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Safety Science
journal homepage: www.elsevier.com/locate/ssci
School of Management, China University of Mining and Technology, Xuzhou 221116, China
Minerals Industry Safety & Health Centre, The University of Queensland, Brisbane, QLD 4072, Australia
a r t i c l e
i n f o
Article history:
Received 15 October 2015
Received in revised form 20 December 2015
Accepted 20 January 2016
Available online 15 February 2016
Keywords:
Hazards
Accident-causing mechanism
Coal mine
Risk control
a b s t r a c t
Hazards are elements that could cause harm or loss and are sources of risk. This paper classifies hazards
associated with coal mining. Specifically, hazards are categorized into root hazards and status hazards,
and the status hazards are further divided into unidentified status hazards and identified status hazards,
and the identified status hazards include controlled and uncontrolled status hazards. It also explores in
some detail the relationship between hazards, accidents and accident-causing mechanisms. The accidentcausing mechanism of three layer of defense is proposed based on root hazards and status hazards definition and classification, including control criteria, control measures, and rectification measures, which
demonstrates that the uncontrolled status hazards and unidentified status hazards are the two main
accident-causing sources. The paper then ideas of polarized management of hazards as a means of maximizing the identification of the root hazards and their corresponding status hazards, minimizing out of
control probability of the identified status hazards, and minimizing accidents probability caused by the
uncontrolled status hazards. Finally, the polarized management methods of hazards are put forward
respectively, which include root-status hazards identification, formulation of control criteria and control
measures, and rectification measures.
2016 Elsevier Ltd. All rights reserved.
1. Introduction
Underground coal mining is recognized as one of the riskiest
operations worldwide (Lama and Bodziony, 1998; Sari et al.,
2004, 2009; Duzgun and Einstein, 2004; Duzgun, 2005; Grayson
et al., 2009; Maiti and Khanzode, 2009; Paul, 2009; Shahriar and
Bakhtavar, 2009; Khanzode et al., 2011; Nieto et al., 2014). Underground coal miners are exposed to hazards well in excess of those
who working in most other occupations (Mahdevari et al., 2014). In
underground coal mines there are a considerable number of hazards which include specialized equipment, high temperatures,
humidity, rock stresses, coal and silica dusts, and harmful gases.
These underground coal mining hazards have the potential to trigger accidents that can lead to injuries, multi fatalities and/or major
asset losses unless risk control measures are implemented that
effectively manage them.
Currently, there are quite a few definitions of hazards in the literature (Chen, 1995; Health & Safety Commission, 1976; Health
and Safety Executive, 1999; He and Tian, 2000; Sperber, 2001;
Correspondence to: Xinchun Li, School of Management, China University of
Mining and Technology, University Road 1, Xuzhou 221116, China. Tel.:
+8613815319956.
E-mail address: 715664665@qq.com (X. Meng).
http://dx.doi.org/10.1016/j.ssci.2016.01.012
0925-7535/ 2016 Elsevier Ltd. All rights reserved.
277
These status hazards have the potential to cause harm and/or damage. Furthermore, the status hazards are further divided into identified status hazards and unidentified status hazards, and the same
applies to the root hazards namely identified root hazards and
unidentified root hazards.
Risk control management of safety in coal mines should be
established on the basis of the identified root hazards and their
corresponding status hazards. If the identified status hazards
are further divided, they can be divided into controlled status
hazards and uncontrolled status hazards (status hazards which
have gone out of control). Controlled status hazards refer to the
situation where the root hazards are managed within normal
and safe operating parameters. On the contrary, the uncontrolled
status hazards refer to the situation where the root hazards could
be operating out of safety control criterions, which are operating
conditions that could trigger accidents under some conditions. An
illustration of the above classification of hazards is shown in
Figs. 1 and 2.
278
People
Undentified
root hazards
Machine
Controlled
status hazards
Identified status
hazards
Root hazards
Environment
Identified root
hazards
Uncontrolled
status hazards
Status hazards
Unidentified
status hazards
Institution
Fig. 1. Hazards classification.
