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The paper presents the results of a research work aimed at developing a risk assessment process that can be used to
more thoroughly characterize risks associated with belt conveyor-related fatal incidents in the U.S. mining industry.
The assessment is based on historical data obtained from Mine Safety and Health Administration (MSHA) investi-
gation reports, which includes 49 fatal incidents that occurred from 1995 through 2006. The risk assessment process
used in this research involves three basic steps: (i) identification of the risks; (ii) risk analysis; and (iii) risk evalu-
ation. The Preliminary Hazard Assessment (PHA) method is used in identifying and quantifying risks. Risk levels are
then developed using a pre-established risk matrix that ranks them according to probability and severity. The result-
ing assigned risk value can then be used to prioritize risk control/mitigating strategies. A total of six hazards were
identified. The hazards “Failure to provide adequate maintenance procedure” and “Failure to follow adequate
maintenance procedure” were the two most severe and frequent hazards and they fell into the category of “very
high” risk. Therefore, the largest portion of the available resources should be allocated to prevent and control these
hazards.
Bulk Solids & Powder – Science & Technology • Vol. 3 (2008) No. 2 63
V. Kecojevic et al.: Risk Assessment for Belt Conveyor-Related Fatal Incidents in the U.S. Mining Industry
University of Queensland, Minerals Industry Safety and (NIOSH) information circular IC 9454 were also used wher-
Health Centre (MISHC) produced a guideline which aims to ever appropriate (TURIN et al, 2001).
provide advice on risk assessment within the Australian min-
ing industry (JOY and GRIFFITHS, 2004). The Minerals Indus- As noted previously, risk assessment is a part of an overall
try Cooperation Initiative (MICI) project at the University of risk management process (Fig. 1). It is a formal method of
Queensland, Australia, launched a new website called defining the potential risk(s) and is used to answer the fol-
MIRMgate to improve the way mining, minerals processing lowing questions: 1) What can go wrong - where and when
and quarrying industries access hazard related information can it go wrong? 2) How and why can it go wrong? 3) What
using Internet technology (http://www.mirmgate.com/; KIZIL is the likelihood that it would go wrong? and 4) What are the
and JOY, 2005). In South Africa the mining industry has es- consequences? The ultimate goal is to examine the potential
tablished a Hazard Identification and Risk Assessment pro- risks so that they can be controlled. According to B RAUER
gram (HIRA-2003) to identify and record significant risks. (2006), H AIMES (2004), and various internationally recog-
While the development of risk management programs for nized standards (CAN/CSA, 2002; MIL-STD, 2000;
other industries, or for mining operations in other countries AS/NZS, 2004), the risk assessment process involves three
provides valuable reference information, experience has steps 1) risk identification, 2) risk analysis, and 3) risk eval-
shown that a simple transfer of processes is not effective due uation.
to characteristics related to specific industries and local con-
ditions.
64 Vol. 3 (2008) No. 2 • Bulk Solids & Powder – Science & Technology
V. Kecojevic et al.: Risk Assessment for Belt Conveyor-Related Fatal Incidents in the U.S. Mining Industry
paper. This table can be updated each time a new hazard is try as a whole. However, the main objective of this research
identified. was to develop a risk assessment process that can be used to
more thoroughly characterize risks associated with belt con-
Risk analysis is the second stage of the risk assessment veyor-related fatalities, and therefore, no attempt was made
process. It may be performed quantitatively, qualitatively or to define acceptable levels of risk.
