, 2010).

Environment Protection Licence 1.3.2 Air quality monitoring at WWU will be undertaken in accordance with Environment Protection Licence (EPL) 1360 conditions. As per EPL 1360 Compliant A list of the EPL conditions which are relevant to this plan is provided in Appendix 3. Stakeholder Consultation 1.4 Regarding this Document Any future revisions of this plan will be updated in consultation with DP&E. Any revisions of this plan will not be This version of the Management Plan triggered by this condition. Noted provided to government agencies other than DP&E for comment, unless specifically requested by DP&E.

2. Part 1 - Air Quality Air Quality Management 2.4 WWU is committed to implementing all reasonable and feasible air quality mitigation measures, to reduce the potential impact of the operation on sensitive receivers. WWU will also maintain awareness of new technologies This was noted, however the audit did not require a finding to be made on this point. Noted for air quality mitigation through participation in relevant industry groups including but not limited to, The Lake Macquarie City Council Air Quality Reference Group established in early 2014. In order to mitigate any potential air quality impacts from the operation, a number of air quality management controls will be implemented throughout the life of the operation. These controls are detailed in Section 2.4.1 to This was noted, however the audit did not require a finding to be made on this point. Noted Section 2.4.4. Operational Controls 2.4.1 The effectiveness of dust controls will continue to be evaluated throughout the operation of WWU (Section Air quality has been acceptable within the audit period - attributable to the below dust 2.4.2.8). Additional dust management controls, including new technologies, will be investigated and Compliant mitigation measures. implemented where practicable. In addition to the controls detailed above, OCAL will also implement the following controls outlined in Section This was noted, however the audit did not require a finding to be made on this point. Noted 2.4.2.1 to 2.4.2.9 for specific areas and activities undertaken for the WWCCOP. Unsealed Roads 2.4.2.1

WWU will implement the following management controls to mitigate dust emissions from unsealed roads: - ripping and revegetation of obsolete roads; - unsealed access roads with high traffic volumes will be sealed, chemically stabilised or regularly watered; - hardstand areas with ‘frequent mobile equipment activity’ will be chemically stabilised or regularly watered (where required); and Air quality has been acceptable within the audit period - attributable to the employment of Compliant - apply preventative measures where practicable to prevent material being deposited on haul roads, such as: the noted dust mitigation measures. - avoid overloading which could result in spillage; - provide for storm water drainage to prevent water erosion onto stabilised unsealed roads; and - prevent wind erosion from adjacent open areas through the use of wind breaks, vegetative stabilisation or chemical sealing of ground where possible.

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan Sealed Roads 2.4.2.2

WWU will implement the following management controls to mitigate dust emissions from sealed roads: - application of preventative measures where practicable to prevent material being deposited on roads, such as: - pave, chemically stabilise or regularly water access points where unsealed traffic surfaces adjoin sealed roads; Most of these items verified during site observations, cessation of operations resulted in Not able to be - prevent wind erosion from adjacent open areas through the use of wind breaks, vegetative stabilisation or the inability to verify all of these measures. Verified chemical sealing of ground; - avoid overloading of trucks which could result in spillage; - provide for storm water drainage to prevent water erosion onto sealed roads; - periodic visual inspections of road surface silt loadings by trained personnel.

Exposed Areas 2.4.2.3 Only clearing of vegetation undertaken during the audit period has been for the expansion WWU is committed to minimising the area of disturbance by restricting the clearance of vegetation and topsoil. of the pit-top dams. Where possible, clearing activities will be limited to the minimum area necessary, with air quality management GDP for work does not include management measures for air quality impacts however Compliant measures implemented to mitigate dust emissions from the exposed areas. clearance area has been keep to the minimum required, and revegetation undertaken as soon as practicably possible. Additionally, rehabilitation and revegetation of disturbed areas will occur as soon as practical, to minimise the potential for windblown dust. Short term stabilisation measures, such as hydromulch, may be used to stabilise Re-vegetation of dam wall undertaken and observed during site visit. Compliant disturbed areas. Access to disturbed or rehabilitated areas will be restricted to prevent further disturbance.

Coal Handling and Stockpiling 2.4.2.4 WWU will implement the following management controls to mitigate dust emissions from during coal handling and stockpiling activities: - minimise double handling of material; Anecdotally all of this has occurred- unable to verify as site was not in operation during the Not able to be - full or partial enclosure of coal conveyors; audit. verified - belt cleaning will be undertaken to remove coal debris from belts; and - visual monitoring of coal stockpiles and coal loading materials, for dust emissions will be conducted by trained personnel. Topsoil Stockpiling 2.4.2.5 WWU will implement the following management controls to mitigate dust emissions from topsoil stockpiling activities: - WWU will seed topsoil stockpiles if they will be in place for greater than three months; No topsoil stockpiling activities in audit period. Not Triggered - topsoil stockpiles will be clearly signposted; and - topsoil stockpiles will, where possible, be gently battered with heights limited to 2m. Camera Technology 2.4.2.6 In addition to the above, WWU has established a camera network for dust management purposes at the WWU pit top facilities. The cameras are used to monitor potential dust generating activities, identify dust sources, and Observed during site visit. Compliant identify when additional controls are required to be utilised. Offsite Odours, Fume and 2.4.2.8 Spontaneous Combustion There are no activities undertaken on site that are likely to generate offsite odours and/or fumes. Similarly, no spontaneous combustion incidents have occurred at WWU during its operations. In the event one of these This has not occurred in the audit period. Not Triggered incidents occurs, WWU will complete an investigation into the cause and implement corrective actions to prevent a reoccurrence (Section 2.6). Continuous Improvement 2.4.3 Where possible, WWU will attempt to implement all reasonable and feasible air quality mitigation measures. The basis for continuous improvement of air quality mitigation measures will be through the ongoing monitoring Ongoing monitoring through camera network and air quality monitoring. of dust impacts and the corrective/preventative action process. Through the development of Compliant corrective/preventative actions, WWU will investigate ways to reduce the air quality impacts generated by the No exceedences attributable to WWC during audit period. operation. See EPL

Additionally, in accordance with the requirements of EPL 1360, WWU prepared a report outlining the existing During the 2013 and 2014 report periods it was reported that dust suppression sprays measures being utilised to minimise particle emissions. The report also identified best practice measures that were utilised, where required, with investigations into the feasibility of undertaking are to be implemented at the site. The report was developed in accordance with the Coal Mine Particulate additional upgrades of the dust management system currently being undertaken. Visual Compliant Matter Control Best Practice – Site Specific Determination Guideline (OEH, 2011) and was submitted to OEH in dust monitoring was also undertaken to determine proactive dust suppression September 2012. Outcomes of the best practice report and the implementation where relevant will be reported requirements (refer to Figure 3.5). In addition, water trucks were utilised for dust in the annual review where required. suppression, where required, and chemical dust suppression utilised on a regular basis.

Monitoring is ongoing.

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan Training 2.4.4 To ensure the effective implementation of this Plan, all WWU personnel and contractors working on the WWU pit top or other surface locations, will be advised of air quality management requirements through the WWU site familiarisation induction. Training is also to be provided to employees as part of regular environmental Verified in Site Familiarisation training package. Compliant awareness training to enforce the importance of air quality management. Additional air quality management training will be provided to personnel and contractors who require specific skills or knowledge relating to dust impacts and mitigation, as required.

Air Quality Monitoring Program 2.5.1

To assess compliance against dust deposition and dust concentration criteria for WWU, depositional dust, TSP and PM10 are routinely monitored at the locations shown on Figure 2.1. Monitoring will involve the utilisation of OCAL’s existing Air Quality Monitoring Network, which caters for the WWU air quality monitoring requirements. The frequency of air quality monitoring undertaken is detailed in Table 2.4.

As per Annual Reviews 2013, 2014 and 2015. Compliant

Monitoring is undertaken in accordance with EPL and Project Approval conditions, which specify required methods of sampling, analysis and frequency of monitoring (Tables 2.1 to Table 2.3). Specific details of each type This was noted, however the audit did not require a finding to be made on this point. Noted of monitoring to be undertaken are provided in Sections 2.5.1.1 to 2.5.1.3. Dust Concentration 2.5.1.1 As shown in Figure 2.1, the following dust concentration monitors (high volumes air samplers) will be utilised: one high volume air sampler measuring PM10 concentration; and one high volume air sampler measuring TSP concentrations. As per Carbon Based Environmental Pty Ltd monthly reports. Compliant The units will be operated in accordance with OEH’s ‘Approved methods for the sampling and analysis of air The depositional gauges are operated to the Australian Standard AS3580.10.1 pollutants in NSW’ (EPA, 2007) which refers to Australian Standards AS/NZS 3580.9.3:2003 and AS/NZS 3580.9.7:2009. Dust Deposition 2.5.1.2 A network of dust deposition gauges has previously been installed in the area surrounding WWU for other OCAL operations. This network comprises seven dust deposition gauges which are utilised to monitor dust emissions As per Carbon Based Environmental Pty Ltd Reports and Annual Reviews 2013, 2014 and Compliant from WWU (Figure 2.1). Results obtained from these dust deposition gauges will be reported in the WWU 2015. Annual Review. Dust deposition monitoring will be undertaken in accordance with OEH’s ‘Approved methods for the sampling The depositional gauges are operated to the Australian Standard AS3580.10.1, this is the Compliant and analysis of air pollutants in NSW’ (EPA, 2007) which refers to Australian Standard AS/NZS 3580.9.3:2003. correct reference in the standard, the AQGGMP quotes the wrong part of the AS. Meteorological Monitoring 2.5.1.3 WWU has an operational meteorological weather station at the WWU pit top (Figure 2.2). The location of the weather station facilitates the capture of data that is representative of the area subject to potential dust emissions. The weather station consists of instruments and a data-logging system to monitor the following parameters: - wind speed at 10 metres above ground; Non-compliant met station, 10m sensors are located at 13m. Not Compliant E 1 Medium - wind direction at 10 metres above ground; - sigma-theta from sampled wind direction measurements; - temperature at 2 metres and 10 metres above ground; and - rainfall. The weather station will be maintained and operated in accordance with the OEH’s ‘Approved methods for the Sighted Annual Sentinex Weather Station Calibration Report for March 2016. sampling and analysis of air pollutants in NSW’ (EPA, 2007) which refers to Australian Standard AS Compliant Compliant with these maintenance standards. 3580.14:2011. Compliance Assessment Protocol 2.5.2

In the event of an exceedance of the impact assessment criteria provided in Table 2.1 to Table 2.3, WWU will investigate and report the exceedance in accordance with Section 2.6. The investigation undertaken by WWU will involve an assessment of WWU’s likely contribution to any identified exceedances of air quality criteria. No exceedences of AQ criteria in the audit period. Not Triggered External reporting regarding air quality related environmental incidents will be undertaken in accordance with the process outlined in Section 2.6.1. In addition, in the event that a landowner considers that WWU is exceeding air quality criteria at his or her property, the landowner may request an independent review of the air quality impacts at the property. The No such event in the audit period. Not Triggered independent review process is outlined in Section 2.7.

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan

Environmental Incidents 2.6.1 Air quality results (summary) presented in Annual Reports 2013, 2014 and 2015. All environmental incidents will be investigated by the OCAL Environment and Community Manager or their Compliant delegate. Any exceedances of air quality criteria will be reported in the Annual Review. No exceedences attributable to WWC during audit period. In addition, reporting of environmental incidents is required in accordance with Condition 7, Schedule 6 of the Project Approval, which states: ‘The Proponent shall notify the Secretary and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. For any Sighted notification correspondence and formal reports submitted to EPA and DP&E for Compliant other incident associated with the project, the Proponent shall notify the Secretary and any other relevant incidents within audit period. agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of the date of the incident, the Proponent shall provide the Secretary and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’ In accordance with amendments to the POEO legislation, WWU must, within 14 days of receipt of monitoring No exceedences of AQ criteria in the audit period Not Triggered data relating to a pollution incident, make the data available on the WWU website. In addition, in accordance with Condition 1 of Schedule 5 of the Project Approval, as soon as practicable after obtaining monitoring results showing an exceedance of air quality criteria in Schedule 4, WWU will: notify affected landowners in writing of the exceedance, and provide regular monitoring results to each affected No exceedences of AQ criteria in the audit period Not Triggered landowner until the project is again complying with the relevant criteria; and send a copy of the NSW Health fact sheet entitled ‘Mine Dust and You’ to the affected landowners and/or tenants of the land (including tenants of any mine-owned land). Unforeseen Impacts Protocol 2.6.2

In the event of unforeseen impacts associated with air quality at WWU surface facilities, the following protocol will be implemented: - conduct a preliminary review of the nature of the impact, including: - any relevant monitoring data; and - current mine activities and land use practices; No unforeseen impacts during audit period. Not Triggered - commission an investigation into the unforeseen impact to confirm cause and effect and consider relevant options for amelioration of impact(s) as appropriate; - prepare an action plan in consultation with the relevant stakeholders; - mitigate causal factors where possible; and - implement additional monitoring as necessary to measure the effectiveness of the controls implemented.

The outcomes of the investigations into any unforeseen impacts and the controls / remediation actions No unforeseen impacts during audit period Not Triggered implemented will be undertaken in consultation with DP&E and OEH and will be reported in the Annual Review.

External Reporting 2.6.3

A summary of air quality monitoring results will be provided in the WWU Annual Review, in accordance with Condition 4 of Schedule 6 of the Project Approval (Appendix 1):

By the end of March each year (or other such timing as agreed by the Secretary), the WWC shall submit a review of the environmental performance of the project to the satisfaction of the Secretary. This review must: - describe the works (including any rehabilitation) carried out in the past calendar year, and the works proposed to be carried out over the current calendar year; - include a comprehensive review of the monitoring results and complaints records of the project over the past calendar year, which includes a comparison of these results against the: Summary of air quality monitoring results presented in Annual Reviews 2013, 2014 and Compliant - relevant statutory requirements, limits or performance measures/criteria; 2015. - monitoring results of previous years; and - relevant predictions in the EA; - identify any non-compliance over the past calendar year, and describe what actions were (or are being) taken to ensure compliance; - identify any trends in the monitoring data over the life of the project; identify any discrepancies between the predicted and actual impacts of the project, and analyse the potential cause of any significant discrepancies; and - describe what measures will be implemented over the current calendar year to improve the environmental performance of the project.

In addition, any significant findings regarding the implementation of this plan will be reported in the Annual Review. The Annual Review will also document complaints relating to the performance, maintenance and/or Annual Reviews 2013, 2014 and 2015. Compliant failure of the air quality management controls. Air quality monitoring results will also be made publicly available on the WWU website in accordance with Schedule 6, Condition 11 of the Project Approval. WWU will update these results regularly in accordance with EPL monthly monitoring data available on website. Compliant the relevant legislation.

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan Community Complaints and 2.6.4 Consultation Complaints relating to air quality management at WWU will be managed in accordance with WWC SD PRO 0036 Community Complaint and Environmental Incident Management Procedure. This will include initial contact with the complainant within 24 hours of receiving the complaint, as well as a detailed investigation into the cause of No complaints related to AQ management received during audit period. Not Triggered the complaint. Outcomes of the investigation will be developed in corrective/preventative actions to reduce the likelihood of further complaints. A summary of complaints will be available to regulatory authorities on request and provided in the Annual Complaints included, when received in Annual Reviews. Compliant Review. Air quality management issues of interest to the community will be addressed in regular Community Consultative Committee (CCC) meetings in accordance with Condition 6 of Schedule 6 of the Project Approval. CCC meetings will be conducted in general accordance with the Guidelines for Establishing and Operating Sighted in presentation delivered to CCC by E&C Manager. Compliant Community Consultative Committees for Mining Projects (Department of Planning, 2007, or its latest version). Specific issues relating to individual landowners and residents will be addressed directly by the OCAL Environment and Community Manager (or delegate) as required. A community complaints register is kept online at www.westwallsendcolliery.com.au and updated monthly Verified on website. Compliant where required. Monitoring Records 2.6.5 In accordance with EPL condition M1 and as per WWU document control procedures, monitoring records will be Records are kept as per this condition. Compliant maintained onsite for at least 4 years. Independent Review Process 2.7

In the event that a landowner considers that WWU is exceeding air quality criteria at his or her property, the landowner may request an independent review of the air quality impacts at the property. The independent review will be conducted in accordance with the procedure described in Schedule 5, Conditions 2 and 3 of the Project Approval. The procedure is summarised as follows: 1. WWU receives a request from a landowner for an independent review of the air quality impacts at the residence; 2. WWU provides the Secretary of the DP&E with a copy of this request; 3. If the Secretary of the DP&E confirms that the request is reasonable, then WWU, in consultation with the Secretary of the DP&E, appoints a suitably qualified person to undertake an independent review; 4. The independent review would include consultation with the affected landowner to determine their concerns No such request in the audit period. Not Triggered and air quality monitoring over a suitable period of time and over a suitable range of meteorological conditions; 5. A copy of the results of the independent review would be provided to the landowner and Secretary of the DP&E by WWU; and 6. Depending on the results of the independent review, actions will be pursued in accordance with the Project Approval conditions. These actions are summarised as follows: If the independent review finds exceedances of air quality criteria due to the WWU operation, WWU will take all reasonable and feasible measures to reduce air quality impacts and/or will come to an agreement with the landowner; If the independent review finds that exceedances of air quality criteria are due in whole to a source other than WWU then no further action is required by WWU.

3. Part 2 – Greenhouse Gas Purpose 3.1 The objectives of this Greenhouse Gas Management Plan are to ensure that appropriate procedures and programs of work are implemented at WWU to: - establish a monitoring system to assess greenhouse gas and energy use performance; This was noted, however the audit did not require a finding to be made on this point. Noted - detail all reasonable and feasible measures to minimise greenhouse gas emissions from the site; provide a mechanism to assess monitoring results against greenhouse gas and energy use reporting criteria; and - manage greenhouse gas related community complaints in a timely and effective manner. National Greenhouse and Energy 3.3.1 Reporting System WWU are required to report greenhouse emissions in accordance with the National Greenhouse Gas and Energy Reporting System (NGERS). The National Greenhouse and Energy Reporting Act 2007 (the NGER Act) requires Site data reported monthly in corporate database individual sites to report greenhouse gas emissions, energy consumption and energy production, via the NGERS reporting done by Glencore corporate Emissions and Energy Reporting System (EERS), if one of the following threshold criteria is met: Compliant - the site generates greenhouse gases (Scope 1 and Scope 2) in excess of 25,000 tCO2e; or Confirmation of reporting sighted for 12/13, 13/14, 14/15 - the site consumes in excess of 100TJ of energy; or - the site produces in excess of 100TJ of energy. Greenhouse Gas Performance 3.3.2 Measures WWU commits to developing and reporting on its greenhouse gas intensity (tCO2e/ROM tonne) and energy use Reported monthly internally via GCP (Glencore Corporate Practice). Compliant intensity (GJ/ROM tonne) indicators on an annual basis.

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan WWU’s energy efficiency target will continue to be refined based on the outcomes of monitoring and following continuous improvement processes to ensure all reasonable and feasible measures are implemented to reduce No targets established Not Compliant E 1 Medium energy consumption. Emissions Sources 3.4.1 WWU will implement reasonable and feasible management controls to mitigate Scope 1 and Scope 2 Initiatives were identified for GG reduction but none were funded. Not Compliant D 1 Medium greenhouse gas emissions associated with the site. Design Controls 3.4.2

As WWU is an existing mining operation, WWU will primarily focus on identifying, evaluating and implementing operational greenhouse gas management controls throughout the life of the project. No new projects plant or infrastructure in the audit period Not Applicable Additionally, energy and greenhouse gas reduction opportunities will be considered during the design phase of any new projects, plant or infrastructure that may be required for WWU’s remaining life of mine.

Procurement 3.4.3 Site procurement processes require all procurements to be approved via an Application for Expenditure Process No new projects plant or infrastructure in the audit period to trigger assessment of (AFE). The process includes a requirement to assess the environmental impact of the procurement. WWU will Not Applicable environmental impacts of procurement. include an assessment of energy efficiency for AFE’s for major projects and purchases. Corporate Controls 3.4.4 Glencore has developed a Climate Change Strategy and 5-year plan that will be reviewed annually to ensure continuous improvement. In the short term, Glencore will focus on the following issues to underpin the Climate Change Strategy: improving the greenhouse and energy reporting performance at each site; and prioritising a CC Strategy does not exist Not Compliant D 1 Medium pipeline of greenhouse gas abatement projects across the business based on Marginal Abatement Cost Curve (MACC) analysis. Site Controls 3.4.5 Glencore requires all sites to review their life of mine planning on an annual basis. As part of this process, sites are required to forecast future greenhouse gas emissions and review greenhouse gas and energy reduction This was not done. Not Compliant E 3 Low opportunities. Fugitive Emissions 3.4.5.1 Management controls to address fugitive emissions will be evaluated by Glencore as part of an annual planning This was noted, however the audit did not require a finding to be made on this point. Noted process for allocating capital expenditure across the Division. Industrial Processes 3.4.5.3 The installation of SF6-free switch gear will be considered in line with Glencore’s procurement process as new No new switchgear has been purchased in the audit period Not Triggered switch gear is installed and/or replaced. Prioritising GHG Management 3.4.6 Controls Through the annual monitoring, review and planning cycle, WWU will generate and evaluate greenhouse gas Sighted spreadsheet identifying and prioritising GHG minimisation measures. management controls, where opportunities present or become available. Greenhouse gas management controls Compliant will be prioritised based on a review process. All measures were not implemented due to cost. WWU will review greenhouse gas management options following the identification of any energy use or All opportunities identified were not implemented due to cost, bringing into question greenhouse gas emissions reduction opportunities from the completion of site reviews, audits and inspections. WWCs commitment to "implementing all reasonable and feasible greenhouse gas Not Compliant D 1 Medium The prioritisation process will assist operational planning and support a transparent process for demonstrating management controls" WWU’s commitment to implementing all reasonable and feasible greenhouse gas management controls. Greenhouse Gas Monitoring 3.5.1 WWU will monitor greenhouse gas emissions, energy use and energy production through direct monitoring and modelling from operational data. The greenhouse gas monitoring program will require direct measurement of Direct measurements from ventilation fans. Compliant fugitive emissions and the collation of activity data such as energy use, coal production and waste disposal. Monitoring Standards 3.5.1.1 WWU will utilise relevant Glencore NGERS Protocols when monitoring greenhouse emissions and activity data. Verified during audit visit. Compliant

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan Monitoring Program 3.5.1.2 Greenhouse gas and activity use data is monitored for multiple purposes at WWU through established systems. Table 3.3 outlines how greenhouse gas and energy use monitoring will be achieved across multiple systems.

This was noted, however the audit did not require a finding to be made on this point. Noted

Monitoring Records 3.5.1.3 To comply with the NGER Act, WWU is required to retain records of energy consumption, energy production, emissions data and estimations for a minimum of seven years from the end of the reporting period in which the Observed on AQS database Compliant activities took place. WWU has developed procedures for the collection and retention of data to maintain compliance with the legislative requirements of the NGER Act. Reporting 3.6 WWU will report greenhouse gas emissions and energy use both internally and externally. Internal reporting systems allow divisional groups to evaluate the performance of energy efficiency programs and comply with corporate greenhouse reporting requirements (NGERs is reported at a corporate level). Internal reporting allows Observed during site visit Compliant Glencore to evaluate SD Programs and report SD performance externally in programs such as the Global Reporting Index (GRI). Internal Reporting 3.6.1 Glencore maintains a global reporting system. Glencore Corporate Practice (GCP) and Air Quality System (AQS) are web based systems for collecting data and reporting sustainable development performance. As a subsidiary Reported monthly internally via GCP (Glencore Corporate Practice) - observed during site Compliant of Glencore, OCAL must update the reporting system at prescribed intervals. WWU will report greenhouse gas visit. activity data internally via the internal reporting systems. External Reporting 3.6.2 WWU will report its annual greenhouse gas emissions via EERS, which is a Commonwealth Government website. Satisfied by NGERS reporting. Compliant GHG emissions from WWU will be reported as a single facility. Management of Unpredicted 3.6.3 Emissions WWU will identify unpredicted emissions by comparing its accumulated emissions, with the original greenhouse GHG emissions reported - but no comparison to EA Not Compliant E 3 Low gas projections completed for the WWCCOP EA (Umwelt, 2010). Not able to verify comparison - not done. Management of Non- 3.6.4 Compliances External reporting of GHG performance, including the identification of greenhouse gas management controls Completed at a corporate level rather than a site level. Compliant implemented at WWU (Section 3.4.6), will be undertaken by OCAL in accordance with Section 3.6.2.

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Air Quality and Greenhouse Gas Management Plan

4. Review and Improvement Ongoing monitoring and review on the performance and implementation of this plan will be undertaken in accordance with WWU Environmental Management Strategy.

In accordance with Condition 5 of Schedule 6, WWU shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Secretary , within 3 months of the submission of: Sighted Management Plan Revision Notification letter submitted to DP&E in accordance (a) the submission of an annual review under condition 4 above; Compliant with this condition for 2013, 2014 and 2015. (b) the submission of an incident report under condition 7 below; (c) the submission of an audit report under condition 9 below; and (d) any modification to the conditions of this approval (unless the conditions require otherwise),

the Proponent shall review, and if necessary revise, the strategies, plans, and programs required under this approval to the satisfaction of the Secretary . The Environment and Community Manager (or delegate) will review and if necessary, revise this plan and resubmit to DP&E every year or earlier if required. A copy of the revised plan will be supplied to the Secretary of Sighted Management Plan Revision Notification letter submitted to DP&E in accordance DP&E for approval. The plan will reflect changes in environmental requirements, technology and operational Compliant with this condition for 2013, 2014 and 2015. procedures. Updated versions of the approved plan will be made publicly available on the WWU website (http://www.westwallsendcolliery.com.au/).

Air Quality and Greenhouse Gas Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan Effective November 2013 WWC SD PLN 0052 (V5) Improvement and Maintenance 4.2 of Ecological Values

For the effective management, maintenance and improvement of ecological values at WWC, the following 4.2 Section 3.6 AR 2013, Section 3.6 AR 2014, Section 6.3 AR 2015 Compliant specific control measures have been implemented for the continued underground mining area: - Understanding existing flora and fauna characteristics prior to any new disturbance through the undertaking Baseline data collected during 2010 Environmental Assessment (Umwelt, 2010) Compliant of baseline studies at feasibility and baseline phases; Sealing of cracks has been slow over the past 3 years due to grouting incident and planning/trials.

- Rehabilitation of disturbed land and subsidence impacts as soon as practical; Grouting distances too long which caused issues. Some rehab works happening earlier this Compliant year but sand was causing issues with blockages.