Hazards
Gas drainage
worker
Improper gas
emissions
Environment
Machine
People
Methane
buildup
Detonator
Poor
detonator
Methane
Institution
Organization
structure
Shortage of
drainage worker
Root hazards
Status hazards
Controlled
status hazards
Yes
Yes
Identified status
hazards
Root Hazards
Status Hazards
Control
criteria
No
Rectification
measures
Accidents
Control
measures
Yes
Unidentified
status hazards
Triggers
No
status hazards are the biggest uncontrolled status hazards of accidents. The above relationship between hazards and accidents is
also shown in Fig. 3.
3.2. Accident-causing mechanism based on hazards
The accident-causing mechanism in coal mines based on hazards can be obtained according to the above analysis of relationships between hazards and accidents, which is shown in Fig. 3.
From the sequence of accidents in Fig. 3, it is clear that if the status
hazards are not identified, they will directly break through the
three layer of defense which includes control criteria, control
measures, and rectification measures, and then trigger accidents
under some conditions. It is also clear that the uncontrolled status
hazards can give rise to accidents in the case of ineffective rectification measures. Fig. 3 also highlights that if the control measures
fail to make the identified status hazards meet the control criteria,
they will evolve into the uncontrolled status hazards.
According to the above accident-causing mechanism, an ideal
situation can be assumed as follows. If there are no unidentified
status hazards, namely all the root hazards and their corresponding status hazards are identified, then one of the paths to accidents
is cut off. And only two ways are needed to take to prevent the
accidents, namely strengthen the control of identified status hazards and pay high attention to the rectification of the hidden dangers (Fig. 3). In other words, as long as the above two facets are
strengthened, the following two outcomes would be achieved,
namely minimization of out of control probability of the identified
status hazards and minimization of accident probability caused by
the uncontrolled status hazards. However, it is impossible to identify all the status hazards but we can pursue identification maximization to make sure as many status hazards as possible are in
control. Therefore, in order to prevent the accidents fundamentally,
the following three facets should be strengthened. Firstly, maximize identification of the root hazards and their corresponding status hazards. Secondly, minimize out of control probability of the
identified status hazards. Thirdly, minimize accidents probability
caused by the uncontrolled status hazards. The above three facets
form the framework of polarized management of hazards from the
perspective of hazards. The following sections analyzed the polarized management methods of hazards in coal mines specifically.
4. Polarized management of hazards in coal mine
4.1. Maximize identification of the root hazards and their
corresponding status hazards
Hazards identification is the basis and premise of risk control
management of safety in coal mines. There are a host of identification methods (Bi and Zhang, 2010), such as Preliminary Hazard
Analysis (PHA), Hazard and Operability Study (HAZOP), Fault Tree
Analysis (FTA), Event Tree Analysis (ETA), Work Task Analysis
(WTA), Safety Check List (SCL), and Brain-storming. The above
methods provide a promising specific technical tools for the hazards identification in coal mines and are used widely. However,
these methods are either for a specific incident or event analysis,
or based on experience, and lack of a systematic and comprehensive identification framework. Therefore, the frame of root-status
hazards identification method is proposed based on the above hazards classification, as shown in Fig. 4.
In coal mine production system, there are many independent
subsystems such as coal mining department, driving department,
transportation department, and ventilation department, which
has not only relative independence in space distribution but also
has different accident-causing factors. Taking those subsystems
279
as identification unit is beneficial to the comprehensive identification of hazards. The basic idea of the root-status hazards identification method is that list out all the root hazards detailedly from the
perspective of people, machine, environment, and institution and
then identify their corresponding status hazards as many as
possible.
The implementation steps of the root-status hazards identification method are shown as follows. Firstly, divide the entire coal
enterprise into several subsystems or units according to the principle of independence and completeness; Secondly, list out all the
root hazards of each subsystem detailedly from the perspective
of people, machine, environment, and institution; Thirdly, identify
the status hazards of each root hazard as many as possible by combining use of the above identification methods. Moreover, in the
identification of status hazards, three kinds of tenses (past, present
and future) and three kinds of status (normal, abnormal and emergency) should be taken into account, and more than two types of
identification methods should be adopted to pursue identification
maximization.