semi-quantitatively. According to JOY (2004), if the severity
(consequence) of the loss can be measured objectively and The first step of risk evaluation is to identify the locations of
the frequency (probability or likelihood) of the event can be hazards in the risk assessment matrix (Fig. 2). These loca-
determined from the historical data, then a quantitative risk tions can be used to rank risks which have to be addressed
assessment can be performed. If the severity and probability and in what order to prioritize control efforts. Risks in the
cannot be specified but can be estimated based on judgment highest priority cells are located in the upper left part of the
or opinion, then a qualitative or semi-quantitative risk assess- matrix, while risks in the lowest priority cells are in the lower
ment can be performed. In this study, quantitative risk analy- right corner. It should be noted that at the end of the risk
sis was considered to be appropriate. The risk (R) associated assessment process, risks are ranked according to their prob-
with a particular activity is judged by estimating both the ability and severity in a relative manner rather than in an
probability (Pr) and the severity (S), in relative terms such as absolute form. This will help to avoid underestimating or
“low”, “medium”, “high”, or “very high”. This way of ex- overestimating risks involved in this assessment. The result-
pressing the risk is adequate for many types of evaluation, ing relative risk rankings are sufficient to prioritize resource
allowing a structured approach to be adopted in situations allocations and control strategies.
where more quantitative methods would be difficult to imple-
ment. In the context of this study, probability is considered as This study also examined the relationship among the number
the likelihood that the hazard will cause a fatality in a future of fatalities attributed to different sources of hazards, activity
year, and is calculated as the number of years in which a during the incidents, type of the mining operations, age and
fatality was attributed to a given hazard divided by the total working experience of the victims. Hazard sources were sort-
number of years. Severity was judged from the total number ed into three categories: human error, equipment failure, and
of fatalities associated with the hazard in the twelve-year working environment. Type of mining operations were clas-
study period. The proposed severity and probability classifi- sified as surface or underground coal, metal, and non-metal
cations are shown in Table 1 and 2, respectively, while Fig. 2 mine with specifics on whether it is coal, sand and gravel,
shows the resulting risk assessment matrix. crushed stone or copper/gold mine.
Risk evaluation is the final step in the risk assessment process Victim’s age (Age) was stratified into ten groups and desig-
and focuses on the decisions required to address the analyzed nated as Age 1: from 18 to 25; Age 2: from 26 to 30; Age 3:
risks. BRAUER (2006) suggested that this step consists of two from 31 to 35; Age 4: from 36 to 40; Age 5: from 41 to 45;
components: risk aversion and risk acceptance. Risk aversion Age 6: from 46 to 50; Age 7: from 51 to 55; Age 8: from 56
involves estimating how well risk can be reduced or avoided
through various strategies such as behavioural principles and
Fig. 2: Risk assessment matrix
technological advances as recommended by K ECOJEVIC and
RADOMSKY (2004). Risk acceptance involves creating stan-
dards for deciding what risks are acceptable for miners, com-
panies, or society. However, setting a standard is a compli-
cated task as an acceptable level of risk may differ for each
group. In the Underground Coal Mine Commission report
(GRAYSON et al., 2006) it was proposed that the only accept-
able levels were zero fatalities and zero serious injuries. It is
appropriate that those levels be applied for the mining indus-
Bulk Solids & Powder – Science & Technology • Vol. 3 (2008) No. 2 65
V. Kecojevic et al.: Risk Assessment for Belt Conveyor-Related Fatal Incidents in the U.S. Mining Industry
A total of six hazards were identified and they are presented It can be noted that hazards “Failure to provide adequate
in the Hazard Inventory Table - Belt Conveyor (Table 3). Fa- maintenance procedure” and “Failure to follow adequate
tal incidents which occurred during the belt conveyor clean- maintenance procedure” were the most frequent and severe
ing, repair, assembling or dismantling were classified either hazards. However, the latter was less severe and slightly less
as “Failure to provide adequate maintenance procedure” or frequent.