Some cracks have 'self-healed' due to the delays. Soil and erosion risks are assessed as part of the remediation GDP process. - Ensuring appropriate erosion and sediment control systems are in place to prevent damage to flora and fauna Each ponded area is assessed as part of the post subsidence inspection and then has an Compliant from erosion and ponding as a result of subsidence; and ecological inspection regime to note changes over time. - Annual monitoring of flora and fauna species and habitats. West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 Compliant Disturbance Activities 5.1 Further discussion regarding the potential impact associated with each of the activities listed above is included in the EA (Umwelt, 2010). The management of the impacts associated with these activities is outlined in Section 6.0 below, and have also been detailed in the EA (Umwelt, 2010a), Response to Submissions (Umwelt, 2010b) 5.1 2010 Environmental Assessment (Umwelt, 2010) Compliant and subsequent letters to DP&I and OEH dated 6 April 2011, 2 September 2011 and 16 September 2011. The letters provided additional information to DP&I and OEH regarding the mitigation of potential impacts associated with secondary workings in the continued underground mining area. Section 1.1 AR 2013, Section 1.1 AR 2014, Section 3 AR 2015. WWC has been granted a licence by OEH to undertake subsidence monitoring and remediation works within the 5.1 SSCA. The licence requires these works to be undertaken as per the management measures described in the EA Compliant Consent to undertake activities provided by OEH - Installation of Subsidence Monitoring (Umwelt 2010). Lines LW51 and LW52 (OEH Consent Conditions) 6. Ecological Management Controls In the first instance, the plan to mitigate impacts to potential sensitive areas such as EECs and creek lines will be Impacts to EEC minimised through design. Impacts to Diega creek avoided with areas of to avoid impact. However, where impacts cannot be avoided, the following sections detail the process required Compliant low depth of covers. to manage potential impacts to identified ecological values. Management of Disturbance 6.2 Activities

Some trimming of trees required for access to Bark Blower truck. Access to canopy for helicopter required trimming. Foot track constructed to provide access - removal of low Additional activities potentially resulting in clearing of minor quantities of vegetation within the SSCA are shrubs. 6.2 outlined in Section 5.0. The predictions of no significant impacts (as discussed in the EA) will be assessed Compliant through the ongoing implementation of the WWC biodiversity monitoring program (refer to Section 8.0). Ground Disturbance Permits (GDPs) Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation

Any disturbance activities within vegetated areas will be managed in accordance with the WWC clearance for work procedure. It is a requirement of the clearance for work procedure that due diligence surveys be Ground Disturbance Permits (GDPs) 6.2 completed for the clearing of previously undisturbed vegetation (refer to Section 6.2.1). In addition, any works Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines involving the clearance of vegetation within the SSCA (as identified in Section 5.0) will require the permission of Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation Compliant OEH. OEH Consents for works in SSCA No vegetation clearance though some tree trimming occurred to allow access of talller Due diligence inspections will have a focus on the identification of potential presence of threatened flora species 6.2 vehicles on established access tracks. black-eyed Susan (Tetratheca juncea) and small-flower grevillea ( Grevillea parviflora subsp. parviflora).

Any requirement to clear habitat trees will also trigger the habitat tree felling procedure, as described in Section 6.2 Supervision of Tree Felling: Dam Expansion (Klienfelder 2014) Compliant 6.2.2.

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan Due Diligence Requirements 6.2.1 Where it is necessary to disturb areas of native vegetation, the following due diligence processes will be 6.2.1 implemented: Due diligence inspections will be completed by a suitably qualified ecologist to identify any significant ecological features at the site and to advise of any required management and mitigation measures; Ground Disturbance Permits (GDPs) Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Compliant Disturbance to native vegetation communities will be limited to the minimum area required; Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation Areas of known ecological significance will be avoided where possible. These include areas containing known records of threatened species, endangered populations and TECs. Hollow-bearing trees will be retained where possible, where this is not possible the habitat tree felling procedure will be utilised (refer to Section 6.2.3);

Processes in place to determine appropriate distances - e.g. for subsidence monitoring lines vegetation is only trimmed down to 300mm above the surface to allow threatened Appropriate disturbance setbacks to known or identified significant ecological features will be established where species to survive Compliant possible; and Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines

The offsetting of vegetation impacts (refer to Section 9.4.1), will be required to be followed when any surface works are undertaken that have had a significant impact on the ecological values of the continued underground 6.2.1 No offset strategy required during this audit period Not Triggered mining area, greater than predicted in the WWCCOP EA (Umwelt, 2010). The due diligence process will also identify the requirement for appropriate mitigation/offsetting measures.

As part of the due diligence assessment process, any works that may potentially disturb habitat for threatened Ground Disturbance Permits (GDPs) 6.2.1 species, would first need to justify that there would be no impact on these species by means of assessments of Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Compliant significance under both State and Commonwealth legislation respectively. Ecological Due Diligence Assessment – Long wall 51 and 52 Subsidence Crack Remediation

Tree Felling 6.2.2 If clearance is required, works would be managed in a manner that will allow for the least amount of vegetation 6.2.2 clearance as possible. The tree felling procedure for WWC is outlined in Figure 5. This procedure cannot be undertaken without the 6.2.2 prior completion of the clearance for work process and a due diligence inspection. Habitat tree felling inspections/surveys must be undertaken prior to clearing of habitat trees identified through 6.2.2 the pre-clearing survey.

After Felling Habitat Trees eg. Supervision of Tree Felling: Dam Expansion (Klienfelder 2014) Compliant - following felling, habitat trees will be inspected for remaining or injured fauna species and to ensure that no hollows are blocked against the ground. If hollows are blocked against the ground, the tree may be rolled 6.2.2 (where safe and practical) to ensure that any fauna remaining in hollows are able to escape; - all felled habitat trees will remain in place for one night to allow any fauna still in hollows to move on; and - felled habitat trees will be inspected for hollows, cracks and crevices suitable for salvage and installation in surrounding remnant vegetation, preferably in areas of regenerating vegetation.

Subsidence Remediation Works 6.3 While subsidence is predicted to occur across the continued underground mining area, subsidence impacts are Impacts of subsidence on ecological values recorded in West Wallsend Biodiversity 6.3 not expected to compromise the ecological values and integrity of the SSCA and a detrimental impact is not Compliant Monitoring Reports 2013, 2014, 2015 expected. LW51 and 52 Subsidence Monitoring Program Subsidence Monitoring Program LW44 Stage 1 A monitoring program for subsidence works will be undertaken (as detailed in Section 8.2) to identify potential 6.3 Subsidence Monitoring Program LW44 Stage 2 Compliant impacts to ecological values. LW41 Subsidence Monitoring Program LW45 Subsidence Monitoring Program

The need to remediate subsidence impacts will be assessed on a case by case basis and take into consideration Process WWC has for prioritising rehabilitation of subsidence impacts; potential risks to public safety and the environment. If a subsidence crack is not within a drainage line, or does - GIS dataset for cracking not present a safety risk or risk to the environment, the crack will be left to naturally fill with sediment to - Priority ranking based on public risk 6.3 Compliant prevent further clearing/disturbance works associated with the remediation. If a crack does require remediation, - Includes estimation of volume the method of remediation will be selected to minimise the potential disturbance to the surrounding - Ancillary information environment. - Detected via site walkovers by site geotechs. Lidar used for surface deformation only

In the event that minor cracking is observed that requires remediation (particularly along drainage lines with a lower depth of cover) the OCAL clearance for work process will be followed as outlined in Section 6.2, to Sighted GDP for Long wall 51 and 52 Crack remediation, including archaeological and 6.3 Compliant minimise the potential for impacts upon sensitive ecological features and water flows within the creek (refer to ecological due diligence reports. WWC Water Management Plan).

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan Where possible, existing tracks will be utilised to access areas requiring crack remediation, however, due to the extensive vegetation cover and remote nature of the areas, new access tracks may be required. If required, new 6.3 access tracks will be constructed so as to minimise the potential impact on ecological features and to reduce the No access tracks constructed during the audit period. Not Triggered amount of vegetation that would be disturbed or removed as a result of earthworks. Any clearance will be undertaken in accordance with the tree felling procedure identified in Section 6.2.2. Works will also be undertaken in accordance with the existing WWC Subsidence Management Plans and 6.3 Subsidence Crack Remediation Procedure. Typically the remediation will involve grouting or backfilling with inert As per management plans Compliant fill and compaction of the affected area. Remediation Works 6.4 WWC will undertake remediation works within the SSCA to a value of $50,000 per annum for the life of the 6.4 Verified as compliant in Statement of Commitments Compliant Project, in consultation with OEH, as required by statement of commitments condition 6.4.2. The funding of remediation works will result in improved ecological value in the SSCA and improve the condition of EECs and threatened species habitats within the continued underground mining area. Further details Noted 6.4 regarding in-stream works and remediation of subsidence cracking that will be undertaken for creeks within the There was no remediation of creeks in the audit period as there was no significant Noted continued underground mining area are included within WWC Water Management Plan (written as part of the subsidence related impacts in the audit period. Extraction Plan). General Ecological Actions for 6.5 the SSCA

The following weed management methods will be undertaken in areas where surface activities have been Section 3.8 AR 2013, Section 3.8 AR 2014, Section 6.3.2 AR 2015. 6.5 required as a result of the underground operations (e.g. exploration sites or subsidence remediation areas): Recommended weed control works for the report period were completed in accordance Compliant The implementation of weed management measures including hand removal, mechanical removal in authorised with the Weed Action Plan for OCAL operations, Hunter Land Management 2014. areas when favourable conditions prevail; and Monitoring and inspections of areas to assess the effectiveness of the weed control activities and to ascertain Kleinfelder Annual Weed Action Plan 2016 the requirement for further work. Erosion and sediment control works may be undertaken by WWC within the continued underground mining 6.5.2 area. Prior to the installation of Erosion and sediment controls, the WWC Clearance for Work procedure will be GDP includes E&S trigger Compliant undertaken.

The erosion and sediment control measures that will be implemented to counter potential erosion and sediment 6.5.2 See Water Management Plans Compliant impacts will be undertaken in accordance with the WWC Water Management Plan.

7. Management of Habitats and Communities Black-eyed Susan (Tetratheca 7.1.1 juncea) To minimise the risks associated with impacts to the species, the following management recommendations will be undertaken: - due diligence inspections as outlined in Section 6.2 will be completed by a suitably qualified ecologist to Black-eyed Susan monitoring results included in Biodiversity Monitoring Reports 2013, 7.1.1 identify any significant ecological features at the site and to advise of any required management and mitigation Compliant 2014, 2015 measures; and - targeted surveys at the locations shown in Figure 6 for this species will be undertaken between the months of July and December as a part of WWC annual biodiversity monitoring, as per Section 8.2.3.1;

Previous studies have identified impacts to the black-eyed Susan ( Tetratheca juncea ) in the Southern Coalfields as a result of anaerobic soils resulting from coal seam gas emissions through cracks above mined areas. This is not No areas of connective cracking identified as a result of mining operations. 7.1.1 predicted to occur in the continued underground mining area, as these types of impacts have not been observed Compliant in previously mined areas at WWC. However, if any impact is observed through monitoring undertaken (refer to West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 Section 8.2.3.1), impacts will be reported to OEH in accordance with the process identified in Section 9.0.

In the event that unpredicted, adverse impacts on black-eyed Susan ( Tetratheca juncea ) are identified during management and monitoring of the continued underground mining area, WWC will investigate appropriate No adverse impacts observed during monitoring. 7.1.1 Compliant remediation and mitigation requirements, in consultation with the relevant government authorities (refer to West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 Section 9.0). In the event that significant impacts on ecological values are identified and cannot be adequately remediated, 7.1.1 WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset Strategy in No offset strategy required Compliant consultation with OEH and DP&I.

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan Small-Flower Grevillia (Grevillia 7.1.2 parviflora subsp. parviflora)

To minimise the risks associated with impacts to the species, the following management recommendations will be undertaken: - due diligence inspections as outlined in Section 6.2 will be completed by a suitably qualified ecologist to Small-Flower Grevillia monitoring results included in Biodiversity Monitoring Reports 2013, 7.1.2 identify any significant ecological features at the site and t advise of any required management and mitigation Compliant 2014, 2015. measures; and - targeted surveys at the locations shown in Figure 6 for this species will be undertaken between the months of July and December as a part of WWC annual biodiversity monitoring, as per Section 8.2.3.1.

In the event that unpredicted, adverse impacts on small-flower grevillea are identified during management and No adverse impacts observed during monitoring. 7.1.2 monitoring of the continued underground mining area, WWC will investigate appropriate remediation and Compliant West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 mitigation requirements, in consultation with the relevant government authorities (refer to Section 9.0). In the event that significant impacts on ecological values are identified and cannot be adequately remediated, 7.1.2 WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset Strategy in No offset strategy required Compliant consultation with OEH and DP&I. Regent Honeyeater (Anthochaera 7.1.3 phrygia) To minimise the risks associated with impacts to the species, the following management recommendations will be undertaken; Regent Honeyeater recorded opportunistically at EEC1 site. This site was monitored in 2013 - biodiversity monitoring will continue to be undertaken at this monitoring location until at least 2015, as per 7.1.3 and 2014, discontinued 2015 Compliant Table 8.2; West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 - in the event further observations of this species are made, WWC will consult with OEH regarding further management measures. Endangered Ecological 7.2 Community Management Ongoing monitoring of this community (as detailed in Section 8.5.3) will be undertaken to ensure that no EEC1 site monitored in 2013 and 2014, discontinued 2015 significant impacts are occurring as a result of the continued mining operations. If negative impacts to this EEC are identified during management and monitoring of the continued underground mining area, WWC will Due to redesign of the long-wall panels there is no undermining of the EEC and therefore 7.2 investigate appropriate remediation and mitigation requirements, in consultation with the relevant government Compliant no direct impacts. authorities. In the event that significant impacts on ecological values are identified and cannot be adequately remediated, WWC will engage a qualified ecologist to prepare a Biodiversity Offset Strategy in consultation with 2014 monitoring report has two sites located in the EEC. OEH and DP&I. Groundwater Dependent 7.4 Ecosystems

Although no significant impacts are expected to occur to GDEs as a result of subsidence related impacts 7.4 (Umwelt, 2010), an ecological monitoring program will continue to be undertaken (refer to Section 8.0) to West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 Compliant identify any significant impacts within the continued underground mining area.

7.4 WWC will additionally undertake remediation works within SSCA (refer to the WWC Water Management Plan). Noted Noted 8. Monitoring Background and Baseline Data 8.1 It is proposed to build on WWC’s previous monitoring schedule as mining progresses. Sites will be added to the monitoring schedule with the advancement of mining into each new long wall and sites will be removed from Section 1.1 BMR 2013, Section 1.1 BMR 2014, Section 1.1 BMR 2015. 8.1 the monitoring schedule once it can be demonstrated that subsidence impacts have resulted in no discernible Compliant No new monitoring sites added in 2015 as LW 51 and 52 are final LW panels to be mined. impact on the vegetation and fauna characteristics of the sites. Proposed monitoring locations are shown on Figure 6. Two biodiversity monitoring sites occur above each of the long wall panels and are to be Monitoring sites will be preferentially located in areas where subsidence impacts are predicted to be greatest, 8.1 monitored annually for at least two years prior to and post mining (5 years in total) - Compliant and will be monitored on a regular basis. Biodiversity Monitoring Report 2013. Baseline monitoring surveys will be undertaken for each of the below monitoring categories, prior to 8.1 Baseline data collected during 2010 Environmental Assessment (Umwelt, 2010) undermining occurring. This will assist in the: Understanding of existing flora and fauna characteristic prior to new development; Sites established in conjunction with progress of long wall mining so pre-mining data sets Rehabilitation of disturbed and subsided land; Compliant can establish baseline data - BMR 2013, BMR 2014. Ensure appropriate erosion and sediment control systems are in place to prevent damage to flora and fauna from erosion and unnatural flooding events; and No new monitoring sites added in 2015 as LW 51 and 52 are final LW panels to be mined. Seasonal comparative monitoring of flora and fauna species and habitats.

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan Flora Monitoring 8.2 At each of the monitoring locations (refer to Figure 6), a 400 square metre (20 x 20 metre) vegetation survey plot will be established and sampled in order to assess flora diversity and abundance. The locations of these Permanent flora monitoring plots consisting of a 20 metre by 20 metre plot (400 m²) 8.2 vegetation plots have been selected in order to sample each of the key vegetation communities identified along Compliant established - BMR 2013, 2014, 2015. the long wall panel. The condition of the vegetation at the site will also be determined. Baseline flora monitoring for each plot will be undertaken at least two years prior to undermining occurring as requested by OEH. Each site will be recorded via GPS to enable accurate location of the vegetation plot. At each site, a qualified ecologist will identify all vascular flora species present within the plot. Species within the plot will be assigned a GPS locations taken for the centre of the monitoring plots. Cover abundance of flora cover-abundance value to reflect their relative cover and abundance in the plot. A modified Braun-Blanquet 6- 8.2 species within each plot was recorded using the modified Braun-Blanquet cover- Compliant point scale (see Table 8.1) will be used to estimate cover-abundances of all plant species within each plot. abundance scale - BMR 2013, 2014, 2015. Species located outside the plot will be marked as being present, however will not be assigned a cover- abundance value. Comparison with previous remnant vegetation monitoring will be made and the results evaluated to determine Results of vegetation surveys compared in Section 3 BMR 2013, Section 3 BMR 2014, 8.2 Compliant if the mining and subsidence related impacts are detrimentally affecting remnant vegetation communities. Section 3 BMR 2015

Table 8.2 presents the proposed ecological monitoring schedule for long wall panels. This timeline may be 8.2 subject to change in the event that there are delays in mining works (refer to Figure 6 for monitoring locations).

West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 Compliant

As a result of recent discussions with OEH it is recommended that ecological monitoring at each site is undertaken two years prior to long wall mining and for two years post mining. It is assumed that each long wall 8.2 Methodology confirmed in BMRs 2013, 2014, 2015. Compliant takes one year or less to mine and therefore each site requires five years of monitoring. Ecological monitoring may need to be extended if long wall mining takes longer than one year to complete a panel. Photo Monitoring 8.2.1 Photo monitoring will be undertaken for each vegetation monitoring site identified in Figure 6. These photos will Photo monitoring methodology used for 2013, 2014 and 2015 monitoring. (verified in 8.2.1 be used for comparison to previous years over time, and to identify changes in the floristic composition and Compliant BMRs) structure of sites.

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan Threatened Flora Species and 8.2.2 EEC Monitoring

In addition to the Biodiversity monitoring sites, ecological community and threatened In addition to the remnant vegetation monitoring indicated in Section 8.3, four additional monitoring sites will species monitoring is undertaken at EEC1 (undermined Alluvial Tall Moist Forest along 8.2.2 be established (Figure 6) for the purposes of specifically assessing the impacts of long wall mining on threatened Diega Creek), EEC2 (non-undermined Alluvial Tall Moist Forest along Diega Creek)and Tj1 species and EECs. These sites include: (black-eyed Susan). - BMR 2013 Compliant Sites Gparv 1 and Gparv 2 added 2014 for the monitoring of small flowered grevillea. - BMR 2014 One black-eyed Susan ( Tetratheca juncea ) monitoring site; One small-flowered grevillea (Grevillea parviflora subsp. parviflora) monitoring site; Gparv 2 monitoring site was moved in 2015. BMR 215 Two Riparian Paper Park – Peppermint Forest EEC in Palmer Creek Catchment; and Two River flat Eucalypt Forest on Coastal Floodplain EEC sites in Diega Creek Catchment. These sites will be established above these long wall panels at least two years prior to mining and will be 8.2.2 monitored for at least two years post mining to determine any impacts as a result of long wall mining.

The Black-eyed Susan (Tetratheca juncea) monitoring site is located in an area where subsidence impacts are predicted to be the greatest and will be monitored on an annual basis. General observations regarding the health and presence of weed species etc will also be recorded. Details will also be recorded on presence of surface cracks, water ponding, gas venting, or other surface impacts.

Photo monitoring will be undertaken in this monitoring plot from a permanent monitoring location. The monitoring data from this site will be compared to baseline black-eyed Susan (Tetratheca juncea) monitoring West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 Compliant undertaken in the Westside Mine Voluntary Conservation Agreement (VCA) area. Monitoring techniques undertaken for small-flower grevillea (Grevillea parviflora subsp. parviflora) will be similar to those undertaken for black-eyed Susan (Tetratheca juncea) above. Two additional monitoring plots will also be established in Alluvial Tall Moist Forest. One of these sites will be established in an area to be undermined, and the other will be established in an area not proposed for undermining, to allow for comparison of mining affectation against baseline conditions within this community. These plots will employ the same monitoring techniques as those proposed for the general remnant vegetation monitoring as well as assessment for the presence of surface cracks or surface water ponding. Fauna Monitoring 8.3 While all species may be impacted by potential subsidence to some degree, species dependent on drainage lines and those with low mobility and small home ranges will be most significantly impacted. Consequently fauna 8.3 This was noted, however the audit did not require a finding to be made on this point. Noted monitoring will be reflective of this; for each monitoring site identified in Figure 6. Herpetofauna monitoring will be undertaken as indicated below. Diurnal Herpetofauna Survey 8.3.1

Two diurnal herpetofauna surveys, consisting of one person hour on two separate days, will be conducted at each of the monitoring sites during each monitoring event. Likely microhabitats will be examined, such as under 8.3.1 rocks and logs, in bark at the base of trees, ground litter, around water sources and in man-made features. Methodology confirmed in BMRs 2013, 2014, 2015. Compliant Amphibian species will be identified from visual observation and vocal calls. Reptiles will be identified based on visual observation.

Nocturnal Herpetofauna Survey 8.3.2

Two nocturnal herpetofauna surveys, consisting of one person hour on two separate nights, will be conducted at each of the monitoring sites during each monitoring event using spotlights. Likely microhabitats will be 8.3.2 examined, such as under rocks and logs, in bark at the base of trees, ground litter, around water sources and in Methodology confirmed in BMRs 2013, 2014, 2015. Compliant man-made features. Amphibian species will be identified based on visual observation and vocal calls. Reptiles will be identified based on visual observation.

Habitat Assessment 8.3.4 A fauna habitat assessment will be undertaken at each of the monitoring locations. The results of the monitoring will be analysed and compared to previous survey results to determine general population trends. In the event 8.3.4 Methodology confirmed in BMRs 2013, 2014, 2015. Compliant that negative trends are identified indicating the decline of particular threatened species, appropriate amelioration measures will be developed.

In the event that further threatened species are identified within the monitoring locations the monitoring No further threatened species identified in West Wallsend Biodiversity Monitoring Reports 8.3.4 Compliant program will incorporate surveys to adequately assess and monitor these species, where appropriate. 2013, 2014, 2015

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan Subsidence Monitoring Program 8.4

A number of subsidence monitoring lines will be installed to determine subsidence impacts on the landscape. These subsidence monitoring lines are installed prior to mining particular long walls and are installed in Ecological Due Diligence Assessment - Long wall 51 & 52 Subsidence Monitoring Lines Compliant accordance with a valid access license provided by the OEH prior to works.

The impacts of subsidence on existing creek beds within the continued mining area are monitored and managed Ecological Monitoring Ponded Area Above Long wall 42 Sugarloaf State Conservation Area Compliant in accordance with the Water Management Plan for WWC, included as part of the Extraction Plan. (Klienfelder 2014)

Existing subsidence monitoring strategies will be continued for the life of the project and include: - undertaking inspections and maintenance of the Great North Walk and other public infrastructure, prior to, during and post mining, in accordance with the Built Features Management Plan developed as part of the Extraction Plan for the continued underground mining area; As per Subsidence Monitoring Program, Built Features Management Plans, geotech and - undertaking inspections and remediation in accordance with subsidence monitoring required by the WWC Compliant post-remediation inspections. WMP (part of the WWC Extraction Plan)and the WWC subsidence crack remediation procedure; - communicating inspection results to the respective stakeholders; and - any impacts identified during inspections will result in the development of a remediation strategy, in consultation with the relevant stakeholders. Rehabilitation Monitoring 8.5 Program Locations within the continued underground mining area where rehabilitation or remediation works have been undertaken will be monitored on a regular basis in accordance with site procedures until they are considered to 8.5 No works undertaken during this audit period Not Triggered be self sustaining and no longer requiring management. Monitoring of these areas will include visual inspections and photo monitoring.

The results of the ecological monitoring and management measures will be reviewed annually and reported in the Annual Review (refer to Section 9.2). Management measures will be adapted, as required, on the basis of 8.5 monitoring outcomes. Amendments to ecological management processes may be undertaken to improve the Verified in AR 2013, 2014, 2015. Compliant ecological value of the continued underground mining area (refer to Section 4.2). Amendments to management processes may be undertaken in light of any findings of the ecological monitoring identified in Section 8.0.

9. Reporting and Review Environmental Incidents 9.1 All environmental incidents will be investigated to a level commensurate to their risk level in consultation with 9.1 the OCAL Environment and Community Manager. All environmental incidents are to be reported annually in the Summary of environmental incidents reported in AR 2013, 2014, 2015. Compliant Annual Review. 9.1 The written report to DP&I, OEH and any other relevant government agencies will include the following details: The date, time and nature of the incident; No ecology/rehab incident reports relevant within the audit period. Compliant Identify the likely cause of the incident; Description of the response action that has been undertaken to date; and Description of the proposed measures to address the incident. External Reporting 9.2 An annual Ecological Monitoring Report will be prepared and will document the monitoring methods and results from the monitoring outlined in Section 8.0. This report will provide a comparison of the data collected with previous year’s results as well as include management recommendations and ameliorative methods for ongoing 9.2 Methodology confirmed in BMRs 2013, 2014, 2015. Compliant biodiversity management of WWC. The results of the ecological monitoring and management measures will also be reported in the Annual Review. Management measures will be adapted, as required, on the basis of monitoring outcomes. Review 9.3 Ongoing monitoring and review on the performance and implementation of this BMP will be undertaken in Recommendations to assist OCAL in the continual improvement 9.3 Compliant accordance with WWC Environmental Management Strategy. of their biodiversity management practices have been made in BMP's 2013, 2014, 2015.

In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Director-General, within 3 months of AR 2013, 2014, 2015 the submission of: 9.3 (a) The submission of an annual review; Results and recommendations of monitoring incorporated into subsequent years' Compliant (b) The submission of an incident report; monitoring programs - West Wallsend Biodiversity Monitoring Reports 2013, 2014, 2015 (c) The submission of an audit report; and Where plans were revised, they were submitted for director generals approval (d) Any modification to the conditions of this approval (unless the conditions require otherwise).

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery Biodiversity Management Plan The Environment and Community Manager (or delegate) will review and if necessary, revise this BMP and resubmit to DP&I every year or earlier if required. Any changes made to the BMP as a result of the review will be made in consultation with OEH. A copy of the revised BMP will be supplied to the Director-General of DP&I for 9.3 Evidenceprovided of review of BMP and submission to DP&E in 2013, 2014, 2015. Compliant approval. The BMP will reflect changes in environmental requirements, technology and operational procedures. Updated versions of the approved WMP will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/). Corrective Actions 9.4 In the event that unpredicted, adverse impacts on ecological values are identified during management and monitoring of the continued underground mining area, WWC will respond to the issues identified and engage appropriate experts where required. WWC will investigate all appropriate remediation and mitigation 9.4 No adverse impacts on ecological values identified within the audit period. Compliant requirements, in consultation with the relevant government authorities. In the event that significant impacts on identified ecological values are identified and cannot be adequately remediated, WWC will develop a Biodiversity Offset Strategy in consultation with OEH and DP&I (refer to Section 9.4.1). Biodiversity Offset Strategy In the event that significant impacts on identified ecological values are identified and cannot be adequately 9.4.1 remediated, WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset Strategy in consultation with OEH and DP&I.

The proposed Biodiversity Offset Strategy for a particular impact or situation will be assessed on a case by case Offset strategy not required as a result of works undertaken during this audit period Not Triggered 9.4.1 basis in consultation with OEH and DP&I.

The trigger for the requirement of the Biodiversity Offset Strategy will be through the ecological monitoring 9.4.1 outlined in Section 8.0. Training 9.5 Included in site familiarisation and remediation works. The identification of known threatened flora and fauna species will be made part of the ongoing training process for personnel at WWC, through general environmental awareness training. Relevant personnel will be provided Induction slides sighted. Compliant with information regarding the identification of threatened flora and fauna species through the induction and site familiarisation process. Due diligence process identifies threatened species/community locations for avoidance/minimisation strategies.

Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Biodiversity Management Plan Effective September 2015 Document Number WWC SD PLN 0149 (V4) 6. Ecological Management Controls

In the first instance, the plan to mitigate impacts to potential sensitive areas such as EECs and creek lines will be to avoid impact. However, where impacts cannot be avoided, the following sections detail the process required to manage potential impacts to identified ecological values. Impact to EECs caused by undermining avoided through modification of Mine Plan. For the effective management, maintenance and improvement of ecological values at WWC, the following specific control measures have been implemented for mining activities: No significant impacts caused by undermining creek lines. 6 Compliant - understanding existing flora and fauna characteristics prior to any new disturbance through the undertaking of Annual monitoring and baseline data verified in BMRs 2013, 2014, 2015. baseline studies at feasibility and baseline phases; - rehabilitation of disturbed land and subsidence impacts as soon as practical; Rehabilitation and remediation reported in ARs 2013, 2014, 2015. - ensuring appropriate erosion and sediment control systems are in place to prevent damage to flora and fauna from erosion and ponding as a result of subsidence; and - annual monitoring of flora and fauna species and habitats.