The method of root-status hazards identification was applied to
Lingxin mine which belongs to Shenhua Ningxia Coal Industry
Group in China, and its hazards identification results were shown
in Table 1.
In comparison to the Work Task Analysis (WTA) which was formerly adopted in Lingxin mine, the root-status hazards identification method is more effective with the number of root hazards and
identified status hazards increasing by 91 and 326 respectively.
Moreover, its implementation is simple and convenient reducing
the need for joint identification and coordination of multi-types
of workers.
4.2. Minimize out of control probability of the identified status hazards
Control criteria and control measures should be setup to minimize out of control probability of the identified status hazards. If
the identified status hazards meet the control criteria, they are
called controlled status hazards which do not have the potential
to trigger accidents. Furthermore, to ensure that the identified status hazards are under the control of different responsibility subjects and are prevented from evolving into the uncontrolled
status hazards, the directly responsible individual, direct manager
and supervisor of the identified status hazards and their corresponding control measures should be clear and definite. As an
example, the above method was applied to the identified status
hazard, namely shearer picks are seriously worn or lost, as shown
in the Table 2.
4.3. Minimize accident probability caused by the uncontrolled status
hazards
Once the identified status hazards go out of control, namely
turn into the uncontrolled status hazards, it is crucial to take some
rectification measures to correct them and make them return to
normal and safe state. According to different types and properties
of the uncontrolled status hazards, the rectification measures can
be divided into technology, behavior and management rectification
measures. Technology rectification measure mainly focus on
uncontrolled status hazards from machine and environment.
Behavior rectification measures mainly focus on uncontrolled status hazards from people, Management rectification measures are
improvement measures which mainly focus on the uncontrolled
status hazards from institution. As an example, there are a host
of technology rectification measures which can be classified into
elimination, isolation, mitigation, and personal protective equipment. Firstly, the elimination and isolation are mainly focus on
the root hazards. The same root hazard has different danger levels
280
Coal mining
department
Driving
department
People
Electromechanical
department
Machine
Transportation
department
Ventilation
department
Organization
management
Environment
Root
hazards
Status
hazards
Table 1
Hazards identification results in Lingxin mine. Source: the project on construction of
risk pre-control management system of safety in Lingxin mine.
Classification of
root hazards
Number of identified
status hazards
People
Machine
Environment
Institution
327
225
58
9
1340
556
131
60
Total
619
2087
This paper classifies hazards deeply in coal mines and differentiates its relationship with accidents and then explores accidentcausing mechanism, and puts forward the polarized management
of hazards finally. The main conclusions can be drawn from this
study as follows.
(1) Hazards are categorized into root hazards and status hazards. The root hazards are the root cause of accidents in coal
mine, which are objective and inherent in the underground
coal mining and production process regardless of being identified or not. The status hazards are the unsafe conditions or
unsafe behaviors that can release or allow a root hazards to
trigger an accident. Furthermore, the status hazards are further divided into identified status hazards and unidentified
status hazards, and the identified status hazards include
controlled and uncontrolled status hazards.
Table 2
Control criterions and control measures on shearer picks are seriously worn or lost in Lingxin mine. Source: the project on construction of risk pre-control management system
of safety in Lingxin mine.
Identified status hazard
Control criterions
Controlled
object
Responsible
individual
Direct manager
Direct
supervisor
Control measures
Coal mining
machine
Coal mining
machine driver
Safety
checker
Responsibility
measures: . . .
Management
measures: . . .
Supervision
measures: . . .
Acknowledgements
The authors gratefully acknowledge the funding support from
China Scholarship Council under Grant 201406420018 and the
National Natural Science Foundation Projects of China under Grant
71271206, and the support of the Sustainable Minerals Institute of
the University of Queensland for resources necessary to complete
this paper.
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