“Failure to follow adequate maintenance procedure.” These
hazards were classified in such a manner since the former The completed risk assessment matrix for belt conveyors is
was caused by the failure of the management to provide ade- shown in Fig. 4. It is based on the generic risk matrix shown
quate procedures or because safe procedures were not estab- in Fig. 2. There is no hazard categorized as “almost certain”
lished to protect workers, whereas the latter was triggered by in the probability category. Two hazards are categorized as
the workers who failed to follow adequate maintenance pro- “very likely”, one as “likely” and three hazards as “possible”.
cedures prepared by the management. The hazard associated There are two hazards categorized as “high” in severity cate-
with failure of the management to build crossing facility over gory and four hazards are classified as “low”.
the belt conveyor is classified as “Failure to provide safe
crossing facility”, whereas the failure of workers to use such It can be noted that “Failure to follow adequate maintenance
crossing facility or to make shortcuts is classified as “Failure procedure” and “Failure to provide adequate maintenance
to use safe crossing facility.” The fatal incident caused by the procedure” were two hazards falling into the category of
roof failure is designated as the hazard “Adverse site/geolog- “very high” risk. The risk assessment matrix indicates that
66 Vol. 3 (2008) No. 2 • Bulk Solids & Powder – Science & Technology
V. Kecojevic et al.: Risk Assessment for Belt Conveyor-Related Fatal Incidents in the U.S. Mining Industry
highest priority should be given to these hazards. Their exis- equipment failure and one to hazardous working environ-
tence is very likely and can contribute to a high number of ment. This conclusion indicates a key importance of address-
fatalities. Examining the investigation reports, it was found ing human factor in future analyses regarding corrective
that most of the fatal incidents happened during the process- actions aimed at reducing or eliminating fatalities related to
es of cleaning the belt or repairs while the belt was in motion. belt conveyors. Additional research is required to better char-
Special attention should be focused on preventing any main- acterize hazard sources and identify appropriate corrective
tenance work on a moving belt conveyor. Therefore, the actions. For example, human error might be caused by lack
largest portion of the available resources should be allocated of training, lack of knowledge, or lack of experience.
to prevent and control these hazards. There is one hazard
placed in “medium” risk category and three hazards in “low” Fig. 5 shows the relationship between number of fatal inci-
risk category. Additional resources can be allocated to avoid dents and the type of mining operations. It can be noted that
or mitigate these four hazards. Although having a lower prob- most of the fatalities (21) occurred in sand and gravel surface
ability of occurrence, they still contribute to fatal incidents. mines. A total of 16 fatalities were recorded in surface
Ignoring these hazards could also increase their frequency of crushed stone operations, eight in underground coal opera-
occurrence and severity in the future. tions, two in surface copper and gold mines, one in surface
coal mine and one at surface preparation plant of an under-
A total of 44 fatal incidents occurred during the maintenance ground coal mine.
procedures including cleaning the belt conveyor, repairs,
assembling or dismantling the conveyor and cleaning the The relationship between the number of belt conveyor-relat-
hopper. Two fatalities occurred because of crossing over and ed fatalities and victims’ age and mining experience was also
crossing below the moving belt conveyor, while one fatal studied. Table 5 shows the distribution of number of fatalities
incident occurred during the gathering material samples com- and victim’s age while Table 6 shows the same distribution
ing off the bin feeder of the conveyor belt. for the victim’s mining experience.
All fatalities but two were contributed to human error or According to this study, employees with five years or less
human performance (96 percent). One is contributed to experience were at a considerably higher-than-average risk
Bulk Solids & Powder – Science & Technology • Vol. 3 (2008) No. 2 67
V. Kecojevic et al.: Risk Assessment for Belt Conveyor-Related Fatal Incidents in the U.S. Mining Industry
(66 percent of all fatalities), while employees with more than Human error is the most significant contributor to these fatal-
15 years experience were at a lower-than-average risk (29.5 ities. Thus, it should be determined whether the human error
percent of all fatalities). This study also found that the min- is caused by lack of training, lack of knowledge, lack of
ers between the age 36 and 40 were involved in a highest experience, or some other factors. This way, the most effec-
number of fatalities. It should be noted that the experience tive corrective/mitigating strategies can be determined. Fi-
and age distributions for all employees was not known, there- nally, since risk assessment is just a part of an entire risk
fore, it could not be determined whether the number of fatal- management process, future research efforts should also in-
ities for a given experience or age categories were different clude risk control, and implementing and maintaining control
than what would be expected for that group based on the measures.
makeup of the workforce.
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