Management of Disturbance 6.2 Activities Any disturbance activities within vegetated areas will be managed in accordance with the WWC ground 6.2 All works undertaken in vegetated area undertaken in adherence with relevant GDP. Compliant disturbance procedure. In accordance with the ground disturbance procedure, due diligence surveys will be completed for the clearing Sighted GDP for drilling of bore hole and installation of extensometer above LW51 - 6.2 of previously undisturbed vegetation as required (refer to Section 5.2). In addition, any works involving the Compliant included due diligence surveys and CRA as required. clearance of vegetation within the SSCA (as identified in Section 5.0) will require the permission of OEH. Any requirement to clear habitat trees will also trigger the habitat tree felling procedure, as described in Section 6.2 Not Triggered Not Triggered 6.2.2. Due Diligence Requirements 6.2.1

In accordance with the OCAL Ground Disturbance process, due diligence surveys will be completed for the clearing of previously undisturbed vegetation as required and may include the following:

- due diligence inspections will be completed by a suitably qualified ecologist to identify any significant ecological features at the site and to advise of any required management and mitigation measures; 6.2.1 - disturbance to native vegetation communities will be limited to the minimum area required; areas of known GDP triggered for any vegetation clearance. Compliant ecological significance will be avoided where possible. These include areas containing known records of threatened species, endangered populations and TECs. Hollow-bearing trees will be retained where possible, where this is not possible the habitat tree felling procedure will be utilised (refer to Section 6.2.2); and - appropriate disturbance setbacks to known or identified significant ecological features will be established where possible.

As part of the due diligence assessment process, any works that may potentially disturb habitat for threatened Undertaken where required through engagement of (Kleinfelder as in example sighted) an 6.2.1 species, would first need to justify that there would be no significant impact on these species by means of ecological consultant. Compliant assessments of significance under both State and Commonwealth legislation respectively. Tree Felling 6.2.2 One tree felling event during audit period: relevant to the expansion of the pit-top dams The tree felling procedure for WWC is outlined in Figure 5. This procedure cannot be undertaken without the (December 2014). 6.2.2 Compliant prior completion of the ground disturbance process and a due diligence inspection. Tree Felling ecological due diligence report sighted from Kleinfelder.

Habitat tree felling inspections/surveys must be undertaken prior to clearing of habitat trees identified through the pre-clearing survey. The purpose of the inspections is to:

- minimise potential impacts from clearing of habitat trees on threatened fauna species; identify fauna within Sighted tree felling inspection reports conducted for above tree felling event (December Compliant habitat trees and recommend management actions to minimise impact on these species; 2014). - provide guidance regarding completion of the habitat tree felling form; - identify habitat features for salvage (hollow logs, fallen timber and boulders); - and capture and relocation to nearby secure habitat by a suitably qualified person.

LW51 and LW52 Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Biodiversity Management Plan

It is recommended that the time lapse between the clearing of non-habitat trees and habitat trees be kept to no more than one week. If this timeframe is not possible, then the habitat tree must be shaken by heavy machinery As per above reports - all surrounding vegetation was cleared the day prior to tree-felling in Compliant the day before felling, as well as prior to felling, in order to create as much disturbance as possible to encourage order to create disturbance. fauna to vacate hollows prior to felling.

After felling habitat trees the following will be undertaken: Sighted correspondence confirming ecologist (Kleinfelder) was on site during event - Habitat trees will be inspected for remaining or injured fauna species and to ensure that no hollows are (December 2014). blocked against the ground. If hollows are blocked against the ground, the tree may be rolled (where safe and practical) to ensure that any fauna remaining in hollows are able to escape; "Prior to and during felling, the trees were observed from the ground to detect any fauna Compliant - all felled habitat trees will remain in place for one night to allow any fauna still in hollows to move on; activity. Once the trees were felled the nest and stag were inspected for occupying fauna. - and felled habitat trees will be inspected for hollows, cracks and crevices suitable for salvage and installation in No hollows were identified in the stag and no fauna were detected in the nest or stag at surrounding remnant vegetation, preferably in areas of regenerating vegetation. the time of felling."

Habitat trees that have been felled due to disturbance activities will be offset by the installation of artificial hollows at a 2:1 ratio (artificial hollow:hollow). Installation of artificial hollows will be undertaken as soon as No hollows in felled tree Not Triggered practical after tree felling. Subsidence Remediation Works 6.3

In the event that minor cracking is observed that requires remediation (particularly along drainage lines with a lower depth of cover) the OCAL Ground Disturbance Process will be followed as outlined in Section 6.2, to Sighted GDP for Long wall 51 and 52 Crack remediation, including archaeological and Compliant minimise the potential for impacts upon sensitive ecological features and water flows within the creek (refer to ecological due diligence reports. WWC Water Management Plan).

If required, new access tracks will be constructed so as to minimise the potential impact on ecological features and to reduce the amount of vegetation that would be disturbed or removed as a result of earthworks. Any No access tracks constructed during the audit period. Not Triggered clearance will be undertaken in accordance with the tree felling procedure identified in Section 6.2.2.

Works will also be undertaken in accordance with the existing WWC Subsidence Management Plans and Subsidence Crack Remediation Procedure. Typically the remediation will involve grouting or backfilling with inert As per management plans Compliant fill and compaction of the affected area.

General Ecological Management 6.4 Actions for the SSCA

The following weed management methods will be undertaken in areas where surface activities have been required as a result of the underground operations: Weed control reported in Section 3.8 AR 2013, Section 3.8 AR 2014, Section 6.3.2 AR 2015. - the implementation of weed management measures including hand removal, mechanical removal in 6.4 Compliant authorised areas when favourable conditions prevail; Kleinfelder Annual Weed Action Plan 2016 - and monitoring of areas to assess the effectiveness of the weed control activities and to ascertain the requirement for further work.

Prior to the installation of Erosion and Sediment Controls, the WWC Ground Disturbance Procedure will be GDP includes E&S trigger Compliant undertaken. The Erosion and Sediment Control measures that will be implemented to counter potential erosion and See Water Management Plans Compliant sediment impacts will be undertaken in accordance with the WWC LW 51 and LW 52 Water Management Plan.

Threatened Species Management 6.5.1 No extra management actions required as the result of the identification of Koala and In the event that additional threatened species are identified in the Project Area, this BMP may need to be Rufus Fantail within the project area - no Koala habitat or feed trees identified in the areas Compliant revised to include the appropriate management of these species. undermined by LW51 and LW52. Black-eyed Susan (Tetratheca 6.5.2 juncea)

To minimise the risks associated with impacts to the species, the following management recommendations will be undertaken. As per Ecological Due diligence Assessment sighted for LW 51 and 52 Subsidence Crack - due diligence inspections as outlined in Section 6.2 will be completed by a suitably qualified ecologist to Remediation works (unlikely to be significant impacts). Compliant identify any significant ecological features at the site and to advise of any required management and mitigation measures; and As per Biodiversity Monitoring Program Reports. - targeted surveys at the locations shown in Figure 6 for this species will be undertaken between the months of July and December as a part of WWC annual biodiversity monitoring, as per Section 7.1;

LW51 and LW52 Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Biodiversity Management Plan

However, if any impact is observed through monitoring undertaken (refer to Section 7.2), impacts will be No adverse impacts on black-eyed Susan identified during annual Biodiversity Monitoring Not Triggered reported to OEH in accordance with the process identified in Section 8.0. Programs.

In the event that unpredicted, adverse impacts on black-eyed Susan (Tetratheca juncea) are identified during No adverse impacts on black-eyed Susan identified during annual Biodiversity Monitoring management and monitoring of the Project Area, WWC will investigate appropriate remediation and mitigation Not Triggered Programs. requirements, in consultation with the relevant government authorities (refer to Section 8.0).

In the event that significant impacts on ecological values are identified and cannot be adequately remediated, Not impact associated with LW51 and 52 within audit period - note impacts of VBM event, WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset Strategy in Compliant and associated compliance, discussed elsewhere as relevant. consultation with OEH and DP&E. Small-Flower Grevillea (Grevillea 6.5.3 parviflora subsp. parviflora)

Annual biodiversity monitoring program 2015 included Gparv1 and Gparv2 during the month of October 2015. To minimise the risks associated with impacts to the species, the following management recommendations will be undertaken: due diligence inspections as outlined in Section 6.2 will be completed by a suitably qualified The Gparv2 site was moved during the 2015 survey at the request of LMCC and is now ecologist to identify any significant ecological features at the site and to advise of any required management and located on a western facing slope in the southern section of LW 51. Compliant mitigation measures; and targeted surveys at the locations shown in Figure 6 for this species will be undertaken between the months of July and December as a part of WWC annual biodiversity monitoring, as per Section 7.2. Potential impacts considered in ecological due diligence assessment undertaken by Kleinfelder for the LW51 and 52 Subsidence Crack Remediation (unlikely to be significant impacts).

In the event that unpredicted, adverse impacts on small-flower grevillea are identified during management and No adverse impacts on small flower grevillea identified during annual Biodiversity monitoring of the Project Area, WWC will investigate appropriate remediation and mitigation requirements, in Not Triggered Monitoring Programs. consultation with the relevant government authorities (refer to Section 8.0). In the event that significant impacts on ecological values are identified and cannot be adequately remediated, WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset Strategy in Not Triggered within audit period - outside of VBM event as discussed previously Compliant consultation with OEH and DP&E. Regent Honeyeater (Anthochaera 6.5.4 phrygia) To minimise the risks associated with impacts to the species, the following management recommendations will EEC1 site monitoring discontinued 2014. be undertaken. - WWC will maintain an accurate database for all known records of the regent honeyeater. This database will Two post-mining monitoring events were undertaken in Sept 2013 and Sept 2014 then be utilised for any proposed future works; and Not Compliant - biodiversity monitoring will continue to be undertaken at this monitoring location until at least 2015, as per Section 7.2 specifies two years post mining monitoring - This section contradicts Section Administrative Table 7.2; 7.2. Therefore an administrative non-compliance applies. - in the event further observations of this species are made, WWC will consult with OEH regarding further management measures. Data base used when completing GDP due diligence assessments Endangered Ecological 6.5.5 Community Management Ongoing monitoring of EECs (as detailed in Section 7.5) will be undertaken to ensure that no significant impacts are occurring as a result of the mining. If negative impacts to EECs are identified during management and monitoring, WWC will investigate appropriate remediation and mitigation requirements, in consultation with No negative impacts on EECs identified in BMR or Ars 2013, 2014, 2015 Not Triggered the relevant government authorities. In the event that significant impacts on ecological values are identified and cannot be adequately remediated, WWC will engage a qualified ecologist to prepare a Biodiversity Offset Strategy in consultation with OEH and DP&E. Groundwater Dependent 6.7 Ecosystems (GDE) No GDEs identified in project area. Although no significant impacts are expected to occur to GDEs as a result of subsidence related impacts, an 6.7 ecological monitoring program will continue to be undertaken (refer to Section 7.0) to identify any significant Not Triggered No vegetation community occurring in the Project Area is considered likely to be impacts within the Project Area as a result of subsidence induced ponding or otherwise. dependent on groundwater resources (Aurecon 2013). 7. Monitoring

Background and Baseline Data 7.1

It is proposed to build on WWC’s previous biodiversity monitoring schedule as mining progresses. Sites will be Verified in 2013 and 2014 BMPs; Due to the progression of long wall mining at West added to the monitoring schedule with the advancement of mining into each new long wall and sites will be Wallsend, seven new monitoring sites were added in 2014 including site 21 (long wall 46), removed from the monitoring schedule once it can be demonstrated that subsidence impacts have resulted in site 22 (long wall 46), Grevillea parviflora subsp. parviflora 1 (Gparv1) (long wall 46), site 29 Compliant no discernible impact on the vegetation and fauna characteristics of the sites. Proposed monitoring locations are (long wall 51), Grevillea parviflora subsp. parviflora 2 (Gparv2) (long wall 51), site 31 (long shown on Figure 6. wall 52) and site 32 (long wall 52). Monitoring sites 20 and 23 were added in 2013.

LW51 and LW52 Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Biodiversity Management Plan

Monitoring sites will be preferentially located in areas where subsidence impacts are predicted to be greatest, This was noted, however the audit did not require a finding to be made on this point. Noted and will be monitored on a regular basis. Baseline monitoring surveys will be undertaken for each of the below monitoring categories, prior to undermining occurring. This will assist in the: - understanding of existing flora and fauna characteristic prior to impacts; Seasonal comparative monitoring is not possible under the current monitoring regime - rehabilitation of disturbed and subsided land; Noted however woas conducted for the EA. - ensure appropriate erosion and sediment control systems are in place to prevent damage to flora and fauna from erosion and unnatural flooding events; and - seasonal comparative monitoring of flora and fauna species and habitats. Flora Monitoring 7.2

At each of the monitoring locations (refer to Figure 6), a 400 square metre (20 x 20 metre) vegetation survey plot will be established and sampled in order to assess flora diversity and abundance. The locations of these Permanent flora monitoring plots consisting of a 20 metre by 20 metre plot (400 m²) vegetation plots have been selected in order to sample each of the key vegetation communities identified along Compliant established - BMR 2013, 2014, 2015. the long wall panel. The condition of the vegetation at the site will also be determined. Baseline flora monitoring for each plot will be undertaken at least two years prior to undermining occurring, as requested by OEH.

Each site will be recorded via GPS to enable accurate location of the vegetation plot. At each site, a qualified ecologist will identify all vascular flora species present within the plot. Species within the plot will be assigned a GPS locations taken for the centre of the monitoring plots. Cover abundance of flora cover-abundance value to reflect their relative cover and abundance in the plot. A modified Braun-Blanquet 6- species within each plot was recorded using the modified Braun-Blanquet cover- Compliant point scale (see Table 7.1) will be used to estimate cover-abundances of all plant species within each plot. abundance scale - BMR 2013, 2014, 2015. Species located outside the plot will be marked as being present, however will not be assigned a cover- abundance value. Comparison with previous remnant vegetation monitoring will be made available in the Annual Review. The Results of vegetation surveys compared in Section 3 BMR 2013, Section 3 BMR 2014, results will be evaluated to determine if the mining and subsidence related impacts are detrimentally affecting Compliant Section 3 BMR 2015 remnant vegetation communities. Ecological monitoring at each site is undertaken two years prior to long wall mining and for two years post mining. It is assumed that each long wall takes one year or less to mine and therefore each site requires five Methodology confirmed in BMRs 2013, 2014, 2015. Compliant years of monitoring. Ecological monitoring may need to be extended if long wall mining takes longer than one year to complete a panel. Photo Monitoring 7.2.1 Photo monitoring will be undertaken for each vegetation monitoring site identified in Figure 6. These photos will Photo monitoring methodology used for 2013, 2014 and 2015 monitoring. (verified in be used for comparison to previous years over time, and to identify changes in the floristic composition and Compliant BMRs) structure of sites. Threatened Flora Species and 7.2.2 EEC Monitoring

The existing Black-eyed Susan (Tetratheca juncea) monitoring site is located in an area where subsidence impacts are predicted to be the greatest and will be monitored on an annual basis. General observations regarding the health and presence of weed species etc will also be recorded. Details will also be recorded on presence of surface cracks, water ponding, gas venting, or other surface impacts. Photo monitoring will be The monitoring is conducted but no comparison with the VCA area could be provided. Not Compliant E 4 Low undertaken in this monitoring plot from a permanent monitoring location. The monitoring data from this site will be compared to baseline black-eyed Susan (Tetratheca juncea) monitoring undertaken in the Westside Mine Voluntary Conservation Agreement (VCA) area.

Fauna Monitoring 7.3 While all species may be impacted by potential subsidence to some degree, species dependent on drainage lines and those with low mobility and small home ranges will be most significantly impacted. Consequently fauna This methodology is noted in the Annual Biodiversity Monitoring Reports. Compliant monitoring will be reflective of this; for each monitoring site identified in Figure 6. Diurnal Herpetofauna Survey 7.3.1

Two diurnal herpetofauna surveys, consisting of one person hour on two separate days, will be conducted at each of the ecological monitoring sites during each monitoring event. Likely microhabitats will be examined, such as under rocks and logs, in bark at the base of trees, ground litter, around water sources and in man-made Methodology confirmed in BMRs 2013, 2014, 2015. Compliant features. Amphibian species will be identified from visual observation and vocal calls. Reptiles will be identified based on visual observation.

Nocturnal Herpetofauna Survey 7.3.2

Two nocturnal herpetofauna surveys, consisting of one person hour on two separate nights, will be conducted at each of the ecological monitoring sites during each monitoring event using spotlights. Likely microhabitats will be examined, such as under rocks and logs, in bark at the base of trees, ground litter, around water sources and Methodology confirmed in BMRs 2013, 2014, 2015. Compliant in man-made features. Amphibian species will be identified based on visual observation and vocal calls. Reptiles will be identified based on visual observation.

LW51 and LW52 Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Biodiversity Management Plan Habitat Assessment 7.3.3 A fauna habitat assessment will be undertaken at each of the ecological monitoring locations. The results of the monitoring will be analysed and compared to previous survey results to determine general population trends. In Methodology confirmed in BMRs 2013, 2014, 2015. Compliant the event that negative trends are identified indicating the decline of particular threatened species, appropriate amelioration measures will be developed. In the event that further threatened species are identified within the ecological monitoring locations the No extra management actions required as the result of the identification of Koala and monitoring program will incorporate surveys to adequately assess and monitor these species, where Rufus fantail within the project area - no Koala habitat or feed trees identified in the areas Compliant appropriate. undermined by LW51 and 52. Subsidence Monitoring Program 7.4

A number of subsidence monitoring lines will be installed to determine subsidence impacts on the landscape. Conservation Risk Assessments secured from OEH - sighted CCHR1516_08 These subsidence monitoring lines are installed prior to the mining of LW 51 and LW 52, with the lines installed Compliant in accordance with a valid access license provided by the OEH prior to works. lines installed in accordance with Subsidence Monitoring Program.

Subsidence monitoring strategies to be implemented include:

- undertaking inspections and remediation in accordance with subsidence monitoring required by the WWC WMP (part of the WWC Extraction Plan) and the WWC subsidence crack remediation procedure; Verified through audit of Subsidence Monitoring Program Compliant - communicating inspection results to the respective stakeholders; and - any impacts identified during inspections will result in the development of a remediation strategy, in consultation with the relevant stakeholders.

Rehabilitation / Subsidence 7.5 Remediation Monitoring Locations within the Project Area where rehabilitation or remediation works have been undertaken will be monitored on a regular basis in accordance with site procedures until they are considered to be stable, self No works undertaken during this audit period Not Triggered sustaining and no longer requiring management. Monitoring of these areas will include visual inspections and photo monitoring.

The results of the ecological monitoring and management measures will be reviewed annually and reported in the Annual Review (refer to Section 8.2). Management measures will be adapted, as required, on the basis of monitoring outcomes. Amendments to ecological management processes may be undertaken to improve the Verified in AR 2013, 2014, 2015. Compliant ecological value of the Project Area (refer to Section 4.1). Amendments to management processes may be undertaken in light of any findings of the ecological monitoring identified in Section 7.

8. Reporting and Review External Reporting 8.1 An annual Ecological Monitoring Report will be prepared and will document the monitoring methods and results from the monitoring outlined in Section 7. This report will provide a comparison of the data collected with previous year’s results as well as include management recommendations and ameliorative methods for ongoing Methodology confirmed in BMRs 2013, 2014, 2015. Compliant biodiversity management of WWC. The results of the ecological monitoring and management measures will also be reported in the Annual Review. Management measures will be adapted, as required, on the basis of monitoring outcomes. Baseline ecological monitoring data and follow up monitoring data undertaken by consultants will be provided Sighted email from Kleinfelder stating provision of spatial data to OEH under their scientific Compliant to OEH as soon as practical after the monitoring occurs. licensing commitments. Review 8.2 Recommendations to assist OCAL in the continual improvement of their biodiversity management practices have been made in BMP's 2013, 2014, 2015. Ongoing monitoring and review on the performance and implementation of this BMP will be undertaken in Compliant accordance with WWC Environmental Management Strategy. Sighted Management Plan Revision Notification letter submitted to DP&E in accordance with this condition for July 2014 and 2015.

In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Secretary, within 3 months of the submission of: (a) the submission of an annual review; The evidence sighted above was in accordance with this Condition. Compliant (b) the submission of an incident report; (c) the submission of an audit report; and (d) any modification to the conditions of this approval (unless the conditions require otherwise)

LW51 and LW52 Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Biodiversity Management Plan

The Environment and Community Manager (or delegate) will review and if necessary, revise this BMP and resubmit to DP&E every year or earlier if required. Any changes made to the BMP as a result of the review will be made in consultation with OEH. A copy of the revised BMP will be supplied to the Secretary of DP&E for Sighted Management Plan Revision Notification letter submitted to DP&E in accordance Compliant approval. The BMP will reflect changes in environmental requirements, technology and operational procedures. with this condition for 2013, 2014 and 2015. Updated versions of the approved BMP will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/).

Corrective Actions 8.3

In the event that unpredicted, adverse impacts on ecological values are identified during management and monitoring of the Project Area, WWC will respond to the issues identified and engage appropriate experts where required. WWC will investigate all appropriate remediation and mitigation requirements, in consultation with No unpredicted, adverse impacts on ecological values identified in the areas of LW51 and Not Triggered the relevant government authorities. In the event that significant impacts on identified ecological values are 52 during the audit period. identified and cannot be adequately remediated, WWC will develop a Biodiversity Offset Strategy in consultation with OEH and DP&E

Biodiversity Offset Strategy 8.3.1

In the event that significant impacts on identified ecological values are observed and cannot be adequately remediated, WWC will engage a suitably qualified and experienced ecologist to prepare a Biodiversity Offset No significant ecological impacts observed for the areas of LW51 and LW52 Not Triggered Strategy in consultation with OEH and DP&E.

The trigger for the requirement of the Biodiversity Offset Strategy will be through the ecological monitoring Not Triggered Not Triggered outlined.

Training 8.4 The identification of known threatened flora and fauna species will be made part of the ongoing training process for personnel at WWC, through general environmental awareness training. Relevant personnel will be provided Sighted training delivered to contractors working in SSCA. Compliant with information regarding the importance of threatened flora and fauna species through the induction and site familiarisation process.

LW51 and LW52 Biodiversity Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Built Features Management Plan Effective March 2013 Document Number WWC SD PLN 0057 (V4) 1. Introduction

Purpose and Scope 1.2

It is not the intention of this management plan to provide specific detail on the exact monitoring and management methodologies for each built feature. These will be developed in consultation with each This was noted, however the audit did not require a finding to be made on this point. Noted infrastructure owner (based on historical experience with previous long walls) and developed into an individual management plan for built features.

Document Structure 1.3

This BFMP has been prepared as a component of the WWC Extraction Plan (WWC SD PLN 0061), in accordance Verified through the Management Plans for Wakefield RD, M1 Motorway, Services with Condition 5(h) of Schedule 3 of the Project Approval. Easement Management Plan, Transgrid Transmission Towers, GenCom, Telstra MP, LMCC Compliant As described in Section 1.2 above, individual management plans will be developed for built features within the Land MP, etc. subsidence affectation zone for WWC and appended to this BFMP.

2. Planning

Relevant Legislation 2.2

If there are any changes to environmental legislation or standards Xstrata Coal NSW (XCN) will notify WWC and This was noted, however the audit did not require a finding to be made on this point. Noted this document will be reviewed and updated as required. Government Agency 2.3.1 Consultation As detailed in Section 4, further consultation will be undertaken with DRE following the development of built See specific infrastructure management plans for verification. Compliant feature specific management plans prior to subsidence impact. Community Consultation 2.3.2

The WWC Community Consultative Committee (CCC) will be consulted with and provided subsidence monitoring Sighted CCC minutes demonstrating provision of subsidence monitoring results. Compliant results in accordance with the Project Approval.

Built Feature Owner Consultation 2.3.3

Consultation will continue to be undertaken with the built feature owners identified in Section 3 during the Sighted consultation with Caltex, NextGen, RMS and other infrastructure owners during Compliant development of individual subsidence management plans for the long walls. development of BFMP

3. Identification of Built Features

F3 Freeway 3.2

WWC will develop a subsidence management plan specific to the F3 Freeway in consultation with the RMS and RMS F3 Freeway LW44 and LW45 Management Plan Compliant DRE prior to subsidence impacts.

Wakefield Rd 3.3

A subsidence management plan specific to the Wakefield Road is currently being developed for LW44 in Wakefield Rd MP LW 44 and Wakefield Rd MP LW 45 Compliant consultation with the LMCC and MSB. A further plan will be developed for LW45.

Tracks, Fire Trails and Fences 3.6

Subsidence impacts on the dirt access tracks and trails will be managed as outlined in Section 4.6. See Section 4.6 Noted

Landownership 3.7

The management of potential subsidence impacts in the SSCA is incorporated into a Land Management Plan and As per Land Management Plans and PSMP as well as relevant attachments to Built Feature Public Safety Management Plan. Impacts to the F3 Freeway and Wakefield Road will be managed in Compliant Management Plans. infrastructure management plans developed in consultation with the stakeholders and DRE

Built Features Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Built Features Management Plan

4. Subsidence Predictions and Management Measures

Wakefield Rd 4.3

The predicted low levels of subsidence and displacements on Wakefield Road and the Fill Embankment No.2 This was noted, however the audit did not require a finding to be made on this point. Noted from LW44 will be monitored and managed in accordance with Wakefield Road Public Safety Management Plan. Sighted TMP and invoices for 24 hr surveillance undertaken during undermining of Wakefield Rd (2014) WWC will implement the monitoring and measurement measures described in the Wakefield Road Management Sighted daily inspection subsidence report for period of undermining of Wakefield Rd Compliant Plan so the public’s safety and roads serviceability are maintained. (2014)

Sugarloaf State Conservation 4.6 Area

The relevant controls for the SSCA will be implemented for the long walls through the WWC Public Safety Management Plan (WWC SD PLN 0059) and Land Management Plan (WWD SD PLN 058) and include the following: Regular inspections for subsidence cracking and damage to landscape features ; and Prompt Sighted weekly geotech inspections, remediated cracks on access tracks and trails and Compliant remediation of any identified subsidence impacts in accordance with: ongoing monitoring of these remediated cracks. - Subsidence Remediation Procedure (WWC SD PRO 0053); and - Subsidence Grouting Remediation Procedure (WWC SD PRO 0052).

Tracks, Fire Trails and Fences 4.7

These subsidence predictions are likely to result in cracking on access tracks. These impacts are will be remediated by WWC upon identification and will be managed through the implementation of: WWC Land Sighted weekly geotech inspections, remediated cracks on access tracks and trails and Management Plan (WWC SD PLN 0058); WWC Public Safety Management Plan (WWC SD PLN 0059) including ; Compliant ongoing monitoring of these remediated cracks. - Regular inspections for tracks and trails and damage to landscape features; and WWC Subsidence Remediation Procedure (WWC SD PRO 0053)

5. Review and Improvement

External Reporting 5.1

An Annual Review will be prepared in accordance with the Project Approval and will document any activities Verified in Annual Reviews 2013, 2014 and 2015. Compliant undertaken to maintain public safety in accordance with this plan. An End of Panel Report will also be prepared for each long wall and submitted to DRE. The End of Panel Report End of Panel Reports developed and submitted for Long walls except LW52 as it has not yet Compliant will also include a summary of the activities completed in accordance with this plan. been finalised. Review 5.2

Ongoing monitoring and review on the performance and implementation of this document will be undertaken in accordance with WWC Environmental Management Strategy. In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Director-General, within 3 months of Sighted Management Plan Revision Notification letter submitted to DP&E in accordance the submission of: Compliant with this condition for 2013, 2014 and 2015. (a) the submission of an annual review; (b) the submission of an incident report; (c) the submission of an audit report; and (d) any modification to the conditions of this approval (unless the conditions require otherwise) The Built Features Management Plan will reflect changes in requirements, technology and operational procedures. Updated versions of the approved plan will be made publicly available on the WWC website Available on website Compliant (http://www.westwallsendcolliery.com.au/). Adaptive Management 5.3

Some subsidence of road infrastructure, this has been remediated. In the event that unpredicted, adverse impacts on built features are identified during management and monitoring of the continued underground mining area, WWC will respond to the issues identified and engage Example - LW43 had large subsidence impact, installed temporary fencing and employed Compliant appropriate experts where required. WWC will investigate all appropriate remediation and mitigation security guard, geotechnical engineer assessment, ACH groups and ecological due requirements, in consultation with the relevant stakeholders and government authorities. diligence.

Built Features Management Plan Oceanic Coal Australia Pty Limited 2016 West Wallsend Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51 and 52 Built Features Management Plan Effective September 2014 Document Number WWC SD PLN 0129 (V3) 1. Introduction

Purpose and Scope 1.2

It is not the intention of this management plan to provide specific detail on the exact monitoring and management methodologies for each built feature. These will be developed in consultation with each This was noted, however the audit did not require a finding to be made on this point. Noted infrastructure owner (based on historical experience with previous longwalls) and developed into an individual management plan for built features.

Document Structure 1.3

This BFMP has been prepared as a component of the WWC LW 51 and LW 52 Extraction Plan (WWC SD PLN Verified through the Management Plans for Wakefield RD, M1 Motorway, Services 0128), in accordance with Condition 5(h) of Schedule 3 of the Project Approval. Easement Management Plan, Transgrid Transmission Towers, GenCom, Telstra MP, LMCC Compliant As described in Section 1.2 above, individual management plans will be developed for built features within the Land MP, etc. subsidence affectation zone for WWC and appended to this BFMP.

2. Planning

Relevant Legislation 2.2

If there are any relevant changes to environmental legislation or standards WWC will review and this document This was noted, however the audit did not require a finding to be made on this point. Noted will be updated as required. Government Agency 2.3.1 Consultation

As detailed in Section 4, further consultation will be undertaken with DRE following the development of built See specific infrastructure management plans for verification. Compliant feature specific management plans prior to subsidence impact.

Community Consultation 2.3.2

Extensive consultation has been undertaken for the owners of built features during the development of Sighted consultation with Caltex, NextGen, RMS and other infrstructure owners during management plans for previous longwalls. Additionally, the WWC Community Consultative Committee (CCC) has development of BFMP Compliant been consulted with and will be provided subsidence monitoring results in accordance with the Project Approval. Sighted CCC minutes demonstrating provision of subsidence monitoring results.

Built Feature Owner Consultation 2.3.3

Consultation will continue to be undertaken with the built feature owners identified in Section 3 during the As below. Compliant development of individual subsidence management plans for the longwalls.

3. Identification of Built Features

M1 Motorway 3.2

As detailed in Section 4, WWC will develop a subsidence management plan specific to the M1 Motorway in RMS F3 Freeway LW44 and LW45 Management Plan Compliant consultation with the RMS and DRE prior to subsidence impacts.

Tracks, Fire Trails and Fences 3.5

Subsidence impacts on the dirt access tracks and trails will be managed as outlined in Section 4.6. This was noted, however the audit did not require a finding to be made on this point. Noted

Landownership 3.6

The management of potential subsidence impacts in the SSCA is incorporated into a Land Management Plan and Public Safety Management Plan. Impacts to the M1 Motorway and Wakefield Road will be managed in As per Land Management Plans and PSMP as well as relevant attachments to Built Feature Compliant infrastructure management plans developed in consultation with the stakeholders and DRE, as outlined in Management Plans. Section 4.

Built Features Management Plan Oceanic Coal Australia Pty Limited 2016 West Wallsend Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51 and 52 Built Features Management Plan

4. Subsidence Predictions and Management Measures

It is proposed that the potential subsidence impacts of the longwalls will be managed through the review of Sighted emails from RMS, NextGen, LMCC (as examples) verifying consulation with built Compliant these existing subsidence management plans in consultation with each infrastructure owner. feature stakeholders consultation and approvals process.

Wakefield Rd 4.3

Sighted TMP and invoices for 24 hr surveillence undertaken during undermining of Wakefield Rd (2014) WWC will implement the monitoring and measurement measures described in the Wakefield Road Management Sighted daily inspection subsidence report for period of undermining of Wakefield Rd Compliant Plan so the public’s safety and roads serviceability are maintained. (2014)

Sugarloaf State Conservation 4.6 Area

Subsidence impacts on the SSCA above the longwalls are predicted to be limited to surface cracking as described in the Land Management Plan. The relevant controls for the SSCA will be implemented for the longwalls through the WWC Public Safety Management Plan (WWC SD PLN 0132) and Land Management Plan (WWD SD PLN 0150) and include the following: Sighted weekly geotech inspections, remediated cracks on access tracks and trails and - Regular inspections for subsidence cracking and damage to landscape features ; and Compliant ongoing monitoring of these remediated cracks. - Remediation of any identified subsidence impacts in accordance with: - Subsidence Remediation Procedure (WWC SD PRO 0053); - WWC is currently developing updated subsidence cracking remediation procedures in consultation with OEH and these will be implemented if required following the identification of impacts above LW51 and LW52.

Tracks, Fire Trails and Fences 4.7

Based on the predictions for tensile and compressive strain, the worst-case crack widths are estimated to range between 160 mm and 250 mm across the access roads where they pass through tensile and compressive strain zones above each longwall panel. These impacts are will be remediated by WWC upon identification and will be managed through the Sighted remediated crack across access trail as well as monitoring reports for post implementation of: Compliant subsidence remediation. - WWC Land Management Plan (WWC SD PLN 0150); - WWC Public Safety Management Plan (WWC SD PLN 0132) including: - Regular inspections for tracks and trails and damage to landscape features; and - WWC Subsidence Remediation Procedure (WWC SD PRO 0053).

5. Review and Improvement

External Reporting 5.1

Review 5.2

Ongoing monitoring and review on the performance and implementation of this document will be undertaken in accordance with WWC Environmental Management Strategy. In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Secretary, within 3 months of the Sighted Management Plan Revision Notification letter submitted to DP&E in accordance submission of: Compliant with this condition for 2013, 2014 and 2015. (a) the submission of an annual review; (b) the submission of an incident report; (c) the submission of an audit report; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), The Built Features Management Plan will reflect changes in requirements, technology and operational procedures. Updated versions of the approved plan will be made publicly available on the WWC website Available on website. Compliant (http://www.westwallsendcolliery.com.au/). Adaptive Management 5.3

In the event that unpredicted, adverse impacts on built features are identified during management and monitoring of the continued underground mining area, WWC will respond to the issues identified and engage No impacts identified during audit peiod for LW 51 and LW 52. Not Triggered appropriate experts where required. WWC will investigate all appropriate remediation and mitigation requirements, in consultation with the relevant stakeholders and government authorities.

Built Features Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk OCAL Bushfire Management Plan Eco Logical Australia Sep-12 1. Introduction

Purpose and Scope 1.1

OCAL West Wallsend has a regulatory obligation to maintain an effective fire response capability and to control fires on its landholding. To this end, OCAL West Wallsend sought to implement an appropriate Bushfire This was noted, however the audit did not require a finding to be made on this point. Noted Management Plan (BMP). Objectives 1.2

The aim of this plan is to assess fire risks and assets across and adjacent to the Study area, and to identify practical management strategies to reduce the risk of unplanned fire such as to protect life, property and the environment. Operationally, the objectives of fire management within the Study area are to: - Reduce fire ignition potential; - Prevent the spread of fire within and beyond the Study area; and - Provide supporting material and information that will enable bushfire training and preparations for the site This was noted, however the audit did not require a finding to be made on this point. Noted emergency response team.

From a conservation perspective, the objectives of the OCAL BMP are to: - Protect the flora, fauna and vegetation communities within Study area from inappropriate fire regimes and unplanned fire events; and - Utilise fire as a management tool to maintain and enhance native ecosystems, where applicable.

4. Bushfire Risk Assessment Service Infrastructure - 4.2.2 Powerlines

The Bushfire Environmental Assessment Code (BEAC) (RFS 2006b) specifies that at least seven days prior to a planned burn, OCAL must liaise with the local electricity provider to determine when conditions are likely to be Such an event has not occured during the audit period. Not Triggered most suitable to carry out the burn and determine any safety requirements with regard to these powerlines.

Aboriginal Heritage 4.2.5

Any ground disturbance works or hazard reduction works must be undertaken in accordance with the relevant All ground disturbance works undertaken in accordance with GDP procedures which conditions specified in the RFS/OEH document Conditions for Hazard Reduction and Aboriginal Heritage (a include an assessment of potential impact to Aboriginal Heritage. component of the BEAC (RFS 2006b) and the OCAL Cultural Heritage Management Plan (Umwelt 2006). The Compliant guidelines within these documents must be followed even in areas where archaeological sites are not known to Only hazard reduction works undertaken by WWC has been vegetation management occur. Furthermore, it should be noted that the specific sites identified above are unlikely to be significantly within APZ areas. Due diligence assessments undertaken prior to slashing. impacted by the occurrence of bushfire activity within the study site.

Bushfire Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk OCAL Bushfire Management Plan

5. Management Approaches

5.1.1

As a minimum standard to all existing assets, all areas currently managed within the West Wallsend Colliery, Macquarie Coal Preparation Plant, and the Teralba Northgate Colliery should be continued to be managed as Asset Protection Zones (APZs) in accordance with the requirements of Planning for Bush Fire Protection 2006. Ecological due diligence inspection sighted for Bush Fire Hazard Reduction Works, Compliant The only exception to the above requirement should be those areas currently undergoing rehabilitation works. November 2013. The increased bushfire risk presented by these works to the existing mining and surrounding community assets, should be carefully considered and mitigated against where appropriate.

The creation of APZs around existing structures may require environmental assessments to obtain a Bush Fire Hazard Reduction Certificate or other equivalent environmental approval, unless clearing has already been No APZs created during audit period, only maintained Not Triggered undertaken or the action is permissible within existing consents.

The fuel loads within the APZ should be maintained at low levels especially during the peak fire season. It is As needs basis maintenance of APZs undertaken. recommended that mechanical reduction of fuel be used preferentially (especially around assets). Manual fuel Compliant reduction may be more appropriate around areas of sensitivity – i.e. at known flora, fauna or archaeological Ecological due diligence inspection sighted for Bush Fire Hazard Reduction Works, sites. All APZ works will require relevant due diligence assessment (see Section 5.5) prior to implementation. November 2013.

A monitoring program to review the fuel loads in APZs is to occur regularly and especially before the commencement of and during the fire season. A slip-on unit (or other appropriate suppression equipment) No formal program, captured in monthly inspections (sighted0 Compliant should accompany any slashing during the bushfire danger period to suppress any potential ignitions, should they occur. This plan does not recommend any prescribed burning for APZ areas. This was noted, however the audit did not require a finding to be made on this point. Noted

Land Management Zones (LMZ) 5.1.3 Not triggered as this plan applies to the whole OCAL complex and so may be inclusive of Land Management Zones (LMZ) are areas that will be managed using a conservation sensitive approach to allow provisions outside of the audit scope for optimum fire frequency to maintain and improve biodiversity or where there is not a high need for specific Not Triggered asset management (as in the APZs and SFAZs). No land management zones around pit top. Prevention of Ignition 5.2

All vehicles on site to carry fire extinguisher as covered in site familiaristaion, generic site The key to minimising fire ignition is to increase the awareness of the risks of ignition. Table 8 documents the famil also includes bushfire awareness content. actions required to raise awareness amongst OCAL employees and contractors to help prevent fire ignition. Compliant These strategies are especially important during the fire season when weather patterns are conducive to the Not able to work on high fire danger days in SCA - SCA outside bounds of this management spread of fire. plan. Community Consultation 5.2.2

Ongoing community consultation should be undertaken to foster fire prevention and cooperation between OCAL and neighbouring landholders. This should include meetings prior to the fire season as well as strategic communication throughout the fire season for the purpose of communicating work plans, boundary Evidence of community consultation for the purpose of bushfire protection provided as maintenance issues or other common interests with the community. As part of this consultation, a mine Compliant evidence (letter to landowner). representative should attend all biannual RFS Bushfire Management Committee Meetings. In addition, consultation should be undertaken with leaseholders of OCAL owned dwellings as discussed above in Section 4.2. Construction/upgrade of Fire 5.3.1 trails Any works involving ground disturbance or vegetation removal will require an appropriate due diligence As per GDP process. Compliant assessment (see Section 5.5). Water Supply 5.4

A maintenance schedule for all water fill points should be incorporated into the normal works program. This should be undertaken before and at regular intervals during the fire season to ensure that the available water fill Water tanks kept full on pit-top site, maintained by external company. Compliant points are consistent with those mapped within this plan.

A water cart for OCAL is readily available (at the MCPP) to service within the operations area and water fill points have been established in accessible locations and according to existing infrastructure. A works plan will need to be developed for those water fill points outside the operations area to ensure they are adequately This condition is relevant to MCPP. Noted maintained. If extraction of groundwater is required, a groundwater licence will be required as specified in Sections 51 and 67 of the Water Act 1989.

Bushfire Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk OCAL Bushfire Management Plan

Proposed Works - Ecological and 5.5 Archaeological Requirements

Due diligence assessments by relevant experts will be required, as per clearing procedures, whenever proposed non-emergency works will involve, ground disturbance or the removal/modification of vegetation of any type. As per GDP process. Compliant This is the case even in areas where no significant ecological or archaeological features have previously been recorded. Any non-emergency ground disturbance or vegetation modification works must also be undertaken in accordance with the relevant conditions specified in the RFS/OEH document Conditions for Hazard Reduction and Aboriginal Heritage (a component of the BEAC (RFS 2006b), OCAL Cultural Heritage Management Plan The only hazard reduction activities have been slashing of existing APZs. No requirment for Not Triggered (Umwelt, 2006) and follow the species specific conditions relating to hazard reduction as shown in Appendix 1. assessment of new areas. The guidelines within these documents must be followed even in areas where archaeological sites are not known to occur. In riparian areas, non-emergency mechanical work must be excluded from all vegetation adjacent to a water No such work undertaken during audit period. Not Triggered body as defined in the Bushfire Environmental Assessment Code (BEAC).

Bushfire Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery - Land Management Plan Effective March 2013 Document Number WWC SD PLN 0058 (V6) 1. Introduction Objectives 1.3

The objectives of this LMP include the following: - Provide a process for the pre-mining assessment of land features; - Provide an overview of mitigation measures to be adopted to minimise subsidence related impacts on the landscape; provide a monitoring program for the assessment of subsidence related impacts on the general surface, cliffs, minor cliffs and cliff terraces and rock face features and steep slopes. This includes an assessment against the performance criteria included in the Project Approval; - Provide remediation / rehabilitation strategies to address the following impacts: This was noted, however the audit did not require a finding to be made on this point. Noted - Surface cracking of general surface, cliffs, minor cliffs and cliff terraces, rock face features and steep slopes; - Rock falls; - Slope failure; and - General land degradation associated with subsidence due to long wall mining; - Provide Trigger Action Response Plans (TARPs) for unpredicted impacts.

2. Statutory Requirements Statement of Commitments 2.2

The Statement of Commitments relevant to the LMP, and where they are addressed in this document, are detailed in Table 3.

This was noted, however the audit did not require a finding to be made on this point. Noted

5. Impact Mitigation, Monitoring and Remediation The overall strategy for the management and monitoring of subsidence related impacts within the continued underground mining area is: 1. Mine Design and Planning – prevent subsidence related impacts by designing the mine plan to avoid high risk areas. 2. Measure baseline information – establish pre-mining conditions for the general surface, cliffs and steep slopes. Identify any pre-mining hazards and mitigation measures required. 3. Monitor the effects of mining – regular monitoring of identified parameters at key positions relating to the This was noted, however the audit did not require a finding to be made on this point. Noted long wall position. 4. Assessment of impacts – review monitoring results against subsidence predictions. 5. Remediation of impacts – remediation of impacts in accordance with procedures developed in consultation with relevant stakeholders 6. Review and improvement – utilise monitoring and remediation results to review subsidence predictions, monitoring schedules and remediation techniques. Subsidence Monitoring Program 5.3.1

A Subsidence Monitoring Program includes inspection and assessment of mapped landscape features and has been developed as a component of the Extraction Plans and Subsidence Management Plans. This plan will be As per Extraction Plans prepared and approved for Long walls mined during audit period. Compliant submitted to the Principal Subsidence Engineer DRE, for approval prior to commencing extraction.

Survey monitoring lines as shown on plan KA3-976 (refer to Extraction Plan) will monitor X, Y & Z subsidence Sighted in EOP Reports and in the Monitoring Program Compliant movements and strains above the long walls as outlined in the Subsidence Monitoring Program.

Landscape Feature Monitoring 5.3.2

During mining, WWC will undertake monthly inspections as described in the WWC Subsidence Monitoring Program of the subsidence affected surface zone where potential hazards to public safety exist. The inspections will focus on the stability of landscape features and steep slopes identified above the mining area. If instability is Inspection reports provided. Compliant identified a qualified geotechnical engineer will be engaged to undertake further inspections of the landscape feature.

Land Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery - Land Management Plan Following the cessation of subsidence impacts, each landscape feature will be reassessed using the landscape feature inspection form (refer to Appendix 1). This monitoring will occur as soon as practicable following the As per End of Panel Reports Compliant cessation of subsidence movements surrounding each feature, where safe to do so.

The post mining inspection will focus on identifying and quantifying any subsidence related impacts/hazards on landscape features. Specifically, post mining photographs and inspections will be compared to pre-mining data As per End of Panel Reports Compliant to determine the area and percentage of each feature that has been impacted by mining. Impacts identified during these post mining inspections will be reported in the WWC Annual Review and the End As per Annual Reviews 2013, 2014, 2015 and applicable End of Panel Reports. Compliant of Panel Report for each long wall. General Surface Inspections 5.3.3

In addition to the landscape feature related assessments, inspections of the general surface within the Inspection reports provided. continued underground mining area will be undertaken on a monthly basis as described in the Subsidence Monitoring Program. These inspections will focus on identifying subsidence related impacts on the general Compliant Weekly walk over by Geotech, E and C inspections of access tracks and incorporated in surface including surface cracking and ponding. These inspections will be recorded on the WWC Surface Public Safety Inspections. Cracking Inspection Form (WWC SD FRM 0158) as shown in Appendix 3.

In the event subsidence impacts are identified that require remediation, this will be undertaken in accordance Confirmed at interview and with inspcetion docs, remediation GDPs and site inspection. Compliant with the WWC Subsidence Remediation Procedure (WWC SD PRO 0053) and Section 5.4 of this LMP. Additional surface inspections will also be undertaken as detailed in the WWC Public Safety Management Plan a As per these plans. Noted component of the Extraction Plan and SMP Plans. Subsidence Remediation and 5.4 Management Procedures

The following procedures have been developed for the management and remediation of surface cracking in previous long wall panels, and will continue to be applied to the continued underground mining area: These procedures were used during the audit period, confirmed at interview and in the Compliant - WWC SD PRO 0053 Subsidence Remediation Procedure subsidence remediation contractors documentation. - WWC SD PRO 0052 Subsidence Remediation Grouting Procedure

The need to remediate subsidence impacts will be assessed on a case by case basis in consultation with the landowner (generally OEH), and in accordance with any land access licences for the affected area. The decision to remediate subsidence impacts will take into consideration potential risks to public safety and the Subsidence Framework document controls these tasks, includes flow chartfor remediation environment, as well as accessibility. If a subsidence crack does not present a safety risk or risk to the Compliant decision process used. Was not done on a crack by crack basis, but as an overall method. environment, the crack will be left to self remediate to prevent further clearing/disturbance works associated with the remediation. If a crack does require remediation, the method of remediation will be selected to minimise the potential disturbance to the surrounding environment (i.e. grouting as opposed to earthworks).

In the event that minor cracking is observed on access tracks that requires remediation, the remediation will proceed in accordance with the WWC Subsidence Remediation Procedure and in consultation with the Observed in site inspection. Compliant landowner and other relevant stakeholders. This will generally involve the filling of subsidence cracks with inert material, compaction and re-grading of the surface to prevent ponding.

Subsidence impacts within close proximity to landscape features will be undertaken in accordance with Section 5.4.1 below. If subsidence impacts are identified within creeks or drainage lines, remediation activities will be No subsidence impacts identified within creeks or drainage lines. Not Triggered undertaken in accordance with the WWC Water Management Plan (WWC SD PLN 0050).

The OCAL Clearance for Work Procedure (WWC SD PRO 0041) will be completed prior to the commencement of all subsidence remediation works to identify any potential environmental constraints (threatened flora and As per GDP process. Compliant fauna, Aboriginal archaeology sites) and to ensure all relevant approvals have been obtained and the works are undertaken in an environmentally sustainable manner.

Landscape Feature Remediation 5.4.1

This remediation will be undertaken in accordance with the WWC Subsidence Grouting Procedure (WWC SD PRO Remediation where grouting is conducted was done utilising the Grouting Procedure. Not able to be 0052) and in consultation with the landowner and any other affected stakeholder. Confirmed at interview. No grouting at the time of the audit. Verified Subsidence Remediation 5.4.2 Monitoring

Locations within the continued underground mining area where rehabilitation or remediation works have been undertaken will be monitored on a regular basis in accordance with site procedures until they are considered to Sighted Post Crack Remediation Monitoring Inspection Forms for immediately, 3 and 6 be stable, self sustaining and no longer requiring management. Compliant month post remediation as well as post rainfall. Monitoring will occur at regular intervals following the completion of works, including an inspection following the first major storm event (greater than 50 mm).

Land Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Colliery - Land Management Plan Assessment Against Performance 5.5 Criteria

It is important to note that the Project Approval performance criteria apply to the entire continued underground mining area, as opposed to individual long walls. Therefore final compliance with the performance criteria for land management will not be determined until the final long wall in the continued underground mining area has Landscape Feature Register included in Annual Reports. Compliant been extracted. However, WWC has established a landscape feature impact register to continuously monitor the percentage of landscape features and steep slopes impacted by subsidence.

In the event that progressive assessment against the criteria identifies a trend towards non-compliance, the following steps will be taken: - Notify relevant stakeholders (e.g. landowner, DRE, DP&I) Engage subsidence/geotechnical consultant to review Not required within audit period. Not Triggered monitoring results against predictions; - Adapt remediation and management measures to reduce impacts on subsequent long walls; and - Report monitoring results and amended management measures to DRE, DP&I and other relevant stakeholders. 6. Reporting and Review External Reporting 6.1

Quarterly and fortnightly SMP reporting to DRE and relevant government agency will be provided to stakeholders reporting a summary of observed and report subsidence impacts, subsidence monitoring and Subsidence impacts and monitoring results presented at CCC and IRC meetings. Compliant management actions undertaken, including impacts to landscape features. An Annual Review will be prepared in accordance with the Project Approval and will document the monitoring results and remediation activities completed in accordance with this LMP. An End of Panel Report will also be prepared for each long wall and submitted to DRE. The End of Panel Report will also include a summary of the monitoring results and remediation activities completed in accordance with this plan. Specifically, these reports Subsidence impacts summary and assessment against performance criteria in PA included will include: in Annual Reviews - but no actual update map showing the location of landscape features Not Compliant E 1 Medium - An update map showing the location of landscape features that have been mapped and had a baseline that have been mapped and had a baseline condition assessment completed. condition assessment completed; - A summary of subsidence impacts that have been identified on landscape features; and - An assessment of performance against the landscape feature performance criteria included in the Project Approval. Review 6.2

Ongoing monitoring and review on the performance and implementation of this LMP will be undertaken in accordance with WWC Environmental Management Strategy. In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Director-General, within 3 months of the submission of: Sighted Management Plan Revision Notification letter submitted to DP&E in accordance (a) the submission of an annual review; Compliant with this condition for 2013, 2014 and 2015. (b) the submission of an incident report; (c) the submission of an audit report; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), The LMP will reflect changes in requirements, technology and operational procedures. Updated versions of the approved LMP will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/).

Adaptive Management 6.3

In the event that unpredicted, adverse impacts on landscape features are identified during management and Not Triggered for LW51 and 52. monitoring in the continued underground mining area, WWC will respond to the issues identified and engage appropriate experts where required. This includes a trend towards non-compliance with Project Approval Compliant performance criteria as outlined in Section 5.5. WWC will investigate appropriate remediation and mitigation Example - LW43 had subsidence impact greater than predictions, installed temporary requirements, in consultation with the relevant government authorities. In the event that significant impacts are fencing and employed security guard, geotechnical engineer assessment, ACH groups and identified consultation will be conducted with OEH, DRE and DP&I and relevant stakeholders. ecological due diligence.

Land Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Long wall 51 and 52 Land Management Plan

Document NumberWWC SD PLN 0150 (V1) Effective September 2014 1. Introduction Objectives 1.3

The objectives of this LMP include the following: - Provide a process for the pre-mining assessment of landscape features; - Adopt decision making processes that use a risk based approach; - Assess the risks associated with the mining impacts and adopt the process of implementing “reasonably practicable” controls to manage identified hazards that are consistent with the Work Health and Safety Act 2011; - Provide an overview of mitigation measures to be adopted to minimise subsidence related impacts on the landscape; - Provide a monitoring program for the assessment of subsidence related impacts on the general surface, cliffs, minor cliffs and cliff terraces and rock face features and steep slopes. This includes an assessment against the performance criteria included in the Project Approval; - Provide remediation / rehabilitation strategies to address the following impacts: This was noted, however the audit did not require a finding to be made on this point. Noted - Surface cracking of general surface, cliffs, minor cliffs and cliff terraces, rock face features and steep slopes; - Rock falls; - Soil scarps (i.e. vertical block movements); - Slope failure; - Tree falls; and - General land degradation associated with subsidence due to long wall mining. - Provide for consultation processes with the surface land owner/manager (including LMCC) in relation to the review of the effectiveness of the remediation post mining and to obtain the agreement of the landowner/manager that such remediation meets the land management principles for a State Conservation Area as set out in the National Parks and Wildlife Act 1974; and - Provide Trigger Action Response Plans (TARPs) for unpredicted impacts.

5. Impact Mitigation, Monitoring and Remediation Mine Design and Planning 5.1 WWC will maintain compliance with the Project Approval criteria for impacts to steep slopes following the Verified in LW51 End of Panel Report (DRAFT), LW52 End of Panel Report not completed at Compliant mining of LW 51 and LW 52 the time of audit. Baseline Condition Assessment 5.2

A landscape feature inspection from (Appendix 1) has been developed to map and assess the pre and post mining landscape feature condition and will record at a minimum the following parameters for each feature: - face area of each feature (length and height); - aspect; - lithology and existing joints, cracks etc.; Public Safety MP - landscape feature mapping undertaken pre and post mining to inform - coordinates at each end of the cliff/slope; Compliant EOP reports. - crack locations, width, depth, orientation; - vegetation type and density; detailed cross sections and face sections; - photo monitoring of all landscape features; - identification of potential public safety hazards; and - identification of possible instability.

Subsidence Monitoring Program 5.3.1 A Subsidence Monitoring Program includes inspection and assessment of mapped landscape features and has been developed as a component of the WWC LW51 and LW52 Extraction Plan and is found as Appendix K of the This was noted, however the audit did not require a finding to be made on this point. Noted Extraction Plan. WWC is committed to continue remediation activities until there is agreement with OEH that the post mining Remediation and consultation with OEH ongoing, not yet finalised. Noted land can be safely used and remediation is adequate.

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Long wall 51 and 52 Land Management Plan

Landscape Feature Remediation in areas accessible by heavy 5.3.2 machinery

Subsidence remediation activities will typically be undertaken by machinery as summarised below: - Removal of vegetation will be limited to marked areas and the demarcated access routes to deliver material to the subsidence crack using suitable machinery to limit soil disturbance; - Back fill subsidence cracking and subsidence cracks on soil scarps with inert material (i.e. topsoil, gravel, stone, clay, bentonite) to existing surface level; - Fill material is to be compacted by machine compaction to consolidate material in cracks; - Consideration of either battering back scarps (i.e. <18o ) or stabilising scarps by covering with erosion protection material (i.e. jute mesh) depending on level of disturbance; Some of these actions have been required in the audit period Noted - If soil scarps occur on access tracks resulting in a step, regrading of the track to pre-existing grades will be undertaken where possible; - Removal of trees at risk of fall or posing a potential public safety risk will be felled were safe and practicable in accordance with the WWC LW 51 and 52 Biodiversity Management Plan and tree felling procedure (WWC SD FRM 0192 & 0187); and - Rocks identified by a geotechnical engineer to be at risk of falling will be moved were safe to do so by controlled stabilisation methods using a combination of hand and mechanical scaling following site specific risk assessments.

The trial was conducted but a satisfactory set of solutions for all remediation situations WWC has applied to OEH to continue remediation of surface cracking using cementatious products and trial is was not completed in the audit period. proposed be undertaken prior to the extraction of LW51/52. An updated procedure for the use of cementatious This was not finalised (i.e. OEH approved) prior to undermining LW51-52 and no grouting Not Compliant product has been submitted to OEH for approval and when finalised and approved will be provided to the has been undertaken in the audit period though some trials of gravel were conducted. Administrative Department of Planning and Environment (DP&E) prior to the extraction of LW51/52. Submission documentation showes the trial results were submitted to DP&E on 15 October 2015 when mining of LW51 commenced on 9 October 2015

Subsidence Remediation 5.3.4 Monitoring Locations within the LW51 and LW52 area where rehabilitation or remediation works have been undertaken will Sighted Post Crack Remediation Monitoring Inspection Forms for immediately, 3 and 6 be monitored on a regular basis in accordance with Subsidence Remediation Procedure (WWC SD PRO 0053) Compliant month post remediation as well as post rainfall. procedures until they are considered to be stable, self-sustaining and no longer requiring management.

A long-term monitoring methodology has been developed by Douglas Partners and will also be applied to the Sighted Douglas Partners report that identifies the methodology. monitoring of the remediation of surface cracking where cementatious products are used above LW51/52 Compliant (Appendix M of LW51/52 Extraction Plan) Sighted Completed Post Crack Remediation Monitoring Inspection Forms

Assessment Against Performance 5.4 Criteria It is important to note that the Project Approval performance criteria apply to the entire continued underground mining area (including LW51 and LW52), as opposed to individual long walls. WWC will monitor the subsidence This was noted, however the audit did not require a finding to be made on this point. Noted related impacts to landscape features as outlined in Section 5.3.2. WWC has established a landscape feature impact register to monitor the percentage of landscape features and steep slopes impacted by subsidence identified from the geotechnical inspections. In the event that progressive assessment against the Project Approval criteria identifies a trend towards non-compliance, the following steps will be taken: - Engage subsidence/geotechnical consultant to review monitoring results against predictions; Impact register included in Annual Reviews, GIS layer of landscape features observed Compliant - Adapt remediation and management measures to reduce impacts on subsequent long walls; during site visit, cumulative impacts in EOP reports also. - Notify relevant stakeholders (e.g. landowner, DRE, DP&E) of any management measures adopted to reduce impacts; and - Report monitoring results and amended management measures to DRE, DP&E and other relevant stakeholders (i.e. Annual Review and End of Panel Report). 6. Reporting and Review External Reporting 6.1

An Annual Review will be prepared in accordance with the Project Approval and will document the monitoring results and remediation activities completed in accordance with this LMP. Specifically, this review will include: - An update map showing the location of landscape features that have been mapped and had a baseline Subsidence impacts summary and assessment against performance criteria in PA included condition assessment completed; in Annual Reviews - but no actual update map showing the location of landscape features Not Compliant E 1 Medium - A summary of subsidence impacts that have been identified on landscape features; and that have been mapped and had a baseline condition assessment completed - An assessment of performance against the landscape feature performance criteria included in the Project Approval.

LW 51/52 Land Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Long wall 51 and 52 Land Management Plan Review 6.2

Ongoing monitoring and review on the performance and implementation of this LMP will be undertaken in accordance with WWC Environmental Management Strategy.

In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, Sighted Management Plan Revision Notification letter submitted to DP&E in accordance and programs required under Project Approval to the satisfaction of the Secretary, within 3 months of the Compliant with this condition for 2013, 2014 and 2015. submission of: (a) the submission of an annual review; (b) the submission of an incident report; (c) the submission of an audit report; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), The LMP will reflect changes in requirements, technology and operational procedures. Updated versions of the This LMP found on WWC website. Compliant approved LMP will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/). Adaptive Management 6.3 In the event that unpredicted, adverse impacts on landscape features are identified during management and Not Triggered for LW51 and 52 monitoring in the continued underground mining area, WWC will respond to the issues identified and engage appropriate experts where required. This includes a trend towards non-compliance with Project Approval Example - LW43 had large subsidence impact, installed temporary fencing and employed Not Triggered performance criteria as outlined in Section 5.4. WWC will investigate appropriate remediation and mitigation security guard, geotechnical engineer assessment, ACH groups and ecological due requirements, in consultation with the relevant government authorities. In the event that significant impacts are diligence. identified consultation will be conducted with OEH, DRE and DP&E and relevant stakeholders.

LW 51/52 Land Management Plan Oceanic Coal Australia Pty Limited West Wallsend Colliery 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Noise Management Plan - Effective October 2015

1. Introduction Objectives 1.3 The objectives of this NMP include the following: - establish a noise monitoring system to assess the noise impact on surrounding sensitive receivers and performance against the specific noise impact assessment criteria; - establish a noise monitoring system to monitor the effectiveness of the noise attenuation works at the Bradford Breaker and associated transfer points; This was noted, however the audit did not require a finding to be made on this point. Noted - detail the controls to be implemented to minimise noise emissions from the site; - provide a mechanism to assess monitoring results against noise impact assessment criteria and land acquisition criteria to evaluate compliance including exceedance reporting and independent review; - establish a continued improvement protocol for noise performance at WWU; and - manage noise related community complaints in a timely and effective manner. Noise Criteria 4.1

11/9/2013 - R6 on the evening of 11 September 2013. WWC generated a site only LAeq of From 1 January 2013, WWC shall ensure that the noise generated by WWC does not exceed the criteria in Table 4.1 36 dB, exceeding the impact assessment criteria by 1dB. An exceedance of 3.1 at any residence on privately-owned land or on more than 25 per cent of any privately-owned land. 1 dB is not considered significant, as outlined by Chapter 11 of the EPA Industrial Noise Policy (DECC, 2000), which deems a development to be non-compliant only when an exceedance of more than 2dB above the statutory noise limit has been identified.

3/12/2014 - During the evening period a WWC specific LAeq,15minute result of 43dB was measured at location R4. The project specific criterion for this site is 41dB (2dB exceedance). As specified in Chapter 11 of the Industrial Noise Policy (INP), a development will only be Not Compliant E 1 Medium deemed to be in non-compliance with a noise consent if the monitored level is more than 2dB above the statutory noise limit specified in the consent or licence condition. A re-test at this location was undertaken on 14 December 2014 with WWC classed as “Inaudible” at the time of monitoring.

In accordance with Condition 6 of Schedule 4 of the Project Approval, a Noise Compliance Report is to be Outside of audit period. 4.1 submitted to the DP&I by the end of March 2013. Further information regarding the Noise Compliance Report is Compliant Found compliant in the last audit. outlined in Section 7.1. Cumulative Noise Criteria 4.2 In accordance with Condition 3 of Schedule 4 of the Project Approval, WWC shall implement all reasonable and feasible measures to ensure that the noise generated by the WWC combined with the noise generated by other 4.2 mines does not exceed the criteria in Table 4.2, at any residence on privately-owned land or on more than 25 per cent of any privately-owned land. No exceedences noted in Annual Reviews, EPA Annual Returns or most current Quarterly Noise Monitoring Reports. Compliant This Noise Management Plan demonstrates this commitment.

Additional Noise Mitigation 4.3

In accordance with Condition 4 of Schedule 4 of the Project Approval, WWU shall upon receiving a written request from the owner of residence R7 (59 Charlton St, Barnsley), implement noise mitigation measures (such No such written request in Audit Period. as double glazing, insulation, and/or air conditioning) at the residence in consultation with the owner. These 4.3 Not Triggered measures must be reasonable and feasible. If within three months of receiving this request from the owner, WWU and the owner cannot agree on the measures to be implemented, or there is a dispute about the implementation of these measures, then either party may refer the matter to the Secretary for resolution.

Noise Management Plan Oceanic Coal Australia Pty Limited West Wallsend Colliery 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Noise Management Plan - Effective October 2015

5. Noise Management Controls

WWU is committed to implementing reasonable and feasible best practice noise mitigation measures and investigating ways to minimise construction, operational and road traffic noise generated by WWU. In order to This was noted, however the audit did not require a finding to be made on this point. Noted mitigate any potential noise impacts from the operation, a number of noise management controls will be implemented throughout the life of the operation.

WWC Surface Facilities 5.1.1 To reduce noise levels from WWC operations, the following noise mitigation measures have been implemented:

To reduce noise levels from WWU operations, the following noise mitigation measures have been implemented: - regular maintenance of all equipment and machinery to ensure it is maintained and operated in a proper and efficient manner; - operation of mobile plant equipment (dozer, dump truck, grader) with reversing alarms set on the lowest level; - with some reversing alarms replaced with a “quacker” style alarm which is not tonal in nature; - minimising the use of mobile plant and equipment during the night time wherever possible; full or partial enclosure of surface coal conveyors; - partial enclosure of conveyor drive heads; - installation of a noise attenuation curtain on the conveyor transfer points adjacent the Bradford Breaker, Some actions verified during site inspection and during staff interviews. Not able to be above the 2000T ROM Bin; Verified - maintenance of a ‘plug’ in the bottom of the ROM coal bin to reduce the banging of coal falling into the bin; Not all able to be verified with evidence. 5.1.1 - tar sealing and maintenance of the private haul road from WWU to the MCPP to reduce the noise from empty haul trucks; - enforcement of speed restrictions on site access roads; installation of a noise impact polymer under the grizzly chute wear plates to reduce coal impact noise through the delivery chute to the Bradford Breaker; - installation of conveyor curtain screening around strategic sections of the Bradford Breaker infrastructure to further assist with reducing directional noise toward residential areas; - construction and installation of acoustic cladding over the body of the Bradford Breaker; - periodic inspections of the noise attenuation measures have been added to the WWU maintenance system to ensure they are operating effectively. These inspections are undertaken by a noise specialist familiar with the installations.

Whilst this commitment has been achieved, WWC will continue to investigate additional opportunities for noise AR 2014, Section 3.9.1 reductions as part of the mines continuous improvement process. Compliant AR 2013, Section 3.9.3 The status and effectiveness of these noise reduction measures will be reported in the Annual Review. The No. 2 Vent Fan 5.1.2

WWC has also established a private noise agreement with the private resident adjacent to the No.2 Ventilation Fan. In the event the capacity of the No.2 Fan is required to be increased for operational purposes, the 5.1.2 This was noted, however the audit did not require a finding to be made on this point. Noted performance/noise impacts of the No. 2 Vent Fan will be assessed and additional controls will be established as necessary to comply with the PSNLs.

Specific Noise Mitigation 5.1.3 Measures

In accordance with Condition 5 of Schedule 4 of the Project Approval, WWU shall ensure that the following noise mitigation measures are undertaken by the end of December 2012 to the satisfaction of the Secretary: Outside Audit Period (a) all necessary works to ensure an operational noise reduction of 10dB(A) at the coal breaker (refer to Section Compliant 5.1.1); and Annual Review 2013, Section 3.9 - 3.9.4 (b) any additional works to ensure compliance with the noise criteria in Table 4.1 (refer to Section 5.1.1).

Continuous Improvement 5.2 The basis for continuous improvement of noise performance will be through the ongoing monitoring of noise impacts and the corrective/preventative action process (refer to Section 7.4). Through the development of AR 2014, Section 3.9.1 corrective/preventative actions, WWC will investigate ways to reduce the noise impacts generated by the AR 2013, Section 3.9.3 5.2 Noted operation. WWC will also maintain awareness of new technologies for noise management through participation in relevant industry groups. Any new mitigation measures that are implemented as a result of these Noted investigations will be reported in the Annual Review.

Noise Management Plan Oceanic Coal Australia Pty Limited West Wallsend Colliery 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Noise Management Plan - Effective October 2015 Training 5.3 To ensure the effective implementation of this NMP, WWC employees and contractors will be advised of noise Verified in discussions with E &C staff during site audit. management requirements via the WWC general induction. Additional noise management training, including 5.3 Compliant toolbox talks, will be provided as necessary to employees and contractors who require specific skills or No examples of additional noise management training requirement provided. knowledge relating to noise management.

6. Noise Monitoring Noise Monitoring Program 6.1 Noise monitoring at WWC will be undertaken in accordance with the requirements of the Project Approval and in accordance with the recommendations within the 2013 WWC Noise Compliance Report. A summary of the 6.1 attended and unattended noise monitoring locations at WWC are outlined in Table 6.1. All noise monitoring locations are shown on Figure 6.1 and Figure 6.2.

Verified from Noise Monitoring Reports and Annual Reviews. Compliant

The attended noise monitoring program includes 17 monitoring locations, 7 of which (R1-R8) are detailed in the Project Approval and EPL 1360, with the remaining 10 (P1-P10) outlined in the 2013 WWU Noise Compliance 6.1 This was noted, however the audit did not require a finding to be made on this point. Noted Report. Two real time noise monitoring units (SentineX 67 and SentineX 68) are located in the suburbs of Killingworth and Barnsley respectively.

Unattended Real Time 6.1.1 Monitoring

The unattended real-time continuous noise monitors provide the following functionality: - a complete representation of all noises at the monitoring location throughout the period, with results showing diurnal variations; 6.1.1 - supplemental data for noise investigations initiated in response to community complaints or noise Observed during site inspection. Noted exceedances; and - data that can be used to determine correlations between mining operations, meteorological conditions and environmental noise levels.

The unattended continuous noise monitors record the following information: - date and time; - LAeq for each 15 minute interval; - LAmin, LA90, LA10 and LAmax for each 15 minute interval; - 15 minute one-third octave LAeq noise levels corresponding to the LAeq 15 minute interval; - LAeq, period This was noted, however the audit did not require a finding to be made on this point. Noted (where period = day, evening and night) for each 24 hour interval; - maximum LA1, 1 minute noise level recorded over a predefined 15 minute night time measurement period; - continuous weather data monitoring for wind direction, wind speed and temperature; and - continuous mp3 file recording for subsequent playback.

Noise Management Plan Oceanic Coal Australia Pty Limited West Wallsend Colliery 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Noise Management Plan - Effective October 2015

Attended Noise Monitoring 6.1.2 Attended noise monitoring will be undertaken quarterly at the locations nominated in Table 6.1 and displayed 6.1.2 Verified from Noise Monitoring Reports and Annual Reviews. Compliant on Figure 6.1 and Figure 6.2. Attended monitoring at locations R1-R8 will be undertaken in accordance with EPL 1360 Conditions L5.5, L5.6 and M4.1 where possible. The attended noise monitoring survey is used to quantify and describe the acoustic 6.1.2 environment at the monitoring location. The results are then compared with the noise criteria defined in Section Verified in Quarterly Noise Monitoring Reports Compliant 4 to determine whether WWU are in compliance with noise criteria defined within the Project Approval and EPL 1360.

The results from P1-P10 will be reviewed against past results outlined within the 2013 Noise Compliance Report Comparison verified in Q1 2016 Breaker Monitoring Report. to identify the effectiveness of mitigation and attenuation measures which have been implemented following Compliant the completion of the 2013 Noise Compliance Report and to also identify whether any potential maintenance is Noise reports break down total noise into sources - contained in all quarterly noise reports. required to the controls or site equipment.

Each quarterly attended noise survey comprises of measurements at locations R1-R8 during the day, evening and night as defined in the NSW INP (EPA 2000) for a minimum of 15 minutes for three of the quarters. One quarterly monitoring at locations R1-R8 must occur during each day, evening and night period as defined in the As per Quarterly Noise Monitoring Reports. Compliant NSW INP (EPA 2000) for a minimum of 1.5 hours during the day; 30 minutes during the evening; and 1 hour during the night.

Shorter durations, as well as times of measurement may vary for points P1-P10 (Bradford Breaker monitoring points) as this monitoring is undertaken to potentially identify areas where noise mitigation works may require This was noted, however the audit did not require a finding to be made on this point. Noted maintenance or other alike repairs to ensure effective attenuation.

For each 15 minute monitoring period, the following information will be recorded: - operator’s name; - monitoring location; - dates and times that monitoring began and ended at each location; - height of the microphone above the ground and, if relevant, distances to building facades or property boundaries; - qualitative/quantitative meteorological data such as temperature, wind speed, wind direction, cloud cover, humidity, fog, rainfall etc; Not able to be Not all details contained in Quarterly Monitoring Reports. - instrument calibration details before and after the monitoring period; Verified. - the LAeq,15minute noise level for the 15-minute period; - statistical noise level descriptors over the 15-minute interval: LAmin, LA90, LA10, LA1 and LAmax; - LA1,1minute noise levels (to allow comparison with the relevant sleep arousal criterion); notes that identify the noise source/s that contribute to the peak noise levels (LA1 or LAmax); - an estimate of noise contribution from operations at WWU or from other identifiable noise sources; and - measurements in one-third octave bands for the 15-minute interval to assess if any of the noise sources exhibit tonal characteristics that may require modifying factors to be applied.

Meteorological Monitoring 6.1.3

The local meteorological data collected during the attended monitoring program and by the unattended noise monitoring units will be supplemented by more detailed records from the WWU weather station located in the Meteorological data from WWU Weather Station is included in Quarterly Noise Monitoring car park at the WWU pit top. Report Q1 2016. The meteorological data recorded by the weather station includes: 6.1.3 Not Compliant E 2 Medium - wind speed, wind direction and sigma-theta at 10 metres above ground level; Sensors not installed at the correct elevations on the weather station, evidence from a - temperature at 2 metres and 10 metres above the ground; principal evel air quality engineer sighted to show that the impact on sigma theta calcs - relative humidity; and would be minimal. - rainfall. Independent Review and Land 6.2 Acquisition Process

In the event that a landowner considers that WWU is exceeding a noise criterion at his or her property, the landowner may request in writing to DP&E an independent review of the noise impacts at the property. The 6.2 No such request made during audit period. Not Triggered independent review will be conducted in accordance with the procedure described in Schedule 5; Conditions 2 to 5 of the Project Approval (refer to Appendix 4).

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Noise Management Plan - Effective October 2015

7. Reporting Noise Compliance Report 7.1

Recommendations from the Noise Compliance Report are listed below along with the reference to the section in this NMP where the recommendation has been addressed: - The noise monitoring points around the Bradford Breaker and transfer points should be added to the WWU noise monitoring program. This will allow for the effectiveness of the attenuation measures to be monitored over time and allow for direct correlation against the compliance monitoring undertaken at residential receivers (Table 6.1, Figure 6.2 and Section 6.1.2). - It is recommended that periodic inspections of the noise attenuation measures be added to the WWU This was noted, however the audit did not require a finding to be made on this point. Noted maintenance system to ensure they are operating effectively. It is recommended that these inspections be undertaken by a noise specialist familiar with the installations to review their effectiveness (Section 5.1.1). - Results from ongoing compliance monitoring should be evaluated to determine if further noise attenuation measures are required on the coal clearance system (Section 5.1.1). - This NMP was updated to reflect the outcomes of the Noise Compliance Report and findings from the report were reported in the WWU Annual Review.

External Reporting 7.2

A summary of noise monitoring results will be provided in the WWU Annual Review. The following information will be reported in the Annual Review in accordance with Condition 4 of Schedule 6 of the Project Approval (refer to Appendix 1): By the end of March each year (or other such timing as agreed by the Secretary), the proponent shall submit a review of the environmental performance of the project to the satisfaction of the Secretary. This review must: - describe the works (including any rehabilitation) carried out in the past calendar year, and the works proposed to be carried out over the current calendar year; - include a comprehensive review of the monitoring results and complaints records of the project over the past calendar year, which includes a comparison of these results against the: 7.2 Verified in Annual Reviews 2013, 2014, 2015. Compliant - relevant statutory requirements, limits or performance measures/criteria; - monitoring results of previous years; and - relevant predictions in the EA; - identify any non-compliance over the past calendar year, and describe what actions were (or are being) taken to ensure compliance; - identify any trends in the monitoring data over the life of the project; identify any discrepancies between the predicted and actual impacts of the project, and analyse the potential cause of any significant discrepancies; and - describe what measures will be implemented over the current calendar year to improve the environmental performance of the project.

In addition, in accordance with Protection of the Environment Legislation Amendment Act 2011 (Amendment Act) and Schedule 6, Condition 8 of the Project Approval, WWU will publish noise monitoring reports on the 7.2 WWU website (http://www.westwallsendcolliery.com.au). Performance monitoring, which includes an Noise monitoring reports are available on the WWC website. Compliant assessment of the effectiveness of noise monitoring and compliance with the relevant Project Approval and EPL 1360 conditions, may be discussed at Community Consultative Committee (CCC) meetings.

In accordance with Condition R4.1 of EPL 1360, WWU will prepare and submit to the EPA a noise compliance assessment report at the end of each reporting period which is a culmination of the three days of monitoring. The report must be submitted with the EPL 1360 Annual Return. The report must be prepared by a suitably qualified and experienced acoustical consultant which: Verified reports attached for 2015, 2014 Compliant (a) details the noise monitoring undertaken in accordance with condition M4; (b) assess compliance with noise limits presented in condition L5.1, and (c) outlines any management actions taken within the monitoring period to address any exceedances of limits contained in condition L5.1.

Noise Management Plan Oceanic Coal Australia Pty Limited West Wallsend Colliery 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Noise Management Plan - Effective October 2015 Noise Criteria Exceedance 7.2.1 Reporting Protocol Exceedances of noise criteria, detailed in Table 4.1, will be managed in accordance with the Community Complaint and Environmental Incident Management Procedure (WWC SD PRO 0036). In accordance with this procedure, all environmental incidents will be investigated to a level commensurate to their risk level, in 7.2.1 covered elsewhere and found compliant Compliant consultation with the OCAL Environment and Community Manager. Additional controls will be implemented where required, based on the outcomes of the investigation. All environmental incidents / exceedances will be reported annually in the Annual Review.

In addition, reporting of environmental incidents is required in accordance with Condition 7, Schedule 6 of the Project Approval, which states: ‘The Proponent shall notify the Secretary and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. For any Sighted notification correspondence and formal reports submitted to EPA and DP&E for Compliant other incident associated with the project, the Proponent shall notify the Secretary and any other relevant incidents within audit period. agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of the date of the incident, the Proponent shall provide the Secretary and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’

Additionally, in accordance with Schedule 5, Condition 1 of the Project Approval (refer to Appendix 1), in the Notification letter dated 9/6/2015 sighted following noise exceedence event 2/6/2015. event an exceedance of the noise impact assessment criteria is identified, WWU will notify DP&E and any Compliant affected landowner(s) (Appendix 3) and provide regular monitoring results to each of these parties until the results show that the operation is complying with the relevant criteria (refer to Section 4). Complaint Response 7.3 Complaints relating to WWU are to be managed in accordance with Community Complaint and Environmental Incident Management Procedure (WWC SD PRO 0036). This includes recording the complaint on the WWU 7.3 covered elsewhere and found compliant Compliant incident report form, which is to be forwarded to the OCAL Environment and Community Manager to facilitate that corrective actions are implemented, with the report also to be circulated to the Operations Manager.

The OCAL Environment and Community Manager is to facilitate Glencore’s complaint notification requirements in accordance Community Complaint Management Protocol (CAA HSEC PCL 0019). A summary of complaints will 7.3 covered elsewhere and found compliant Compliant be available to regulatory authorities on request, published on the WWU website and provided in the Annual Review.

Corrective/Preventative Actions 7.4 Potential noise related issues that may arise and the appropriate corrective action to be taken is outlined is 7.4 Table 7.1.

As verified in Incident Reports submitted for noise exceedences. Compliant

Noise Management Plan Oceanic Coal Australia Pty Limited West Wallsend Colliery 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk West Wallsend Underground Noise Management Plan - Effective October 2015

Review and Improvement 8

Ongoing monitoring and review on the performance and implementation of this NMP will be undertaken in 8 Noted, see Environmental Management Framework - Section 5 Noted accordance with WWC Environmental Management Strategy (WWC SD FWK 0013).

In accordance with Condition 5 of Schedule 6, WWU shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Director-General, within 3 months of the submission of: (a) the submission of an annual review under condition 4 above Sighted Management Plan Revision Notification letter submitted to DP&E in accordance 8 (b) the submission of an incident report under condition 7 below Compliant with this condition for 2013, 2014 and 2015. (c) the submission of an audit report under condition 9 below; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), The Proponent shall review, and if necessary revise, the strategies, plans, and programs required under this approval to the satisfaction of the Secretary

The OCAL Environment and Community Manager (or delegate) will review and if necessary, revise this NMP and resubmit to DP&E every year or earlier if required. Any changes made to the NMP as a result of the review will be made in consultation with OEH and LMCC, unless deemed minor in nature (in consultation with DP&E). A Sighted Management Plan Revision Notification letter submitted to DP&E in accordance 8 Compliant copy of the revised NMP will be supplied to the Secretary of DP&E for approval. The NMP will reflect changes in with this condition for 2013, 2014 and 2015. environmental requirements, technology and operational procedures. Updated versions of the approved NMP will be made publicly available on the WWU website (http://www.westwallsendcolliery.com.au/).

Noise Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51 and LW 52 Public Safety Management Plan Effective September 2014 Document Number WWC SD PLN 0132 (V3) 1. Introduction

Purpose and Scope 1.2

The purpose of this PSMP is to provide a documented process that outlines how public safety will be managed This was noted, however the audit did not require a finding to be made on this point. Noted throughout the extraction of Long wall 51 and 52 Public Safety Management 1.4 Governance Process

Following extensive consultation with the Department of Trade and Investment: Division of Resources and Energy (DRE) and the Office of Environment and Heritage – National Parks (OEH), a governance process has been This was noted, however the audit did not require a finding to be made on this point. Noted developed and will be implemented for the ongoing management of WWC’s mining impacts in the Sugarloaf State Conservation Area

Consultation with OEH has been undertaken and WWC is committed to providing the results of the monitoring Provision of spatial database monitoring results to OEH continues. of remediation activities to OEH to confirm that the remediation meets the management principles for a State Conservation Area as designated by the National Parks and Wildlife Act 1974. WWC is committed to continue Not in relinquishment phase yet. Not Triggered remediation and monitoring activities until there is agreement with OEH that the post mining land can be safely used and remediation activities are complete. Independent peer review of the remediation and monitoring Douglas Partners remediation inspection and condition report (January 2016) for process will be undertaken and status reports and governance meetings will be conducted on a regular basis. previously remediated cracks in the SSCA.

3. Potential Public Safety Hazards

Rock falls 3.1.1.1

WWC will further manage the risk to public safety from rock fall by implementing these control measures to Barrier and danger tape, locked gate on quarry trail Wakefield RD entrance, signage at all Compliant exclude the public from the Surface Affected Subsidence Zone (SASZ) as further discussed in Section 4.0. entry points to the long wall area observed during site inspection. Shallow Instability from a Soil 3.1.1.2 Scarp

WWC will manage the risk of soil scarps instability if they occur as outlined in Section 5.0 by demarcating Is the soil scarp above LW 51 had been remediated and was clearly delineated in the GIS Compliant identified soil scarps until these are remediated or deemed safe by a geotechnical engineer. database

Shallow Instability Down slope of 3.1.1.3 Tension Crack

WWC will monitor the development of subsidence cracks as outlined in Section 5.0 by undertaking weekly Sighted weekly geotech inspections, remediated cracks on access tracks and trails and geotechnical inspections to identify cracks that may result in instability, demarcating areas of identified Compliant ongoing monitoring of these remediated cracks. instability and conducting remediation works as outlined in the Land Management Plan (WWC SD PLN 0150).

Large Scale Block Sliding 3.1.1.4

The risk from block sliding will be further reduced by WWC undertaking subsidence remediation works to Noted, no large scale block movements in the audit peiod. Noted backfill cracks that may result in instability as in the Subsidence Remediation Procedure (WWC SD PRO 0053).

Built Features 3.2

The built features will be managed in accordance with the specific infrastructure management plans as agreed to by the infrastructure owners and DRE. Subsidence predictions and public safety hazards associated with these This was noted, however the audit did not require a finding to be made on this point. Noted key features are outlined in further detail in the WWCOP EA (Umwelt, 2010) DgS, 2014 and the respective infrastructure specific management plans.

4. Monitoring and Management Measures

Built Features 4.1.1

Built features will be monitored as outlined in the built features management plan and the management Built features monitoring is part of subsidence monitoring program- survey lines positioned measures listed in their respective underlying infrastructure specific management plans as implemented by Compliant in order to monitor movement of built features. WWC, to control the risk to public safety from subsidence.

LW51-52 Public Safety Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51 and LW 52 Public Safety Management Plan

Access tracks and trails 4.1.1.1

Following the identification of any subsidence impacts, physical barriers/demarcation will be installed to prevent the public from access to these areas (e.g. using danger tape or road barriers). Remediation of subsidence cracks will be undertaken by infilling of cracks with suitable granular material in accordance with the WWC LW 51 and Demarcation and locked gates observed during site inspection. Compliant LW 52 Land Management Plan (WWC SD PLN 0150) and the WWC Subsidence Remediation Procedure (WWC SD PRO 0053). Landscape Features 4.1.2

Prior to mining within LW 51 and LW 52 detailed baseline condition assessments of landscape features, access Landscape feature monitoring is part of subsidence monitoring program- survey lines tracks and trails will be undertaken by a geotechnical engineer to identify and recommend public safety control Compliant positioned in order to monitor movement of built features. measures as outlined in Table 4. The monitoring measures to be implemented to manage public safety risks for landscape features include weekly inspections of steep slope areas during undermining of the steep slope areas. The monitoring will be Sighted weekly geotech inspections, remediated cracks on access tracks and trails and Compliant undertaken by a geotechnical engineer as outlined in the Public Safety Inspection and Response Plan (PSRP) ongoing monitoring of these remediated cracks. (refer to Section 5.0)

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the conservation area.

In the background numerous trials where undertaken and methods assessed to remediation ie urea-silicate, bark blower. See Subsidence Remediation Investigation Remediation will also be undertaken as soon as practicable in accordance with the WWC LW 51 and LW 52 Land Report, SLR 2016. Compliant Management Plan (WWC SD PLN 0150) and the WWC Subsidence Remediation Procedure (WWC SD PRO 0053). Golder were commissioned to look at best contractors to undertake the work, see WWC Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

Monitoring results will be recorded and used to confirm hazard profiles and inform weekly geotechnical Sighted weekly geotech inspections, remediated cracks on access tracks and trails and inspections. The monitoring of subsidence impacts will be undertaken in two phases with the first monitoring to Compliant ongoing monitoring of these remediated cracks. be undertaken in accordance with the LW 51 and LW 52 Subsidence Monitoring Program

Following the 2013 grout incident, grouting was NOT undertaken until January 2016 in the conservation area.

In the background numerous trials where undertaken and methods assessed to remediation ie urea-silicate, bark blower. See Subsidence Remediation Investigation To manage public safety risks associated with impacts to landscape features remediation will occur as soon as Report, SLR 2016. practicable and when safe to do so following identification of impacts in accordance with the WWC Land Compliant

Management Plan (WWC SD PLN 0150). Golder were commissioned to look at best contractors to undertake the work, see WWC Review of Crack Remediation, Golder 2014.

In summary, remediation has not been done as quickly as impacts have occurred but a significant amount of work has been done in the background to minimise chance of 2013 grout incidents.

Remediation has occurred on access tracks and cracks where natural fill could be used. In 2016 some grout has been applied over LW 45 and gravel applied to cracks above LW 51.

LW51-52 Public Safety Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51 and LW 52 Public Safety Management Plan Warning Signs and Access 4.1.4 Restrictions Additionally, subsidence warning signs will be installed with the appropriate contact numbers to report any hazards. The warning signs are present to limit public access and warn of subsidence impacts as outlined in Observed during site inspection. Compliant Table 4 of the PSMP. Management Measures 4.2

The public safety management measures in Table 4 will be implemented by WWC to manage public safety risks from subsidence in the SASZ

Table 4

Satisfied by inspection forms and subsidence status forms sighted during audit visit. Compliant

LW51-52 Public Safety Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 51 and LW 52 Public Safety Management Plan

6. Review and Improvement

External Reporting 6.1

In the event a public safety hazard is identified it will be assessed and managed in accordance with the Public Sighted email notification of stakeholders following two rock fall events associated with the Safety Response Plan (refer to Section 5.0), with WWC to notify the relevant stakeholders as soon as practicable. Compliant mining of LW 43. This will be in the form of a phone call or email notification. Extraction Plan status reports will be provided to DRE, DP&E and relevant stakeholders in accordance with Two fortnightly (15/7/16 and 1/7/2016) subsidence management status reports to DRE, Extraction Plan approval conditions and the governance flow chart in Section 1.4. This will include a summary of Compliant OEH, LMCC, and other infrastructure owners sighted. the observed and recorded subsidence impacts and public safety management actions required. A six monthly public safety governance meeting will be held with OEH and DRE to review Public Safety Management, subsidence impact monitoring results and the effectiveness of remediation activities with Sighted meeting minutes during audit inspection. Compliant decisions being made from the meetings that agree remediation and monitoring activities are complete and the land safe and stable. As verified in; AR 2015: 6.6.5.1 An Annual Review will be prepared in accordance with the Project Approval and will document any activities AR 2014: 3.13.4.1 Compliant undertaken to maintain public safety in accordance with this PSMP. AR 2013: 3.13.4.1

Review 6.2

Ongoing monitoring and review on the performance and implementation of this PSMP will be undertaken in accordance with WWC Environmental Management Strategy. In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Secretary, within 3 months of the Sighted Management Plan Revision Notification letter submitted to DP&E in accordance submission of: Compliant with this condition for 2013, 2014 and 2015. (a) the submission of an annual review; (b) the submission of an incident report; (c) the submission of an audit report; and (d) any modification to the conditions of this approval (unless the conditions require otherwise). The PSMP will reflect changes in requirements, technology and operational procedures. Updated versions of the approved PSMP will be made publicly available on the WWC website Public Safety Management Plan (LW51 and 52) available on WWC website. Compliant (http://www.westwallsendcolliery.com.au/). Adaptive Management 6.3

Not relevant to LW51/52 In the event that unpredicted, adverse impacts on public safety are identified during management and Example - LW43 had large subsidence impact, installed temporary fencing and employed monitoring of the continued underground mining area, WWC will respond to the issues identified and engage security guard, geotechnical engineer assessment, ACH groups and ecological due Not Triggered appropriate experts where required. WWC will investigate appropriate remediation and mitigation diligence. requirements, in consultation with the relevant stakeholders.

LW51-52 Public Safety Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Spontaneous Combustion Management Plan Effective September 2014 Document Number WWC MIN PLN 0015 1. Commitment and Policy

Purpose 1.1.1

This Spontaneous Combustion Management Plan details the requirements for West Wallsend Colliery to: 1. Manage Spontaneous Combustion risks. 2. Comply with relevant legislation This was noted, however the audit did not require a finding to be made on this point. Noted 3. Comply with corporate governance requirements regarding: The Xstrata Sustainable Development Policy The Xstrata Plc Sustainable Development Standards and where required, The XC Fatal Hazard Protocols and The XCN Safe Coal Rules

3. Consultation

OH&S and Worker Consultation 3.1.1.2

Changes made to this Management Plan will be communicated to all stakeholders in accordance with the Mine’s Through Document Control Procedure, on intranet, if a major change then a toolbox talk to Compliant Communication and Consultation procedures. staff or contractors using the pit-top.

6. Risk Management - Controls

Individual Long wall Panel Spontaneous Combustion 6.1.2 Strategy

Each Long wall panel will be operated under an individual panel Spontaneous Combustion Strategy. This document will detail the specific operational controls and monitoring requirements to be followed during the operation of that Long wall panel, and will detail the responsibilities for each control. The document will include reference to such detail as – - Panel lithology Sighted seal up strategies for long walls. Compliant - Extraction height - Ventilating quantity - VCD standards and installation timing - Monitoring and assessment, including any need for short period peer review of monitoring results.

Individual Panel Goaf Sealing 6.1.3

Each Long wall panel will be final sealed as soon as practicable after equipment removal. The scheduling of this process is controlled through the site Coal Mining Planning System (CMPS), and will include as a minimum; - Risk assessing the sealing process, Outside of audit scope. Noted - Development of a specific Sealing Management Plan Submission of a High Risk Notification to the Chief Inspector, an industry check inspector and the site check inspector

Emergency Sealing Underground 6.1.5.2

The requirement at any time for emergency sealing underground of a part of the underground workings will be conducted under the direction of the (Spontaneous Combustion) SC Incident Management Team – see section Not Triggered Not Triggered 7.1.5.2 .

Inseam Boreholes 6.1.7.6

Inseam boreholes which connect accessible roadways to goaf areas are to be sealed using a sealing methodology that produces a quality air seal of a similar rating to seals installed between accessible roadways and goaf areas. Such borehole seals will be managed as Ventilation Control Devices, and as such will have a Outside of audit scope. Noted permit raised for their installation, completion sign-off, and be recorded on the Mine Ventilation Plan as a sealed borehole

Spontaneous Combustion Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Spontaneous Combustion Management Plan

7. Monitoring

Inspections 7.1.1

The Mine Inspection Program WWC MIN PLN 0040 gives details on the general inspection regime which includes the inspection of goaf seals and return airways. Outside of audit scope. Noted Mining Supervisors that conduct inspections are to report any occurrences of the indicators below via a statutory report and immediately notify a senior mining official.

Trend Analysis 7.1.3

The Ventilation Officer will review gas monitoring trends on a periodic basis, and report to the Ventilation Outside of audit scope. Noted Management Team any changes affecting operations. Spontaneous Combustion Incident Management Team 7.1.5.2 (SCIMT)

The Spontaneous Combustion Incident Management Team (SCIMT) will be convened by the Operations Manager Outside of audit scope. Noted / Manager of Mining Engineering in line with the Spontaneous Combustion Trigger Action Response Plan (TARP).

9. Measurement and Evaluation

Internal Incident Reviews 9.1.1.1

Where a Spontaneous Combustion incident has occurred at WWC, it will be reported and investigated in accordance with WWC SD GDL 0013 WWC & MCPP Hazard & Incident Management. Recommendations from the No such incident has occurred. Not Triggered investigation will be reviewed at the Daily Review Meeting and actions will be assigned and entered into Xstrasafe.

10. Review and Improvement

Management Plan Review 10.1.1.1

A formal review of this management plan is undertaken in accordance with WWC SD GDL 0116 WWC & MCPP Document Control Guideline. Responsibility for review of the plan falls with Mine Staff rather than environmental staff. Noted The Spontaneous Combustion Management Plan “Document Owner” initiates a review of the Management Plan every 3 years together with the associated risk assessment.

Auditing 10.1.2

The Spontaneous Combustion Management Plan will be audited every 3 years in accordance with the XCN Not Compliant No evidence of this review taking place in the audit period (3 years) annexure - XCN SD ANN 0051 16.2 Auditing, and also as required at other times by external auditors. Administrative

Spontaneous Combustion Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Long wall 51 and 52 Subsidence Monitoring Program Document Number WWC SD PLN 0151 (V3) Effective May 2015 1. Introduction Background 1.1 This was noted, however the audit did not require a finding to be made on this point. This Subsidence Monitoring Program has been prepared as a component of the WWC Long walls 51/52 Extraction Plan Noted Summary of results of monitoring program included in EOP Reports in accordance with Condition 5(m), Schedule 3 of the Project Approval. 3. Subsidence Monitoring Program Vertical Subsidence and Ground 3.1 Movement

Subsidence monitoring undertaken will include survey monitoring pre, during and post mining (following the Sighted survey monitoring data during audit visit. Compliant completion of LW51/52) to measure the vertical subsidence as a result of extraction.

Monitoring of steep slopes will also be undertaken to assess subsidence against the performance criteria for steep Pre-mining mapping of steep slopes pre-mining, impact reported in EOP Reports Compliant slopes within the Project Area. (assessed against pre-mining inspections) LIDAR survey or Aerial Laser Scan (ALS) of the surface above the Southern Domain was flown after the completion of LW51 on 19th February, 2016. Not Able to be Airborne laser scanning of LW51/52 will be undertaken post mining. Verified EoP Report not yet completed for LW 52. Built Feature Monitoring 3.1.1

As per Public Safety Management Plan, Built Features Management Plan and Subsidence The public safety risks on access tracks will be monitored by undertaking daily inspections of the access tracks and Monitoring Program. Compliant trails in the Subsidence Affected Surface Zones (SASZ), during subsidence affectation. Evidence of daily inspections provided

Far field only (i.e. no vertical movement) is predicted at the Slattery property residence and pre and post mining monitoring of the property will be undertaken in consultation with the land owner and the Mine Subsidence Board in As sighted in LW51 EOP Report, no impacts due to mining identified. Not Able to be accordance with the DGS subsidence monitoring recommendations LW51/52 Extraction Plan Appendix C. No adverse Verified subsidence impact to the Slattery property infrastructure is predicted. EoP Report not yet completed for LW 52.

Monitoring of the built features listed below are the subject of specific monitoring programs outlined in the relevant infrastructure owner/manager management plans. A summary of this monitoring is also shown on the plans in Appendix 5: - Wakefield Rd; As per Public Safety Management Plan, Built Features Management Plan, Subsidence - M1 Motorway and associated infrastructures – cuttings, embankments and drainage structures; Compliant Monitoring Program as well as specific infrastructure management plan. - Service Easement – Caltex/Jemena pipelines, Optus and Nextgen cables; - Telstra Optic Fibre Cable and Communications Tower. - Slattery property; - SSCA tracks and trails Visual Subsidence Inspections 3.2

In addition to the monitoring of subsidence and ground movements, WWC will undertake visual inspections to identify subsidence impacts on the environment and built features. These include but are not limited to the following: - Daily inspection of access tracks and trails when affected by subsidence; - Monthly inspection of the general SASZ and landscape features; Weekly walk over by Geotech, E and C inspections of access tracks and incorporated in - Post mining assessment of landscape features, tracks and trails; and Public Safety Inspections. Compliant - Post remediation inspections of subsidence cracks and impacts including effectiveness of remediation of altered drainage patterns on tracks and trails . Evidence of daily inspections provided

These visual inspections are outlined in more detail within Appendix 1 and in the relevant management plans included within the WWC LW 51/52 Extraction Plan (WWC SD PLN 0128).

LW51 and LW52 Subsidence Monitoring Program Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Long wall 51 and 52 Subsidence Monitoring Program 4. Evaluation of Monitoring Results AR 2015: Section 6.6.6 All subsidence monitoring results are to be reported in the WWC Annual Review and provided to relevant government AR 2014: Section 3.13.5 Compliant agencies. AR 2013: Section 3.13.4 AR 2015: Sections 6, 7, 8, 9, 11 The Annual Review will provide a summary of subsidence monitoring results and a comparison against subsidence AR 2014: Sections 3 and 4 Compliant predictions for the relevant extraction area AR 2013: Sections 3 and 4 This comparison will be undertaken by a suitably qualified subsidence consultant and if relevant the WWC subsidence EoP Reports and Subsidence Reviews undertaken by Ditton Geotechnical Services Pty Ltd Compliant model will be updated to provide revised predictions for the following long wall. In the event that subsidence predictions are revised, the affected management plans (e.g. built features plans) will be Subsidence predictions were reviewed in each EOP report and then the management updated accordingly and submitted to relevant government agencies and placed on the WWC website plans were updated for the next set of panels to suit any changes in predicted Compliant (www.westwallsendcolliery.com.au). subsidence. Additionally, subsidence monitoring results received from built feature monitoring will be assessed immediately Verified from Subsidence Management Status Reports (fortnightly) Compliant against trigger levels developed and reported accordingly. 5. Review and Improvement External Reporting 5.1 AR 2015: Section 6.6.6 An Annual Review will be prepared in accordance with the Project Approval and will document subsidence monitoring AR 2014: Section 3.13.5 Compliant results as outlined in Section 4. AR 2013: Section 3.13.4 Exceedance of any relevant subsidence predictions or performance criteria will be reported in accordance with the Sighted reporting of exceedance event to DRE, LMCC, RMS, OEH, MSB during site visit. Compliant Project Approval to any relevant stakeholders. Subsidence monitoring results will be provided to DRE following surveys as shown on plans KAO – 175 & KAO – 176. Sighted email submission of survey results to DRE during site visit. Compliant WWC will provide evidence of built feature owner management plan agreements to DRE prior to mining impacts on Email to DRE sighted as evidence. Compliant relevant features. Review 5.2 Ongoing monitoring and review on the performance and implementation of this document will be undertaken in accordance with WWC Environmental Management Strategy (WWC SD FWK 0013).

In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Director-General, within 3 months of the submission of: (a) the submission of an annual review; Sighted Management Plan Revision Notification letter submitted to DP&E in accordance Compliant (b) the submission of an incident report; with this condition for 2013, 2014 and 2015. (c) the submission of an audit report; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), The Subsidence Monitoring Program will reflect changes in requirements, technology, operational procedures and subsidence predictions. Updated versions of the approved plan will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/).

LW51 and LW52 Subsidence Monitoring Program Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Surface Water Management Plan

Effective May 2016

WWC SD PLN 0051 (V8)

1. Introduction

Objectives 1.3

The objective of the SWMP is to: - provide detailed historical baseline data on surface water quality in creeks and other water bodies that could potentially be affected by WWU’s mining operations; - detail the surface water monitoring strategy for WWU, including compliance monitoring and measurement of water discharges from WWU; This was noted, however the audit did not require a finding to be made on this point. Noted - outline the general and site specific principals of erosion and sediment controls to be implemented at WWU; - monitor the effectiveness of the erosion and sediment control measures; - outline relevant surface water impact assessment criteria and provide methods for the assessment of compliance with conditions of the Project Approval, EPL and legislation relating to surface waters; and - outline the reporting requirements for the results of the monitoring program.

2. Regulatory Requirements Environmental Protection 2.2 Licence Surface water monitoring at WWU will be undertaken in accordance with the conditions of EPL 1360. A complete list of conditions relating to surface water monitoring, and an indication of where they are addressed within this document are provided in Table 2.2.

This was noted, however the audit did not require a finding to be made on this point. Noted

3. Baseline Data

Surface Water Quality 3.1

WWU has one licensed discharge point (EPA Point 2) under EPL 1360. Water quality is monitored at Drain A on the boundary of the premises adjacent to The Broadway in accordance with the requirements of EPL 1360. This was noted, however the audit did not require a finding to be made on this point. Noted Monitoring is also undertaken upstream (SW02) and downstream (SW03) of the discharge point in Burkes Creek for due diligence purposes.

Water Discharges 3.2

WWU will continue to discharge surplus mine water from underground workings via Cockle Creek (in accordance with the conditions of EPA Point 4 of EPL 4033 for Westside Mine) or Burkes Creek (in accordance with the This was noted, however the audit did not require a finding to be made on this point. Noted conditions of EPA Point 2 of EPL 1360). Discharge of surplus underground mine water via EPA Point 2 may be necessary during periods of scheduled maintenance on the LW 11 borehole pump.

4. Surface Water Management System

Clean Water Runoff 4.2.1

Where possible, runoff from undisturbed areas adjacent to WWU surface facilities is diverted around disturbed areas using diversion drains. The diversion drains prevent the clean water from entering the dirty water Observed during site inspection. Compliant catchment and minimise the inflow of clean water runoff into the pit top facilities.

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Dirty Water Runoff 4.2.2

Runoff water from the WWU pit top facilities potentially contains sediment and needs to be managed accordingly. Runoff is directed to the water management system dams (Section 4.2.3) via catch drains. Water is Observed during site inspection. Compliant then treated in the dams before being used where possible on site for dust suppression and equipment wash down or is discharged off site via EPA Point 2.

During normal operation, the water management system dams are maintained at low levels to ensure that adequate capacity is available in the event of a storm event or period of prolonged rainfall. If required, water is Observed during site inspection. The levels were low at the time of the audit. Compliant discharged in accordance with the EPL (Section 4.2.4).

Water Storages 4.2.3

Maintenance and upgrade works such as sediment removal are periodically undertaken to ensure the surface water management system remains consistent with the WWCCOP EA. As mentioned above, maintenance and Observed during site inspection. Compliant upgrade works were undertaken in 2014/2015 to ensure consistency with the WWCCOP EA and address the water incidents that occurred in 2013 by increasing dam capacity.

Water Transfer and Disposal 4.2.4

WWU has one licensed discharge point at EPA Point 2 under EPL 1360. The licensed discharge point is currently used for discharge of surplus surface water runoff from the WWU pit top site and for the discharge of surplus water from underground workings, where required, during periods of scheduled maintenance on the LW11 This was the case at the time of the audit. Compliant borehole pump. Water quality is monitored at the EPA Point 2 discharge point as well as upstream of and downstream of the discharge point in Burkes Creek.

- In contravention of Condition number L2.1, an exceedance of TSS value at EPA Point 2 was recorded during a rain event between 16/11/2013 and 18/11/2013.

- In contravention of Condition L2.1, overtopping of dam wall spillway (with associated seepage) and exceedance of total suspended solids limit at EPA Point 2 during heavy rainfall event on 24/4/2014. Water discharged from the site will comply with all quality limits contained within the relevant EPL. Water - In contravention of Condition number M8.1 and L2.1, two surface water dams at West Not Compliant E 1 Medium quality will be confirmed through sampling in accordance with the requirements of the EPL. Wallsend Colliery (WWC), known as the Bottom Dam and the North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015.

- In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the pollutant concentration from EPA Point 2 following rainfall on 6/1/2016. Water Treatment 4.2.5

Daily visual inspections of the surface water dams are undertaken to determine whether stored water requires Sighted examples of completed Daily Surface Water Management System Inspection Compliant flocculation. Forms. An automated flocculent station has been established on the Top Dam and operates on a permanent basis. A second flocculent dosing station is located at the inlet to the Bottom Dam (Cell 1). This station is utilised to Observed during site inspection. Compliant reduce the level of TSS in the discharge from EPA Point 2 during high rainfall events. In addition, a portable venturi flocculent station is available that can be used to treat all dams.

Wastewater Management 4.2.7

Sewage generated at the WWU pit top is treated by a Sewage Treatment Plant (STP) adjacent to the light vehicle entrance (Figure 3.1). The STP is operated in accordance with a Lake Macquarie City Council (LMCC) approval for Observed during site inspection. Complaint the operation of an on-site STP. Treated effluent from the STP is pumped to the maturation ponds at the MCPP, with the water reused as process water within the MCPP.

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All surface water dams are visually inspected on a daily basis. The purpose of the daily inspections is to check Sighted examples of completed Daily Surface Water Management System Inspection water levels and quality and to determine the need for any flocculation. Dams are also inspected on a monthly Compliant Forms. basis by the OCAL Environment and Community Department to determine sedimentation levels.

Equipment used in the measurement of water quantities and quality such as flow meters, online instrumentation and hand held analytical meters are tested and calibrated in accordance with the No calibration certificates able to be provided as evidence. Not Compliant E 1 Medium manufacturers specifications. Calibration certificates and records are kept for a period of at least four years in accordance with the WWC Environmental Management Strategy (WWC SD FWK 0013).

Mining Services Facility 4.3

A detailed design of the water management system for the MSF will be completed prior to construction of the MSF not constructed. Not Triggered MSF and will include erosion and sediment controls associated with the construction phase. No. 3 Ventilation Shaft and 4.4 Ballast Borehole Site In total, the combined catchment reporting to the sedimentation ponds is approximately 2.9 hectares. Ongoing activities at the No.3 ventilation shaft and ballast borehole site will be managed through the existing water This was noted, however the audit did not require a finding to be made on this point. Noted management system at the site. Pipeline Management 4.7

Sighted pipeline inspection forms (LW11 and effluent) not able to be fully verified as the Not able to be All pipelines at the WWU are to be installed, operated and maintained in accordance with CAA HSEC PCL 0010. forms did not cover all the requirements noted here. Verified When works are being done on pipelines or pumps a risk assessment and/or a change management shall be Sighted Risk Assessment for New Pipeline from NE Dam to Top Dam. Compliant undertaken to consider any HSEC risks. Also sighted examples of pipeline change management actions in Xtrasafe. Pipeline testing (ie thickness testing, fittings check etc) should be carried out when required - in line with Sighted pipeline inspection forms (LW11 and effluent). Compliant pipeline maintenance strategy. Erosion and Sediment Control 4.8

Erosion and sediment controls will be installed and maintained as required at WWU to mitigate the impact on nearby watercourses and the surrounding environment. Standard erosion and sediment control techniques will Considered as part of GDP process. Compliant be utilised in accordance with the requirements of Managing Urban Stormwater: Soils and Construction Volume 1 (Landcom, 2004) and Volumes 2A, 2C, 2D and 2E (DECC, 2008) (the Blue Book).

Ground Disturbance Procedure 4.9

A Glencore Ground Disturbance Permit Form (CAA HSEC PER 0004) must be completed for all construction, ground disturbance or clearing activities to detail the erosion and sediment control measures to be implemented for that activity.

The form requires detailed erosion and sediment control planning for each stage/area of the relevant activity in line with the Glencore Erosion and Sediment Control Procedure (CAA HSEC PRO 0016). This may include (but not be limited to) the following: - an Erosion and Sediment Control Drawing; information on ground cover, soil type and compaction requirements; - design calculations and key design assumptions for sediment control features such as sediment dams, including size of catchment area and proportion disturbed; Sighted GDP for upgrade of Dam System - includes triggers for erosion and sed controls, Compliant - an order of works based upon stabilisation of all areas of high erosion hazard at the earliest practical stage; ecological due diligence, inspection and sign off regimes, etc. proposed time schedules for construction of structures and implementation of measures to control erosion and sedimentation; - reference to monitoring and maintenance procedures, including details of any water quality testing required; - rehabilitation requirements (e.g. seeding and fertiliser rates); and - standard document control information (e.g. date developed, person authorising the procedure and version number).

For construction activities, the Glencore Ground Disturbance Permit Form will be incorporated into the construction program and no earthworks or excavations will proceed until the contractor has installed the measures detailed within the Glencore Ground Disturbance Permit Form.

Specific Glencore Ground Disturbance Permit Forms will be progressively amended where necessary to This was noted, however no examples were identified where conditions had changed Noted accommodate changes in construction activities, landforms, drainage paths and other conditions. during the process.

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General Erosion and Sediment 4.9.1 Control Principles

WWU will install and maintain erosion and sediment controls in accordance with the Blue Book (Landcom, 2004 and DECC, 2008) at the WWU surface facilities. The measures that will be implemented include the following: - Installation of erosion and sediment control measures as the first step in the process for land disturbance; - Minimising all disturbed areas and stabilisation by progressive rehabilitation/stabilisation as soon as practicable; - Clearly identifying and delineating areas required to be disturbed and ensuring that disturbance is limited to those areas. Clearing as little vegetation as required, leaving mulch on cleared areas as long as possible and minimising machinery disturbance outside of these areas; - Construction of diversion drains upslope of areas to be disturbed to direct clean water runoff away from disturbed areas, where practical. The diversion drains will be designed to ensure effective segregation of sediment-laden runoff and allow clean surface water to return to natural watercourses (Appendix 3); - Construction of catch drains to capture runoff from disturbed areas and direct runoff into sediment dams (Appendix 3); - Construction of other erosion and sediment control measures, where required, such as sediment fences and sediment dams within the catchment area; - Construction of drainage controls such as table drains at roadsides and on hardstand areas and toe drains on stockpiles; - Construction of sediment dams, where required, to capture runoff from infrastructure areas (Appendix 3); Erosion and sediment controls triggered through GDP process, plansare signed off by Compliant environment and community staff.

- Addition of flocculent to dams, where required, to aid the settlement of entrained sediment (Appendix 3); - Placement of geotextile liners and rock check dams in drains as required to reduce water velocities and prevent scouring (Appendix 3); - Regular maintenance of all controls and inspection of all works weekly and after storm events to ensure erosion and sediment controls are performing adequately; - Topsoil stockpiles to be located away from high traffic areas and watercourses; - Level or gently sloping areas will be selected as stockpile sites, where required, to minimise erosion and potential soil loss where possible; - Appropriate sediment controls will be installed upslope of stockpiles to divert water around the stockpiles and down slope of stockpiles to prevent soil loss; - Stockpiles will generally be less than three metres high and will be set out in windrows to maximise surface exposure and biological activity; - Vegetation of soil stockpiles if stored for longer than three months; and - Immediate repair or redesign of erosion and sediment controls that are not performing adequately, as identified in field inspections.

Construction and Maintenance 4.9.2 Principles Prior to the commencement of any construction activities at WWU, a Glencore Ground Disturbance Permit Form Sighted during audit visit, examples provided. Compliant is required to be completed WWU will control erosion and the discharge of water off site from construction activities in accordance with the As included in GDP process, plans to be signed off as required. Compliant Blue Book (Landcom, 2004 and DECC, 2008).

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Clean Water Diversion Drains 4.9.4.2

Clean water diversions will be constructed upslope of areas to be disturbed to convey clean water runoff away Construction of clean water diversions triggered when necessary through GDP process for from disturbed areas. This clean water runoff will be diverted into nearby watercourses. Appropriate protection construction works. Compliant will be established where diverted waters enter creeks through the use of level spreaders and, if required, additional planting of grass, small shrubs and riparian species to achieve the required bank stability. Permanent diversion drains (required for greater than 3 months) are to be designed in accordance with the Blue Book to cater for a 20 year Average Recurrence Interval (ARI) storm event. Further design criteria are provided in Observed during audit visit. Compliant Appendix 3. Catch Drains 4.9.4.3

Catch drains will be established to convey runoff from the disturbed areas to sediment dams. All permanent catch drains (required for greater than 3 months) will be designed to convey peak discharges from a minimum Catch drains observed during site inspection. Compliant critical duration 20 year ARI storm event in accordance with the Blue Book Temporary Sedimentation 4.9.4.5 Control Methods

Sediment fences, sediment traps, rock check dams and other temporary erosion and sediment control measures from the Blue Book will be installed in advance of, or in conjunction with, earthworks to prevent sediment laden water leaving the site or entering clean water systems. These temporary controls are intended to be used for Included in GDP process as required. Compliant short periods whilst more permanent erosion and sediment control structures are being implemented or during emergency scenarios where permanent structures are not deemed appropriate.

Sediment Dams 4.9.4.7

Sediment dams are to be constructed within dirty water catchments to capture and treat sediment laden water for treatment prior to discharge. Sediment dams will be installed where appropriate prior to any land Included in GDP process as required. Compliant disturbance activities occurring and maintained following completion of land disturbance activities.

Where sediment is known/expected to be dispersive, sediment dams will include a flocculation system to assist No strongly dispersive soils identified onsite to date. Not Triggered in settling fine particles. All sediment dams will be maintained in a drawn down state as far as practicable.

5. Site Water Balance

Annual Water Balance 5.5

An annual site water balance will be compiled based on site water management data collected in accordance with the requirements of Condition 17(a) of Schedule 5 of the Project Approval. Specific reporting outcomes from the annual site water balance include: - an estimate of the volume of rainfall runoff collected in each of the catchment areas that make up the WWU Water Management System; - an estimate of the volume of water sourced from the hard rock and alluvial aquifers; Average Site Water Balance (January 2015 to December 2015) included in Annual Review - the volume of water transferred to or from other mining operations; water discharged via EPA Point 2 to 2015 Burkes Creek; and Average Site Water Balance (January 2014 to December 2014) included in Annual Review - potable water usage. 2014 Compliant Average Site Water Balance (January 2013 to December 2013) included in Annual Review The annual site water balance will also be used to manage the risks associated with the management, storage 2013 and transfer of water at WWU. The results of the annual water balance review will be reported in the WWU Annual Review. This will include a comparison of the performance against the predictions in the West Wallsend Continued Operations Project Environmental Assessment (Umwelt, 2010), a comparison of the reported groundwater inflow against licence conditions, a review of the rainfall yield model, a review of the water loss models (i.e. evaporation and coal moisture), an assessment of the monitoring equipment reliability and any requirements for additional monitoring equipment.

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6. Surface Water Monitoring

Monitoring Standards 6.2

Surface water monitoring at WWU will be undertaken in accordance with relevant Australian Standards, legislation and the OEH approved methods for sampling, including (but not limited to): ALS Certificate of Analysis sites ALS as NATA Accredited Laboratory 825, Accredited for - Approved Methods for the Sampling and Analysis of Water pollutants in NSW (DEC, 2004); compliance with ISO/IEC 17025. Compliant - AS/NZS 5667.1:1998 Water Quality – Sampling – Guidance on the Design of Sampling Programs, Sampling Note from Carbon Based regarding compliance with the standards and guidleinesrequired Techniques and the Preservation and Handling of Samples; and provided as evidence. - AS/NZS 5667.10:1998 Water Quality – Sampling – Guidance on Sampling of Waste Waters Surface Water Monitoring 6.3 Program This program includes monitoring of the following elements of the WWU water management system and surrounding creeks: - daily rainfall, as recorded at the WWU weather station. The WWU weather station was installed and commissioned in December 2012 in accordance with the Approved Methods for Sampling of Air Pollutants in New South Wales Guideline. The weather station is positioned in an approved location onsite at WWU, adjacent to the WWU car park; As reported in Annual Reviews 2013, 2014 and 2015. Compliant - daily visual inspections of water management infrastructure; - monthly inspections of all erosion and sediment controls, as well as after storm events (i.e. rainfall events of greater than 50 millimetres in 24 hours); - transfers of water to, from and around the site; - off-site surface water discharges; and monitoring of surface water quality and flows (by observation) in upstream and downstream watercourses. Surface Water Quality 6.3.1 Monitoring

- In contravention of Condition number L2.1, an exceedance of TSS value at EPA Point 2 was recorded during a rain event between 16/11/2013 and 18/11/2013.

WWU will continue to undertake all surface water monitoring in accordance with EPL 1360. - In contravention of Condition L2.1, overtopping of dam wall spillway (with associated Table 6.1 outlines the EPL concentration limits for EPA Point 2. seepage) and exceedance of total suspended solids limit at EPA Point 2 during heavy rainfall event on 24/4/2014.

- In contravention of Condition number M8.1 and L2.1, two surface water dams at West Not Compliant E 1 Medium Wallsend Colliery (WWC), known as the Bottom Dam and the North East Dam, overtopped their emergency spillways and exceeded TSS limit following a heavy rainfall event in April 2015.

- In contravention of Condition number L3.1, an overtopping of North-East Dam resulted in a failure to monitor the pollutant concentration from EPA Point 2 following rainfall on 6/1/2016.

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Table 6.2 details the parameters proposed to be monitored to satisfy the requirements of the Project Approval. Due diligence monitoring is also undertaken upstream (SW02) and downstream (SW03) of the licensed discharge point (EPA Point 2) at Burkes Creek and is outlined in Table 6.2.

As per Project Approval 09_0203 Noted

All monitoring data will be retained in an appropriate format on site and will be used to review the effectiveness of the WWU water management system on an ongoing basis, with the water quality monitoring results reported Observed during site visit. Compliant on an annual basis within the WWU Annual Review and in the EPL Annual Return (where applicable). EPA Point 2 Discharge Volume 6.3.2 Monitoring

As per EPL, discharge volume exceedences have occurred during the audit period (during In accordance with the requirements of EPL 1360, WWU will monitor the volume of water discharged via EPA high rainfall events that were beyond the design capcities of the infrastructure). Point 2 through a v-notch weir with level sensor attached to a continuous logger. In accordance with EPL 1360, Compliant discharge from EPA Point 2 will not exceed 4,000 kilolitres per day. The results of the discharge volume Historical Trends Total EPA Point 2 Discharge Volume Monitoring reported in Annual monitoring will be reported annually in the WWU Annual Review and the EPL Annual Return. Reviews 2013, 2014 and 2015.

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A summary of the environmental monitoring requirements as detailed within this SWMP is detailed in Table 6.4.

This was noted, however the audit did not require a finding to be made on this point. Noted

7. Reporting and Reviewing

Environmental Incidents 7.1

If water monitoring results identify an exceedance of the limits specified in EPL 1360, the exceedance is to be reported internally in accordance with the Community Complaint and Environmental Incident Management Sighted exceedence and complaints procedures during audit site visit. Compliant Procedure (WWC SD PRO 0036) and externally in accordance with the WWU, MCPP and Teralba Northgate Pollution Incident Response Management Plan (WWC SD PLN 0074).

All environmental incidents will be investigated to a level commensurate to their risk level in consultation with Reviewed the Incidents and associated communications and noted the satisfactory Compliant the OCAL Environment and Community Manager. elevation of serioud issues for example the extra effort that went into the grout incidents.

In addition, reporting of environmental incidents will be undertaken in accordance with Condition 7, Schedule 6 of the Project Approval, which states: ‘The Proponent shall notify the Secretary and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. For any Sighted notification correspondence and formal reports submitted to EPA, DRE, OEH and Compliant other incident associated with the project, the Proponent shall notify the Secretary and any other relevant DP&E for incidents within audit period. agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of the date of the incident, the Proponent shall provide the Secretary and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’

External Reporting 7.2

A summary of the SWMP monitoring results will be reported in the WWU Annual Review in accordance with Condition 4 of Schedule 6 of the Project Approval: ‘By the end of March each year (or other such timing as agreed by the Director-General), WWU shall submit a review of the environmental performance of the project to the satisfaction of the Director-General. This review must: a) describe the works (including any rehabilitation) carried out in the past calendar year, and the works proposed to be carried out over the current calendar year; b) include a comprehensive review of the monitoring results and complaints records of the project over the past calendar year, which includes a comparison of these results against the: relevant statutory requirements, limits or performance measures/criteria; monitoring results of previous years; and relevant predictions in the EA; Verified in Annual Reviews. Compliant c) identify any non-compliance over the past calendar year, and describe what actions were (or are being) taken to ensure compliance; d) identify any trends in the monitoring data over the life of the project; e) identify any discrepancies between the predicted and actual impacts of the project, and analyse the potential cause of any significant discrepancies; and f) Describe what measures will be implemented over the current calendar year to improve the environmental performance of the project.’ The WWU Annual Review will also document complaints relating to the performance, maintenance and/or failure of the WWU Water Management System. Performance monitoring, which includes an assessment of the effectiveness of water controls and compliance Verified discussions of compliance and environmental performance in CCC meeting with the relevant Project Approval and EPL conditions, will also be discussed at Community Consultative Compliant minutes. Committee (CCC) meetings.

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Unforeseen Impacts Protocol 7.3

In the event of unforeseen impacts associated with surface waters at WWU surface facilities, the following protocol will be implemented: - conduct a preliminary review of the nature of the impact, including: - any relevant monitoring data; and - current mine activities and land use practices; Unforeseen impacts treated as incidents Compliant - commission an investigation into the unforeseen impact to confirm cause and effect and consider relevant options for amelioration of impact(s) as appropriate; - prepare an action plan in consultation with the relevant stakeholders; - mitigate causal factors where possible; and - implement additional monitoring as necessary to measure the effectiveness of the controls implemented. No unforeseen impacts identified within audit period. The outcomes of the investigations into any unforeseen impacts and the controls / remediation actions Environmental Incidents reported in; implemented will be undertaken in consultation with DP&E, NOW and OEH (EPA) and will be reported in the Compliant AR 2013, Section 4.0 WWU Annual Review. AR 2014, Section 4.0 AR 2015, Section 11.0 Community Complaints and 7.4 Consultation Complaints relating to surface water management at WWU will be managed in accordance with Community Complaint and Environmental Incident Management Procedure (WWC SD PRO 0036). This will include initial contact with the complainant within 24 hours of receiving the complaint, as well as a detailed investigation into No complaints related to surface water management received during audit period. Not Triggered the cause of the complaint. A summary of complaints will be available to regulatory authorities on request and provided in the WWU Annual Review. Site water management issues of interest to the community will be addressed in regular CCC meetings in accordance with Condition 6 of Schedule 6 of the Project Approval. CCC meetings will be conducted in general Sighted in presentation delivered to CCC by E&C Manager. Compliant accordance with the Guidelines for Establishing and Operating Community Consultative Committees for Mining Projects (Department of Planning, 2007, or its latest version).

A copy of the water monitoring results reported in the WWU Annual Review will be made publically available in Water monitoring results summarised in Annual Reviews 2013, 2014 and 2015. Compliant accordance with Condition 11 of Schedule 6 of the Project Approval. Annual reviews for audit period are available on WWC website.

8. Review and Improvement Ongoing monitoring and review on the performance and implementation of this SWMP will be undertaken in accordance with the WWU Environmental Management Strategy.

In accordance with Condition 5 of Schedule 6, WWU shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Secretary, within 3 months of: a) the submission of an annual review under condition 4 above; Sighted Management Plan Revision Notification letter submitted to DP&E in accordance Compliant b) the submission of an incident report under condition 7 below; with this condition for 2013, 2014 and 2015. c) the submission of an audit report under condition 9 below; and d) any modification to the conditions of this approval (unless the conditions require otherwise), The Proponent shall review, and if necessary revise, the strategies, plans, and programs required under this approval to the satisfaction of the Secretary.

WWU will review and if necessary, revise this SWMP and resubmit to DP&E every year or earlier if required. A copy of the revised SWMP will be supplied to the Secretary of DP&E for approval. The SWMP will reflect changes Sighted Management Plan Revision Notification letter submitted to DP&E in accordance Compliant in environmental requirements, technology and operational procedures. Updated versions of the approved with this condition for 2013, 2014 and 2015. SWMP will be made publicly available on the WWU website (http://www.westwallsendcolliery.com.au/).

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Effective September 2014

WWC SD PLN 0122 (V1)

1. Introduction Purpose and Scope 1.2 The purpose of this Water Management Plan (WMP) is to provide a description of the measures to be implemented by WWC to mitigate subsidence related surface and groundwater impacts related to the mining of This was noted, however the audit did not require a finding to be made on this point. Noted LW 46 and to detail management and monitoring requirements associated with the mining operations, in accordance with the Project Approval (refer to Section 2.1). Objectives 1.3

The objectives of this WMP include the following: - establishment of surface and groundwater impact assessment criteria, including trigger levels; - provide a program to monitor and report stream flows; - assess changes in streams as a result of subsidence impacts; This was noted, however the audit did not require a finding to be made on this point. Noted - provide a protocol for remediation of streams and maintain stream stability; - provide a program to monitor and report groundwater inflows to underground workings; - provide a program to predict, manage and monitor impacts on groundwater bores on privately-owned land.

4. Baseline Data

Watercourse Channel Stability 4.2.2

Although no significant impacts are expected to occur to GDEs as a result of subsidence related impacts (Umwelt, 2010), an ecological monitoring program will continue to be undertaken to identify any significant impacts within the Continued Underground Mining Area. Further information regarding the monitoring of No GDEs identified in Project Area Not Triggered potential ecological impacts on identified GDEs and mitigation of these impacts, is outlined in the WWC Biodiversity Management Plan (WWC SD PLN 0125) (included as part of the WWC Extraction Plan).

5. Surface Water Monitoring and Management

Channel Stability Monitoring 5.2

The following steps are required to be undertaken for each monitoring period: 1. Record all cross-sections and longitudinal profiles (refer to Table 5.1). 2. Record all required parameters (refer to Table 5.1); 3. Record all required water quality parameters (refer to Table 5.1) 4. Take photographs at each monitoring point using the following procedure: Geomorphic Monitoring and Inspection Forms for LW 46 sighted. Note no post mining Compliant - at least one photograph from the monitoring point looking downstream; inspections as the LW46 pulled up short and did not undermine the monitoring point. - at least one photograph from the monitoring point looking upstream; and - at least one photograph from the left bank to the right bank (left/right when facing downstream) to obtain a cross-section view of the channel. 5. Assess whether any changes to the watercourses require mitigation works. Timing of Monitoring Events 5.2.1

The subsidence monitoring of the watercourses will be undertaken at the following times: prior to subsidence; Geomorphic Monitoring and Inspection Forms for LW 46 sighted. Note no post mining As soon as practical after the first post-mining storm event of 50 mm or more over a 24 hour period; 3 to 6 Compliant inspections as the LW46 pulled up short and did not undermine the monitoring point. months post mining (i.e. when subsidence is complete); and 12 to 18 months post mining.

Remediation Works 5.3.1

WWC will investigate the need for in-stream works as part of the geomorphologic monitoring program outlined in Section 5.1. Any requirements for in-stream works identified as part of this monitoring program will be No streams impacted, therefore no remediation required. Not Triggered reported in the Annual Review (refer to Section 8.2).

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Surface Cracking Remediation 5.3.2

Surface disturbance works to remediate cracking will be undertaken in accordance with the OCAL Clearance for Work Procedure and Subsidence Remediation Procedure (WWC SD PRO 053). If subsidence cracking occurs remediation strategies may include self healing mechanisms and/or grouting. These works will be undertaken to As covered in the GDP process undertaken for subsidence remediation works. Compliant fill cracks at the surface and limit potential ingress of surface run-off into the underground mining operations. As any cracking will appear very rapidly on the surface after long wall mining, resealing of the cracks may be required.

Subsidence remediation works will also be undertaken in accordance with the WWC Biodiversity Management Plan (prepared as part of the WWC Extraction Plan), which includes the requirement for due diligence surveys As covered in the GDP process undertaken for subsidence remediation works. Compliant (through the OCAL Clearance for Work procedure) and also provides details of erosion and sediment control implementation for clearance activities.

6. Groundwater Monitoring If an exceedance of any groundwater criteria or trigger levels is identified, then the Surface Water and Discussed examples with environment staff during site visit. Not triggered in the audit Not Triggered Groundwater Response protocol, refer to Section 7.0, shall be implemented. period. WWC will continue to maintain the existing groundwater monitoring network and also undertake regular analysis of groundwater monitoring data to compare predicted and actual groundwater impacts. This will include groundwater make in the underground operations which is discharged at Westside Mine. Groundwater monitoring locations are shown on Figure 5. Aurecon (2013) recommend ongoing monitoring of the existing Ground water monitoring program ongoing as reported in AR 2013, 2014, 2015. Compliant monitoring locations and that the TARP in Table 7.1 be revised based on recent groundwater monitoring reports. WWC are proposing to install two additional piezometers in LW 46 to monitor for any potential impacts to the alluvium within LW 46 (refer to Section 6.2).

Monitoring Standards 6.1

Groundwater monitoring at WWC will be undertaken in accordance with: - relevant Australian Standards, legislation and DECCW approved methods for sampling, including but not limited to: - AS/NZS 5667.1:1998. Water Quality – Sampling – Guidance on the Design of Sampling Programs, Sampling Techniques, and the Preservation and Handling of Samples; ALS Certificate of Analysis sites ALS as NATA Accredited Laboratory 825, Accredited for - AS/NZS 5667.11:1998. Water Quality - Sampling - Guidance on Sampling of Groundwaters; compliance with ISO/IEC 17025. Compliant - Department of Environment and Conservation (DEC), 2004. Approved Methods for the Sampling and Note from Carbon Based regarding compliance with the required standards and guidelines Analysis of Water Pollutants in New South Wales; and provided as evidence. - Department of Infrastructure, Planning and Natural Resources (DIPNR), 2003. Groundwater Monitoring Guidelines for Mine Sites within the Hunter Region; - procedures for environmental monitoring and evaluation outlined in the Environmental Management Strategy (EMS) for WWC. All groundwater monitoring data will be retained in an appropriate format on-site and will be used to review the Groundwater monitoring data retained in Sentinex and Glencore Databases. Complaint effectiveness of the WWC water management system on an ongoing basis. A monthly review and assessment of groundwater monitoring data will be undertaken in accordance with WWC Sighted during audit visit Compliant procedures and will include consideration of relevant meteorological and rainfall data.

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Groundwater Levels 6.2

A program to predict, manage and monitor impacts on groundwater bores on privately owned land will be undertaken by WWC is detailed in Section 6.3.2. Details of the groundwater monitoring locations are presented in Table 6.1 and are shown on Figure 5.

Sighted monthly analysis program, during audit visit Compliant Trends assessed in Ars.

Groundwater Impact Assessment 6.3 Criteria

All monitoring data collected as part of this plan needs to be assessed against suitable criteria in order to: No assessment criteria for groundwater monitoring. - determine if groundwater extraction volumes are within licence conditions and modelled predictions; and - identify deviations from the baseline groundwater level trends (refer to Section 4.6.2). If deviations from Trends covered in above sections. Not Compliant D 1 Medium baseline alluvial aquifer groundwater monitoring trends are identified, the Trigger Action Response Protocol (TARP) provided in Section 7.1 will be implemented. TARP examples discussed during audit visit.

Groundwater Extraction 6.3.1

WWC currently holds no licences under the Water Management Act 2000. WWC does not propose to extract any Noted, alluvials not impacted in the audit period. Noted groundwater from alluvial aquifers and it is not planned to increase dewatering from current levels.

Groundwater Levels 6.3.2

Groundwater level monitoring will only be undertaken for the monitoring bores outlined in Table 6.1, in order to measure potential impacts on groundwater systems and groundwater bores on nearby privately owned This was noted, however the audit did not require a finding to be made on this point. Compliant residences. The groundwater bores shown in Table 6.1 are monitored for groundwater level. Groundwater level data is downloaded monthly. WWC has developed triggers for two (D9 & C4) alluvial groundwater areas above the Ground water monitoring program ongoing as reported in AR 2013, 2014, 2015. Compliant LW46 extraction. Following receipt of groundwater monitoring results, WWC review the data for potential anomalies that may suggest aquifer impact has occurred (refer to Section 7.1 for triggers). Where anomalous data is identified, No aquifer impact identified. Not Triggered consultation will be undertaken with groundwater experts where required. Trends in groundwater levels will be reported in the WWC Annual Review. Groundwater Inflows 6.4

Average Site Water Balance (January 2015 to December 2015) included in Annual Review 2015 Average Site Water Balance (January 2014 to December 2014) included in Annual Review Groundwater extraction will be monitored during the completion of the annual site water balance. The WWC 2014 Compliant site water balance is described in detail in the WWC SWMP (WWC SD PLN 0051). Average Site Water Balance (January 2013 to December 2013) included in Annual Review 2013

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 46 Water Management Plan

Groundwater inflows will also be estimated on a monthly basis to confirm no impacts are occurring to the groundwater systems. This will be assessed through the monitoring of water extraction from LW11. In the event LW 11 dewatering data used to identify anomalous volumes. Compliant that pump records within the underground workings indicate that anomalous volumes of groundwater are being pumped from the underground workings, the TARP in Section 7.1 will be initiated.

Groundwater Extraction 6.5

Average Site Water Balance (January 2015 to December 2015) included in Annual Review 2015 Site water management data will be collected in accordance with the relevant site procedures and will be used Average Site Water Balance (January 2014 to December 2014) included in Annual Review during the preparation of the Annual Site Water Balance to determine the volume of groundwater extraction 2014 Compliant from hard rock/coal and from groundwater systems (refer to WWC SWMP (WWC SD PLN 0051)). Average Site Water Balance (January 2013 to December 2013) included in Annual Review 2013

Groundwater Quality 6.6

WWC does not currently undertake groundwater quality monitoring. However, WWC propose to review the current monitoring regime and undertake monthly due diligence groundwater quality monitoring to include Groundwater quality monitoring undertaken for LW 11 and EPA Point 2. Compliant sampling of heavy metals concentrations. 7. Surface Water and Groundwater Response Plan Impacts on Groundwater 7.1 Systems In the event that the monitoring programs identify potential impacts on the groundwater systems, the TARP as Not require din the audit period Not Triggered outlined in Table 7.1 is to be implemented.

Failure of Erosion and Sediment Controls for Subsidence 7.2 Remediation Works

In the event that the erosion and sediment control maintenance and inspection program identifies a failure of No such event in audit period. Not Triggered erosion and sediment control structure, the TARP as outlined in Table 7.2 is to be implemented. Complaints Management 7.3 Protocol

All complaints will be investigated by the WWC Environment and Community Manager in accordance with Procedure sighted, no complaints received during audit period. WWC’s Community Complaint and Environmental Incident Management Procedure. In the event that a Compliant complaint is received, the TARP as outlined in Table 7.3 will be implemented. CMO process sighted and telephone complaints procedure enacted demonstratively.

Groundwater Impact Protocol 7.4

The TARP outlined in Table 7.4 will be implemented in the event that a complaint is received from a landowner No such complaint received during audit period. Compliant regarding depressurisation of a water supply or bore

Impacts on Channel Stability 7.5

Should impacts (i.e. increase in erosion) be identified in channels within the continued underground mining area, then monitoring and management works within watercourses will be undertaken as outlined in Section 5.0. When work is required within watercourses, work will be in accordance with guidelines from Managing No channel stability impacted, therefore no remediation required. Not Triggered Urban Stormwater: Soils and Construction Volume 1 (Landcom, 2004) and Volumes 2A, 2C, 2D and 2E (DECC, 2008) (the Blue Book). The TARP outlined in Table 7.5 will be implemented in the event that channel stability impacts are identified.

Unforeseen Impacts Protocol 7.6

In the event of unforeseen impacts associated with groundwater at WWC, the following protocol will be implemented: - conduct a preliminary review of the nature of the impact, including: - any relevant monitoring data; and - current mine activities and land use practices; No unforeseen impacts identified within audit period. Not Triggered - commission an investigation into the unforeseen impact to confirm cause and effect and consider relevant options for amelioration of impact(s) as appropriate; - prepare an action plan in consultation with the appropriate regulatory agency; - mitigate causal factors where possible; and implement additional monitoring as necessary to measure the effectiveness of the controls implemented. The outcomes of the investigations into any unforeseen impacts and the controls/remediation actions implemented will be undertaken in consultation with Department and Planning and Environment, NOW and No unforeseen impacts identified within audit period. Not Triggered OEH and will be reported in the Annual Review.

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 46 Water Management Plan

8. Reporting

Environmental Incidents 8.1

Environmental Incidents reported in; AR 2013, Section 4.0 All environmental incidents will be investigated to a level commensurate to their risk level in consultation with AR 2014, Section 4.0 Compliant the OCAL Environment and Community Manager. AR 2015, Section 11.0 Incident reports and associated communication reviewed and found compliant. In addition, reporting of environmental incidents is required in accordance with Condition 7, Schedule 6 of the Project Approval, which states: ‘The Proponent shall notify the Director-General and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. Sighted notification correspondence and formal reports submitted to EPA, DRE, OEH and Compliant For any other incident associated with the project, the Proponent shall notify the Director-General and any other DP&E for incidents within audit period. relevant agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of the date of the incident, the Proponent shall provide the Director-General and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’

Environmental Incidents reported in; All environmental incidents are to be reported in the Annual Review. AR 2013, Section 4.0 Compliant AR 2014, Section 4.0 AR 2015, Section 11.0 External Reporting 8.2

A summary of WMP monitoring results will be provided in the WWC Annual Review. The following information will be reported in the Annual Review in accordance with Condition 4 of Schedule 6 of the Project Approval (refer to Appendix 1): By the end of March each year (or other such timing as agreed by the Director-General), the WWC shall submit a review of the environmental performance of the project to the satisfaction of the Director-General. This review must: describe the works (including any rehabilitation) carried out in the past calendar year, and the works proposed to be carried out over the current calendar year; include a comprehensive review of the monitoring results and complaints records of the project over the past calendar year, which includes a comparison of these results against the: - relevant statutory requirements, limits or performance measures/criteria; Verified in Annual Reviews. Compliant - monitoring results of previous years; and - relevant predictions in the EA; identify any non-compliance over the past calendar year, and describe what actions were (or are being) taken to ensure compliance; identify any trends in the monitoring data over the life of the project; identify any discrepancies between the predicted and actual impacts of the project, and analyse the potential cause of any significant discrepancies; and describe what measures will be implemented over the current calendar year to improve the environmental performance of the project.

In addition, any significant findings regarding the implementation of the WMP will be reported in the Annual Review. The Annual Review will also document complaints relating to the performance, maintenance and/or failure of the WWC water management system. Community Consultation 8.3

Summary of water quality results included in Annual Reviews 2013, 2014 and 2015. A copy of the water monitoring results reported in the Annual Review will be made publically available in Compliant accordance with Condition 11 of Schedule 6 of the Project Approval. Monthly EPL Water Quality Monitoring Data also available on WWC website.

Monitoring Records 8.4

In accordance with EPL condition M1 and as per WWC document control procedures, monitoring records will be All data is stored. Compliant maintained on site for at least 4 years.

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW 46 Water Management Plan

9. Review and Improvement Ongoing monitoring and review on the performance and implementation of this WMP will be undertaken in accordance with WWC Environmental Management Strategy. In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Director-General, within 3 months of the submission of: Sighted Management Plan Revision Notification letter submitted to DP&E in accordance (a) the submission of an annual review under condition 4 above; Compliant with this condition for 2013, 2014 and 2015. (b) the submission of an incident report under condition 7 below; (c) the submission of an audit report under condition 9 below; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), the Proponent shall review, and if necessary revise, the strategies, plans, and programs required under this approval to the satisfaction of the Director-General. The WWC Environment and Community Manager (or delegate) will review and if necessary, revise this WMP and resubmit to DP&E every year or earlier if required. Any changes made to the WMP as a result of the review will be made in consultation with OEH and NOW. A copy of the revised WMP will be supplied to the Director General Sighted Management Plan Revision Notification letter submitted to DP&E in accordance Compliant of DP&E for approval. The WMP will reflect changes in environmental requirements, technology and operational with this condition for 2013, 2014 and 2015. procedures. Updated versions of the approved WMP will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/).

LW 46 Water Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Water Management Plan Effective September 2015 Document Number WWC SD PLN 0145 (V5) 1. Introduction Purpose and Scope 1.2 The purpose of this Water Management Plan (WMP) is to provide a description of the measures to be implemented by WWC to mitigate subsidence related surface and groundwater impacts related to the mining of This was noted, however the audit did not require a finding to be made on this point. Noted LW51 and LW52 and to detail management and monitoring requirements associated with the mining operations, in accordance with the Project Approval (refer to Section 2.1). Objectives 1.3 The objectives of this WMP include the following: - establishment of surface and groundwater impact assessment criteria, including trigger levels; - provide a program to monitor and report stream flows; - assess changes in streams as a result of subsidence impacts; This was noted, however the audit did not require a finding to be made on this point. Noted - provide a protocol for remediation of streams and maintain stream stability; - provide a program to monitor and report groundwater inflows to underground workings; - provide a program to predict, manage and monitor impacts on groundwater bores on privately-owned land.

4. Baseline Data

Watercourse Channel Stability 4.2.2

Included in Geomorphic Monitoring and Inspection Forms - see management plan for Visual monitoring of channel stability is undertaken at several sections of the Creeks within the Continued inspection routine. Underground Mining Area. Monitoring is intended to identify and minimise erosion and sedimentation in creek Compliant beds and on banks. Also see DRAFT West Wallsend Colliery Watercourse Stability Assessment, Umwelt 2012. Groundwater Dependant 4.5 Ecosystems Although no significant impacts are expected to occur to GDEs as a result of subsidence related impacts (Umwelt, 2010), an ecological monitoring program will continue to be undertaken to identify any significant impacts within the Continued Underground Mining Area. Further information regarding the monitoring of No GDEs identified in Project Area Not Triggered potential ecological impacts on identified GDEs and mitigation of these impacts, is outlined in the WWC Biodiversity Management Plan (WWC SD PLN 0149). Baseline Groundwater Data 4.6 Groundwater monitoring locations are shown on Figure 6. Ongoing monitoring (refer to Sections 4.0and 6.0) will be used to augment the existing baseline data and to confirm the site water balance included in the WWC Ground water monitoring program ongoing as reported in AR 2013, 2014, 2015. Compliant SWMP (WWC SD PLN 0051). Groundwater Quality 4.6.1

WWC currently monitor groundwater quality at the LW 11 discharge point at Westside Mine. Groundwater quality monitoring undertaken includes pH, Electrical Conductivity (EC), Total Suspended Solids (TSS), dissolved and total metals, phosphorus and nitrogen (ammonia) (Table 4.2). WWC will review the current monitoring Monitoring of LW 11 discharge point ongoing - Min, Max and Avg results reported in AR regime for LW 11 and undertake monthly groundwater quality monitoring to include sampling of heavy metals Compliant 2013, 2014, 2015. concentrations of groundwater inflows to the underground operations to provide information to assist in managing on site water quality. Information regarding water quality sampling for EPA Point 2 (which includes heavy metals monitoring) is included in the WWC SWMP (WWC SD PLN 0051).

LW51 and LW52 Water Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Water Management Plan 5. Surface Water Monitoring and Management Channel Stability Monitoring 5.2

The following parameters (refer to Table 5.1) will be monitored in order to provide an assessment against the EA (Umwelt, 2014) for the sections of Palmers Creek and Central within the Project Area.

The following steps are required to be undertaken for each monitoring period: 1. Record all cross-sections and longitudinal profiles (refer to Table 5.1). 2. Record all required parameters (refer to Table 5.1); Sighted completed Geomorphic Monitoring and Inspection Form for Point 11 - LW 52 and 3. Record all required water quality parameters (refer to Table 5.1) Compliant Point 12 - LW 52. 4. Take photographs at each monitoring point using the following procedure: - at least one photograph from the monitoring point looking downstream; - at least one photograph from the monitoring point looking upstream; and - at least one photograph from the left bank to the right bank (left/right when facing downstream) to obtain a cross-section view of the channel. 5. Assess whether any changes to the watercourses require mitigation works.

Timing of Monitoring Events 5.2.1

The subsidence monitoring of the watercourses will be undertaken at the following times: - prior to subsidence; - as soon as practical after the first post-mining storm event of 50 mm or more over a 24 hour period; - 3 to 6 months post mining (i.e. when subsidence is complete); and - 12 to 18 months post mining. Table 5.2 presents the channel stability monitoring schedule. The following channel stability monitoring will be undertaken at all monitoring locations shown on Figure 7.

Sighted 'Pre-Mining" (4/12/2015) and 'Post Mining Storm Event' (15/6/2016) for Point 11- Compliant LW52 and Point 12-LW 52. All time periods have not yet passed.

Remediation Works 5.3.1

WWC will investigate the need for in-stream works as part of the geomorphologic monitoring program. Any requirements for in-stream works identified as part of this monitoring program will be reported in the Annual No streams impacted, therefore no remediation required. Not Triggered Review (refer to Section 8.2). No creeks exist directly above LW 51 and LW 52.

LW51 and LW52 Water Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Water Management Plan Surface Cracking Remediation 5.3.2

Sighted Ecological Due Diligence Assessment undertaken by Kleinfelder for the purposes of Surface crack remediation works will primarily be undertaken in accessible areas where required, mainly where LW51 and 52 Crack Remediation. surface cracking occurs across access roads and tracks, associated with steep slopes, and potentially in The remediation is to be conducted on subsidence cracks of varying lengths, widths and Compliant ephemeral watercourses. Surface cracks will be identified during subsidence monitoring inspections, with depths identified through monitoring of the site. The cracks can be accessed via the Quarry appropriate remediation strategies developed for each situation. Trail and other un-named tracks in the south of Sugarloaf SCA.

All surface crack remediation will be undertaken in consultation with the relevant stakeholders and may involve As covered in the GDP process undertaken for subsidence remediation works. either the ripping/tilling of small to moderate sized cracks or pouring crushed rock, gravel, concrete or grout (including polymeric product) into larger sized cracks. Remediation strategies will be implemented in accordance Compliant SCA and OEH consents sighted, including relevant subsidence management consent with the existing WWC Surface Crack Remediation Procedure and in the SCA in accordance with approvals clauses. granted by OEH.

6. Groundwater Monitoring

If an exceedance of any groundwater criteria or trigger levels is identified, then the Surface Water and Discussed examples with environment staff during site visit. Compliant Groundwater Response protocol, refer to Section 7.0, shall be implemented.

WWC will continue to maintain the existing groundwater monitoring network and also undertake regular analysis of groundwater monitoring data to compare predicted and actual groundwater impacts. This will include groundwater make in the underground operations which is discharged at Westside Mine. Groundwater Ground water monitoring program ongoing as reported in AR 2013, 2014, 2015. Compliant monitoring locations are found in Table 6.1 and shown on Figure 6. Aurecon (2013) recommend ongoing monitoring of the existing monitoring locations.

WWC is also proposing to install an extensometer in LW 51 to monitor for height of fracturing and consequently any potential path for loss of surface water to the mine workings. Ditton Geotechnical Services 2014 has recommended monitoring of the height of fracturing by installing an extensometer at the start of LW51 to Extensometer installed for this purpose during audit period. Compliant confirm height of fracturing in accordance with the subsidence predictions and if the height fracturing is greater than expected the thickness of seam extraction below the 100m Depth of Cover should be reduced as outlined in Appendix 4 - Subsidence Impact Assessment due to Proposed Modification of LW 51 and LW 52.

Monitoring Standards 6.1

All groundwater monitoring data will be retained in an appropriate format on-site and will be used to review the Groundwater monitoring data retained in Sentinex and Glencore Databases. Complaint effectiveness of the WWC water management system on an ongoing basis.

A monthly review and assessment of groundwater monitoring data will be undertaken in accordance with WWC Sighted during audit visit Compliant procedures and will include consideration of relevant meteorological and rainfall data.

LW51 and LW52 Water Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Water Management Plan Groundwater Levels 6.2

A program to predict, manage and monitor impacts on groundwater bores on privately owned land will be undertaken by WWC as detailed in Section 6.3.2. Details of the groundwater monitoring locations are presented in Table 6.1 and are shown on Figure 6.

Sighted monthly analysis program, during audit visit Compliant

Groundwater Quality 6.3

A program to monitor groundwater quality on groundwater bores on privately owned land will be undertaken by WWC. Details of the groundwater monitoring locations are presented in Table 6.2 and are shown on Figure 6. Once adequate baseline groundwater quality data has been obtained, water quality triggers will be developed and incorporated into the Impacts on Groundwater TARP (Table 7.1).

Monitoring results for these sites summarised in AR 2015. Compliant

Groundwater Impact Assessment 6.4 Criteria

All monitoring data collected as part of this plan needs to be assessed against suitable criteria in order to: No assessment criteria for groundwater monitoring. - determine if groundwater extraction volumes are within licence conditions and modelled predictions; and - Identify deviations from the baseline groundwater level trends (refer to Section 4.6.2). If deviations from Trends covered in above sections. Compliant baseline alluvial aquifer groundwater monitoring trends are identified, the Trigger Action Response Protocol (TARP) provided in Section 7.1 will be implemented. TARP examples discussed during audit visit.

Groundwater Extraction 6.4.1

WWC currently holds one licence under the Water Act 1912 for extraction of groundwater from the hard/fractured rock aquifers. This licence (20BL169793) permits extraction of up to 360 ML in any 12 month period. WWC has applied for a variation to this licence to increase the extraction limit to 1000 ML in any 12 Groundwater Model submitted and approved by DG. Compliant month period. An application to renew and vary the groundwater extraction limit permitted under the LW11 licence was sent to NOW during 2009. WWC is currently finalising a numerical groundwater model as requested by NOW to be submitted by the 30th June 2015 to determine the required licensing. WWC currently holds no licences under the Water Management Act 2000. . This was the case at the time of the audit Noted

LW51 and LW52 Water Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Water Management Plan Groundwater Levels 6.4.2

Groundwater level monitoring will only be undertaken for the monitoring bores outlined in Table 6.1, in order to measure potential impacts on groundwater systems and groundwater bores on nearby privately owned This was noted, however the audit did not require a finding to be made on this point. Compliant residences. The groundwater bores shown in Table 6.1 are monitored for groundwater level. Groundwater level data is Ground water monitoring program ongoing as reported in AR 2013, 2014, 2015. Compliant downloaded monthly. WWC has developed triggers for nearby alluvial groundwater areas. Following receipt of groundwater monitoring results, WWC review the data for potential anomalies that may suggest aquifer impact has occurred (refer to Section 7.1 for triggers). Where anomalous data is identified, No aquifer impact identified. Not Triggered consultation will be undertaken with groundwater experts where required. Trends in groundwater levels will be reported in the WWC Annual Review. Groundwater Inflows 6.5

Groundwater Extraction 6.6

Monitoring Methodology 6.7.1

Ditton Geotechnical Services has recommended monitoring of the height of fracturing by installing an extensometer at the start of LW51 to confirm height of fracturing in accordance with the subsidence predictions and if the height fracturing is greater than expected the thickness of seam extraction below the 100m depth of cover should be reduced as outlined in Appendix 4 - Subsidence Impact Assessment due to Proposed Modification of LW 51 and LW 52. Extensometer installed for this purpose during audit period. Compliant Therefore, OCAL are proposing to install an extensometer at the southern extent of LW51 to monitor the height of fracturing within the panel. WWC will install a multi-anchor bore piezometer (extensometer) within LW 51 to measure and calibrate the subsidence prediction model prior to LW 51 undermining the 100 m cover depth. As outlined in Appendix 4, if the LW51 extensometer monitoring results (calibrated) show height of fracturing above that predicted then the mining height will be reduced to 3.8m in the area of mining below the 90m depth of cover contour.

Groundwater Risk TARP 6.7.2

Impacts of groundwater systems caused by mining operations have the potential to obstruct mining operations, remove groundwater from the surrounding environment or result in safety implications for mining operations. Aurecon (2013) have recommended from their review of groundwater monitoring the continued monitoring of This was noted, however the audit did not require a finding to be made on this point. Not Triggered impacts on the groundwater systems and update of the TARP in Table 7.1as part of the ongoing Groundwater Monitoring Program (refer to Section 6.0). In the event that the monitoring programs identify potential impacts on the groundwater systems, the TARP as This was noted, however the audit did not require a finding to be made on this point. Noted outlined in Table 7.1 is to be implemented.

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Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Water Management Plan 7. Surface Water and Groundwater Response Plan Impacts on Groundwater 7.1 Systems

In the event that the monitoring programs identify potential impacts on the groundwater systems, the TARP as outlined in Table 7.1 is to be implemented. The TARP outlined in Table 7.1 will also be implemented in the event No such event in audit period. Not Triggered that a complaint is received from a landowner regarding depressurisation of a water supply or bore.

Failure of Erosion and Sediment Controls for Subsidence 7.2 Remediation Works

All complaints will be investigated by the WWC Environment and Community Manager in accordance with Procedure sighted, no complaints received during audit period. WWC’s Community Complaint and Environmental Incident Management Procedure (WWC SD PRO 0036). In the Compliant event that a complaint is received, the TARP as outlined in Table 7.3 will be implemented. CMO process sighted and telephone complaints procedure enacted demonstratively.

Impacts on Channel Stability 7.4

Should impacts (i.e. increase in erosion) be identified in channels within the mining area, then monitoring and management works within watercourses will be undertaken as outlined in Section 5.0. When work is required within watercourses, work will be in accordance with guidelines from Managing Urban Stormwater: Soils and No channel stability impacted, therefore no remediation required. Not Triggered Construction Volume 1 (Landcom, 2004) and Volumes 2A, 2C, 2D and 2E (DECC, 2008) (the Blue Book). The TARP outlined in Table 7.4 will be implemented in the event that channel stability impacts are identified.

Unforeseen Impacts Protocol 7.5

In the event of unforeseen impacts associated with surface water or groundwater at WWC, the following protocol will be implemented: - conduct a preliminary review of the nature of the impact, including: - any relevant monitoring data; and - current mine activities and land use practices; No unforeseen impacts identified within audit period. Not Triggered - commission an investigation into the unforeseen impact to confirm cause and effect and consider relevant options for amelioration of impact(s) as appropriate; - prepare an action plan in consultation with the appropriate regulatory agency; - mitigate causal factors where possible; and - implement additional monitoring as necessary to measure the effectiveness of the controls implemented.

The outcomes of the investigations into any unforeseen impacts and the controls/remediation actions implemented will be undertaken in consultation with Department and Planning and Environment, NOW and No unforeseen impacts identified within audit period. Not Triggered OEH and will be reported in the Annual Review.

8. Reporting

Environmental Incidents 8.1

Environmental Incidents reported in; AR 2013, Section 4.0 All environmental incidents will be investigated to a level commensurate to their risk level in consultation with AR 2014, Section 4.0 Compliant the OCAL Environment and Community Manager. AR 2015, Section 11.0 Review of incident reports and actions show that the elevation of risk was done. In addition, reporting of environmental incidents is required in accordance with Condition 7, Schedule 6 of the Project Approval, which states: ‘The Proponent shall notify the Director-General and any other relevant agencies of any incident that has caused, or has the potential to cause, significant risk of material harm to the environment, at the earliest opportunity. Sighted notification correspondence and formal reports submitted to EPA and DP&E for Compliant For any other incident associated with the project, the Proponent shall notify the Director-General and any other incidents within audit period. relevant agencies as soon as practicable after the Proponent becomes aware of the incident. Within 7 days of the date of the incident, the Proponent shall provide the Director-General and any relevant agencies with a detailed report on the incident, and such further reports as may be requested.’

All environmental incidents are to be reported in the Annual Review. Verified in Annual Reviews. Compliant

LW51 and LW52 Water Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk LW51 and LW52 Water Management Plan External Reporting 8.2

Site water management issues of interest to the community will be addressed in regular CCC meetings in accordance with Condition 6 of Schedule 6 of the Project Approval. CCC meetings will be conducted in general accordance with the Guidelines for Establishing and Operating Community Consultative Committees for Mining Sighted in presentation delivered to CCC by E&C Manager. Compliant Projects (Department of Planning, 2007, or its latest version). Specific issues relating to individual landowners and residents will be addressed directly by the WWC Environment and Community Manager as required. A copy of the water monitoring results reported in the Annual Review will be made publically available in Annual reviews for audit period are available on WWC website. Compliant accordance with Condition 11 of Schedule 6 of the Project Approval. Monitoring Records 8.4

In accordance with EPL condition M1 and as per WWC document control procedures, monitoring records will be All data is stored. Compliant maintained on site for at least 4 years. 9. Review and Improvement

Ongoing monitoring and review on the performance and implementation of this WMP will be undertaken in accordance with WWC Environmental Management Strategy.

In accordance with Condition 5 of Schedule 6, WWC shall review, and if necessary revise, the strategies, plans, and programs required under Project Approval to the satisfaction of the Director-General, within 3 months of Sighted Management Plan Revision Notification letter submitted to DP&E in accordance the submission of: Compliant with this condition for 2013, 2014 and 2015. (a) the submission of an annual review under condition 4 above; (b) the submission of an incident report under condition 7 below; (c) the submission of an audit report under condition 9 below; and (d) any modification to the conditions of this approval (unless the conditions require otherwise), the Proponent shall review, and if necessary revise, the strategies, plans, and programs required under this approval to the satisfaction of the Secretary. The WWC Environment and Community Manager (or delegate) will review and if necessary, revise this WMP and resubmit to DP&E every year or earlier if required. Any changes made to the WMP as a result of the review will be made in consultation with OEH and NOW. A copy of the revised WMP will be supplied to the Secretary of Sighted Management Plan Revision Notification letter submitted to DP&E in accordance Compliant DP&E for approval. The WMP will reflect changes in environmental requirements, technology and operational with this condition for 2013, 2014 and 2015. procedures. Updated versions of the approved WMP will be made publicly available on the WWC website (http://www.westwallsendcolliery.com.au/).

LW51 and LW52 Water Management Plan Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Risk Reference Condition Requirement Evidence Audit Finding Consequence Likelihood Risk Surface Transport Management Plan Effective October 2015 Document Number WWC MIN PLN 0016 (V9) 1. Commitment and policy

Objective 1.3

The objective of this plan is to assist mine personnel to identify, evaluate, eliminate and or controlled to an This was noted, however the audit did not require a finding to be made on this point. Noted acceptable level all potential risks associated with Surface Transport. 3. Implementation Worker Consultation – Health & 3.1.1 Safety Changes made to this Management Plan will be communicated to all stakeholders in accordance with the Mine’s Through Document Control Procedure, on intranet, if a major change then a toolbox talk to Compliant Communication and Consultation procedures. staff or contractors using the pit-top. 3.2.1

West Wallsend Colliery will implement the following control measures to confirm compliance with the legislative requirements and corporate governance requirements inclusive of. - PLC STD 6 Catastrophic Hazards Included in induction processes and site familiarisation training. Compliant - XCN SD GDL 0006 6.0 Catastrophic Hazards - Fatal Hazard Protocol No.3 Mobile Equipment - SafeCoal Rule 11 Always comply with regulated traffic signage Dust Control 3.7.9

Provision is to be made through sealing of surfaces, chemical roadway treatments, and use of water carts or As per Air Quality Management Plan Compliant water spray application to keep dust to a minimum to maintain visibility and not adversely impact on health.

Water Reticulation and Drainage 3.13

Design of permanent and semi-permanent water reticulation and drainage systems will be according to established civil engineering standards and in accordance with environmental conditions in West Wallsend No installation of new surface transport infrastructure during audit period. Not Applicable Colliery’s mine licence. 4. Measurement and Evaluation

Inspection Program 4.1.2

Routine inspections of all areas of the mine are carried out by competent persons as specified in the West Wallsend Colliery MIN PLN 0040 Mine’s Inspection Program. Inspections related to this management plan include: - Regular inspections of all accessible areas of the mine for strata conditions, atmospheric gas concentrations Underground inspections - outside audit scope. Not Applicable and the presence of other hazards including frictional heatings; - Maintenance inspections and testing of the integrity of critical equipment.

Any abnormal inspection results are immediately action where appropriate and reported.

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2016 Independent Environmental Audit Page 71 of 73 APPENDIX D – COMPLIANCE WITH RECOMMENDATIONS FROM 2013 AECOM IEA

2016 Independent Environmental Audit Page 72 of 73 Oceanic Coal Australia Pty Limited West Wallsend 2016 Independent Environmental Audit West Wallsend Colliery

Close out comments 2nd Risk Reference Recommendation Proposed Action Audit Finding May 2016 Consequence Likelihood Risk 2013 Independent Environmental Audit (AECOM) 6.0 Recommendations WWC will initiate correspondence with relevant Government agencies in relation to outstanding approvals for management plans and licence amendments where required. Majority of management plans now Post the audit period, Approval has been granted for the Rehabilitation and Initiate correspondence with relevant government agencies to follow up on outstanding approval for approved. Some recently submitted Environmental Management Plan (REMP), Biodiversity and Land Management Plan and Compliant management plans and licence amendments, where required. management plans awaiting comments Environmental Management Framework. Comments have been received on the Noise from regulators. Management Plan, Air Quality & GHG Management Plan and Surface Water Management Plans and have been resubmitted to DP&I. In future, WWC to record verbal conversations and agreements made with regulators regarding management WWC will record verbal conversations and agreements made with regulators in the Consultation manager now used much Compliant plans, consents and actions, via written or email correspondence. Glencore communications and compliance management system . more than previous Continue investigations as per the Water Management Plan West Wallsend Colliery (Xstrata Coal, March 2013) Finalise groundwater investigation in consultation with the NSW Office of Water and Matter still to be finalised, awaiting in relation to groundwater extraction limit exceedances. Follow up on consultation with NoW on this issue of Compliant amend water licence 20BL169793 as per the outcomes of this consultation. feedback from DPI the proposed variations to existing borehole licence 20BL169793. A community newsletter will be completed and distributed by the end of December and Have not been sent out as frequently as Ensure that community newsletters are sent out six monthly, or confirm alternative approach with the DP&I. Not Compliant E 2 Medium six monthly thereafter. each 6 months Report on the rectification works undertaken across the site in response to the two water incidents in the next Include update on rectification works undertaken on site in response to the two water Completed in 2013 annual return. Dams Compliant Annual Review. incidents during 2013 in the 2014 Annual Review. greatly increased in size. Continue dialogue with Registered Aboriginal Parties to further progress the development of the Aboriginal WWC will develop a training package in consultation with the Registered Aboriginal Outstanding at current Not Compliant E 2 Medium Cultural Heritage Training Package. Parties (RAP’s). ACHMP to be updated to reflect this timing. WWC to include an update on greenhouse gas performance information on site in the Include the required greenhouse gas performance information in the next Annual Review for WWC. Completed Compliant next Annual Review. WWC will ensure the annual energy savings review is published online as per the Complete the annual online Energy Savings Action Plan during the next annual reporting period Completed Compliant requirement. The outside of one bund wall servicing a bulk fuel storage system was observed to have a minor crack. At the WWC will complete an inspection of all hydrocarbon bunds throughout the site to time of the audit, this bund nevertheless appeared to be performing adequately. However, the auditors have confirm that there are no structural integrity issues. The timing is reflective of the audit Checked and nil structural issue Compliant recommended that WWC undertake an inspection of bunds throughout the site to confirm that no structural findings indicating the bunds were performing adequately. integrity issues do arise in the future. A chemical treatment facility for surface water was observed at EPL 1360 Point 2. At this site, a temporary set up of chemical storage drums was observed. It is understood that the chemical substances are used for WWC will review temporary chemical storage areas on site and ensure adequate bunding flocking surface water to control sediment levels within discharge waters. At the time of undertaking the IEA, Completed Compliant is in place. these drums did not appear to be adequately bunded. The auditors have made a recommendation that sites of temporary chemical storage at WWC be reviewed in future to confirm that bunding is adequate.

One depositional dust gauge at WWC (EPL 1360 Point 11) appeared, at the time of the IEA, to have been WWC will engage a suitably qualified person to inspect EPL Point 11 onsite and confirm mounted on an old construction. The auditors have recommended that WWC undertake an inspection of that In progress Compliant the placement of the gauge comply with the relevant Australian Standards. dust gauge to confirm that its placement continues to comply with the relevant Australian Standards. Progress remediation plans for the Graben area of LW41 in consultation with the relevant government Develop a remediation plan for the Graben incident in consultation with the relevant Management plan approved and Compliant agencies/affected stakeholders government agencies and stakeholders. implemented WWC will undertake the remediation works for the Grout remediation incident in line Progress the remediation clean/up plan submission to government for approval, and once approved, complete with the approved remediation plan developed in consultation with the relevant Completed Compliant the works in line with the clean-up plan Government agencies.

2013 Independent Environmental Audit